U.S. Fish & Wildlife Service

What is CITES and how does it apply to

me?

The Convention on International Trade in

Endangered Species of Wild Fauna and

Flora (CITES) protects many species of

animals and plants to ensure that

commercial demand does not threaten

their survival in the wild. It regulates

trade in listed species and hybrids,

including parts and products, through a

system of permits. The Division of

Management Authority processes

applications for CITES permits for the

United States. Under CITES, a species

is listed at one of three levels of

protection, which have different permit

requirements.

! Appendix I includes species presently

threatened with extinction that are or

may be affected by trade. CITES

directs its most stringent controls at

activities involving these species.

! Appendix II includes species that are

not presently threatened with

extinction but may become so if not

regulated.

! Appendix III includes species listed

by a range country to obtain

international cooperation in

controlling trade.

What CITES documents are required?

! Import

The import of Appendix-I specimens

requires both import and export

permits. An import permit may be

granted when the purpose of the

import will not be detrimental to the

species’ survival, is not primarily

commercial, and the importer is

suitably equipped to house and care

for live animals and plants.

No import permit is required for

Appendix-II or -III specimens, or for

CITES Permits and

Certificates

specimens that quality for other

certificates (see below).

! Export

The export of Appendix-I and -II

specimens requires an export permit.

Such a permit may be granted when

the export will not be detrimental to

the species’ survival and specimens

were legally acquired.

For Appendix-III species originating

from the country that listed it, an

export permit is required. An export

permit may be granted when the

Management Authority determines

that the specimens were not obtained

in contravention of that country’s laws

for the protection of animals and

plants.

! Re-export

A re-export certificate is required for

the export of CITES-listed specimens

that were previously imported,

including items subsequently

converted to manufactured goods. A

certificate may be issued when

evidence of legal import has been

provided. If you were the original

importer of the wildlife or plant, you

need to provide a copy of the canceled

CITES permit that accompanied the

shipment into the United States and,

for animal specimens, the cleared

Declaration for Importation (Form 3-

177) for that shipment. If you were not

the importer, you must provide copies

of the importer’s documents, as well

as documents that show you

purchased the wildlife or plant from

the original importer, or a record of

sequential transactions.

! Introduction from the Sea

An introduction from the sea

certificate is required for the import of

Appendix-I or -II specimens taken on

Blue & gold macaw

© Corel
the high seas outside of any country’s

jurisdiction.

! Pre-Convention Certificate

If a specimen was obtained prior to

the CITES listing date of that

species—collected from the wild or

held in captivity—it may be granted a

pre-Convention certificate that will

allow for the specimen to be exported.

For Appendix-I specimens, no CITES

import permit is required.

! Bred-in-captivity Certificate or

Certificate for Artificially

Propagated Plants

If a species meets the criteria for

bred-in-captivity or artificially

propagated as outlined in CITES

resolutions, the exporting country

may issue an exemption certificate

(bred-in-captivity facts sheet is

available). For Appendix-I specimens,

no CITES import permit is required.

! Scientific Exchange Certificate:

Scientific institutions are eligible for

this certificate, which authorizes

import and export of museum and

herbarium specimens. Such

specimens must be shipped as noncommercial loans, donations, or

exchanges among scientific

institutions registered with CITES.

! Certificate of Origin:

For Appendix-III specimens that

originated from a country other than

the listing country, a certificate of

origin is needed to export the

specimen. A certificate can be issued if

the specimen was legally obtained

within the exporting country.

What about shipping live animals and

plants?

Permits for the shipment of CITESlisted live animals or plants may be

issued only when the applicant

demonstrates that the specimen will be

humanely shipped. Live animal

shipments must meet the International

Air Transport Association (IATA) Live

Animals Regulations or the CITES

guidelines for transport. In addition, the

import of live mammals and birds must

meet the humane shipment regulations

in 50 CFR Part 14.

What exceptions are there to permit

requirements?

! In-transit Shipments:

Under CITES, a shipment transiting

a country must be accompanied by a

CITES permit from the exporting

country to its final destination. The

shipment must remain under

Customs bond. Check with other

countries involved in the shipment to

meet their requirements.

! Shipments within the United States:

CITES imposes no controls on

shipments between States or U.S.

territories, including the District of

Columbia, Guam, Commonwealth of

Puerto Rico, Commonwealth of the

Northern Mariana Islands, U.S.

Virgin Islands, and American Samoa.

! Personal or Household Effects:

The United States recognizes the

CITES personal and household

effects exemption for wildlife and

plants, or their parts and products,

when the import or export is part of a

household move or accompanying the

owner and intended for personal use

(does not include specimens mailed or

shipped separately). This applies only

under the following conditions:

! Appendix-II and -III specimens

may be imported and exported

without CITES documents, provided

the foreign country does not require a

CITES permit.

! Appendix-I specimens may be

exported by a U.S. resident without

CITES documents, provided the

foreign country does not require a

CITES permit. Appendix-I specimens

acquired abroad by individuals outside

their country of usual residence may

not be imported into the United States

without CITES permits.

What foreign documentation might I

need from a country that is not a

member of CITES?

If you are importing CITES-listed

wildlife or plants, or their parts and

products, from a country that is not a

Party (member) to CITES, you must

obtain documents that contain all the

information normally required by

CITES.

How do I apply for a CITES permit or

certificate?

1. Complete a standard application form

(3-200) and submit it with a processing

fee to the Division of Management

Authority. Allow at least 60 days for

review.

2. Contact your State wildlife or plant

conservation agency and the CITES

Management Authority of the foreign

importing or exporting country to

determine any additional requirements.

(Visit the CITES Secretariat’s website

at www.cites.org.)

3. Some CITES-listed species are also

protected by other U.S. laws with more

stringent permit requirements, i.e.,

Endangered Species Act, Marine

Mammal Protection Act, and Wild Bird

Conservation Act.

U.S. Fish & Wildlife Service

International Affairs

Division of Management Authority

4401 N. Fairfax Drive, Room 700

Arlington, VA 22203

703/358-2104 or 800/358-2104

Fax 703/358-2281

e-mail: managementauthority@fws.gov

http://international.fws.gov

http://permits.fws.gov

Roddy Gabel/USFWS Summer 2003