Download:
pdf |
pdf50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR Part 23 (Aug. 21, 2023)
This content is from the eCFR and is authoritative but unofficial.
Title 50 —Wildlife and Fisheries
Chapter I —United States Fish and Wildlife Service, Department of the Interior
Subchapter B —Taking, Possession, Transportation, Sale, Purchase, Barter, Exportation, and
Importation of Wildlife and Plants
Part 23 Convention on International Trade in Endangered Species of Wild Fauna
and Flora (CITES)
Subpart A Introduction
§ 23.1 What are the purposes of these regulations and CITES?
§ 23.2 How do I decide if these regulations apply to my shipment or me?
§ 23.3 What other wildlife and plant regulations may apply?
§ 23.4 What are Appendices I, II, and III?
§ 23.5 How are the terms used in these regulations defined?
§ 23.6 What are the roles of the Management and Scientific Authorities?
§ 23.7 What office do I contact for CITES information?
§ 23.8 What are the information collection requirements?
§ 23.9 Incorporation by reference.
Subpart B Prohibitions, Exemptions, and Requirements
§ 23.13 What is prohibited?
§ 23.14 [Reserved]
§ 23.15 How may I travel internationally with my personal or household effects, including
tourist souvenirs?
§ 23.16 What are the U.S. CITES requirements for urine, feces, and synthetically derived DNA?
§ 23.17 What are the requirements for CITES specimens traded internationally by diplomatic,
consular, military, and other persons exempt from customs duties or inspections?
§ 23.18 What CITES documents are required to export Appendix-I wildlife?
§ 23.19 What CITES documents are required to export Appendix-I plants?
§ 23.20 What CITES documents are required for international trade?
§ 23.21 What happens if a country enters a reservation for a species?
§ 23.22 What are the requirements for in-transit shipments?
§ 23.23 What information is required on U.S. and foreign CITES documents?
§ 23.24 What code is used to show the source of the specimen?
§ 23.25 What additional information is required on a non-Party CITES document?
§ 23.26 When is a U.S. or foreign CITES document valid?
§ 23.27 What CITES documents do I present at the port?
Subpart C Application Procedures, Criteria, and Conditions
§ 23.32 How do I apply for a U.S. CITES document?
50 CFR Part 23 (Aug. 21, 2023) (enhanced display)
page 1 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR Part 23 (Aug. 21, 2023)
§ 23.33 How is the decision made to issue or deny a request for a U.S. CITES document?
§ 23.34 What kinds of records may I use to show the origin of a specimen when I apply for a
U.S. CITES document?
§ 23.35 What are the requirements for an import permit?
§ 23.36 What are the requirements for an export permit?
§ 23.37 What are the requirements for a re-export certificate?
§ 23.38 What are the requirements for a certificate of origin?
§ 23.39 What are the requirements for an introduction-from-the-sea certificate?
§ 23.40 What are the requirements for a certificate for artificially propagated plants?
§ 23.41 What are the requirements for a bred-in-captivity certificate?
§ 23.42 What are the requirements for a plant hybrid?
§ 23.43 What are the requirements for a wildlife hybrid?
§ 23.44 What are the requirements for traveling internationally with my personally owned live
wildlife?
§ 23.45 What are the requirements for a pre-Convention specimen?
§ 23.46 What are the requirements for registering a commercial breeding operation for
Appendix-I wildlife and commercially exporting specimens?
§ 23.47 What are the requirements for export of an Appendix-I plant artificially propagated for
commercial purposes?
§ 23.48 What are the requirements for a registered scientific institution?
§ 23.49 What are the requirements for an exhibition traveling internationally?
§ 23.50 What are the requirements for a sample collection covered by an ATA carnet?
§ 23.51 What are the requirements for issuing a partially completed CITES document?
§ 23.52 What are the requirements for replacing a lost, damaged, stolen, or accidentally
destroyed CITES document?
§ 23.53 What are the requirements for obtaining a retrospective CITES document?
§ 23.54 How long is a U.S. or foreign CITES document valid?
§ 23.55 How may I use a CITES specimen after import into the United States?
§ 23.56 What U.S. CITES document conditions do I need to follow?
Subpart D Factors Considered in Making Certain Findings
§ 23.60 What factors are considered in making a legal acquisition finding?
§ 23.61 What factors are considered in making a non-detriment finding?
§ 23.62 What factors are considered in making a finding of not for primarily commercial
purposes?
§ 23.63 What factors are considered in making a finding that an animal is bred in captivity?
§ 23.64 What factors are considered in making a finding that a plant is artificially propagated?
§ 23.65 What factors are considered in making a finding that an applicant is suitably equipped
to house and care for a live specimen?
Subpart E International Trade in Certain Specimens
50 CFR Part 23 (Aug. 21, 2023) (enhanced display)
page 2 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR Part 23 (Aug. 21, 2023)
§ 23.68 How can I trade internationally in roots of American ginseng?
§ 23.69 How can I trade internationally in fur skins and fur skin products of bobcat, river otter,
Canada lynx, gray wolf, and brown bear harvested in the United States?
§ 23.70 How can I trade internationally in American alligator and other crocodilian skins, parts,
and products?
§ 23.71 How can I trade internationally in sturgeon caviar?
§ 23.72 How can I trade internationally in plants?
§ 23.73 How can I trade internationally in timber?
§ 23.74 How can I trade internationally in personal sport-hunted trophies?
§ 23.75 How can I trade internationally in vicuña (Vicugna vicugna)?
Subpart F Disposal of Confiscated Wildlife and Plants
§ 23.78 What happens to confiscated wildlife and plants?
§ 23.79 How may I participate in the Plant Rescue Center Program?
Subpart G CITES Administration
§ 23.84 What are the roles of the Secretariat and the committees?
§ 23.85 What is a meeting of the Conference of the Parties (CoP)?
§ 23.86 How can I obtain information on a CoP?
§ 23.87 How does the United States develop documents and negotiating positions for a CoP?
§ 23.88 What are the resolutions and decisions of the CoP?
Subpart H Lists of Species
§ 23.89 What are the criteria for listing species in Appendix I or II?
§ 23.90 What are the criteria for listing species in Appendix III?
§ 23.91 How do I find out if a species is listed?
§ 23.92 Are any wildlife or plants, and their parts, products, or derivatives, exempt?
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. The regulations in this part implement the Convention on International Trade in Endangered
Species of Wild Fauna and Flora, also known as CITES, the Convention, the Treaty, or the Washington
Convention, TIAS (Treaties and Other International Acts Series) 8249.
50 CFR 23.1(a) (enhanced display)
page 3 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.1(b)
(b) Purpose. The aim of CITES is to regulate international trade in wildlife and plants, including parts,
products, and derivatives, to ensure it is legal and does not threaten the survival of species in the wild.
Parties, recognize that:
(1) Wildlife and plants are an irreplaceable part of the natural systems of the earth and must be
protected for this and future generations.
(2) The value of wildlife and plants is ever-growing from the viewpoints of aesthetics, science, culture,
recreation, and economics.
(3) Although countries should be the best protectors of their own wildlife and plants, international
cooperation is essential to protect wildlife and plant species from over-exploitation through
international trade.
(4) It is urgent that countries take appropriate measures to prevent illegal trade and ensure that any use
of wildlife and plants is sustainable.
(c) National legislation. We, the U.S. Fish and Wildlife Service (FWS), implement CITES through the
Endangered Species Act (ESA).
§ 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.
50 CFR 23.3(c) (enhanced display)
page 4 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.3(d)
(d) You may also need to comply with other Federal, State, tribal, or local requirements.
§ 23.4 What are Appendices I, II, and III?
Species are listed by the Parties in one of three Appendices to the Treaty (see subpart H of this part), each of which
provides a different level of protection and is subject to different requirements. Parties regulate trade in specimens
of Appendix-I, -II, and -III species and their parts, products, and derivatives through a system of permits and
certificates (CITES documents). Such documents enable Parties to monitor the effects of the volume and type of
trade to ensure trade is legal and not detrimental to the survival of the species.
(a) Appendix I includes species threatened with extinction that are or may be affected by trade. Trade in
Appendix-I specimens may take place only in exceptional circumstances.
(b) Appendix II includes species that are not presently threatened with extinction, but may become so if their
trade is not regulated. It also includes species that need to be regulated so that trade in certain other
Appendix-I or -II species may be effectively controlled; these species are most commonly listed due to
their similarity of appearance to other related CITES species.
(c) Appendix III includes species listed unilaterally by a range country to obtain international cooperation in
controlling trade.
§ 23.5 How are the terms used in these regulations defined?
In addition to the definitions contained in part 10 of this subchapter, and unless the context otherwise requires, in
this part:
Affected by trade means that either a species is known to be in trade and the trade has or may have a
detrimental impact on the status of the species, or a species is suspected to be in trade or there is
demonstrable potential international demand for the species that may be detrimental to the survival of the
species in the wild.
Annotation means an official footnote to the listing of a species in the CITES Appendices. A reference
annotation provides information that further explains the listing (such as “p.e.” for possibly extinct). A
substantive annotation is an integral part of a species listing. It designates whether the listing includes or
excludes a geographically separate population, subspecies, species, group of species, or higher taxon,
and the types of specimens included in or excluded from the listing, such as certain parts, products, or
derivatives. A substantive annotation may designate export quotas adopted by the CoP. For species
transferred from Appendix I to II subject to an annotation relating to specified types of specimens, other
types of specimens that are not specifically included in the annotation are treated as if they are AppendixI specimens.
Appropriate and acceptable destination , when used in an Appendix-II listing annotation for the export of, or
international trade in, live animals, means that the Management Authority of the importing country has
certified, based on advice from the Scientific Authority of that country, that the proposed recipient is
suitably equipped to house and care for the animal (see criteria in § 23.65). Such certification must be
provided before a CITES document is issued by the Management Authority of the exporting or reexporting country.
Artificially propagated means a cultivated plant that meets the criteria in § 23.64.
50 CFR 23.5 “Artificially propagated” (enhanced display)
page 5 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.5 “Assisted production”
Assisted production means a plant specimen that does not fall within the definition of “artificially propagated”
and the source of the specimen is considered not to be taken from the wild because it was propagated or
planted in an environment with some level of human intervention for the purpose of plant production.
ATA carnet means a type of international customs document (see § 23.50). ATA is a combination of the French
and English words “Admission Temporaire/Temporary Admission.”
Bred for commercial purposes means any specimen of an Appendix-I wildlife species bred in captivity for
commercial purposes. Any Appendix-I specimen that does not meet the definition of “bred for
noncommercial purposes” is considered to be bred for commercial purposes.
Bred for noncommercial purposes means any specimen of an Appendix-I wildlife species bred in captivity for
noncommercial purposes, where each donation, exchange, or loan of the specimen is noncommercial.
Bred in captivity means wildlife that is captive-bred and meets the criteria in § 23.63.
Captive-bred means wildlife that is the offspring (first (F1) or subsequent generations) of parents that either
mated or otherwise transferred egg and sperm under controlled conditions if reproduction is sexual, or of
a parent that was maintained under controlled conditions when development of the offspring began if
reproduction is asexual, but does not meet the bred-in-captivity criteria (see § 23.63).
Certificate means a CITES document or CITES exemption document that identifies on its face the type of
certificate it is, including re-export certificate, introduction-from-the-sea certificate, and certificate of
origin.
CITES document or CITES exemption document means any certificate, permit, or other document issued by a
Management Authority of a Party or a competent authority of a non-Party whose name and address is on
file with the Secretariat to authorize the international movement of CITES specimens.
Commercial means related to an activity, including actual or intended import, export, re-export, sale, offer for
sale, purchase, transfer, donation, exchange, or provision of a service, that is reasonably likely to result in
economic use, gain, or benefit, including, but not limited to, profit (whether in cash or in kind).
Coral (dead) means pieces of stony coral that contain no living coral tissue and in which the structure of the
corallites (skeletons of the individual polyps) is still intact and the specimens are therefore identifiable to
the level of species or genus. See also § 23.23(c)(13).
Coral fragments, including coral gravel and coral rubble, means loose pieces of broken finger-like stony coral
between 2 and 30 mm measured in all directions that contain no living coral tissue and are not identifiable
to the level of genus (see § 23.92 for exemptions).
Coral (live) means pieces of stony coral that are alive and are therefore identifiable to the level of species or
genus. See also § 23.23(c)(13).
Coral rock means hard consolidated material greater than 30 mm measured in any direction that consists of
pieces of stony coral that contain no living coral tissue and possibly also cemented sand, coralline algae,
or other sedimentary rocks. Coral rock includes live rock and substrate, which are terms for pieces of coral
rock to which are attached live specimens of other invertebrate species or coralline algae that are not
listed in the CITES Appendices. See also § 23.23(c)(13).
Coral sand means material that consists entirely or in part of finely crushed stony coral no larger than 2 mm
measured in all directions that contains no living coral tissue and is not identifiable to the level of genus
(see § 23.92 for exemptions).
50 CFR 23.5 “Coral sand” (enhanced display)
page 6 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.5 “Coral (stony)”
Coral (stony) means any coral in the orders Helioporacea, Milleporina, Scleractinia, Stolonifera, and Stylasterina.
Country of origin means the country where the wildlife or plant was taken from the wild or was born or
propagated in a controlled environment, except in the case of a plant specimen that qualified for an
exemption under the provisions of CITES, the country of origin is the country in which the specimen
ceased to qualify for the exemption.
Cultivar means a horticulturally derived plant variety that: has been selected for a particular character or
combination of characters; is distinct, uniform, and stable in these characters; and when propagated by
appropriate means, retains these characters. The cultivar name and description must be formally
published in order to be recognized under CITES.
Cultivated means a plant grown or tended by humans for human use. A cultivated plant can be treated as
artificially propagated under CITES only if it meets the criteria in § 23.64.
Export means to send, ship, or carry a specimen out of a country (for export from the United States, see part 14
of this subchapter).
Flasked means plant material obtained in vitro, in solid or liquid media, transported in sterile containers.
Household effect means a dead wildlife or plant specimen that is part of a household move and meets the
criteria in § 23.15.
Hybrid means any wildlife or plant that results from a cross of genetic material between two separate taxa when
one or both are listed in Appendix I, II, or III. See § 23.42 for plant hybrids and § 23.43 for wildlife hybrids.
Import means to bring, ship, or carry a specimen into a country (for import into the United States, see part 14 of
this subchapter).
International trade means the import, introduction from the sea, export, or re-export across jurisdictional or
international boundaries for any purpose whether commercial or noncommercial.
In-transit shipment means the transshipment of any wildlife or plant through an intermediary country when the
specimen remains under customs control and either the shipment meets the requirements of § 23.22 or
the sample collection covered by an ATA carnet meets the requirements of § 23.50.
Introduction from the sea means transportation into a country of specimens of any species that were taken in
the marine environment not under the jurisdiction of any country, i.e., taken in those marine areas beyond
the areas subject to the sovereignty or sovereign rights of a country consistent with international law, as
reflected in the United Nations Convention on the Law of the Sea.
ISO country code means the two-letter country code developed by the International Organization for
Standardization (ISO) to represent the name of a country and its subdivisions.
Live rock see the definition for coral rock.
Management Authority means a governmental agency officially designated by, and under the supervision of,
either a Party to implement CITES, or a non-Party to serve in the role of a Management Authority, including
the issuance of CITES documents on behalf of that country.
Noncommercial means related to an activity that is not commercial. Noncommercial includes, but is not limited
to, personal use.
50 CFR 23.5 “Noncommercial” (enhanced display)
page 7 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.5 “Non-Party”
Non-Party means a country that has not deposited an instrument of ratification, acceptance, approval, or
accession to CITES with the Depositary Government (Switzerland), or a country that was a Party but
subsequently notified the Depositary Government of its denunciation of CITES and the denunciation is in
effect.
Offspring of first generation (F1) means a wildlife specimen produced in a controlled environment from parents
at least one of which was conceived in or taken from the wild.
Offspring of second generation (F2) or subsequent generations means a wildlife specimen produced in a
controlled environment from parents that were also produced in a controlled environment.
Parental stock means the original breeding or propagating specimens that produced the subsequent
generations of captive or cultivated specimens.
Party means a country that has given its consent to be bound by the provisions of CITES by depositing an
instrument of ratification, acceptance, approval, or accession with the Depositary Government
(Switzerland), and for which such consent is in effect.
Permit means a CITES document that identifies on its face import permit or export permit.
Personal effect means a dead wildlife or plant specimen, including a tourist souvenir, that is worn as clothing or
accessories or is contained in accompanying baggage and meets the criteria in § 23.15.
Personal use means use that is not commercial and is for an individual's own consumption or enjoyment.
Precautionary measures means the actions taken that will be in the best interest of the conservation of the
species when there is uncertainty about the status of a species or the impact of trade on the conservation
of a species.
Pre-Convention means a specimen that was acquired (removed from the wild or born or propagated in a
controlled environment) before the date the provisions of the Convention first applied to the species and
that meets the criteria in § 23.45, and any product (including a manufactured item) or derivative made
from such specimen.
Primarily commercial purposes means an activity whose noncommercial aspects do not clearly predominate
(see § 23.62).
Propagule means a structure, such as a cutting, seed, or spore, which is capable of propagating a plant.
Ranched wildlife means specimens of animals reared in a controlled environment that were taken from the wild
as eggs or juveniles where they would otherwise have had a very low probability of surviving to adulthood.
See also § 23.34.
Readily recognizable means any specimen that appears from a visual, physical, scientific, or forensic
examination or test; an accompanying document, packaging, mark, or label; or any other circumstances to
be a part, product, or derivative of any CITES wildlife or plant, unless such part, product, or derivative is
specifically exempt from the provisions of CITES or this part.
Re-export means to send, ship, or carry out of a country any specimen previously imported into that country,
whether or not the specimen has been altered since import.
Reservation means the action taken by a Party to inform the Secretariat that it is not bound by the effect of a
specific listing (see § 23.21).
50 CFR 23.5 “Reservation” (enhanced display)
page 8 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.5 “Scientific Authority”
Scientific Authority means a governmental or independent scientific institution or entity officially designated by
either a Party to implement CITES, or a non-Party to serve the role of a Scientific Authority, including
making scientific findings.
Secretariat means the entity designated by the Treaty to perform certain administrative functions (see § 23.84).
Shipment means any CITES specimen in international trade whether for commercial or noncommercial use,
including any personal item.
Species means any species, subspecies, hybrid, variety, cultivar, color or morphological variant, or
geographically separate population of that species.
Specimen means any wildlife or plant, whether live or dead. This term includes any readily recognizable part,
product, or derivative unless otherwise annotated in the Appendices.
Sustainable us e means the use of a species in a manner and at a level that maintains wild populations at
biologically viable levels for the long term. Such use involves a determination of the productive capacity of
the species and its ecosystem to ensure that utilization does not exceed those capacities or the ability of
the population to reproduce, maintain itself, and perform its role or function in its ecosystem.
Trade means the same as international trade.
Transit see the definition for in-transit shipment.
Traveling exhibition means a display of live or dead wildlife or plants for entertainment, educational, cultural, or
other display purposes that is temporarily moving internationally.
[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
(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.
U.S.
U.S.
Scientific Management
Authority
Authority
x
(b) Review applications for CITES documents and issue or deny them based on
findings required by CITES.
(c) Communicate with the Secretariat and other countries on scientific,
administrative, and enforcement issues.
50 CFR 23.6 (enhanced display)
x
x
x
page 9 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.7
U.S.
U.S.
Scientific Management
Authority
Authority
Roles
(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
x
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
(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
(a) CITES administrative and
management issues:
(1) CITES documents, including
application forms and procedures;
lists of registered scientific
institutions and operations
50 CFR 23.7 (enhanced display)
Office to contact
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, Web
site: http://www.fws.gov/international and http://www.fws.gov/
page 10 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Type of information
Office to contact
breeding Appendix-I wildlife for
commercial purposes; and
reservations
(2) Information on the CoP
(3) List of CITES species
(4) Names and addresses of other
countries' Management and
Scientific Authority offices
(5) Notifications, resolutions, and
decisions
(6) Standing Committee
documents and issues
(7) State and tribal export
programs
permits.
(b) Scientific issues:
(1) Animals and Plants
Committees documents and
issues
(2) Findings of non-detriment and
suitability of facilities, and other
scientific findings
(3) Listing of species in the
Appendices and relevant
resolutions
(4) Names and addresses of other
countries' Scientific Authority
offices and scientists involved
with CITES-related issues
(5) Nomenclatural 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,
Web site: http://www.fws.gov/international.
(c) Wildlife clearance procedures:
(1) CITES replacement tags
(2) Information about wildlife port
office locations
(3) Information bulletins
(4) Inspection and clearance of
wildlife shipments involving
import, introduction from the sea,
export, and re-export, and filing a
Declaration of Importation or
Exportation of Fish or Wildlife
(Form 3–177)
(5) Validation, certification, or
cancellation of CITES wildlife
documents
Law Enforcement, U.S. Fish and Wildlife Service 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:
(1) Information about plant port
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)
50 CFR 23.7 (enhanced display)
50 CFR 23.7
page 11 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Type of information
50 CFR 23.7
Office to contact
office locations
(2) Inspection and clearance of
plant shipments involving:
(i) Import and introduction from
the sea of living plants
(ii) Export and re-export of living
and nonliving plants
(3) Validation or cancellation of
CITES plant documents for the
type of shipments listed in
paragraph (d)(2) of this section
734-5786/permit questions, Fax: (301) 734-5276/other CITES issues,
Website: http://www.aphis.usda.gov/plant_health
(e) CBP plant clearance
procedures:
(1) Inspection and clearance of
plant shipments involving:
(i) Import and introduction from
the sea of nonliving plants
(ii) Import of living plants from
Canada at designated border
ports (7 CFR 319.37–14(b) and 50
CFR 24.12(d))
(2) Cancellation of CITES plant
documents for the type of
shipments listed in paragraph
(e)(1) of this section
Department of Homeland Security, U.S. Customs and Border
Protection, Office of Field Operations, Agriculture Programs and
Liaison, 1300 Pennsylvania Avenue, NW, Room 2.5 B, Washington, DC
20229, Tel: (202) 344-3298, Fax: (202) 344-1442
(f) General information on CITES:
CITES Secretariat, Website: http://www.cites.org
(1) CITES export quota
information
(2) CITES Guidelines for the non-air
transport of live wild animals and
plants
(3) Information about the
Secretariat
(4) Names and addresses of other
countries' Management and
Scientific Authority offices
(5) Official documents, including
resolutions, decisions,
notifications, CoP documents, and
committee documents
(6) Official list of CITES species
and species database
(7) Text of the Convention
[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]
50 CFR 23.7 (enhanced display)
page 12 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.8
§ 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 or
go to 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, effective January 1, 2022, into §§ 23.23, 23.26, and
23.56.
(2) Perishable Cargo Regulations (PCR) 21st edition, effective January 1, 2022, into §§ 23.23, 23.26, and
23.56.
(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, effective January 2, 2017,
into §§ 23.23, 23.26, and 23.56, available for downloading at
(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.
50 CFR 23.13(b) (enhanced display)
page 13 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.13(c)
(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. Article VII(3) of the Treaty recognizes a limited exemption for the international movement of
personal and household effects.
(b) Stricter national measures. The exemption for personal and household effects does not apply if a country
prohibits or restricts the import, export, or re-export of the item.
(1) You or your shipment must be accompanied by any document required by a country under its stricter
national measures.
(2) In the United States, you must obtain any permission needed under other regulations in this
subchapter (see § 23.3).
(c) Required CITES documents. You must obtain a CITES document for personal or household effects and
meet the requirements of this part if one of the following applies:
(1) The Management Authority of the importing, exporting, or re-exporting country requires a CITES
document.
(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)
Quantity1
Type of specimen
Fishes
(i) Acipenseriformes
(sturgeon, including
paddlefish)
Sturgeon caviar (see § 23.71)
125 gm
Fishes
(ii) Hippocampus spp.
(seahorses)
Dead specimens, parts, products (including
manufactured items), and derivatives
4
Reptiles
(iii) Crocodylia (alligators,
caimans, crocodiles, gavial)
Dead specimens, parts, products (including
manufactured items), and derivatives
4
Shells
3
Molluscs (iv) Strombus gigas (queen
50 CFR 23.15(c)(3) (enhanced display)
page 14 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Major
group
Species (Appendix II only)
50 CFR 23.15(d)
Quantity1
Type of specimen
conch)
Molluscs (v) Tridacnidae (giant clams)
Shells, each of which may be one intact shell 3 shells, total not
or two matching halves
exceeding 3 kg
Plants
Rainsticks
(vi) Cactaceae (cacti)
3
1
To import, export, or re-export more than the quantity listed in the table, you must have a valid
CITES document for the entire quantity.
(d) Personal effects. You do not need a CITES document to import, export, or re-export any legally acquired
specimen of a CITES species to or from the United States if all of the following conditions are met:
(1) No live wildlife or plant (including eggs or non-exempt seeds) is included.
(2) No specimen from an Appendix-I species is included, except for certain worked African elephant
ivory as provided in paragraph (f) of this section.
(3) The specimen and quantity of specimens are reasonably necessary or appropriate for the nature of
your trip or stay and, if the type of specimen is one listed in paragraph (c)(3) of this section, the
quantity does not exceed the quantity given in the table.
(4) You own and possess the specimen for personal use, including any specimen intended as a personal
gift.
(5) You are either wearing the specimen as clothing or an accessory or taking it as part of your personal
baggage, which is being carried by you or checked as baggage on the same plane, boat, vehicle, or
train as you.
(6) The specimen was not mailed or shipped separately.
(e) Household effects. You do not need a CITES document to import, export, or re-export any legally acquired
specimen of a CITES species that is part of a shipment of your household effects when moving your
residence to or from the United States, if all of the following conditions are met:
(1) The provisions of paragraphs (d)(1) through (3) of this section are met.
(2) You own the specimen and are moving it for personal use.
(3) You import or export your household effects within 1 year of changing your residence from one
country to another.
(4) The shipment, or shipments if you cannot move all of your household effects at one time, contains
only specimens purchased, inherited, or otherwise acquired before you changed your residence.
(f) African elephant worked ivory. You may export or re-export from the United States worked African
elephant (Loxodonta africana) ivory and then re-import it without a CITES document if all of the following
conditions are met:
(1) The worked ivory is a personal or household effect that meets the requirements of paragraphs (c)
through (e) of this section and you are a U.S. resident who owned the worked ivory before leaving the
United States and intend to bring the item back to the United States.
50 CFR 23.15(f)(1) (enhanced display)
page 15 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.15(f)(2)
(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 means an African elephant tusk, or any
piece of tusk, the surface of which, polished or unpolished, is unaltered or minimally carved,
including ivory mounted on a stand or part of a trophy.
(5) When you return, you are able to provide records, receipts, or other documents to show that the ivory
is 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. We do not require CITES documents to trade in urine, feces, or synthetically derived
DNA.
(1) You must obtain any collection permit and CITES document required by the foreign country.
(2) If the foreign country requires you to have a U.S. CITES document for these kinds of samples, you
must apply for a CITES document and meet the requirements of this part.
(b) Urine and feces. Except as provided in paragraph (a) of this section, we consider urine and feces to be
wildlife byproducts, rather than parts, products, or derivatives, and exempt them from the requirements of
CITES and this part.
(c) DNA. We differentiate between DNA directly extracted from blood and tissue and DNA synthetically
derived as follows:
(1) A DNA sample directly derived from wildlife or plant tissue is regulated by CITES and this part.
(2) A DNA sample synthetically derived that does not contain any part of the original template is exempt
from the requirements of CITES and this part.
§ 23.17 What are the requirements for CITES specimens traded internationally by diplomatic,
consular, military, and other persons exempt from customs duties or inspections?
A specimen of a CITES species imported, introduced from the sea, exported, or re-exported by a person receiving
duty-free or inspection exemption privileges under customs laws must meet the requirements of CITES and the
regulations in this part.
50 CFR 23.17 (enhanced display)
page 16 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.18
§ 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.
50 CFR 23.18 (enhanced display)
page 17 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.19
[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.
50 CFR 23.19 (enhanced display)
page 18 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.19
50 CFR 23.19 (enhanced display)
page 19 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.20
[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. Articles III, IV, and V of the Treaty give the types of standard CITES documents that must
accompany an Appendix-I, -II, or -III specimen in international trade. Articles VII and XIV recognize some
exemptions and provide that a CITES document must accompany most exempt specimens.
(b) Stricter national measures. Before importing, introducing from the sea, exporting, or re-exporting a
specimen, check with the Management Authorities of all countries concerned to obtain any
documentation required under stricter national measures.
(c) CITES documents. Except as provided in the regulations in this part, you must have a valid CITES
document to engage in international trade in any CITES specimen.
(d) CITES exemption documents. The following table lists the CITES exemption document that you must
obtain before conducting a proposed activity with an exempt specimen (other than specimens exempted
under § 23.92). If one of the exemptions does not apply to the specimen, you must obtain a CITES
document as provided in paragraph (e) of this section. The first column in the following table
alphabetically lists the type of specimen or activity that may qualify for a CITES exemption document. The
last column indicates the section of this part that contains information on the application procedures,
provisions, criteria, and conditions specific to each CITES exemption document, as follows:
Type of specimen or activity
Appendix
(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 exemption document
Section
CITES document with source code “A”1
23.40
(2) Artificially propagated plant from II or III
a country that has provided copies
of the certificates, stamps, and
seals to the Secretariat
Phytosanitary certificate with CITES
statement1
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 preexisting treaty, convention, or
international agreement for that
species
II
CITES document indicating that the specimen
was taken in accordance with provisions of
the applicable treaty, convention, or
international agreement
23.36(e)
23.39(e)
(7) Hybrid plants
I, II, or III
CITES document unless the specimen
qualifies as an exempt plant hybrid
23.42
50 CFR 23.20(d) (enhanced display)
page 20 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Type of specimen or activity
Appendix
CITES exemption document
50 CFR 23.20(e)
Section
(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 II
a pre-existing treaty, convention, or
international agreement for that
species
Document required by applicable treaty,
convention, or international agreement, if
appropriate
23.39(d)
(11) Noncommercial loan, donation, I, II, or III
or exchange of specimens between
scientific institutions registered with
the CITES Secretariat
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 institution3
23.48
(12) Personally owned live wildlife
for multiple cross-border
movements
I, II, or III
CITES certificate of ownership2
23.44
(13) Pre-Convention specimen
I, II, or III
CITES document indicating pre-Convention
status1
23.45
(14) Sample collection covered by
an ATA carnet
I4, II, or III
CITES document indicating sample
collection2
23.50
(15) Traveling exhibition
I, II, or III
CITES document indicating specimens qualify
as pre-Convention, bred in captivity, or
artificially propagated2
23.49
1
Issued by the Management Authority in the exporting or re-exporting country.
2
Issued by the Management Authority in the owner's country of usual residence.
3
Registration codes assigned by the Management Authorities in both exporting and importing
countries.
4
Appendix-I species bred in captivity or artificially propagated for commercial purposes (see §§
23.46 and 23.47).
(e) Import permits, export permits, re-export certificates, and certificates of origin. Unless one of the
exemptions under paragraph (d) of this section or § 23.92 applies, you must obtain the following CITES
documents before conducting the proposed activity:
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-
50 CFR 23.20(e) (enhanced display)
page 21 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Appendix
50 CFR 23.20(f)
Type of CITES document(s) required
exports (§ 23.37)
(f) Introduction-from-the-sea certificates. For introduction from the sea of Appendix-I or Appendix-II
specimens, you must obtain an introduction-from-the-sea certificate before conducting the proposed
activity, unless the exemption in paragraph (d)(10) of this section applies (see § 23.39). The export of a
specimen that was previously introduced from the sea will be treated as an export (see § 23.36 for export,
§ 23.36(e) and § 23.39(e) for export of exempt specimens, or § 23.37 for re-export). Although an
Appendix-III specimen does not require a CITES document to be introduced from the sea, the subsequent
international trade of the specimen would be considered an export. For export of an Appendix-III
specimen that was introduced from the sea you must obtain an export permit (§ 23.36) if the export is
from the country that listed the species in Appendix III, a certificate of origin (§ 23.38) if the export is from
a country other than the listing country, or a re-export certificate for all re-exports (§ 23.37).
§ 23.21 What happens if a country enters a reservation for a species?
(a) Purpose. CITES is not subject to general reservations. Articles XV, XVI, and XXIII of the Treaty allow a Party
to enter a specific reservation on a species listed in Appendix I, II, or III, or on parts, products, or
derivatives of a species listed in Appendix III.
(b) General provision. A Party can enter a reservation in one of the following ways:
(1) A Party must provide written notification to the Depositary Government (Switzerland) on a specific
new or amended listing in the Appendices within 90 days after the CoP that adopted the listing, or at
any time for Appendix-III species.
(2) A country must provide written notification on a specific species listing when the country ratifies,
accepts, approves, or accedes to CITES.
(c) Requesting the United States take a reservation. You may submit information relevant to the issue of
whether the United States should take a reservation on a species listing to the U.S. Management
Authority. The request must be submitted within 30 calendar days after the last day of the CoP where a
new or amended listing of a species in Appendix I or II occurs, or at any time for a species (or its parts,
products, or derivatives) listed in Appendix III.
50 CFR 23.21(c) (enhanced display)
page 22 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.21(d)
(d) Required CITES documents. Except as provided in paragraph (d)(2) of this section, Parties treat a
reserving Party as if it were a non-Party for trade in the species concerned (including parts, products, and
derivatives, as appropriate). The following table indicates when CITES documents must accompany a
shipment and which Appendix should appear on the face of the document:
If
Then
(1) The shipment is between a Party and a reserving
Party, or the shipment is from a non-Party to a
reserving Party and is in transit through a Party
The shipment must be accompanied by a valid
CITES document(s) (see § 23.26) that indicates the
CITES Appendix in which the species is listed.
(2) The shipment is from a reserving Party to
another reserving Party1 or non-Party and is in
transit through a Party
The shipment must be accompanied by a valid
CITES document(s) (see § 23.26) that indicates the
CITES Appendix in which the species is listed.2
(3) The shipment is between a reserving Party and
another reserving Party1 or non-Party and is not in
transit through a Party
No CITES document is required.2
1
Both reserving Parties must have a reservation for the same species, and if the species is listed in
Appendix III, a reservation for the same parts, products, and derivatives.
2
CITES recommends that reserving Parties treat Appendix-I species as if listed in Appendix II and
issue CITES documents based on Appendix-II permit criteria (see § 23.36). However, the CITES
document must show the specimen as listed in Appendix I. If the United States entered a
reservation, such a CITES document would be required.
(e) Reservations taken by countries. You may consult the CITES website or contact us (see § 23.7) for a list of
countries that have taken reservations and the species involved.
§ 23.22 What are the requirements for in-transit shipments?
(a) Purpose. Article VII(1) of the Treaty allows for a shipment to transit an intermediary country that is a Party
before reaching its final destination without the need for the intermediary Party to issue CITES
documents. To control any illegal trade, Parties are to inspect, to the extent possible under their national
legislation, specimens in transit through their territory to verify the presence of valid documentation. See
§ 23.50 for in-transit shipment of sample collections covered by an ATA carnet.
(b) Document requirements. An in-transit shipment does not require a CITES document from an intermediary
country, but must be accompanied by all of the following documents:
(1) Unless the specimen qualifies for an exemption under § 23.92, a valid original CITES document, or a
copy of the valid original CITES document, that designates the name of the 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.
50 CFR 23.22(b)(3) (enhanced display)
page 23 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.22(c)
(c) Shipment requirements. An in-transit shipment, including items in an on-board store, must meet the
following:
(1) When in an intermediary country, an in-transit shipment must stay only for the time needed to
immediately transfer the specimen to the mode of transport used to continue to the final destination
and remain under customs control. Other than during immediate transfer, the specimen may not be
stored in a duty-free, bonded, or other kind of warehouse or a free trade zone.
(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. All the requirements of this section apply to shipments to or from a
reserving Party or non-Party that are being transshipped through a Party. The CITES document must treat
the specimen as listed in the Appendix as provided in § 23.21(d).
(e) Specimen protected by other regulations. Shipment of a specimen that is also listed as a migratory bird
(part 10 of this subchapter), injurious wildlife (part 16 of this subchapter), endangered or threatened
species (parts 17 of this subchapter and 222–224 of this title), marine mammal (parts 18 of this
subchapter and 216 of this title), or bald or golden eagle (part 22 of this subchapter), and is moving
through the United States is considered an import, and cannot be treated as an in-transit shipment (see §
23.3).
§ 23.23 What information is required on U.S. and foreign CITES documents?
(a) Purpose. Article VI of the Treaty provides standard information that must be on a permit and certificate
issued under Articles III, IV, and V. To identify a false or invalid document, any CITES document, including a
CITES exemption document issued under Article VII, must contain standardized information to allow a
Party to verify that the specimen being shipped is the one listed on the document and that the trade is
consistent with the provisions of the Treaty.
(b) CITES form. A CITES document issued by a Party must be issued in one or more of the three working
languages of CITES (English, Spanish, or French). A CITES document from a non-Party may be in the form
of a permit or certificate, letter, or any other form that clearly indicates the nature of the document and
includes the information in paragraphs (c) through (e) of this section and the additional information in §
23.25.
(c) Required information. Except for a phytosanitary certificate used as a CITES certificate for artificially
propagated plants in paragraph (f) of this section, or a customs declaration label used to identify
specimens being moved between registered scientific institutions (§ 23.48(e)(5)), a CITES document
issued by a Party or non-Party must contain the information set out in this paragraph (listed
alphabetically). Specific types of CITES documents must also contain the additional information identified
in paragraph (e) of this section. A CITES document is valid only when it contains the following
information:
Required
information
(1) Appendix
Description
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.
50 CFR 23.23(c) (enhanced display)
page 24 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Required
information
50 CFR 23.23(c)
Description
(2)
Applicant's
signature
The applicant's signature if the CITES document includes a place for it.
(3) Bill of
lading, air
waybill, or
flight
number
As applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or air waybill
number or (ii) in accompanying baggage, the flight number, as recorded on the CITES
document by the inspecting official at the port, if known at the time of validation or
certification.
(4) Dates
Date of issue and date of expiration (“valid until” date on the standardized CITES form),
which is midnight of the date on the CITES document. See § 23.54 for the length of validity
for different types of CITES documents.
(5)
Description
of the
specimen
A complete description of the specimen, including whether live or the type of goods. The
sex and age of a live specimen should be recorded, if possible. Such information must be in
English, Spanish, or French on a CITES document from a Party. If a code is used to indicate
the type of specimen, it must agree with the Guidelines for preparation and submission of
CITES annual reports available from the CITES website or us (see § 23.7).
(6)
Document
number
A unique control number. We use a unique 12-character number. The first two characters
are the last two digits of the year of issuance, the next two are the two-letter ISO country
code, followed by a six-digit serial number, and two digits or letters used for national
informational purposes.
(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 (for animals) (incorporated by reference,
see § 23.9) or the International Air Transport Association Perishable Cargo Regulations (for
plants) (incorporated by reference, see § 23.9) or, in the case of non-air transport of species
that may require transport conditions in addition to or different from the Live Animals
Regulations or the Perishable Cargo Regulations, the CITES Guidelines for the non-air
transport of wild animals and plants (incorporated by reference, see § 23.9). A shipment
containing live specimens must comply with the International Air Transport Association Live
Animals Regulations (for animals) or the International Air Transport Association Perishable
Cargo Regulations (for plants) or, in the case of non-air transport of species that may
require transport conditions in addition to or different from the Live Animals Regulations or
the Perishable Cargo Regulations, the CITES 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)
The complete name and address of the issuing Management Authority as included in the
Management CITES directory, which is available from the CITES website or us (see § 23.7).
Authority
(10) Name
and address
The complete name and address, including country, of the exporter and importer.
50 CFR 23.23(c) (enhanced display)
page 25 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Required
information
50 CFR 23.23(c)
Description
(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.
(i) The unit of measurement should be appropriate to the type of specimen and agree with
the Guidelines for the preparation and submission of CITES annual reports available from the
CITES website or us (see § 23.7). General descriptions such as “one case” or “one batch”
are not acceptable.
(ii) Weight should be in kilograms. If weight is used, net weight (weight of the specimen
alone) must be stated, not gross weight that includes the weight of the container or
packaging.
(iii) Volume should be in cubic meters for logs and sawn wood and either square meters or
cubic meters for veneer and plywood.
(iv) For re-export, if the type of good has not changed since being imported, the same unit
of measurement as on the export permit must be used, except to change to units that are
to be used in the CITES annual report.
(13)
Scientific
name
The scientific name of the species, including the subspecies when needed to determine the
level of protection of the specimen under CITES. 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 highertaxon names in
(i) The CoP has agreed that the use of a higher-taxon name is acceptable for use on CITES
documents.
(A) If the genus cannot be readily determined for coral rock, the scientific name to be used
is the order Scleractinia.
(B) If the species cannot be determined for worked specimens of black coral, specimens
may be identified at the genus level. If the genus cannot be determined for worked
specimens of black coral, the scientific name to be used is the order Antipatharia. Raw
black coral and live black coral must be identified to the level of species.
(C) Live and dead coral must be identified to the level of species except where the CoP has
agreed that identification to genus is acceptable. A current list of coral taxa identifiable to
genus is available from the CITES website or us (see § 23.7).
(D) Re-export of worked skins or pieces of Tupinambis species that were imported before
August 1, 2000, may indicate Tupinambis spp.
(ii) The issuing Party can show the use of a higher-taxon name is well justified and has
communicated the justification to the Secretariat.
(iii) The item is a pre-Convention manufactured product containing a specimen that cannot
be identified to the species level.
(14) Seal or
stamp
The embossed seal or ink stamp of the issuing Management Authority.
(15) Security
If a Party uses a security stamp, the stamp must be canceled by an authorized signature
50 CFR 23.23(c) (enhanced display)
page 26 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Required
information
50 CFR 23.23(d)
Description
stamp
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 reexport, unless there is information to indicate otherwise, the source code on the CITES
document used for import of the specimen must be used. See § 23.24 for a list of codes.
(19) Treaty
name
Either the full name or acronym of the Treaty, or the CITES logo.
(20) Type of
CITES
document
The type of CITES document (import, export, re-export, or other):
(i) If marked “other,” the CITES document must indicate the type of document, such as
certificate for artificially propagated plants, certificate for wildlife bred in captivity,
certificate of origin, certificate of ownership, introduction-from-the-sea certificate, preConvention certificate, sample collection covered by an ATA carnet, scientific exchange
certificate, or traveling-exhibition certificate.
(ii) If multiple types are authorized on one CITES document, the type that applies to each
specimen must be clearly indicated.
(21)
Validation or
certification
Except as provided for replacement (§ 23.52(f)) or retrospective (§ 23.53(f)) CITES
documents, the actual quantity of specimens exported or re-exported:
(i) Using the same units of measurement as those on the CITES document.
(ii) Validated or certified by the stamp or seal and signature of the inspecting authority at
the time of export or re-export.
(d) Purpose of transaction. If the purpose is not identified by a written description, the CITES document must
contain one of the following codes:
Code
Purpose of transaction
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
50 CFR 23.23(d) (enhanced display)
page 27 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Code
Z
50 CFR 23.23(e)
Purpose of transaction
Zoo
(e) Additional required information. The following describes the additional information that is required for
specific types of documents (listed alphabetically):
Type of document
Additional required information
(1) Annex (such as an
attached inventory,
conditions, or
continuation pages of
a CITES document)
The page number, document number, and date of issue on each page of an annex
that is attached as an integral part of a CITES document. An authorized signature
and ink stamp or seal, preferably embossed, of the Management Authority issuing
the CITES document must also be included on each page of the annex. The CITES
document must indicate an attached annex and the total number of pages.
(2) Certificate of
origin (see § 23.38)
A statement that the specimen originated in the country that issued the
certificate.
(3) Copy when used in (i) Information required in paragraph (e)(7) of this section when the document
place of the original
authorizes export or re-export.
CITES document
(ii) A statement by the Management Authority on the face of the document
authorizing the use of a copy when the document authorizes import.
(4) Export permit for a
registered
commercial breeding
operation or nursery
for Appendix-I
specimens (see §
23.46)
The registration number of the operation or nursery assigned by the Secretariat,
and if the exporter is not the registered operation or nursery, the name of the
registered operation or nursery.
(5) Export permit with
a quota
Number of specimens, such as 500/1,000, that were:
(i) Exported thus far in the current year, including those covered by the current
permit (such as 500), and
(ii) Included in the current annual quota (such as 1,000).
(6) Import permit
(Appendix-I
specimen) (see §
23.35)
A certification that the specimen will not be used for primarily commercial
purposes and, for a live specimen, that the recipient has suitable facilities and
expertise to house and care for it.
(7) Replacement
CITES document (see
§ 23.52)
When a CITES document replaces an already issued CITES document that was
lost, damaged, stolen, or accidentally destroyed:
(i) If a newly issued CITES document, indication it is a “replacement,” the number
and date of issuance of the CITES document that was replaced, and reason for
replacement.
(ii) If a copy of the original CITES document, indication it is a “replacement” and a
“true copy of the original,” a new original signature of a person authorized to sign
CITES documents for the issuing Management Authority, the date signed, and
reason for replacement.
(8) Partially
completed
documents (see §
23.51)
(i) A list of the blocks that must be completed by the permit holder.
(ii) If the list includes scientific names, an inventory of approved species must be
included on the face of the CITES document or in an attached annex.
(iii) A signature of the permit holder, which acts as a certification that the
information entered is true and accurate.
50 CFR 23.23(e) (enhanced display)
page 28 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Type of document
50 CFR 23.23(f)
Additional required information
(9) Pre-Convention
document (see §
23.45)
(i) An indication on the face of the CITES document that the specimen is preConvention.
(ii) A date that shows the specimen was acquired before the date the Convention
first applied to it.
(10) Re-export
certificate (see §
23.37)
(i) The country of origin, the export permit number, and the date of issue.
(ii) If previously re-exported, the country of last re-export, the re-export certificate
number, and the date of issue.
(iii) If all or part of this information is not known, a justification must be given.
(iv) For products that contain or consist of more than one CITES species, the
information in paragraphs (e)(10)(i) through (iii) of this section for each species
must be indicated on the CITES document.
(11) Retrospective
CITES document (see
§ 23.53)
A clear statement that the CITES document is issued retrospectively and the
reason for issuance.
(12) Sample
collection covered by
an ATA carnet (see §
23.50)
(i) A statement that the document covers a sample collection and is invalid unless
accompanied by a valid ATA carnet.
(ii) The number of the accompanying ATA carnet recorded by the Management
Authority, customs, or other responsible CITES inspecting official.
(f) Phytosanitary certificate. A Party may use a phytosanitary certificate as a CITES document under the
following conditions:
(1) The Party has provided copies of the certificate, stamps, and seals to the Secretariat.
(2) The certificate is used only when all the following conditions are met:
(i)
The plants are being exported, not re-exported.
(ii) The plants are Appendix-II species, or are hybrids of one or more Appendix-I species or taxa
that are not annotated to 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]
50 CFR 23.23(f)(3)(iii) (enhanced display)
page 29 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.24
§ 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):
(1) An Appendix-II or -III artificially propagated specimen.
(2) An Appendix-I plant specimen artificially propagated for noncommercial purposes or certain
Appendix-I hybrids (see § 23.42) propagated for commercial purposes.
A
(b) Bred-in-captivity wildlife (see § 23.41):
(1) An Appendix-II or -III specimen bred in captivity. (See paragraph (d)(1) of this section for wildlife
that does not qualify as bred in captivity.)
(2) An Appendix-I specimen bred for noncommercial purposes. (See paragraph (c)(1) of this
section for an Appendix-I specimen bred for commercial purposes.)
C
(c) Bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47):
(1) An Appendix-I wildlife specimen bred in captivity for commercial purposes at an operation
registered with the Secretariat.
(2) An Appendix-I plant specimen artificially propagated for commercial purposes at a nursery that
is registered with the Secretariat or a commercial propagating operation that meets the
requirements of § 23.47.
D
(d) Captive-bred wildlife (§ 23.36):
(1) An Appendix-II or -III wildlife species that is captive-bred.
(2) An Appendix-I wildlife species that is one of the following:
(i) Captive-bred (see § 23.5).
(ii) Bred for commercial purposes, but the commercial breeding operation is not registered with the
Secretariat.
F
(e) Confiscated or seized specimen (see § 23.78).
I
(f) Pre-Convention specimen (see § 23.45) (code may be used in conjunction with another code).
O
(g) Ranched wildlife (see § 23.5).
R
(h) Source unknown (must be justified on the face of the CITES document).
U
(i) Specimen taken from the wild:
(1) For wildlife, this includes a specimen born in captivity from an egg collected from the wild or
from wildlife that mated or exchanged genetic material in the wild.
(2) For a plant, it includes a specimen propagated from a propagule collected from a wild plant,
except as provided in § 23.64.
W
(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. Under Article X of the Treaty, a Party may accept a CITES document issued by a competent
authority of a non-Party only if the document substantially conforms to the requirements of the Treaty.
50 CFR 23.25(a) (enhanced display)
page 30 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.25(b)
(b) Additional certifications. In addition to the information in § 23.23(c) through (e), a CITES document issued
by a non-Party must contain the following certifications on the face of the document:
Activity by a
non-Party
Certification
(1) Export
(i) For Appendix-I and -II specimens, the Scientific Authority has advised that the export
will not be detrimental to the survival of the species.
(ii) The Management Authority is satisfied that the specimen was legally acquired.
(2) Import
For Appendix-I specimens, the import will be for purposes that are not detrimental to the
survival of the species.
§ 23.26 When is a U.S. or foreign CITES document valid?
(a) Purpose. Article VIII of the Treaty provides that Parties take appropriate measures to enforce the
Convention to prevent illegal trafficking in wildlife and plants.
(b) Original CITES documents. A separate original or a true copy of a CITES document must be issued before
the import, introduction from the sea, export, or re-export occurs, and the document must accompany
each shipment. No copy may be used in place of an original except as provided in § 23.23(e)(3) or when a
shipment is in transit (see § 23.22). Fax or electronic copies are not acceptable.
(c) Acceptance of CITES documents. We will accept a CITES document as valid for import, introduction from
the sea, export, or re-export only if the document meets the requirements of this section, §§ 23.23
through 23.25, and the following conditions:
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 The Party issuing the CITES document is not subject to any action under Article VIII or
implementation 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
The CITES document is authentic and does not contain erroneous or misleading
information.
50 CFR 23.26(c) (enhanced display)
page 31 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Key phrase
50 CFR 23.26(c)
Conditions for an acceptable CITES document
information
(8) Humane
transport
Live wildlife or plants were transported in compliance with the International Air Transport
Association Live Animals Regulations (for animals) (incorporated by reference, see §
23.9) or the International Air Transport Association Perishable Cargo Regulations (for
plants) (incorporated by reference, see § 23.9) or, in the case of non-air transport of
species that may require transport conditions in addition to or different from the Live
Animals Regulations or the Perishable Cargo Regulations, the CITES Guidelines for the
non-air transport of live wild animals and plants (incorporated by reference, see § 23.9).
(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) Nondetriment
The Party or non-Party issuing the CITES document has made the required non-detriment
finding.
(13)
Phytosanitary
certificate
A phytosanitary certificate may be used to export artificially propagated plants only if the
issuing Party has provided copies of the certificates, stamps, and seals to the
Secretariat.
(14) Quota
For species with a quota on file with the Secretariat, the quantity exported from a country
does not exceed the quota.
(15) Registered
commercial
breeding
operation for
Appendix-I
wildlife
(i) The operation is included in the Secretariat's register.
(ii) Each specimen is specifically marked, and the mark is described on the CITES
document.
(16) Registered
commercial
nursery for
Appendix-I
plants
The operation is included in the Secretariat's register.
(17)
Retrospective
CITES
documents
A CITES document was not issued retrospectively except as provided in § 23.53.
(18) Shipment
contents
The contents of the shipment match the description of specimens provided on the CITES
document, including the units and species. A shipment cannot contain more or different
specimens or species than certified or validated on the CITES document at the time of
export or re-export; the quantity of specimens validated or certified may be less, but not
more, than the quantity stated at the time of issuance.
(19) Wild-
A wild-collected specimen (indicated on the CITES document with a source code of “W”)
50 CFR 23.26(c) (enhanced display)
page 32 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Key phrase
collected
specimen
50 CFR 23.26(d)
Conditions for an acceptable CITES document
is not coming from a country that is outside the range of the species, unless we have
information indicating that the species has been established in the wild in that country
through accidental introduction or other means.
(d) Verification of a CITES document. We may request verification of a CITES document from the Secretariat
or a foreign Management Authority before deciding whether to accept it under some circumstances,
including, but not limited to, the following:
(1) We receive reliable information that indicates the need for CITES document verification.
(2) We have reasonable grounds to believe that a CITES document is not valid or authentic because the
species is being traded in a manner detrimental to the survival of the species or in violation of
foreign wildlife or plant laws, or any applicable Management or Scientific Authority finding has not
been made.
(3) The re-export certificate refers to an export permit that does not exist or is not valid.
(4) 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 nonParty. 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. Article VIII of the Treaty provides that Parties establish an inspection process that takes place at
a port of exit and entry. Inspecting officials must verify that valid CITES documents accompany shipments
and take enforcement action when shipments do not comply with the Convention. Article VI, paragraph 6,
of the Treaty requires that the Management Authority of the importing country cancel and retain the
export permit or re-export certificate and any corresponding import permit presented. In the United States,
for imports of CITES-listed plant specimens, CITES inspecting officials cancel and submit original CITES
documents to the U.S. Management Authority.
50 CFR 23.27(a) (enhanced display)
page 33 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.27(b)
(b) U.S. port requirements. In the United States, you must follow the clearance requirements for wildlife in part
14 of this subchapter and for plants in part 24 of this subchapter and 7 CFR parts 319, 352, and 355, and
the specific requirement in paragraphs (c) and (d) of this section.
(c) General validation or certification process. Officials in each exporting or re-exporting country inspect the
shipment and validate or certify the CITES document. The table in this paragraph (c) provides information
on:
(1) The types of original CITES documents you must present to be validated or certified by the
inspecting official to export or re-export from a country.
(2) When you need to surrender a copy of the original CITES document to the inspecting official at the
time of export or re-export.
(3) When you need to surrender the original CITES document to the inspecting official at the time of
import or introduction from the sea.
Type of CITES document
Present original for export or
re-export validation or
certification
Surrender
Surrender
copy
original upon
upon
import or
export or introductionfrom
re-export
the sea
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
Required
applicable
Multiple-use document
Required1
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
50 CFR 23.27(c)(3) (enhanced display)
page 34 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Type of CITES document
Present original for export or
re-export validation or
certification
50 CFR 23.27(d)
Surrender
Surrender
copy
original upon
upon
import or
export or introductionfrom
re-export
the sea
Retrospective document
Not required
Not
required
Required
Sample collection covered by an ATA
carnet, CITES document
Required
Required
Not required;
submit copy
Traveling-exhibition certificate
Required
Required
Not required;
submit copy
1
Original must be available for inspection, but permit conditions will indicate whether an original or
copy is to be validated.
(d) Customs declaration labels. The customs declaration label used to identify specimens being moved
between registered scientific institutions (§ 23.48) must be affixed to the shipping container. The label
does not require export or re-export validation or certification at the port.
[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.
50 CFR 23.32(f)(2) (enhanced display)
page 35 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.33
§ 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
(1) Captive-bred
or cultivated1
Types of records
(i) Records that identify the breeder or propagator of the specimens that have been
identified by birth, hatch, or propagation date and for wildlife by sex, size, band number,
or other mark, or for plants by size or other identifying feature:
(A) Signed and dated statement by the breeder or propagator that the specimen was
bred or propagated under controlled conditions.
(B) Name and address of the breeder or propagator as shown by documents such as an
International Species Information System (ISIS) record, veterinary certificate, or plant
nursery license.
(ii) Records that document the breeding or propagating of specimens at the facility:
(A) Number of wildlife (by sex and age- or size-class) or plants at the facility.
(B) How long the facility has been breeding or propagating the species.
(C) Annual production and mortalities.
(D) Number of specimens sold or transferred annually.
(E) Number of specimens added from other sources annually.
(F) Transaction records with the date, species, quantity of specimens, and name and
50 CFR 23.34(b) (enhanced display)
page 36 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Source of
specimen
50 CFR 23.34(b)
Types of records
address of seller.
(G) Marking system, if applicable.
(H) Photographs or video of facility, including for wildlife any activities during nesting
and production and rearing of young, and for plants, different stages of growth.
(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.
(ii) For wildlife, copies of cleared Declarations for Importation or Exportation of Fish or
Wildlife (Form 3–177) associated with each specimen.
(5) PreConvention
Records that show the specimen was acquired before the date the provisions of the
Convention first applied to it, such as:
(i) Receipt or invoice.
(ii) Catalog, inventory list, photograph, or art book.
(iii) Statement from a qualified appraiser attesting to the age of a manufactured
product.
(iv) CBP (formerly U.S. Customs Service) import documents.
(v) Phytosanitary certificate.
(vi) Veterinary document or breeding or propagation logs.
(6) 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:
(A) If taken on private or tribal land, permission of the landowner if required under
applicable law.
(B) If taken in a national, State, or local park, refuge or other protected area, permission
from the applicable agency, if required.
(ii) Records that document the rearing of specimens at the facility:
(A) Number of specimens (by sex and age- or size-class) at the facility.
(B) How long the specimens were reared at the facility.
(C) Signed and dated statement by the owner or manager of the facility that the
specimens were reared at the facility in a controlled environment.
(D) Marking system, if applicable.
(E) Photographs or video of the facility.
(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, wildcollected, or born or propagated in a controlled environment in the United States).
(ii) Records that document the history of all transfers in ownership (generally not
required for pre-Convention specimens).
(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.
50 CFR 23.34(b) (enhanced display)
page 37 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Source of
specimen
(9) Wildcollected
50 CFR 23.34(c)
Types of records
Records, such as permits, licenses, and tags, that demonstrate the specimen or the
parental stock was legally removed from the wild under relevant foreign, Federal, tribal,
State, or local wildlife or plant conservation laws or regulations:
(i) If taken on private or tribal land, permission of the landowner if required under
applicable law.
(ii) If taken in a national, State, or local park, refuge, or other protected area, permission
from the applicable agency, if required.
1
If the wildlife was born in captivity from an egg collected in the wild or from parents that mated or
exchanged genetic material in the wild, see paragraphs (b)(6) and (b)(9) of this section. If the plant
was propagated from a non-exempt propagule collected from a wild plant, see paragraph (b)(9) of
this section.
(c) If you intend to engage in international trade with a CITES specimen in the future, you should keep
sufficient records to establish your eligibility for a CITES document for as long as you possess the
specimen, and if you sell, donate, or transfer ownership of the specimen, you should provide such records
on the origin of the specimen to the new owner.
[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. Article III(3) of the Treaty sets out the conditions under which a Management Authority can issue
an import permit.
50 CFR 23.35(a) (enhanced display)
page 38 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.35(b)
(b) U.S. application forms. Complete the appropriate form for the proposed activity and submit it to the U.S.
Management Authority:
Type of application for an import permit for an Appendix-I specimen
(1) CITES:
Southern African Leopard, African Elephant, and Namibian Southern White Rhinoceros Sporthunted Trophies
Appendix-I Plants
Appendix-I Wildlife
Appendix-I Biological Samples
Form no.
3–200–19
3–200–35
3–200–37
3–200–29
(2) Endangered Species Act and CITES:
ESA Plants
ESA Sport-hunted Trophies
ESA Wildlife
3–200–36
3–200–20
3–200–37
(3) Marine Mammal Protection Act and CITES:
Marine Mammals
3–200–43
(4) Wild Bird Conservation Act and CITES:
Personal Pet Bird
Under an Approved Cooperative Breeding Program
Scientific Research or Zoological Breeding/Display
3–200–46
3–200–48
3–200–47
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign import
permits. When applying for a U.S. import permit, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
Criteria for an import permit for an Appendix-I specimen
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. You must meet all of the provisions on use after import in § 23.55 and the
standard conditions in § 23.56.
(e) Prior issuance of an import permit. For Appendix-I specimens, the Management Authority of the exporting
country may:
(1) Issue an export permit for live or dead specimens or a re-export certificate for live specimens only
after the Management Authority of the importing country has either issued an import permit or
confirmed in writing that an import permit will be issued.
(2) Accept oral confirmation from the Management Authority of the importing country that an import
permit will be issued in an emergency situation where the life or health of the specimen is threatened
and no means of written communication is possible.
50 CFR 23.35(e)(2) (enhanced display)
page 39 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.35(e)(3)
(3) Issue a re-export certificate for a dead specimen without confirmation that the import permit has
been issued.
§ 23.36 What are the requirements for an export permit?
(a) Purposes. Articles III, IV, and V of the Treaty set out the conditions under which a Management Authority
may issue an export permit for an Appendix-I, -II, or -III specimen. Article XIV sets out the conditions under
which a Management Authority may issue a document for export of certain Appendix-II marine specimens
protected under a pre-existing treaty, convention, or international agreement.
50 CFR 23.36(a) (enhanced display)
page 40 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.36(b)
(b) U.S. application forms. Complete the appropriate form for the proposed activity and submit it to the U.S.
Management Authority. Form 3–200–26 may also be submitted to FWS Law Enforcement at certain ports
or regional offices:
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. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign export
permits except as provided for certain marine specimens in paragraph (d) of this section. When applying
for a U.S. permit or certificate, you must provide sufficient information for us to find that your proposed
activity meets all of the following criteria:
Criteria for an export permit
Appendix of
the specimen
I
II
Section
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
Yes Yes Yes 23.23
50 CFR 23.36(c) (enhanced display)
page 41 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Criteria for an export permit
50 CFR 23.36(d)
Appendix of
the specimen
I
II
Section
III
CITES Appendices or the references adopted by the CoP.
(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. Article XIV(4) and (5) of the Treaty provide a limited
exemption for Appendix-II marine species that are protected under another treaty, convention, or
international agreement that was in force at the time CITES entered into force. When all of the following
conditions are met, export of exempt Appendix-II marine wildlife or plants requires only that the shipment
is accompanied by a document issued by the Management Authority of the exporting country indicating
that the specimens were taken in accordance with the provisions of the other international treaty,
convention, or agreement:
(1) The exporting country is a CITES Party and is a party to an international treaty, convention, or
agreement that affords protection to the species and was in force on July 1, 1975.
(2) The ship that harvested the specimen is registered in the exporting country.
(3) The specimen was taken within waters under the jurisdiction of the exporting country or in the
marine environment not under the jurisdiction of any country.
(4) The specimen was taken in accordance with the other international treaty, convention, or agreement,
including any quotas.
(5) The shipment is accompanied by any official document required under the other international treaty,
convention, or agreement or otherwise required by law.
(e) Export of exempt specimens from the United States. To export a specimen exempted under paragraph (d)
of this section, you must obtain a CITES document from the U.S. Management Authority that indicates the
specimen was taken in accordance with the provisions of another international treaty, convention, or
agreement that was in force on July 1, 1975.
(f) U.S. application for export of exempt specimens. To apply for a CITES exemption document under
paragraph (e) of this section, complete the appropriate form for your activity and submit it to the U.S.
Management Authority.
(g) Criteria for certain exempt marine specimens. The criteria in this paragraph (g) apply to the issuance and
acceptance of U.S. and foreign export documents. To obtain a U.S. CITES document for export of
specimens exempted under paragraph (d) of this section you must provide sufficient information for us to
find that your proposed export meets all of the following issuance criteria:
(1) The specimen was taken in accordance with the provisions of an applicable international treaty,
convention, or agreement that was in force on July 1, 1975.
50 CFR 23.36(g)(1) (enhanced display)
page 42 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.36(g)(2)
(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. Articles III, IV, and V of the Treaty set out the conditions under which a Management Authority
may issue a re-export certificate for an Appendix-I, -II, or -III specimen.
(b) U.S. application forms. Complete the appropriate form for the proposed activity and submit it to the U.S.
Management Authority. Form 3–200–73 may also be submitted to Law Enforcement at certain ports or
regional offices:
Type of application for a re-export certificate
Form no.
(1) CITES:
Biological Specimens
Plants
Single-use Permits under a Master File or an Annual Program File
Trophies by Taxidermists
Wildlife
3–200–29
3–200–32
3–200–74
3–200–28
3–200–73
(2) Endangered Species Act and CITES:
ESA Plants
ESA Wildlife
3–200–36
3–200–37
(3) Marine Mammal Protection Act and CITES:
Biological Samples
Live Captive-held Marine Mammals
3–200–29
3–200–53
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign reexport certificates. When applying for a U.S. certificate, you must provide sufficient information for us to
find that your proposed activity meets all of the following criteria:
Criteria for a re-export certificate
Appendix of
the specimen
I
II
Section
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
50 CFR 23.37(c) (enhanced display)
page 43 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Criteria for a re-export certificate
50 CFR 23.38
Appendix of
the specimen
I
II
Section
III
(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. Article V(3) of the Treaty requires that a shipment of Appendix-III specimens be accompanied by
a certificate of origin when the shipment is not from a country that listed the species in Appendix III and is
not a re-export.
(b) U.S. application forms. For a certificate of origin, complete one of the following forms and submit it to the
U.S. Management Authority:
(1) Form 3–200–27 for wildlife removed from the wild.
(2) Form 3–200–24 for captive-born wildlife.
(3) Form 3–200–32 for plants.
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. and foreign
certificates of origin. When applying for a U.S. certificate, you must provide sufficient information for us to
find that your proposed activity meets all of the following criteria:
(1) The specimen originated in the country of export, which is not a country that listed the species in
Appendix III. In the case of a listing that is annotated to cover only a certain population, no CITES
document is required if the listed population does not occur in the country of export. For U.S.
applicants, the country of origin must be the United States.
(2) The scientific name of the species is the standard nomenclature in the CITES Appendices or the
references adopted by the CoP (see § 23.23).
(3) Live wildlife or plants will be prepared and shipped so as to minimize risk of injury, damage to health,
or cruel treatment of the specimen (see § 23.23).
§ 23.39 What are the requirements for an introduction-from-the-sea certificate?
(a) Purpose. Articles III(5), IV(6), and IV(7) of the Treaty set out the conditions under which a Management
Authority may issue an introduction-from-the-sea certificate.
(b) U.S. application form. Complete Form 3–200–31 and submit it to the U.S. Management Authority.
50 CFR 23.39(b) (enhanced display)
page 44 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.39(c)
(c) Criteria. The criteria in this paragraph (c) apply to the issuance and acceptance of U.S. certificates. You
must provide sufficient information for us to find that your proposed activity meets all of the following
criteria:
Criteria for an introduction-from-the-sea certificate
Appendix
of the
Section
specimen
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, Yes
damage to health, or cruel treatment of the specimen.
Yes
23.23
(d) Exemption. As allowed under Article XIV(4) and (5) of the Treaty, you may directly introduce into the United
States any Appendix-II wildlife or plant taken in the marine environment that is not under the jurisdiction
of any country without a CITES document when all of the following conditions are met:
(1) The United States is a party to an international treaty, convention, or agreement that affords
protection to the species and was in force on July 1, 1975.
(2) The ship that harvested the specimen is registered in the United States.
(3) The specimen was taken in accordance with the other international treaty, convention, or agreement,
including any quotas.
(4) The shipment is accompanied by any official document required under the other international treaty,
convention, or agreement or otherwise required by U.S. law.
(e) Export of exempt specimens. To export a specimen exempted under paragraph (d) of this section, you
must obtain a CITES document from the U.S. Management Authority that indicates the specimen was
taken in accordance with the provisions of the other international treaty, convention, or agreement that
was in force on July 1, 1975. See requirements in § 23.36 (e) through (g).
(f) Appendix III. Appendix-III species introduced from the sea do not require introduction-from-the-sea
certificates. However, the subsequent international trade of an Appendix-III specimen introduced from the
sea would be considered an export requiring a CITES document (see § 23.20(f)).
§ 23.40 What are the requirements for a certificate for artificially propagated plants?
(a) Purpose. Article VII(5) of the Treaty grants an exemption to plants that are artificially propagated when a
Management Authority issues a certificate.
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a
certificate for artificially propagated Appendix-I, -II, or -III plants:
50 CFR 23.40(b) (enhanced display)
page 45 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.40(b)(1)
(1) The certificate for artificially propagated plants and any subsequent re-export certificate must show
the source code as “A” for artificially propagated.
(2) For an Appendix-I specimen that satisfies the requirements of this section, no CITES import permit is
required.
(c) U.S. application form. Complete Form 3–200–33 and submit it to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
Criteria for a certificate for artificially propagated plants
Appendix of
the
specimen
I
II
Section
III
(1) The plant was artificially propagated.
Yes Yes Yes 23.64
(2) The plant specimen is one of the following:
(i) Was propagated for noncommercial purposes.
(ii) Is part of a traveling exhibition.
(iii) Is a hybrid of one or more Appendix-I species or taxa that is not annotated
to treat hybrids as Appendix-I specimens and was propagated for commercial
or noncommercial purposes.
Yes n/a n/a
(3) The scientific name of the species is the standard nomenclature in the
CITES Appendices or the references adopted by the CoP.
Yes Yes Yes 23.23
(4) The live plant will be prepared and shipped so as to minimize risk of injury,
damage to health, or cruel treatment of the specimen.
Yes Yes Yes 23.23
(e) U.S. standard conditions. In addition to the conditions in § 23.56, you must meet all of the following
conditions:
(1) You may not export or re-export a plant (including its parts, products, or derivatives) under this
certificate if the plant was removed from the wild or grown directly from a wild seed 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. Article VII(5) of the Treaty grants an exemption to wildlife that is bred in captivity when a
Management Authority issues a certificate.
50 CFR 23.41(a) (enhanced display)
page 46 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.41(b)
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a
certificate for Appendix-I, -II, or -III wildlife that was bred in captivity:
(1) The certificate and any subsequent re-export certificate must show the source code as “C” for bred
in captivity.
(2) For an Appendix-I specimen that satisfies the requirements of this section, no CITES import permit is
required.
(c) U.S. application form. Complete Form 3–200–24, 3–200–80, or 3–200–85 and submit it to the U.S.
Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
Appendix of
the
specimen
Criteria for a bred-in-captivity certificate
I
II
Section
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. Except as provided in § 23.92, the export, re-export, or import of a plant hybrid of a CITES
species must be accompanied by a valid CITES document that shows the Appendix of the specimen as
follows:
Question on a plant hybrid
Answer and status of specimen
(a) Is the specimen an artificially propagated
hybrid of one or more Appendix-I species or
taxa?
(1) YES. Continue to paragraph (b) of this section.
(2) NO. Continue to paragraph (c) of this section.
(b) Is one or more of the Appendix-I species or
taxa in paragraph (a) of this section annotated to
treat hybrids as Appendix-I specimens?
(1) YES. The hybrid is listed in Appendix I.
(2) NO. The hybrid is listed in Appendix I, but may be
granted a certificate for artificially propagated plants
even if propagated for commercial purposes.
(c) Is the specimen a hybrid that includes two or
more CITES species or taxa in its lineage?
(1) YES. Consider the specimen to be listed in the more
restrictive Appendix, with Appendix I being the most
restrictive and Appendix III the least.
(2) NO. Continue to paragraph (d) of this section.
50 CFR 23.42 “General provisions” (enhanced display)
page 47 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
Question on a plant hybrid
(d) Is the specimen a hybrid that includes one
CITES species or taxon in its lineage?
50 CFR 23.43
Answer and status of specimen
(1) YES. Consider the specimen to be listed in the
Appendix in which the species or taxon is listed in the
CITES Appendices.
(2) NO. The hybrid is not regulated by CITES.
[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. For the purposes of this section, recent lineage means the last four generations of a specimen's
ancestry (direct line of descent).
(b) U.S. and foreign general provisions. Except as provided in paragraph (f) of this section, the import, export,
or re-export of a hybrid CITES wildlife specimen must be accompanied by a valid CITES document.
(c) CITES documents. All CITES documents must show the wildlife hybrid listed in the following Appendix:
If at least one specimen in the recent lineage is listed in:
Then the specimen
is
listed in:
(1) Appendix I
Appendix I
(2) Appendix II, and an Appendix-I species is not included in the recent lineage
Appendix II
(3) Appendix III, and an Appendix-I or -II species is not included in the recent
lineage
Appendix III
(d) U.S. application for wildlife hybrid. To apply for a CITES document, complete the appropriate form for the
proposed activity (see §§ 23.18 through 23.20) and submit it to the U.S. Management Authority.
(e) Criteria. For export of a hybrid that contains a CITES species in its recent lineage, you must meet the
requirements of § 23.36.
(f) Exempt wildlife hybrids. The following provisions apply to import, export, or re-export of exempt wildlife
hybrids:
(1) A hybrid between a CITES species and a non-CITES species may be exempt from CITES document
requirements if there are no purebred CITES species in the previous four generations of the
specimen's ancestry (direct line of descent). Under this section, a hybrid between two CITES species
is not exempt.
(2) For import, export, or re-export of an exempt wildlife hybrid without CITES documents, you must
provide information at the time of import or export to clearly demonstrate that your specimen has no
purebred CITES 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.
50 CFR 23.43(f)(2)(i) (enhanced display)
page 48 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.43(f)(2)(ii)
(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. A Management Authority may use the exemption in Article VII(3) of the Treaty to issue a
certificate of ownership that authorizes frequent cross-border movements of personally owned live
wildlife for personal use.
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a
certificate of ownership for frequent international travel with live wildlife for personal use:
(1) The certificate must be obtained from the Management Authority in the country of the owner's
primary residence.
(2) Parties should treat the certificate like a passport for import to and export or re-export from each
country and should not collect the original certificate at the border.
(3) If offspring are born or an additional specimen is acquired while the owner is outside his or her
country of primary residence, the owner must obtain the appropriate CITES document for the export
or re-export of the wildlife, not a certificate of ownership, from the Management Authority of that
country.
(4) Upon returning home, the owner may apply for a certificate of ownership for wildlife born or acquired
overseas.
(c) U.S. application form. Complete Form 3–200–64 and submit it to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
(1) The traveler owns the live wildlife and it will accompany the owner.
(2) The cross-border movement will be frequent and for personal use, including, but not limited to,
companionship or use in a noncommercial competition such as falconry.
(3) To apply for a U.S. certificate, the owner resides in the United States.
(4) The wildlife was legally acquired (see § 23.60).
(5) The owner does not intend to sell, donate, or transfer the wildlife while traveling internationally.
(6) The scientific name of the species is the standard nomenclature in the CITES Appendices or the
references adopted by the CoP (see § 23.23).
50 CFR 23.44(d)(6) (enhanced display)
page 49 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.44(d)(7)
(7) The Management Authority of the country of import has agreed to the cross-border movement.
(8) The wildlife is securely marked or uniquely identified in such a manner that the border official can
verify that the specimen and CITES document correspond.
(9) The wildlife is transported and cared for in a way that minimizes risk of injury, damage to health, or
cruel treatment of the specimen (see § 23.23).
(e) U.S. standard conditions. In addition to the conditions in § 23.56, all of the following conditions must be
met:
(1) You must accompany the wildlife during any cross-border movement.
(2) You must transport the wildlife for personal use only.
(3) You must not sell, donate, or transfer the specimen while traveling internationally.
(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. Article VII(2) of the Treaty exempts a pre-Convention specimen from standard permitting
requirements in Articles III, IV, and V of the Treaty when the exporting or re-exporting country is satisfied
that the specimen was acquired before the provisions of CITES applied to it and issues a CITES document
to that effect.
(b) U.S. and foreign general provisions. The following general provisions apply to the issuance and
acceptance of pre-Convention documents:
(1) Trade in a specimen under the pre-Convention exemption is allowed only if the importing country will
accept a pre-Convention certificate.
(2) The pre-Convention date is the date the species was first listed under CITES regardless of whether
the species has subsequently been transferred from one Appendix to another.
(3) For a pre-Convention Appendix-I specimen, no CITES import permit is required.
(4) The pre-Convention exemption does not apply to offspring or cell lines of any wildlife or plant born or
propagated after the date the species was first listed under CITES.
(c) U.S. application form. Complete Form 3–200–23 (wildlife) or Form 3–200–32 (plants) and submit it to the
U.S. Management Authority.
50 CFR 23.45(c) (enhanced display)
page 50 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.45(d)
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that
the specimen meets all of the following criteria:
(1) The specimen was removed from the wild or born or propagated in a controlled environment before
the date CITES first applied to it, or is a product (including a manufactured item) or derivative made
from such specimen.
(2) The scientific name of the species is the standard nomenclature in the CITES Appendices or the
references adopted by the CoP (see § 23.23).
(3) Live wildlife or plants will be prepared and shipped so as to minimize risk of injury, damage to health,
or cruel treatment of the specimen.
(4) For the re-export of a pre-Convention specimen previously imported under a CITES document, the
wildlife or plant was legally imported.
§ 23.46 What are the requirements for registering a commercial breeding operation for
Appendix-I wildlife and commercially exporting specimens?
(a) Purpose. Article VII(4) of the Treaty provides that Appendix-I specimens that are bred in captivity for
commercial purposes shall be deemed to be listed in Appendix II. This means that an Appendix-I
specimen originating from a commercial breeding operation that is registered with the CITES Secretariat
may be traded under an export permit or re-export certificate based on Appendix-II criteria. The specimen
is still listed in Appendix I and is not eligible for any exemption granted to an Appendix-II species or taxon,
including any exemption granted by an annotation (see § 23.92).
(b) U.S. and foreign general provisions. The following provisions apply to the registration of U.S. and foreign
commercial breeding operations for Appendix-I wildlife:
(1) If the Management Authority is satisfied that the operation in its country meets the conditions for
registration in paragraph (d) of this section, it will send the request to register a breeding operation
to the Secretariat.
(2) The Secretariat will verify that the application is complete and notify the Parties of the request.
(3) If any Party objects to or expresses concern about the registration within 90 days from the date of
the Secretariat's notification, the Secretariat will refer the application to the 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.
50 CFR 23.46(b)(6) (enhanced display)
page 51 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.46(b)(7)
(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. Complete Form 3–200–65 and submit it to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the registration of U.S. and foreign commercial breeding
operations for Appendix-I wildlife. For your breeding operation to be registered in the United States, you
must provide sufficient information for us to find that your proposed activity meets all of the following
criteria:
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. In addition to the conditions in § 23.56, you must meet all of the
following conditions:
50 CFR 23.46(e) (enhanced display)
page 52 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.46(e)(1)
(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. Requests for renewal of a registration should be submitted at
least 3 months before the registration expires. Complete Form 3–200–65 and submit it to the U.S.
Management Authority.
(g) Criteria for renewal of U.S. registrations. To renew your registration, you must provide sufficient
information for us to find that your proposed activity continues to meet all of the criteria in paragraph (d)
of this section.
(h) U.S. and foreign general provisions for export of specimens that originated in a registered breeding
operation. The following provisions apply to the issuance and acceptance of export permits for Appendix-I
specimens bred at an operation registered with the CITES Secretariat:
(1) An export permit may be issued to the registered operation or to persons who have purchased a
specimen that originated at the registered operation if the specimen has the unique mark applied by
the operation. If a microchip is used, we may, if necessary, ask the importer, exporter, or re-exporter
to have equipment on hand to read the microchip at the time of import, export, or re-export.
(2) The export permit, and any subsequent re-export certificate, must show the specimen as listed in
Appendix I and the source code as “D,” and give the identification number of the registered breeding
operation where the specimen originated.
(3) No CITES import permit is required for a qualifying specimen.
(i)
U.S. application form. Complete the appropriate form (see § 23.36) and submit it to the U.S. Management
Authority.
(j)
Criteria. The criteria in this paragraph (h) apply to the issuance and acceptance of U.S. and foreign export
permits. When applying for a U.S. permit, you must provide sufficient information for us to find that your
proposed activity meets all of the following criteria:
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 23.23
cruel treatment of the specimen.
[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
50 CFR 23.47 (enhanced display)
page 53 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.47(a)
commercial purposes?
(a) Purpose. Article VII(4) of the Treaty provides that Appendix-I plants artificially propagated for commercial
purposes shall be deemed to be listed in Appendix II. This means that an Appendix-I specimen originating
from a commercial nursery that is registered with the CITES Secretariat or that meets the requirements of
this section may be traded under an export permit or re-export certificate based on Appendix-II criteria.
The specimen is still listed in Appendix I and is not eligible for any exemption granted to an Appendix-II
species or taxon, including any exemption granted by an annotation. This section does not apply to
hybrids of one or more Appendix-I species or taxa that are not annotated to treat hybrids as Appendix-I
specimens (see § 23.40).
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of
export permits for Appendix-I specimens artificially propagated for commercial purposes:
(1) An Appendix-I specimen may not be imported for purposes of establishing or augmenting a nursery
or commercial propagating operation, unless the specimen is pre-Convention (see § 23.45) or was
propagated at a nursery that is registered with the CITES Secretariat or a commercial propagating
operation that qualifies under paragraph (d) of this section, and the CITES document indicates the
source code as “D.”
(2) An export permit may be issued to a CITES-registered nursery, to a commercial propagating
operation that qualifies under paragraph (d) of this section, or to persons who have acquired a
specimen that originated at such a nursery or operation. No CITES import permit is required for a
qualifying specimen.
(3) The export permit, and any subsequent re-export certificate, must show the specimen as listed in
Appendix I and the source code as “D,” and if from a nursery registered with the Secretariat, give the
identification number of the registered nursery where the specimen originated.
(c) U.S. application form. Complete Form 3–200–33 or Form 3–200–74 (for additional single-use permits
under a master file or an annual export program file). Complete Form 3–200–32 for one-time export.
Submit the completed form to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign export
permits. When applying for a U.S. permit, you must provide sufficient information for us to find that your
proposed activity meets all of the following criteria:
Criteria for an export permit
Section
(1) The specimen was propagated for commercial purposes.
23.5
(2) The parental stock was legally acquired.
23.60
(3) The proposed export would not be detrimental to the survival of the species.
23.61
(4) The plant was artificially propagated.
23.64
(5) The scientific name of the species is the standard nomenclature in the CITES Appendices or
the references adopted by the CoP.
23.23
(6) The live plant will be prepared and shipped so as to minimize risk of injury, damage to health,
or cruel treatment of the specimen.
23.23
(e) Nursery registration. [Reserved]
[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014]
50 CFR 23.47(e) (enhanced display)
page 54 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.48
§ 23.48 What are the requirements for a registered scientific institution?
(a) Purpose. Article VII(6) of the Treaty grants an exemption that allows international trade in certain
specimens for noncommercial loan, donation, or exchange between registered scientific institutions.
(b) U.S. and foreign general provisions. The following provisions apply to the registration of scientific
institutions and acceptance of shipments from registered scientific institutions:
(1) The receiving and sending scientific institutions must be registered with the Management Authority
in their country. Scientists who wish to use this exemption must be affiliated with a registered
scientific institution.
(i)
When a Management Authority is satisfied that a scientific institution has met the criteria for
registration, it will assign the institution a five-character code consisting of the ISO country
code and a unique three-digit number. In the case of a non-Party, the Secretariat will ensure that
the institution meets the standards and assign it a unique code.
(ii) The Management Authority must communicate the name, address, and assigned code to the
Secretariat, which maintains a register of scientific institutions and provides that information to
all Parties.
(2) A registered scientific institution does not need separate CITES documents for the noncommercial
loan, donation, or exchange of preserved, frozen, dried, or embedded museum specimens, herbarium
specimens, or live plant material with another registered institution. The shipment must have an
external label that contains information specified in paragraph (e)(5) of this section.
(c) U.S. application to register as a scientific institution. To register, complete Form 3–200–39 and submit it
to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the registration of U.S. and foreign institutions for
scientific exchange. To be issued a certificate of scientific exchange as a registered U.S. scientific
institution, you must provide sufficient information for us to find that your institution meets all of the
following criteria:
(1) Collections of wildlife or plant specimens are permanently housed and professionally curated, and
corresponding records are kept.
(2) Specimens are accessible to all qualified users, including those from other institutions.
(3) Specimens are properly accessioned in a permanent catalog.
(4) Records are permanently maintained for loans and transfers to and from other institutions.
(5) Specimens are acquired primarily for research that is to be reported in scientific publications, and
CITES specimens are not used for commercial purposes or as decorations.
(6) Collections are prepared and arranged in a way that ensures their accessibility to researchers.
(7) Specimen labels, permanent catalogs, and other records are accurate.
(8) Specimens are legally acquired and lawfully possessed under a country's wildlife and plant laws.
(9) Appendix-I specimens are permanently and centrally housed under the direct control of the
institution.
50 CFR 23.48(d)(9) (enhanced display)
page 55 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.48(e)
(e) U.S. standard conditions. In addition to the conditions in § 23.56, any activity conducted under a
certificate of scientific exchange must meet all of the following conditions:
(1) Both scientific institutions involved in the exchange must be registered by the applicable
Management Authorities (or the Secretariat in the case of a non-Party), and be included in the
Secretariat's register of scientific institutions.
(2) An institution may send and receive only preserved, frozen, dried, or embedded museum specimens,
herbarium specimens, or live plant materials that have been permanently and accurately recorded by
one of the institutions involved in the exchange and that are traded as a noncommercial loan,
donation, or exchange.
(3) An institution may use specimens acquired under a certificate of scientific exchange and their
offspring only for scientific research or educational display at a scientific institution and may not use
specimens for commercial purposes.
(4) The institution must keep records to show that the specimens were legally acquired.
(5) A customs declaration label must be affixed to the outside of each shipping container or package
that contains all of the following:
(i)
The acronym “CITES.”
(ii) A description of the contents (such as “herbarium specimens”).
(iii) The names and addresses of the sending and receiving registered institutions.
(iv) The signature of a responsible officer of the sending registered scientific institution.
(v) The scientific institution codes of both registered scientific institutions involved in the loan,
donation, or exchange.
(6) A registered institution may destroy samples during analysis, provided that a portion of the sample is
maintained and permanently recorded at a registered scientific institution for future scientific
reference.
§ 23.49 What are the requirements for an exhibition traveling internationally?
(a) Purpose. Article VII(7) of the Treaty grants an exemption for specimens that qualify as bred in captivity,
artificially propagated, or pre-Convention and are part of a traveling exhibition.
(b) U.S. and foreign general provisions. The following general provisions apply to the issuance and
acceptance of a certificate for live wildlife and plants, or their parts, products, or derivatives in an
exhibition that travels internationally:
(1) The Management Authority in the country of the exhibitor's primary place of business must have
determined that the specimens are bred in captivity, artificially propagated, or 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.
50 CFR 23.49(b)(4) (enhanced display)
page 56 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.49(b)(5)
(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. Complete Form 3–200–30 for wildlife and Form 3–200–32 for plants, and submit it
to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
certificates. When applying for a U.S. certificate, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
(1) The traveling exhibition makes multiple cross-border movements, and will return to the country in
which the exhibition is based before the certificate expires.
(2) The cross-border movement must be for exhibition, and not for breeding, propagating, or activities
other than exhibition.
(3) The traveling exhibition is based in the country that issued the certificate.
(4) The specimen meets the criteria for a bred-in-captivity certificate, certificate for artificially
propagated plants, or pre-Convention certificate.
(5) The exhibitor does not intend to sell or otherwise transfer the wildlife or plant while traveling
internationally.
(6) The wildlife or plant is securely marked or identified in such a way that border officials can verify that
the certificate and specimen correspond. If a microchip is used, we may, if necessary, ask the
importer, exporter, or re-exporter to have equipment on hand to read the microchip at the time of
import, export, or re-export.
(e) U.S. standard conditions. In addition to the conditions in § 23.56, you must meet all of the following
conditions:
(1) The certificate may be used by you, and you must not transfer or assign it to another person or
traveling exhibition.
(2) You must transport the specimen internationally only for exhibition, not for breeding, propagating, or
activities other than exhibition.
(3) You must present the certificate to the official for validation at each border crossing.
(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.
50 CFR 23.49(e)(5) (enhanced display)
page 57 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.49(e)(6)
(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. Article VII(1) of the Treaty allows for the transit of specimens through or within a Party country
while the specimens remain under customs control.
(b) Definition. For purposes of this section, sample collection means a set of legally acquired parts, products,
or derivatives of Appendix-II or -III species, or Appendix-I species bred in captivity or artificially propagated
for commercial purposes, that will:
(1) Cross international borders only for temporary exhibition or display purposes and return to the
originating country.
(2) Be accompanied by a valid ATA carnet and remain under customs control.
(3) Not be sold or otherwise transferred while traveling internationally.
(c) U.S. and foreign general provisions. The following general provisions apply to the issuance and
acceptance of a CITES document for the movement of sample collections:
(1) The Management Authority in the country where the sample collection originated must issue a CITES
document that:
(i)
Clearly specifies that the document was issued for a “sample collection.”
(ii) Includes the condition in block 5, or an equivalent place, of the document that it is valid only if
the shipment is accompanied by a valid ATA carnet and that the specimens must not be sold,
donated, or otherwise transferred while outside the originating country.
(2) The number of the accompanying ATA carnet must be recorded on the CITES document, and if this
number is not recorded by the Management Authority, it must be entered by a customs or other
CITES enforcement official responsible for the original endorsement of the CITES document.
(3) The name and address of the exporter or re-exporter and importer must be identical, and the names
of the countries to be visited must be indicated in block 5 or an equivalent place.
(4) The date of validity must not be later than that of the ATA carnet and the period of validity must not
exceed 6 months from the date of issuance.
(5) At each border crossing, Parties must verify the presence of the CITES document, but allow it to
remain with the shipment, and ensure that the ATA carnet is properly endorsed with an authorized
stamp and signature by a customs official.
(6) The exporter or re-exporter must return the sample collection to the originating country prior to the
expiration of the CITES document.
(7) Parties should check the CITES document and sample collection closely at the time of first export or
re-export and upon its return to ensure that the contents of the sample collection have not been
changed.
50 CFR 23.50(c)(7) (enhanced display)
page 58 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.50(c)(8)
(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. Complete Form 3–200–29 for wildlife and Form 3–200–32 for plants, and submit it
to the U.S. Management Authority.
(e) Criteria. The criteria in this paragraph (e) apply to the issuance and acceptance of U.S. and foreign
documents. When applying for a U.S. document, you must provide sufficient information for us to find that
your proposed activity meets all of the following criteria:
(1) The specimens meet the definition of a sample collection as provided in paragraph (b) of this
section.
(2) The wildlife or plant specimens must be securely marked or identified in such a way that border
officials can verify that the CITES document, ATA carnet, and specimens correspond.
(f) U.S. standard conditions. In addition to the conditions in § 23.56, you must meet all of the following
conditions:
(1) You must transport the sample collection only for temporary exhibition or display purposes.
(2) You must not transfer or assign the CITES document to another person.
(3) You must not sell, donate, or transfer specimens while traveling internationally.
(4) You must present the CITES document and the ATA carnet to the official for validation at each border
crossing.
(5) You must return the sample collection to the United States prior to the expiration of the CITES
document.
(6) If the CITES document is lost, stolen, or accidentally destroyed, you may obtain a replacement
certificate only from the U.S. Management Authority.
(7) If you no longer own the sample collection, or no longer plan to travel with the sample collection, you
must immediately return the original document to the U.S. Management Authority.
§ 23.51 What are the requirements for issuing a partially completed CITES document?
(a) Purpose. Under Article VIII(3), Parties are to ensure that CITES specimens are traded with a minimum of
delay.
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of
partially completed CITES documents.
(1) A Management Authority may issue partially completed CITES documents only when:
(i)
The permitted trade will have a negligible impact or no impact on the conservation of the
species.
(ii) All provisions of CITES have been met.
(iii) The specimens are one of the following:
(A) Biological samples.
(B) Pre-Convention specimens.
50 CFR 23.51(b)(1)(iii)(B) (enhanced display)
page 59 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.51(b)(1)(iii)(C)
(C) Specimens that qualify as bred in captivity or artificially propagated.
(D) Appendix-I specimens from registered commercial breeding operations.
(E) Appendix-I plants artificially propagated for commercial purposes.
(F) Other specimens that the Management Authority determines qualify for partially
completed documents.
(2) A Management Authority may register applicants for species that may be traded under partially
completed documents.
(3) Partially completed CITES documents require the permit holder to:
(i)
Enter specific information on the CITES document or its annex as conditioned on the face of the
CITES document.
(ii) Enter scientific names on the CITES document only if the Management Authority included an
inventory of approved species on the face of the CITES document or an attached annex.
(iii) Sign the CITES document, which acts as a certification that the information entered is true and
accurate.
(4) CITES documents issued for biological samples may be validated at the time of issuance provided
that upon export the container is labeled with the CITES document number and indicates it contains
CITES biological samples.
(c) U.S. application form. Complete the appropriate form for the proposed activity (see §§ 23.18 through
23.20) and submit it to the U.S. Management Authority.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign CITES
documents. When applying for a U.S. CITES document, you must provide sufficient information for us to
find that your proposed activity meets the criteria in subpart C for the appropriate CITES document and
the following criteria:
(1) The use of partially completed documents benefits both the permit holder and the issuing
Management Authority.
(2) The proposed activity will have a negligible impact or no impact upon the conservation of the
species.
(e) U.S. standard conditions. In addition to the conditions in § 23.56 and any standard conditions in this part
that apply to the specific CITES document, the following conditions must be met:
(1) You must enter the information specified in block 5, either on the face of the CITES document or in
an annex to the document.
(2) You may not alter or enter any information on the face of the CITES document or in an annex to the
document that is not authorized in block 5 or an equivalent place.
(3) If you are authorized to enter a scientific name, it must be for a species authorized in block 5 or an
equivalent place, or in an attached annex of the CITES document.
(4) You must sign the CITES document to certify that all information entered by you is true and correct.
§ 23.52 What are the requirements for replacing a lost, damaged, stolen, or accidentally
50 CFR 23.52 (enhanced display)
page 60 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.52(a)
destroyed CITES document?
(a) Purpose. A Management Authority may issue a duplicate document, either a copy of the original or a reissued original, when a CITES document has been lost, damaged, stolen, or accidentally destroyed. These
provisions do not apply to a document that has expired or that requires amendment. To renew a U.S.
CITES document, see part 13 of this subchapter. To amend a U.S. CITES document, see part 13 of this
subchapter if the activity has not yet occurred or, if the activity has already occurred, see § 23.53 of this
part.
(b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a
replacement CITES document:
(1) The permittee must notify the issuing Management Authority that the document was lost, damaged,
stolen, or accidentally destroyed.
(2) The issuing Management Authority must be satisfied that the CITES document was lost, damaged,
stolen, or accidentally destroyed.
(3) The issuing Management Authority should immediately inform the Management Authority in the
country of destination and, for commercial shipments, the Secretariat.
(4) If the replacement CITES document is a copy, it must indicate that it is a “replacement” and a “true
copy of the original,” contain a new dated original signature of a person authorized to sign CITES
documents for the issuing Management Authority, and give the reason for replacement.
(5) If the replacement CITES document is a newly issued original document, it must indicate that it is a
“replacement,” include the number and date of issuance of the document being replaced, and give
the reason for replacement.
(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. To apply for a replacement CITES document, you must do all of the following:
(1) Complete application Form 3–200–66 and submit it to the U.S. Management Authority.
(2) Consult the list to find the types of information you need to provide (more than one circumstance
may apply to you):
If
Then
(i) The shipment has already
occurred
Provide copies of:
(A) Any correspondence you have had with the shipper or importing
country's Management Authority concerning the shipment.
(B) For wildlife, the validated CITES document and cleared Declaration for
Importation or Exportation of Fish or Wildlife (Form 3–177).
(C) For plants, the validated CITES document.
(ii) The original CITES
document no longer exists
Submit a signed, dated, and notarized statement that:
(A) Provides the CITES document number and describes the
circumstances that resulted in the loss or destruction of the original
CITES document.
(B) States whether the shipment has already occurred.
(C) Requests a replacement U.S. CITES document.
50 CFR 23.52(c)(2) (enhanced display)
page 61 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
If
(iii) An original CITES
document exists but has been
damaged
50 CFR 23.52(d)
Then
Submit the original damaged CITES document and a signed, dated, and
notarized statement that:
(A) Describes the circumstances that resulted in the CITES document
being damaged.
(B) States whether the shipment has already occurred.
(C) Requests a replacement U.S. CITES document.
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
documents.
(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. In addition to the conditions in § 23.56, the following conditions apply:
(1) If the original CITES document is found, you must return it to the U.S. Management Authority.
(2) A CITES document issued for a shipment that has already occurred does not require validation.
(f) Validation. For an export or re-export that has not left the United States, follow the procedures in § 23.27.
If the shipment has left the United States and is in a foreign country, submit the unvalidated replacement
CITES document to the appropriate foreign authorities. We will not validate the replacement CITES
document for a shipment that has already been shipped to a foreign country. We do not require validation
on replacement documents issued by foreign Management Authorities.
[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014]
50 CFR 23.52(f) (enhanced display)
page 62 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.53
§ 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. The following provisions apply to the issuance and acceptance of a
retrospective CITES document:
(1) A retrospective document may not be issued for Appendix-I specimens except for certain specimens
for 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. Complete application Form 3–200–58 and submit it to the U.S. Management Authority. In
addition, submit one of the following:
(1) For a shipment that occurred under a document containing a technical error, the faulty CITES
document.
50 CFR 23.53(c)(1) (enhanced display)
page 63 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.53(c)(2)
(2) For a shipment that occurred without a CITES document, a completed application form for the type
of activity you conducted (see §§ 23.18 through 23.20).
(d) Criteria. The criteria in this paragraph (d) apply to the issuance and acceptance of U.S. and foreign
documents. When applying for a U.S. document, you must provide sufficient information for us to find that
your activity meets all of the following criteria:
(1) The specimens were exported or re-exported without a CITES document or with a CITES document
that contained technical errors as provided in paragraph (d)(6)(ii) of this section.
(2) The specimens were presented to the appropriate official for inspection at the time of import and a
request for a retrospective CITES document was made at that time.
(3) The export or re-export and import of the specimens was otherwise in compliance with CITES and
the relevant national legislation of the countries involved.
(4) The importing Management Authority has agreed to accept the retrospectively issued CITES
document.
(5) The specimens must be 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. In addition to the conditions in § 23.56, the following condition applies: A CITES
document issued for a shipment that has already occurred does not require validation.
50 CFR 23.53(e) (enhanced display)
page 64 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.53(f)
(f) Validation. Submit the original unvalidated retrospective CITES document to the appropriate foreign
authority. We will not validate the retrospective CITES document for a shipment that has already been
shipped to a foreign country, and we do not require validation on retrospective documents issued by
foreign Management Authorities.
[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. Article VI(2) of the Treaty sets the time period within which an export permit is valid. Validity
periods for other CITES documents are prescribed in this section.
(b) Period of validity. CITES documents are valid only if presented for import or introduction from the sea
within the period of validity (before midnight on the expiration date) noted on the face of the document.
(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. The validity of a CITES document may not be extended beyond the expiration date on
the face of the document, except under limited circumstances for certain timber species as outlined in §
23.73.
§ 23.55 How may I use a CITES specimen after import into the United States?
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
(a) Appendix I, except for
specimens imported with a
CITES exemption document
listed in paragraph (d) of
this section.
(b) Appendix II with an
annotation for
noncommercial purposes
where other specimens of
that species are treated as
if listed in Appendix I.
(c) Appendix II without an
annotation for
noncommercial purposes,
or Appendix III, and
Allowed use within the United States
The specimen may be used only for noncommercial purposes (see § 23.5).
Exception:
If the specimen was lawfully imported, with no restrictions on its use after
import, before the species was listed as described in paragraphs (a), (b), or
(c) of this section, you may continue to use the specimen as indicated for
paragraphs (d), (e) and (f) of this section provided you can clearly
demonstrate (using written records or other documentary evidence) that
your specimen was imported prior to the CITES listing, with no restrictions
on its use after import. If you are unable to clearly demonstrate that this
exception applies, the specimen may be used only for noncommercial
purposes.
50 CFR 23.55 (enhanced display)
page 65 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
If the species is listed in
50 CFR 23.56
Allowed use within the United States
threatened under the ESA,
except as provided in a
special rule in §§ 17.40
through 17.48 or under a
permit granted under §§
17.32 or 17.52
(d) Appendix I, and
imported with a CITES
exemption document as
follows:
(1) U.S-issued certificate for
personally owned wildlife.
(2) Pre-Convention
certificate.
(3) Export permit or reexport certificate for wildlife
from a registered
commercial breeding
operation.
(4) Export permit or reexport certificate for a plant
from a registered nursery or
under a permit with a
source code of “D.”
(5) Certificate for artificially
propagated plants with a
source code of “A” for
artificially propagated
hybrid specimens derived
from one or more
unannotated Appendix-I
species or other taxa.
(6) U.S.-issued travelingexhibition certificate.
(e) Appendix II, other than
those in paragraphs (b) and
(c) of this section.
(f) Appendix III, other than
those in paragraph (c) of
this section.
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. The following general conditions apply to all U.S. CITES documents:
50 CFR 23.56(a) (enhanced display)
page 66 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.56(a)(1)
(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 (for animals) (incorporated by
reference, see § 23.9) or the International Air Transport Association Perishable Cargo Regulations (for
plants) (incorporated by reference, see § 23.9) or, in the case of non-air transport of species that
may require transport conditions in addition to or different from the Live Animals Regulations or the
Perishable Cargo Regulations, the CITES Guidelines for the non-air transport of live wild animals and
plants (incorporated by reference, see § 23.9).
(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. You must comply with the standard conditions provided in this part for specific types
of CITES documents.
(c) Special conditions. We may place special conditions on a CITES document based on the needs of the
species or the proposed activity. You must comply with any special conditions contained in or attached to
a CITES document.
[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. Articles III, IV, and V of the Treaty require a Management Authority to make a legal acquisition
finding before issuing export permits and re-export certificates. The Parties have agreed that a legal
acquisition finding must also be made before issuing certain CITES exemption documents.
(b) Types of legal acquisition. Legal acquisition refers to whether the specimen and its parental stock were:
(1) Obtained in accordance with the provisions of national laws for the protection of wildlife and plants.
In the United States, these laws include all applicable local, State, Federal, tribal, and foreign laws;
and
(2) If previously traded, traded internationally in accordance with the provisions of CITES.
(c) How we make our findings. We make a finding that a specimen was legally acquired in the following way:
(1) The applicant must provide sufficient information (see § 23.34) for us to make a legal acquisition
finding.
(2) We make this finding after considering all available information.
50 CFR 23.60(c)(2) (enhanced display)
page 67 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.60(c)(3)
(3) The amount of information we need to make the finding is based on our review of general factors
described in paragraph (d) of this section and additional specific factors described in paragraphs (e)
through (k) of this section.
(4) As necessary, we consult with foreign Management and Scientific Authorities, the CITES Secretariat,
State conservation agencies, Tribes, FWS Law Enforcement, APHIS or CBP, and other appropriate
experts.
(d) Risk assessment. We review the general factors listed in this paragraph and additional specific factors in
paragraphs (e) through (k) of this section to assess the level of scrutiny and amount of information we
need to make a finding of legal acquisition. We give less scrutiny and require less-detailed information
when there is a low risk that specimens to be exported or re-exported were not legally acquired, and give
more scrutiny and require more detailed information when the proposed activity poses greater risk. We
consider the cumulative risks, recognizing that each aspect of the international trade has a continuum of
risk from high to low associated with it as follows:
(1) Status of the species : From Appendix I to Appendix III.
(2) Origin of the specimen : From wild-collected to born or propagated in a controlled environment to
bred in captivity or artificially propagated.
(3) Source of the propagule used to grow the plant : From documentation that the plant was grown from
a non-exempt seed or seedling to documentation that the plant was grown from an exempt seed or
seedling.
(4) Origin of the species : From species native to the United States or its bordering countries of Mexico
or Canada to nonnative species from other countries.
(5) Volume of illegal trade : From high to low occurrence of illegal trade.
(6) Type of trade : From commercial to noncommercial.
(7) Trade by range countries : From range countries that do not allow commercial export, or allow only
limited noncommercial export of the species, to range countries that allow commercial export in
high volumes.
(8) Occurrence of the species in a controlled environment in the United States : From uncommon to
common in a controlled environment in the United States.
(9) Ability of the species to be bred or propagated readily in a controlled environment : From no
documentation that the species can be bred or propagated readily in a controlled environment to
widely accepted information that the species is commonly bred or propagated.
(10) Genetic status of the specimen : From a purebred species to a hybrid.
(e) Captive-bred wildlife or a cultivated plant. For a specimen that is captive-bred or cultivated, we may
consider whether the parental stock was legally acquired.
(f) Confiscated specimen. For a confiscated Appendix-II or -III specimen, we consider whether information
shows that the transfer of the confiscated specimen or its offspring met the conditions of the remission
decision, legal settlement, or disposal action after forfeiture or abandonment.
(g) Donated specimen of unknown origin. For an unsolicited specimen of unknown origin donated to a public
institution (see § 10.12 of this subchapter), we consider whether:
50 CFR 23.60(g) (enhanced display)
page 68 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.60(g)(1)
(1) The public institution follows standard recordkeeping practices and has made reasonable efforts to
obtain supporting information on the origin of the specimen.
(2) The public institution provides sufficient information to show it made a reasonable effort to find a
suitable recipient in the United States.
(3) The export will provide a conservation benefit to the species.
(4) No persuasive information exists on illegal transactions involving the specimen.
(5) The export is noncommercial, with no money or barter exchanged except for shipping costs.
(6) The institution has no history of receiving a series of rare and valuable specimens or a large quantity
of wildlife or plants of unknown origin.
(h) Imported previously. For a specimen that was previously imported into the United States, we consider any
reliable, relevant information we receive concerning the validity of a CITES document, regardless of
whether the shipment was cleared by FWS, APHIS, or CBP.
(i)
Personal use. For a wildlife or plant specimen that is being exported or re-exported for personal use by the
applicant, we consider whether:
(1) The specimen was acquired in the United States and possessed for strictly personal use.
(2) The number of specimens is reasonably appropriate for the nature of your export or re-export as
personal use.
(3) No persuasive evidence exists on illegal transactions involving the specimen.
(j)
Sequential ownership. For a specimen that was previously possessed by someone other than the
applicant, we may consider the history of ownership for a specimen and its parental stock, breeding stock,
or cultivated parental stock.
(k) Wild-collected in the United States. For a specimen collected from the wild in the United States, we
consider the site where the specimen was collected, whether the species is known to occur at that site,
the abundance of the species at that site, and, if necessary, whether permission of the appropriate
management agency or landowner was obtained to collect the specimen.
§ 23.61 What factors are considered in making a non-detriment finding?
(a) Purpose. Articles III and IV of the Treaty require that, before we issue a CITES document, we find that a
proposed export or introduction from the sea of Appendix-I or -II specimens is not detrimental to the
survival of the species and that a proposed import of an Appendix-I specimen is for purposes that would
not be detrimental to the survival of the species.
(b) Types of detriment. Detrimental activities, depending on the species, could include, among other things,
unsustainable use and any activities that would pose a net harm to the status of the species in the wild.
For Appendix-I species, it also includes use or removal from the wild that results in habitat loss or
destruction, interference with recovery efforts for a species, or stimulation of further trade.
(c) General factors. The applicant must provide sufficient information for us to make a finding of nondetriment. In addition to factors in paragraphs (d) and (e) of this section, we will consider whether:
(1) Biological and management information demonstrates that the proposed activity represents
sustainable use.
50 CFR 23.61(c)(1) (enhanced display)
page 69 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.61(c)(2)
(2) The removal of the animal or plant from the wild is part of a biologically based sustainable-use
management plan that is designed to eliminate over-utilization of the species.
(3) If no sustainable-use management plan has been established, the removal of the animal or plant
from the wild would not contribute to the over-utilization of the species, considering both domestic
and international uses.
(4) The proposed activity, including the methods used to acquire the specimen, would pose no net harm
to the status of the species in the wild.
(5) The proposed activity would not lead to long-term declines that would place the viability of the
affected population in question.
(6) The proposed activity would not lead to significant habitat or range loss or restriction.
(d) Additional factor for Appendix-II species. In addition to the general factors in paragraph (c) of this section,
we will consider whether the intended export of an Appendix-II species would cause a significant risk that
the species would qualify for inclusion in Appendix I.
(e) Additional factors for Appendix-I species. In addition to the general factors in paragraph (c) of this section,
we will consider whether the proposed activity:
(1) Would not cause an increased risk of extinction for either the species as a whole or the population
from which the specimen was obtained.
(2) Would not interfere with the recovery of the species.
(3) Would not stimulate additional trade in the species. If the proposed activity does stimulate trade, we
will consider whether the anticipated increase in trade would lead to the decline of the species.
(f) How we make our findings. We base the non-detriment finding on the best available biological information.
We also consider trade information, including trade demand, and other scientific management
information. We make a non-detriment finding in the following way:
(1) We consult with the States, Tribes, other Federal agencies, scientists, other experts, and the range
countries of the species.
(2) We consult with the Secretariat and other Parties to monitor the level of trade that is occurring in the
species.
(3) Based on the factors in paragraphs (c) through (e) of this section, we evaluate the biological impact
of the proposed activity.
(4) In cases where insufficient information is available or the factors above are not satisfactorily
addressed, we take precautionary measures and would be unable to make the required finding of
non-detriment.
(g) Risk assessment. We review the status of the species in the wild and the degree of risk the proposed
activity poses to the species to determine the level of scrutiny needed to make a finding. We give greater
scrutiny and require more detailed information for activities that pose a greater risk to a species in the
wild. We consider the cumulative risks, recognizing that each aspect of international trade has a
continuum of risk (from high to low) associated with it as follows:
(1) Status of the species : From Appendix I to Appendix II.
50 CFR 23.61(g)(1) (enhanced display)
page 70 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.61(g)(2)
(2) Origin of the specimen : From wild-collected to born or propagated in a controlled environment to
bred in captivity or artificially propagated.
(3) Source of the propagule used to grow the plant : From documentation that the plant was grown from
a non-exempt seed or seedling to documentation that the plant was grown from an exempt seed or
seedling.
(4) Origin of the species : From native species to nonnative species.
(5) Volume of legal trade : From high to low occurrence of legal trade.
(6) Volume of illegal trade : From high to low occurrence of illegal trade.
(7) Type of trade : From commercial to noncommercial.
(8) Genetic status of the specimen : From a purebred species to a hybrid.
(9) Risk of disease transmission : From high to limited risk of disease transmission.
(10) Basis for listing : From listed under Article II(1) or II(2)(a) of the Treaty to listed under Article II(2)(b).
(h) Quotas for Appendix-I species. When an export quota has been set by the CoP for an Appendix-I species,
we will consider the scientific and management basis of the quota together with the best available
biological information when we make our non-detriment finding. We will contact the Scientific and
Management Authorities of the exporting country for further information if needed.
§ 23.62 What factors are considered in making a finding of not for primarily commercial
purposes?
(a) Purpose. Under Article III(3(c)) and (5(c)) of the Treaty, an import permit or an introduction-from-the-sea
certificate for Appendix-I species can be issued only if the Management Authority is satisfied that the
specimen is not to be used for primarily commercial purposes. Trade in Appendix-I species must be
subject to particularly strict regulation and authorized only in exceptional circumstances.
(b) How we make our findings. We must find that the intended use of the Appendix-I specimen is not for
primarily commercial purposes before we can issue a CITES document.
(1) We will make this decision on a case-by-case basis considering all available information.
(2) The applicant must provide sufficient information to satisfy us that the intended use is not for
primarily commercial purposes.
(3) The definitions of “commercial” and “primarily commercial purposes” in § 23.5 apply.
(4) We will look at all aspects of the intended use of the specimen. If the noncommercial aspects do not
clearly predominate, we will consider the import or introduction from the sea to be for primarily
commercial purposes.
(5) While the nature of the transaction between the owner in the country of export and the recipient in
the country of import or introduction from the sea may have some commercial aspects, such as the
exchange of money to cover the costs of shipment and care of specimens during transport, it is the
intended use of the specimen, including the purpose of the export, that must not be for primarily
commercial purposes.
50 CFR 23.62(b)(5) (enhanced display)
page 71 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.62(b)(6)
(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. The following are examples of types of transactions in which the noncommercial aspects of
the intended use of the specimen may predominate depending on the facts of each situation. The
discussions of each example provide further guidance in assessing the actual degree of commerciality on
a case-by-case basis. These examples outline circumstances commonly encountered and do not cover all
situations where import or introduction from the sea could be found to be not for primarily commercial
purposes.
(1) Personal use. Import or introduction from the sea of an Appendix-I specimen for personal use
generally is considered to be not for primarily commercial purposes. An example is the import of a
personal sport-hunted trophy by the person who hunted the wildlife for display in his or her own
home.
(2) Scientific purposes. The import or introduction from the sea of an Appendix-I specimen by a scientist
or scientific institution may be permitted in situations where resale, commercial exchange, or exhibit
of the specimen for economic benefit is not the primary intended use.
(3) Conservation, education, or training. Generally an Appendix-I specimen may be imported or
introduced from the sea by government agencies or nonprofit institutions for purposes of
conservation, education, or training. For example, a specimen could be imported or introduced from
the sea primarily to train customs staff in effective CITES control, such as for identification of certain
types of specimens.
(4) Biomedical industry. Import or introduction from the sea of an Appendix-I specimen by an institution
or company in the biomedical industry is initially presumed to be commercial since specimens are
typically imported or introduced from the sea to develop and sell products that promote public
health for profit. However, if the importer clearly shows that the sale of products is only incidental to
public health research and not for the primary purpose of economic benefit or profit, then such an
import or introduction from the sea could be considered as scientific research under paragraph
(c)(2) of this section if the principles of paragraph (b) of this section are met.
(5) Captive-breeding or artificial propagation programs. The import of an Appendix-I specimen for
purposes of establishing a commercial operation for breeding or artificial propagation is considered
to be for primarily commercial purposes. As a general rule, import or introduction from the sea of an
Appendix-I specimen for a captive-breeding or artificial propagation program must have as a priority
the long-term protection and recovery of the species in the wild. The captive-breeding or artificial
propagation program must be part of a program aimed at the recovery of the species in the wild and
be undertaken with the support of a country within the species' native range. Any profit gained must
be used to support this recovery program. If a captive-breeding or artificial propagation operation
plans to sell surplus specimens to help offset the costs of its program, import or introduction from
the sea would be allowed only if any profit would be used to support the captive-breeding or artificial
propagation program to the benefit of the Appendix-I species, not for the personal economic benefit
of a private individual or share-holder.
50 CFR 23.62(c)(5) (enhanced display)
page 72 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.62(c)(6)
(6) Professional dealers. Import or introduction from the sea by a professional dealer who states a
general intention to eventually sell the specimen or its offspring to an undetermined recipient would
be considered to be for primarily commercial purposes. However, import or introduction from the
sea through a professional dealer by a qualified applicant may be acceptable if the ultimate intended
use would be for one of the purposes set out in paragraphs (c)(2), (3), and (5) of this section and
where a binding contract, conditioned on the issuing of permits, is in place.
(d) Risk assessment. We review the factors listed in this paragraph (d) to assess the level of scrutiny and
amount of information we need to make a finding of whether the intended use of the specimen is not for
primarily commercial purposes. We give less scrutiny and require less detailed information when the
import or introduction from the sea poses a low risk of being primarily commercial, and give more
scrutiny and require more detailed information when the proposed activity poses greater risk. We consider
the cumulative risks, recognizing that each aspect of the international trade has a continuum of risk from
high to low associated with it as follows:
(1) Type of importer : From for-profit entity to private individual to nonprofit entity.
(2) Ability of the proposed uses to generate revenue : From the ability to generate measurable increases
in revenue or other economic value to no anticipated increases in revenue or other economic value.
(3) Appeal of the species : From high public appeal to low public appeal.
(4) Occurrence of the species in the United States : From uncommon to common in a controlled
environment in the United States.
(5) Intended use of offspring : From commercial to noncommercial.
(e) Analysis of anticipated revenues and other economic value. We will analyze revenues and other economic
value anticipated to result from the use of the specimen for activities with a high risk of being primarily
commercial.
(1) We will examine the proposed use of any net profits generated in the United States. We consider net
profit to include all funds or other valuable considerations (including enhanced value of common
stock shares) received or attained by you or those affiliated with you as a result of the import or
introduction from the sea, to the extent that such funds or other valuable considerations exceed the
reasonable expenses that are properly attributable to the proposed activity.
(2) We will consider any conservation project to be funded and, if the species was or is to be taken from
the wild, how the project benefits the species in its native range, including agreements, 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. Article VII(4) and (5) of the Treaty provide exemptions that allow for the special treatment of
wildlife that was bred in captivity (see §§ 23.41 and 23.46).
50 CFR 23.63(a) (enhanced display)
page 73 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.63(b)
(b) Definitions. The following terms apply when determining whether specimens qualify as “bred in captivity”:
(1) A controlled environment means one that is actively manipulated for the purpose of producing
specimens of a particular species; that has boundaries designed to prevent specimens, including
eggs or gametes, from entering or leaving the controlled environment; and has general
characteristics that may include artificial housing, waste removal, provision of veterinary care,
protection from predators, and artificially supplied food.
(2) Breeding stock means an ensemble of captive wildlife used for reproduction.
(c) Bred-in-captivity criteria. For a specimen to qualify as bred in captivity, we must be satisfied that all the
following criteria are met:
(1) If reproduction is sexual, the specimen was born to parents that either mated or transferred gametes
in a controlled environment.
(2) If reproduction is asexual, the parent was in a controlled environment when development of the
offspring began.
(3) The breeding stock meets all of the following criteria:
(i)
Was established in accordance with the provisions of CITES and relevant national laws.
(ii) Was established in a manner not detrimental to the survival of the species in the wild.
(iii) Is maintained with only occasional introduction of wild specimens as provided in paragraph (d)
of this section.
(iv) Has consistently produced offspring of second or subsequent generations in a controlled
environment, or is managed in a way that has been demonstrated to be capable of reliably
producing second-generation offspring and has produced first-generation offspring.
(d) Addition of wild specimens. A very limited number of wild specimens (including eggs or gametes) may be
introduced into a breeding stock if all of the following conditions are met (for Appendix-I specimens see
also § 23.46(b)(12)):
(1) The specimens were acquired in accordance with the provisions of CITES and relevant national laws.
(2) The specimens were acquired in a manner not detrimental to the survival of the species in the wild.
(3) The specimens were added either to prevent or alleviate deleterious inbreeding, with the number of
specimens added as determined by the need for new genetic material, or to dispose of confiscated
animals.
§ 23.64 What factors are considered in making a finding that a plant is artificially propagated?
(a) Purpose. Article VII(4) and (5) of the Treaty provide exemptions that allow for special treatment of plants
that were artificially propagated (see §§ 23.40 and 23.47).
(b) Definition s. The following terms apply when determining whether specimens qualify as “artificially
propagated”:
(1) Controlled conditions means a nonnatural environment that is intensively manipulated by human
intervention for the purpose of plant production. General characteristics of controlled conditions
may include, but are not limited to, tillage, fertilization, weed and pest control, irrigation, or nursery
operations such as potting, bedding, or protection from weather.
50 CFR 23.64(b)(1) (enhanced display)
page 74 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.64(b)(2)
(2) Cultivated parental stock means the ensemble of plants grown under controlled conditions that are
used for reproduction.
(c) Artificially propagated criteria. Except as provided in paragraphs (f) and (g) of this section, for a plant
specimen to qualify as artificially propagated, we must be satisfied that the plant specimen was grown
under controlled conditions from a seed, cutting, division, callus tissue, other plant tissue, spore, or other
propagule that either is exempt from the provisions of CITES or has been derived from cultivated parental
stock. The cultivated parental stock must meet all of the following criteria:
(1) Was established in accordance with the provisions of CITES and relevant national laws.
(2) Was established in a manner not detrimental to the survival of the species in the wild.
(3) Is maintained in sufficient quantities for propagation so as to minimize or eliminate the need for
augmentation from the wild, with such augmentation occurring only as an exception and limited to
the amount necessary to maintain the vigor and productivity of the cultivated parental stock.
(d) Cutting or division. A plant grown from a cutting or division is considered to be artificially propagated only
if the traded specimen does not contain any material collected from the wild.
(e) Grafted plant. A grafted plant is artificially propagated only when both the rootstock and the material
grafted to it have been taken from specimens that were artificially propagated in accordance with
paragraph (c) of this section. A grafted specimen that consists of taxa from different Appendices is
treated as a specimen of the taxon listed in the more restrictive Appendix.
(f) Timber. Timber taken from trees planted and grown in a monospecific plantation is considered artificially
propagated if the seeds or other propagules from which the trees are grown were legally acquired and
obtained in a non-detrimental manner.
(g) Exception for certain plant specimens grown from wild-collected seeds or spores. Plant specimens grown
from wild-collected seeds or spores may be considered artificially propagated only when all of the
following conditions have been met:
(1) Establishment of a cultivated parental stock for the taxon presents significant difficulties because
specimens take a long time to reach reproductive age.
(2) The seeds or spores are collected from the wild and grown under controlled conditions within a
range country, which must also be the country of origin of the seeds or spores.
(3) The Management Authority of the range country has determined that the collection of seeds or
spores was legal and consistent with relevant national laws for the protection and conservation of
the species.
(4) The Scientific Authority of the range country has determined that collection of the seeds or spores
was not detrimental to the survival of the species in the wild, and allowing trade in such specimens
has a positive effect on the conservation of wild populations. In making these determinations, all of
the following conditions must be met:
(i)
The collection of seeds or spores for this purpose must be limited in such a manner as to allow
regeneration of the wild population.
(ii) A portion of the plants produced must be used to establish plantations to serve as cultivated
parental stock in the future and become an additional source of seeds or spores and thus
reduce or eliminate the need to collect seeds or spores from the wild.
50 CFR 23.64(g)(4)(ii) (enhanced display)
page 75 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.64(g)(4)(iii)
(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. Under Article III(3)(b) and (5)(b) of the Treaty, an import permit or introduction-from-the-sea
certificate for live Appendix-I specimens can be issued only if we are satisfied that the recipients are
suitably equipped to house and care for them.
(b) General principles. We will follow these general principles in making a decision on whether an applicant
has facilities that would provide proper housing to maintain the specimens for the intended purpose and
the expertise to provide proper care and husbandry or horticultural practices.
(1) All persons who would be receiving a specimen must be identified in an application and their
facilities approved by us, including persons who are likely to receive a specimen within 1 year after it
arrives in the United States.
(2) The applicant must provide sufficient information for us to make a finding, including, but not limited
to, a description of the facility, photographs, or construction plans, and resumes of the recipient or
staff who will care for the specimen.
(3) We use the best available information on the requirements of the species in making a decision and
will consult with experts and other Federal and State agencies, as necessary and appropriate.
(4) The degree of scrutiny that we give an application is based on the biological and husbandry or
horticultural needs of the species.
(c) Specific factors considered for wildlife. In addition to the general provisions in paragraph (e) of this
section, we consider the following factors in evaluating suitable housing and care for wildlife:
(1) Enclosures constructed and maintained so as to provide sufficient space to allow each animal to
make normal postural and social adjustments with adequate freedom of movement. Inadequate
space may be indicated by evidence of malnutrition, poor condition, debility, stress, or abnormal
behavior patterns.
(2) Appropriate forms of environmental enrichment, such as nesting material, perches, climbing
apparatus, ground substrate, or other species-specific materials or objects.
(3) If the wildlife is on public display, an off-exhibit area, consisting of indoor and outdoor
accommodations, as 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.
50 CFR 23.65(c)(5) (enhanced display)
page 76 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.65(c)(6)
(6) Readily available veterinary care or veterinary staff experienced with the species or a closely related
species, including emergency care.
(d) Specific factors considered for plants. In addition to the general provisions in paragraph (e) of the section,
we consider the following factors in evaluating suitable housing and care for plants:
(1) Sufficient space, appropriate lighting, and other environmental conditions that will ensure proper
growth.
(2) Ability to provide appropriate culture, such as water, fertilizer, and pest and disease control.
(3) Staff with experience with the imported species or related species with similar horticultural
requirements.
(e) General factors considered for wildlife and plants. In addition to the specific provisions in paragraphs (c)
or (d) of this section, we will consider the following factors in evaluating suitable housing and care for
wildlife and plants:
(1) Adequate enclosures or holding areas to prevent escape or unplanned exchange of genetic material
with specimens of the same or different species outside the facility.
(2) Appropriate security to prevent theft of specimens and measures taken to rectify any previous theft
or security problem.
(3) A reasonable survival rate of specimens of the same species or, alternatively, closely related species
at the facility, mortalities for the previous 3 years, significant injuries to wildlife or damage to plants,
occurrence of significant disease outbreaks during the previous 3 years, and measures taken to
prevent similar mortalities, injuries, damage, or diseases. Significant injuries, damage, or disease
outbreaks are those that are permanently debilitating or re-occurring.
(4) Sufficient funding on a long-term basis to cover the cost of maintaining the facility and the
specimens imported.
(f) Incomplete facilities or insufficient staff. For applications submitted to us before the facilities to hold the
specimen are completed or the staff is identified or properly trained, we will:
(1) Review all available information, including construction plans or intended staffing, and make a
finding based on this information.
(2) Place a condition on any permit that the import cannot occur until the facility has been completed or
the staff hired and trained, and approved by us.
Subpart E—International Trade in Certain Specimens
§ 23.68 How can I trade internationally in roots of American ginseng?
(a) U.S. and foreign general provisions. Whole plants and roots (whole, sliced, and parts, excluding
manufactured parts, products, and derivatives, such as powders, pills, extracts, tonics, teas, and
confectionery) of American ginseng (Panax quinquefolius), whether wild or artificially propagated, are
included in Appendix II. Cultivated American ginseng that does not meet the requirements of artificially
propagated will be considered wild for export and re-export purposes. The import, export, or re-export of
ginseng roots must meet the requirements of this section and other requirements of this part (see
50 CFR 23.68(a) (enhanced display)
page 77 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.68(b)
subparts B and C for prohibitions and application procedures). For specimens that were harvested from a
State or Tribe without an approved CITES export program, see § 23.36 for export permits and § 23.37 for
re-export certificates.
(b) Export approval of State and tribal programs. States and Tribes set up and maintain ginseng management
and harvest programs designed to monitor and protect American ginseng from over-harvest. When a
State or Tribe with a management program provides us with the necessary information, we make
programmatic findings and have specific requirements that allow export under CITES. For wild ginseng, a
State or Tribe must provide sufficient information for us to determine that its management program and
harvest controls are appropriate to ensure that ginseng harvested within its jurisdiction is legally acquired
and that export will not be detrimental to the survival of the species in the wild. For artificially propagated
ginseng, a State or Tribe must provide sufficient information for us to determine that ginseng grown
within its jurisdiction meets the definition of artificially propagated and the State or Tribe must have
procedures in place to minimize the risk that the roots of wild-collected plants would be claimed as
artificially propagated.
(1) A State or Tribe seeking initial CITES export program approval for wild or artificially propagated
American ginseng must submit the following information on the adoption and implementation of
regulatory measures to the U.S. Management Authority:
(i)
Laws or regulations mandating licensing or registration of persons buying and selling ginseng
in that State or on tribal lands.
(ii) A requirement that ginseng dealers maintain records and provide copies of those records to the
appropriate State or tribal management agency upon request. Dealer records must contain: the
name and address of the ginseng seller, date of transaction, whether the ginseng is wild or
artificially propagated and dried or green at time of transaction, weight of roots, State or Tribe
of origin of roots, and identification numbers of the State or tribal certificates used to ship
ginseng from the State or Tribe of origin.
(iii) A requirement that State or tribal personnel will inspect roots, ensure legal harvest, and have the
ability to determine the age of roots of all wild-collected ginseng harvested in the State or on
tribal lands. State or tribal personnel may accept a declaration statement by the licensed or
registered dealer or grower that the ginseng roots are artificially propagated.
(iv) A requirement that State or tribal personnel will weigh ginseng roots unsold by March 31 of the
year after harvest and give a weight receipt to the owner of the roots. Future export certification
of this stock must be issued against the weight receipt.
(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.
50 CFR 23.68(b)(1)(v)(F) (enhanced display)
page 78 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.68(b)(1)(v)(G)
(G) Designation as dried or fresh (green) roots.
(H) Weight of roots.
(I)
Statement of State or tribal certifying official verifying that the ginseng was obtained in
that State or on those tribal lands in accordance with all relevant laws for that harvest
year.
(J) Name and title of State or tribal certifying official.
(2) In addition, a State or Tribe seeking initial CITES export program approval for wild American ginseng
must submit the following information to the U.S. Management Authority:
(i)
An assessment of the condition of the population and trends, including a description of the
types of information on which the assessment is based, such as an analysis of population
demographics; population models; or analysis of past harvest levels or indices of abundance
independent of harvest information, such as field surveys.
(ii) Historic, present, and potential distribution of wild ginseng on a county-by-county basis.
(iii) Phenology of ginseng, including flowering and fruiting periods.
(iv) Habitat evaluation.
(v) If available, copies of any ginseng management or monitoring plans or other relevant reports
that the State or Tribe has prepared as part of its existing management program.
(3) A State or Tribe with an approved CITES export program must complete Form 3–200–61 and submit
it to the U.S. Management Authority by May 31 of each year to provide information on the previous
harvest season.
(c) U.S. application process. Application forms and a list of States and Tribes with approved ginseng
programs can be obtained from our website or by contacting us (see § 23.7).
(1) To export wild or artificially propagated ginseng harvested under an approved State or tribal program,
complete Form 3–200–34 or Form 3-200-74 for additional single-use permits under an annual
program file.
(2) To export wild ginseng harvested from a State or Tribe that does not have an approved program,
complete Form 3–200–32. To export artificially propagated ginseng from a State or Tribe that does
not have an approved program, complete Form 3–200–33.
(3) To re-export ginseng, complete Form 3–200–32.
(4) For information on issuance criteria for CITES documents, see § 23.36 for export permits, § 23.37 for
re-export certificates, and § 23.40 for certificates for artificially propagated plants.
(d) Conditions for export. Upon export, roots must be accompanied by a State or tribal certificate containing
the information specified in paragraph (b)(1)(v) of this section.
§ 23.69 How can I trade internationally in fur skins and fur skin products of bobcat, river otter,
Canada lynx, gray wolf, and brown bear harvested in the United States?
(a) U.S. and foreign general provisions. For purposes of this section, CITES furbearers means bobcat (Lynx
rufus), river otter (Lontra canadensis), Canada lynx (Lynx canadensis), gray wolf (Canis lupus), and brown
bear (Ursus arctos) harvested in the United States . These species are included in Appendix II based on
50 CFR 23.69(a) (enhanced display)
page 79 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.69(b)
Article II(2)(b) of the Treaty (see § 23.89). The import, export, or re-export of fur skins and fur skin
products must meet the requirements of this section and the other requirements of this part (see
subparts B and C for prohibitions and application procedures). For specimens that were harvested from a
State or Tribe without an approved CITES export program, see § 23.36 for export permits and § 23.37 for
re-export certificates.
(b) Export approval of State and tribal programs. States and Tribes set up and maintain management and
harvest programs designed to monitor and protect CITES furbearers from over-harvest. When a State or
Tribe with a management program provides us with the necessary information, we make programmatic
findings and have specific requirements that allow export under CITES. A State or Tribe must provide
sufficient information for us to determine that its management program and harvest controls are
appropriate to ensure that CITES furbearers harvested within its jurisdiction are legally acquired and that
export will not be detrimental to the survival of the species in the wild.
(1) A State or Tribe seeking initial CITES export program approval must submit the following information
to the U.S. Management Authority, except as provided in paragraph (b)(2) of this section:
(i)
An assessment of the condition of the population and a description of the types of information
on which the assessment is based, such as an analysis of carcass demographics, population
models, analysis of past harvest levels as a function of fur prices or trapper effort, or indices of
abundance independent of harvest information, such as scent station surveys, archer surveys,
camera traps, track or scat surveys, or road kill counts.
(ii) Current harvest control measures, including laws regulating harvest seasons and methods.
(iii) Total allowable harvest of the species.
(iv) Distribution of harvest.
(v) Indication of how frequently harvest levels are evaluated.
(vi) Tagging or marking requirements for fur skins.
(vii) Habitat evaluation.
(viii) If available, copies of any furbearer management plans or other relevant reports that the State
or Tribe has prepared as part of its existing management program.
(2) If the U.S. Scientific Authority has made a range-wide non-detriment finding for a species, a State or
Tribe seeking initial approval for a CITES export program for that species need only submit the
information in (b)(1)(ii) and (vi) of this section.
(3) A State or Tribe with an approved CITES export program must submit a CITES furbearer activity
report to the U.S. Management Authority by October 31 of each year that provides information as to
whether or not the 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.
50 CFR 23.69(b)(3)(i) (enhanced display)
page 80 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.69(b)(3)(ii)
(ii) An assessment of the condition of the population, including trends, and a description of the
types of information on which the assessment is based. If population levels are decreasing, the
activity report should include the State or Tribe's professional assessment of the reason for the
decline and any steps being taken to address it.
(iii) Information on, and a copy of, any changes in laws or regulations affecting these species.
(iv) If available, copies of relevant reports that the State or Tribe has prepared during the year in
question as part of its existing management programs for CITES furbearers.
(4) When the U.S. Scientific Authority has made a range-wide non-detriment finding for a species, the
annual furbearer activity report from a State or Tribe with an approved export program for that
species should include, at a minimum, a statement indicating whether or not the status of the
species has changed and the information in paragraph (b)(3)(iii) and (iv) of this section. Range-wide
non-detriment findings will be re-evaluated at least every 5 years, or sooner if information indicates
that there has been a change in the status or management of the species that might lead to different
treatment of the species. When a range-wide non-detriment finding is re-evaluated, States and Tribes
with an approved export program for the species must submit information that allows us to
determine whether our finding remains valid.
(c) CITES tags. Unless an alternative method has been approved, each CITES fur skin to be exported or reexported must have a U.S. CITES tag permanently attached.
(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. The U.S. CITES export permit or an annex attached to the permit must
contain all information that is given on the tag.
(e) U.S. application process. Application forms and a list of States and Tribes with approved furbearer
programs can be obtained from our website or by contacting us (see § 23.7).
50 CFR 23.69(e) (enhanced display)
page 81 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.69(e)(1)
(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. Upon export, each fur skin, other than a fur skin product, must be clearly identified
in accordance with paragraph (c) of this section.
[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. For the purposes of this section, crocodilian means all species of
alligator, caiman, crocodile, and gavial of the order Crocodylia. The import, export, or re-export of any
crocodilian skins, parts, or products must meet the requirements of this section and the other
requirements of this part (see subparts B and C for prohibitions and application procedures). For
American alligator (Alligator mississippiensis) specimens harvested from a State or Tribe without an
approved CITES export program, see § 23.36 for export permits and § 23.37 for re-export certificates.
(b) Definitions. Terms used in this section are defined as follows:
(1) Crocodilian skins means whole or partial skins, flanks, chalecos, and bellies (including those that are
salted, crusted, tanned, partially tanned, or otherwise processed), including skins of sport-hunted
trophies.
(2) Crocodilian parts means body parts with or without skin attached (including tails, throats, feet, meat,
skulls, and other parts) and small cut skin pieces.
(c) Export approval of State and tribal programs for American alligator. States and Tribes set up and maintain
management and harvest programs designed to monitor and protect American alligators from overharvest. When a State or Tribe with a management program provides us with the necessary information,
we make programmatic findings and have specific requirements that allow export under CITES. A State or
Tribe must provide sufficient information for us to determine that its management program and harvest
controls are appropriate to ensure that alligators harvested within its jurisdiction are legally acquired and
that the export will not be detrimental to the survival of the species in the wild.
(1) A State or Tribe seeking initial CITES export program approval must submit the following to the U.S.
Management Authority:
(i)
An assessment of the condition of the wild population and a description of the types of
information on which the assessment is based, such as an analysis of carcass demographics,
population models, analysis of past harvest levels as a function of skin prices or harvester
effort, or indices of abundance independent of harvest information, such as nest surveys,
spotlighting surveys, or nuisance complaints.
50 CFR 23.70(c)(1)(i) (enhanced display)
page 82 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.70(c)(1)(ii)
(ii) Current harvest control measures, including laws regulating harvest seasons and methods.
(iii) Total allowable harvest of the species.
(iv) Distribution of harvest.
(v) Indication of how frequently harvest levels are evaluated.
(vi) Tagging or marking requirements for skins and parts.
(vii) Habitat evaluation.
(viii) Information on nuisance alligator management programs.
(ix) Information on alligator farming programs, including whether collecting and rearing of eggs or
hatchlings is allowed, what factors are used to set harvest levels, and whether any alligators are
returned to the wild.
(x) If available, copies of any alligator management plans or other relevant reports for American
alligator that the State or Tribe has prepared as part of its existing management program.
(2) A State or Tribe with an approved CITES export program must submit an American alligator activity
report to the U.S. Management Authority by July 1 of each year to provide information regarding
harvests during the previous year. This report may reference information provided in previous years if
the information has not changed. An American alligator activity report, at a minimum, should include
the following:
(i)
The total number of skins from wild or farmed alligators that were tagged by the State or Tribe.
(ii) An assessment of the status of the alligator population with an indication of whether the
population is stable, increasing, or decreasing, and at what rate (if known). If population levels
are decreasing, activity reports should include the State or Tribe's professional assessment of
the reason for the decline and any steps being taken to address it.
(iii) For wild alligators, information on harvest, including harvest of nuisance alligators, methods
used to determine harvest levels, demographics of the harvest, and methods used to determine
the total number and population trends of alligators in the wild.
(iv) For farmed alligators, information on whether collecting and rearing of eggs or hatchlings is
allowed, what factors are used to set harvest levels, and whether any alligators are returned to
the wild.
(v) Information on, and a copy of, any changes in laws or regulations affecting the American
alligator.
(vi) If available, copies of relevant reports that the State or Tribe has prepared during the reporting
period as part of its existing management program for the American alligator.
(3) We provide CITES export tags to States and Tribes with approved CITES export programs. American
alligator skins and parts must meet the marking and tagging requirements of paragraphs (d), (e), and
(f) of this section.
(d) Tagging of crocodilian skins. You may import, export, or re-export any crocodilian skin only if a nonreusable tag is inserted though the skin and locked in place using the locking mechanism of the tag. A
mounted sport-hunted trophy must be accompanied by the tag from the skin used to make the mount.
50 CFR 23.70(d) (enhanced display)
page 83 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.70(d)(1)
(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), the year of skin production or harvest, and a unique serial
number.
(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 reexports the country of re-export must be shown in place of the country of origin. In the United
States, the legend will include the US-CITES logo, FWS-REPL, and a unique serial number.
(e) Meat and skulls. Except for American alligator, you may import, export, or re-export crocodilian meat and
skulls without tags or markings. American alligator meat and skulls may be imported, exported, or reexported if packaged and marked or tagged in accordance with State or tribal laws as follows:
(1) Meat from legally harvested and tagged alligators must be packed in permanently sealed containers
and labeled as required by State or tribal laws or regulations. Bulk meat containers must be marked
with any required State or tribal parts tag or bulk meat tag permanently attached and indicating, at a
minimum, State or Tribe of origin, year of take, species, original U.S. CITES tag number for the
corresponding skin, weight of meat in the container, and identification of 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. You may import, export, or re-export
crocodilian parts other than meat and skulls when the following conditions are met:
(1) Parts must be packed in transparent sealed containers.
50 CFR 23.70(f)(1) (enhanced display)
page 84 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.70(f)(2)
(2) Containers must be clearly marked with a non-reusable parts tag or label that includes all of the
information in paragraph (d)(1)(ii) of this section and a description of the contents, the total weight
(contents and container), and the number of the CITES document.
(3) Tags are not required on crocodilian products.
(4) Tags are not required on scientific specimens except as required in paragraphs (d) and (e) of this
section.
(g) Documentation requirements. The CITES document or an annex attached to the document must contain
all information that is given on the tag or label.
(h) U.S. application process. Application forms and a list of States and Tribes with approved American
alligator programs can be obtained from our website or by contacting us (see § 23.7).
(1) To export American alligator specimens taken under an approved State or tribal program, 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. Upon import, export, or re-export, each crocodilian specimen
must meet the applicable tagging requirements in paragraphs (d), (e), and (f) of this section.
[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. For the purposes of this section, sturgeon caviar or caviar means the
processed roe of any species of sturgeon or paddlefish (order Acipenseriformes). It does not include
sturgeon or paddlefish eggs contained in shampoos, cosmetics, lotions, or other products for topical
application. The import, export, or re-export of sturgeon caviar must meet the requirements of this section
and the other requirements of this part. The import, export, or re-export of Acipenseriformes specimens
other than caviar must meet the other requirements of this part. See subparts B and C for prohibitions
and application procedures.
(b) Labeling. You may import, export, or re-export sturgeon caviar only if labels are affixed to containers prior
to export or re-export in accordance with this paragraph.
(1) The following definitions apply to caviar labeling:
(i)
Non-reusable label means any label or mark that cannot be removed without being damaged or
transferred to another container. In the United States, the design of the label will be determined
by the labeler in accordance with the requirements of this section.
50 CFR 23.71(b)(1)(i) (enhanced display)
page 85 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.71(b)(1)(ii)
(ii) Primary container means any container (tin, jar, pail or other receptacle) in direct contact with
the caviar.
(iii) Secondary container means the receptacle into which primary containers are placed.
(iv) Processing plant means a facility in the country of origin responsible for the first packaging of
caviar into a primary container. In the United States, this may be done by the person who
harvested the roe.
(v) Repackaging plant means a facility responsible for receiving and repackaging caviar into new
primary containers. This includes any facility where caviar is removed from the container in
which it was received and placed in a different container.
(vi) Lot identification number means a number that corresponds to information related to the caviar
tracking system used by the processing plant or repackaging plant.
(2) The caviar-processing plant in the country of origin must affix a non-reusable label on the primary
container that includes all of the following information:
(i)
Standardized species code; for hybrids, the species code for the male is followed by the code
for the female and the codes are separated by an “x” (codes are available on our website; see §
23.7).
(ii) Source code.
(iii) Two-letter ISO code of the country of origin.
(iv) Year of harvest. 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. Unless the sturgeon caviar qualifies as a personal or household effect under
§ 23.15, the CITES document or an annex attached to the document must contain all information that is
given on the label. The exact quantity of each species of caviar must be indicated on the CITES
document.
(d) Export quotas. Commercial shipments of sturgeon caviar from stocks shared between different countries
may be imported only if all of the following conditions have been met:
50 CFR 23.71(d) (enhanced display)
page 86 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.71(d)(1)
(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. Any re-export of sturgeon caviar must occur within 18 months from the date of issuance of
the original export permit.
(f) Pre-Convention. Sturgeon caviar may not be imported, exported, or re-exported under a pre-Convention
certificate.
(g) Mixed caviar. Caviar that consists of roe from more than one species may only be imported into or
exported from the United States if the exact quantity of roe from each species is known and is indicated
on the CITES document.
(h) U.S. application forms. Application forms can be obtained from our website or by contacting us (see §
23.7). For CITES document requirements, see § 23.36 for export permits and § 23.37 for re-export
certificates. For export, complete Form 3–200–76 or Form 3–200–80 and submit it to the U.S.
Management Authority. For re-export, complete Form 3–200–73 and submit it either to FWS Law
Enforcement or the U.S. Management Authority.
(i)
CITES register of exporters and of processing and repackaging plants. The CITES Secretariat maintains a
“Register of licensed exporters and of processing and repackaging plants for specimens of sturgeon and
paddlefish species” on its Web site. If you hold a current import-export license issued by FWS Law
Enforcement and wish to be added to the CITES register, you may submit your contact information and
processing or repackaging plant codes to the U.S. Management Authority for submission to the CITES
Secretariat.
[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 : In addition to the requirements of this section, the import, export, or
re-export of CITES plant specimens must meet the other requirements of this part (see subparts B and C
for prohibitions and application procedures).
(b) Seeds. International shipments of seeds of any species listed in Appendix I, except for seeds of certain
artificially propagated hybrids (see § 23.92), or seeds of species listed in Appendix II or III with an
annotation that includes seeds, must be accompanied by a valid CITES document. International
shipments of CITES seeds that are artificially propagated also must be accompanied by a valid CITES
document.
(c) A plant propagated from exempt plant material. A plant grown from exempt plant material is regulated by
CITES.
50 CFR 23.72(c) (enhanced display)
page 87 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.72(c)(1)
(1) The proposed shipment of the specimen is treated as an export even if the exempt plant material
from which it was derived was previously imported. The country of origin is the country in which the
specimen ceased to qualify for the exemption.
(2) Plants grown from exempt plant material qualify as artificially propagated provided they are grown
under controlled conditions.
(3) To export plants grown from exempt plant material under controlled conditions, complete Form
3–200–33 for a certificate for artificially propagated plants.
(d) Salvaged plants.
(1) For purposes of this section, salvaged plant means a plant taken from the wild as a result of some
environmental modification in a country where a Party has done all of the following:
(i)
Ensured that the environmental modification program does not threaten the survival of CITES
plant species, and that protection of Appendix-I species in situ is considered a national and
international obligation.
(ii) Established salvaged specimens in cultivation after concerted attempts have failed to ensure
that the environmental modification program would not put at risk wild populations of CITES
species.
(2) International trade in salvaged Appendix-I plants, and Appendix-II plants whose entry into trade might
otherwise have been considered detrimental to the survival of the species in the wild, may be
permitted only when all the following conditions are met:
(i)
Such trade would clearly benefit the survival of the species in the wild or in cultivation.
(ii) Import is for the purposes of care and propagation.
(iii) Import is by a bona fide botanic garden or scientific institution.
(iv) Any salvaged Appendix-I plant will not be sold or used to establish a commercial operation for
artificial propagation after import.
§ 23.73 How can I trade internationally in timber?
(a) U.S. and foreign general provisions : In addition to the requirements of this section, the import, export, or
re-export of timber species listed under CITES must meet the other requirements of this part (see
subparts B and C for prohibitions and application procedures).
(b) Definitions. The following definitions apply to parts, products, and derivatives that appear in the
annotations to certain timber species in the CITES Appendices. These definitions are based on the tariff
classifications of the Harmonized System of the World Customs Organization.
(1) Logs means all wood in the rough, whether or not stripped of bark or sapwood, or roughly squared
for processing, notably into sawn wood, pulpwood, or veneer sheets.
(2) Sawn wood means wood simply sawn lengthwise or produced by a profile-chipping process. Sawn
wood normally exceeds 6 mm in thickness.
(3) Veneer sheets means thin layers or sheets of wood of uniform thickness, usually 6 mm or less,
usually peeled or sliced, for use in making plywood, veneer furniture, veneer containers, or similar
products.
50 CFR 23.73(b)(3) (enhanced display)
page 88 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.73(b)(4)
(4) Plywood means wood material consisting of three or more sheets of wood glued and pressed one on
the other and generally disposed so that the grains of successive layers are at an angle.
(c) The following exceptions apply to Appendix-II or -III timber species that have a substantive annotation that
designates either logs, sawn wood, and veneer sheets, or logs, sawn wood, veneer sheets, and plywood:
(1) Change in destination. When a shipment of timber destined for one country is redirected to another,
the Management Authority in the country of import may change the name and address of the
importer indicated on the CITES document under the following conditions:
(i)
The quantity imported is the same as the quantity certified by a stamp or seal and authorized
signature of the Management Authority on the CITES document at the time of export or reexport.
(ii) The number of the bill of lading for the shipment is on the CITES document, and the bill of
lading is presented at the time of import.
(iii) The import takes place before the CITES document expires, and the period of validity has not
been extended.
(iv) The Management Authority of the importing country includes the following statement in block
5, or an equivalent place, of the CITES document: “Import into [name of country] permitted in
accordance with [cite the appropriate section number from the current permit and certificate
resolution] on [date].” The modification is certified with an official stamp and signature.
(v) The Management Authority sends a copy of the amended CITES document to the country of
export or re-export and the Secretariat.
(2) Extension of CITES document validity. A Management Authority in the country of import may extend
the validity of an export permit or re-export certificate beyond the normal maximum of 6 months
after the date of issue under the following conditions:
(i)
The shipment has arrived in the port of final destination before the CITES document expires, is
being held in customs bond, and is not considered imported.
(ii) The time extension does not exceed 6 months from the date of expiration of the CITES
document and no previous extension has been issued.
(iii) The Management Authority has included in block 5, or an equivalent place, of the CITES
document the date of arrival and the new date of expiration on the document, and certified the
modification with an official stamp and signature.
(iv) The shipment is imported into the country from the port where the Management Authority
issued the extension and before the amended CITES document expires.
(v) The Management Authority sends a copy of the amended CITES document to the country of
export or re-export and to the Secretariat.
§ 23.74 How can I trade internationally in personal sport-hunted trophies?
(a) U.S. and foreign general provisions. Except as provided for personal and household effects in § 23.15, the
import, export, or re-export of sport-hunted trophies of species listed under CITES must meet the
requirements of this section and the other requirements of this part (see subparts B and C for prohibitions
and application procedures).
50 CFR 23.74(a) (enhanced display)
page 89 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.74(b)
(b) Sport-hunted trophy means a whole dead animal or a readily recognizable part or derivative of an animal
specifically identified on accompanying CITES documents that meets the following criteria:
(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. You may use your sport-hunted trophy after import into the United States as provided in
§ 23.55.
(d) Quantity. The following provisions apply to the issuance and acceptance of U.S. and foreign documents
for sport-hunted trophies originating from a population for which the Conference of the Parties has
established an export quota. The number of trophies that one hunter may import in any calendar year for
the following species is:
(1) No more than two leopard (Panthera pardus) trophies.
(2) No more than one markhor (Capra falconeri) trophy.
(3) No more than one black rhinoceros (Diceros bicornis) trophy.
(e) Marking or tagging.
(1) The following provisions apply to the issuance and acceptance of U.S. and foreign documents for
sport-hunted trophies originating from a population for which the Conference of the Parties has
established an export quota. Each trophy imported, exported, or re-exported must be marked or
tagged in the following manner:
(i)
Leopard and markhor: Each raw or tanned skin must have a self-locking tag inserted through
the skin and permanently locked in place using the locking mechanism of the tag. The tag must
indicate the country of origin, the number of the specimen in relation to the annual quota, and
the calendar year in which the specimen was taken in the wild. A mounted sport-hunted trophy
must be accompanied by the tag from the skin used to make the mount.
(ii) Black rhinoceros: Parts of the trophy, including, but not limited to, skin, skull, or horns, whether
mounted or loose, should be individually marked with reference to the country of origin, species,
the number of the specimen in relation to the annual quota, and the year of export.
(iii) Crocodilians: See marking requirements in § 23.70.
50 CFR 23.74(e)(1)(iii) (enhanced display)
page 90 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.74(e)(1)(iv)
(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). The following provisions apply to the issuance and
acceptance of U.S. and foreign documents for sport-hunted trophies of African elephant. The trophy
ivory must be legibly marked by means of punch-dies, indelible ink, or other form of permanent
marking, under a marking and registration system established by the country of origin, with the
following formula: The country of origin represented by the corresponding two-letter ISO country
code; the last two digits of the year in which the elephant was harvested for export; the serial
number for the year in question; and the weight of the ivory in kilograms. The mark must be
highlighted with a flash of color and placed on the lip mark area. The lip mark area is the area of a
whole African elephant tusk where the tusk emerges from the skull and which is usually denoted by
a prominent ring of staining on the tusk in its natural state.
[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. The import, export, or re-export of specimens of vicuña must meet the
requirements of this section and the other requirements of this part (see subparts B and C of this part for
prohibitions and application procedures). Certain populations of vicuña are listed in Appendix II for the
exclusive purpose of allowing international trade in wool sheared from live vicuñas, cloth made from such
wool, and products manufactured from such wool or cloth. All other specimens of vicuña are deemed to
be specimens of a species included in Appendix I.
(b) Vicuña Convention means the Convenio para la Conservación y Manejo de la Vicuña, of which vicuña
range countries are signatories.
(c) Vicuña logotype means the logotype adopted by the vicuña range countries under the Vicuña Convention.
(d) Country of origin for the purposes of the vicuña label means the name of the country where the vicuña
wool in the cloth or product originated.
(e) Wool sheared from live vicuñas, cloth from such wool, and products manufactured from such wool or cloth
may be imported from Appendix-II populations only when they meet the labeling requirements in
paragraph (f) of this section.
(f) Labeling requirements. Except for cloth containing CITES pre-Convention wool of vicuña, you may import,
export, or re-export vicuña cloth only when the reverse side of the cloth bears the vicuña logotype and the
selvages bear the words “VICUÑA—COUNTRY OF ORIGIN”. Specimens of other products manufactured
from vicuña wool or cloth must bear a label that has the vicuña logotype and the designation
“VICUÑA—COUNTRY OF ORIGIN—ARTESANIA”. Each specimen must bear such a label. For import into the
United States of raw wool sheared from live vicuña, see the labeling requirements in 50 CFR 17.40(m).
[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. Article VIII of the Treaty provides for confiscation or return to the country of export of specimens
that are traded in violation of CITES.
50 CFR 23.78(a) (enhanced display)
page 91 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.78(b)
(b) Disposal options. Part 12 of this subchapter provides the options we have for disposing of forfeited and
abandoned live and dead wildlife and plants. These include maintenance in captivity either in the United
States or in the country of export, return to the wild under limited circumstances, and sale of certain
Appendix-II or -III specimens. Under some conditions, euthanasia or destruction may be necessary.
(1) We use a plant rescue center program to dispose of confiscated live plants. Participants in this
program may also assist APHIS, CBP, and FWS Law Enforcement in holding seized specimens as
evidence pending any legal decisions.
(2) We dispose of confiscated live wildlife on a case-by-case basis at the time of seizure and forfeiture,
and consider the quantity, protection level, and husbandry needs of the wildlife.
(c) Re-export. We may issue a re-export certificate for a CITES specimen that was forfeited or abandoned
when the certificate indicates the specimen was confiscated and when the re-export meets one of the
following purposes:
(1) For any CITES species, the return of a live specimen to the Management Authority of the country of
export, placement of a live specimen in a rescue center, or use of the specimen for law enforcement,
judicial, or forensic purposes.
(2) For an Appendix-II or -III species, the disposal of the specimen in an appropriate manner that benefits
enforcement and administration of the Convention.
(d) Consultation process. FWS and APHIS may consult with the Management Authority in the country of
export or re-export and other relevant governmental and nongovernmental experts before making a
decision on the disposal of confiscated live specimens that have been forfeited or abandoned to the FWS,
APHIS, or CBP.
§ 23.79 How may I participate in the Plant Rescue Center Program?
(a) Purpose. We have established the Plant Rescue Center Program to place confiscated live plants quickly to
prevent physical damage to the plants.
(b) Criteria. Institutions interested in participating in this program must be:
(1) Nonprofit, open to the public, and have the expertise and facilities to care for confiscated exotic plant
specimens. A participating institution may be a botanical garden, arboretum, zoological park,
research institution, or other qualifying institution.
(2) Willing to transfer confiscated plants from the port where they were confiscated to their facilities at
their own expense.
(3) Willing to return the plants to the U.S. Government if the country of export has requested their return.
The U.S. Government will then coordinate the plants' return to the country of export.
(4) Willing to accept and maintain a plant shipment as a unit until it has received authorization from us
to incorporate the shipment into its permanent collection or transfer a portion of it to another
participating institution.
(c) Participation. Institutions wishing to participate in the Plant Rescue Center Program should contact the
U.S. Management Authority (see § 23.7). They must provide a brief description of the greenhouse or
display facilities, the names and telephone numbers of any individuals authorized to accept plants on
50 CFR 23.79(c) (enhanced display)
page 92 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.84
behalf of the institution, and the mailing address where the plants should be sent. In addition, interested
institutions must indicate if they are limited with regard to the type of plants they are able to maintain or
the quantities of plants they can handle at one time.
Subpart G—CITES Administration
§ 23.84 What are the roles of the Secretariat and the committees?
(a) Secretariat. The Secretariat is headed by the Secretary-General. Its functions are listed in Article XII of the
Treaty and include:
(1) Arranging and staffing meetings of the Parties.
(2) Performing functions as requested in relation to listings in the Appendices.
(3) Undertaking scientific and technical studies, as authorized by the CoP, to contribute to
implementation of the Convention.
(4) Studying reports of the Parties and requesting additional information as appropriate to ensure
effective implementation of the Convention.
(5) Bringing to the attention of the Parties matters relevant to the Convention.
(6) Periodically publishing and distributing to the Parties current editions of the Appendices as well as
information on the identification of specimens of species listed in the Appendices.
(7) Preparing annual reports to the Parties on its work and on the implementation of the Convention.
(8) Making recommendations for the implementation of the aims and provisions of the Convention,
including the exchange of scientific and technical information.
(9) Performing other functions entrusted to it by the Parties.
(b) Committees. The Parties have established three committees to provide administrative and technical
support to the Parties and to the Secretariat. The CoP may charge any of these committees with tasks.
(1) The Standing Committee steers the work and performance of the Convention between CoPs.
(i)
This committee oversees development and execution of the Secretariat's budget, advises other
committees, appoints working groups, and carries out activities on behalf of the Parties
between CoPs.
(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
50 CFR 23.84(b)(2)(i) (enhanced display)
page 93 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.84(b)(2)(ii)
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. Article XI of the Treaty provides general guidelines for meetings of the countries that have
ratified, accepted, approved, or acceded to CITES. The Parties currently meet for 2 weeks every 3 years. At
these meetings, the Parties consider amendments to the Appendices and resolutions and decisions to
improve the implementation of CITES. The Parties adopt amendments to the lists of species in Appendix I
and II and resolutions by a two-thirds majority of Parties present and voting. The Secretariat or any Party
may also submit reports on wildlife and plant trade for consideration.
(b) CoP locations and dates. At a CoP, Parties interested in hosting the next meeting notify the Secretariat.
The Parties vote to select the location of the next CoP. Once a country has been chosen, it works with the
Secretariat to set the date and specific venue. The Secretariat then notifies the Parties of the date for the
next CoP.
(c) Attendance at a CoP. All Parties may participate and vote at a CoP. Non-Party countries may participate,
but may not vote. Organizations technically qualified in protection, conservation, or management of
wildlife or plants may participate in a CoP as observers if they are approved, but they are not eligible to
vote.
(1) International organizations must apply to the CITES Secretariat for approval to attend a CoP as an
observer.
(2) National organizations must apply to the Management Authority of the country where they are
located for approval to attend a CoP as an observer.
§ 23.86 How can I obtain information on a CoP?
As we receive information on an upcoming CoP from the CITES Secretariat, we will notify the public either through
published notices in the FEDERAL REGISTER or postings on our website (see § 23.7). We will provide:
(a) A summary of the information we have received with an invitation for the public to comment and provide
information on the agenda, proposed amendments to the Appendices, and proposed resolutions that they
believe the United States should submit for consideration at the CoP.
(b) Information on times, dates, and locations of public meetings.
(c) Information on how international and national organizations may apply to participate as observers.
50 CFR 23.86(c) (enhanced display)
page 94 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.87
§ 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 notices or postings on our website that:
(i)
Solicit recommendations on potential proposals to amend the Appendices, draft resolutions,
and other documents for U.S. submission to the CoP.
(ii) Announce proposals to amend the Appendices, draft resolutions, and other documents that the
United States is considering submitting to the CoP.
(iii) Provide the CoP agenda and a list of the amendments to the Appendices proposed for the CoP,
a summary of our proposed negotiating positions on these items, and the reasons for our
proposed positions.
(4) Consider comments received in response to notices or postings provided in paragraph (a)(3) of this
section.
(b) We submit the following documents to the Secretariat for consideration at the CoP:
(1) Draft resolutions and other documents at least 150 days before the CoP.
(2) Proposals to amend the Appendices at least 150 days before the CoP if we have consulted all range
countries, or 330 days before the CoP if we have not consulted the range countries. For the latter, the
additional time allows for the range countries to be consulted through the Secretariat.
(c) The Director may modify or suspend any of these procedures if they would interfere with the timely or
appropriate development of documents for submission to the CoP and U.S. negotiating positions.
(d) We may receive additional information at a CoP or circumstances may develop that have an impact on our
tentative negotiating positions. As a result, the U.S. representatives to a CoP may find it necessary to
modify, reverse, or otherwise change any of those positions when to do so would be in the best interests
of the United States or the conservation of the species.
§ 23.88 What are the resolutions and decisions of the CoP?
(a) Purpose. Under Article XI of the Treaty, the Parties agree to resolutions and decisions that clarify and
interpret the Convention to improve its effectiveness. Resolutions are generally intended to provide longstanding guidance, whereas decisions typically contain instructions to a specific committee, Parties, or
the Secretariat. Decisions are often intended to be implemented by a specific date, and then they expire.
(b) Effective date. A resolution or decision adopted by the Parties becomes effective 90 days after the last
day of the meeting at which it was adopted, unless otherwise specified in the resolution or decision.
Subpart H—Lists of Species
50 CFR 23.88(b) (enhanced display)
page 95 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.89
§ 23.89 What are the criteria for listing species in Appendix I or II?
(a) Purpose. Article XV of the Treaty sets out the procedures for amending CITES Appendices I and II. A
species must meet trade and biological criteria listed in the CITES resolution for amendment of
Appendices I and II. When determining whether a species qualifies for inclusion in or removal from
Appendix I or II, or transfer from one Appendix to another, we will:
(1) Consult with States, Tribes, range countries, relevant experts, other Federal agencies, and the general
public.
(2) Utilize the best available biological information.
(3) Evaluate that information against the criteria in paragraphs (b) through (f) of this section.
(b) Listing a species in Appendix I. Any species qualifies for inclusion in Appendix I if it is or may be affected
by trade and meets, or is likely to meet, at least one biological criterion for Appendix I.
(1) These criteria are:
(i)
The size of the wild population is small.
(ii) Area of distribution is restricted.
(iii) There is an observed, inferred, or projected marked decline in the population size in the wild.
(2) Factors to be considered include, but are not limited to, population and range fragmentation; habitat
availability or quality; area of distribution; taxon-specific vulnerabilities due to life history, behavior, or
other intrinsic factors, such as migration; population structure and niche requirements; threats from
extrinsic factors such as the form of exploitation, introduced species, habitat degradation and
destruction, and stochastic events; or decreases in recruitment.
(c) Listing a species in Appendix II due to actual or potential threats. Any species qualifies for inclusion in
Appendix II if it is or may be affected by trade and meets at least one of the criteria for listing in Appendix
II based on actual or potential threats to that species. These criteria are:
(1) It is known, or can be inferred or projected, that the regulation of trade is necessary to avoid the
species becoming eligible for inclusion in Appendix I in the near future.
(2) It is known, or can be inferred or projected, that the regulation of trade in the species is required to
ensure that the harvest of specimens from the wild is not reducing the wild population to a level at
which its survival might be threatened by continued harvest or other influences.
(d) Listing a species in Appendix II due to similarity of appearance or other factors. Any species qualifies for
inclusion in Appendix II if it meets either of the criteria for listing in Appendix II due to similarity of
appearance or other factors. These criteria are:
(1) The specimens of the species in the form in which they are traded resemble specimens of a species
listed in Appendix II due to criteria in paragraph (c) of this section or in Appendix I, such that
enforcement officers who encounter specimens of such similar CITES species are unlikely to be able
to distinguish between them.
(2) There are compelling reasons other than those in paragraph (d)(1) of this section to ensure that
effective control of trade in currently listed species is achieved.
50 CFR 23.89(d)(2) (enhanced display)
page 96 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.89(e)
(e) Other issues. We will evaluate any potential changes to the Appendices, taking into consideration other
issues, including but not limited to, split-listing, annotation, listings of higher taxa and hybrids, and specific
listing issues related to plants and commercially exploited aquatic species.
(f) Precautionary measures. We will evaluate any potential transfers from Appendix I to II or removal of
species from the Appendices in the context of precautionary measures.
(g) Proposal. If a Party determines that a taxon qualifies for inclusion in or removal from Appendix I or II, or
transfer from one Appendix to another, a proposal may be submitted to the Secretariat for consideration
by the CoP.
(1) The proposal should indicate the intent of the specific action (such as inclusion in Appendix I or II);
be specific and accurate as to the parts and derivatives to be included in the listing; ensure that any
proposed annotation is consistent with existing annotations; state the criteria against which the
proposal is to be judged; and provide a justification for the basis on which the species meets the
relevant criteria.
(2) The proposal must be in a prescribed format. Contact the U.S. Scientific Authority for a copy (see §
23.7).
§ 23.90 What are the criteria for listing species in Appendix III?
(a) Purpose. Article XVI of the Treaty sets out the procedures for amending Appendix III.
(b) General procedure. A Party may unilaterally, at any time, submit a request to list a species in Appendix III
to the CITES Secretariat. The listing will become effective 90 days after the Secretariat notifies the Parties
of the request.
(c) Criteria for listing. For a Party to list a species in Appendix III, all of the following criteria must be met:
(1) The species must be native to the country listing the species.
(2) The species must be protected under that country's laws or regulations to prevent or restrict
exploitation and control trade, and the laws or regulations are being implemented.
(3) The species is in international trade, and there are indications that the cooperation of other Parties
would help to control illegal trade.
(4) The listing Party must inform the Management Authorities of other range countries, the known major
importing countries, the Secretariat, and the Animals Committee or the Plants Committee that it is
considering the listing and seek their opinions on the potential effects of the listing.
(d) Annotation. The listing Party may annotate the Appendix-III listing to include only specific parts, products,
derivatives, or life stages, as long as the Secretariat is notified of the annotation.
(e) U.S. procedure. The procedure to list a species native to the United States in Appendix III is as follows:
(1) We will consult with and solicit comments from all States and Tribes where the species occurs and
all other range countries.
(2) We will publish a proposed rule in the FEDERAL REGISTER to solicit comments from the public.
(3) If after evaluating the comments received and available information we determine the species
should be listed in Appendix III, we will publish a final rule in the FEDERAL REGISTER and notify the
Secretariat of the listing.
50 CFR 23.90(e)(3) (enhanced display)
page 97 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.90(f)
(f) Removing a species from Appendix III. We will monitor the international trade in Appendix-III species listed
by us and periodically evaluate whether each species continues to meet the listing criteria in paragraph
(c) of this section. We will remove a species from Appendix III provided all of the following criteria are
met:
(1) International trade in the species is very limited. As a general guide, we will consider removal when
exports involve fewer than 5 shipments per year or fewer than 100 individual animals or plants.
(2) Legal and illegal trade in the species, including international trade or interstate commerce, is
determined not to be a concern.
(g) Transferring a species from Appendix III to Appendix I or II. If, after monitoring the trade and evaluating the
status of an Appendix-III species we listed, we determine that the species meets the criteria in § 23.89(b)
through (d) of this section for listing in Appendix I or II, we will consider whether to submit a proposal to
amend the listing at the next CoP.
§ 23.91 How do I find out if a species is listed?
(a) CITES list. The official CITES list includes species of wildlife and plants placed in Appendix I, II, and III in
accordance with the provisions of Articles XV and XVI of the Treaty. This list is maintained by the CITES
Secretariat based on decisions of the Parties. You may access the official list from the CITES website
(see § 23.7).
(b) Effective date. Amendments to the CITES list are effective as follows:
(1) Appendix-I and -II species listings adopted at the CoP are effective 90 days after the last day of the
CoP, unless otherwise specified in the proposal.
(2) Appendix-I and -II species listings adopted between CoPs by postal procedures are effective 120
days after the Secretariat has communicated comments and recommendations on the listing to the
Parties if the Secretariat does not receive an objection to the proposed amendment from a Party.
(3) Appendix-III species listings are effective 90 days after the date the Secretariat has communicated
such listings to the Parties. A listing Party may withdraw a species from the list at any time by
notifying the Secretariat. The withdrawal is effective 30 days after the Secretariat has communicated
the withdrawal to the Parties.
§ 23.92 Are any wildlife or plants, and their parts, products, or derivatives, exempt?
(a) All living or dead wildlife and plants in Appendix I, II, and III and all their readily recognizable parts,
products, and derivatives must meet the requirements of CITES and this part, except as indicated in
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.
(i)
Where an annotation designates what is excluded from CITES requirements, any part, product,
or derivative that is specifically excluded.
(ii) Where an annotation designates what is covered by the Treaty, all parts, products, or derivatives
that are not designated.
50 CFR 23.92(b)(1)(ii) (enhanced display)
page 98 of 99
50 CFR Part 23 (up to date as of 8/21/2023)
Convention on International Trade in Endangered Species of Wild Fauna...
50 CFR 23.92(b)(2)
(2) Plant hybrids. Specimens of an Appendix-II or -III plant taxon with an annotation that specifically
excludes hybrids.
(c) The following are exempt from CITES document requirements when certain criteria are met.
(1) Plant hybrids. Seeds and pollen (including pollinia), cut flowers, and flasked seedlings or tissue
cultures of hybrids that qualify as artificially propagated (see § 23.64) and that were produced from
one or more Appendix-I species or taxa that are not annotated to treat hybrids as Appendix-I
specimens.
(2) Flasked seedlings of Appendix-I orchids. Flasked seedlings of an Appendix-I orchid species that
qualify as artificially propagated (see § 23.64).
(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 as provided in § 23.39(d).
(4) Coral sand and coral fragments as defined in § 23.5.
(5) Personal and household effects as provided in § 23.15.
(6) Urine, feces, and synthetically derived DNA as provided in § 23.16.
(7) Certain wildlife hybrids as provided in § 23.43.
[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30429, May 27, 2014]
50 CFR 23.92(c)(7) (enhanced display)
page 99 of 99
| File Type | application/pdf |
| File Modified | 0000-00-00 |
| File Created | 0000-00-00 |