#### § 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.

(c) *Criteria.* The criteria in this [paragraph (c)](/on/2024-09-20/title-50/section-23.39#p-23.39(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 specimen | | Section |
| --- | --- | --- | --- |
| I | II |
| (1) The specimen was taken in the marine environment not under the jurisdiction of any country. | Yes | Yes | - |
| (2) The proposed introduction from the sea would not be detrimental to the survival of the species. | Yes | Yes | 23.61 |
| (3) The specimen will not be used for primarily commercial purposes. | Yes | n/a | 23.62 |
| (4) The recipients are suitably equipped to house and care for live wildlife or plants. | Yes | n/a | 23.65 |
| (5) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the CoP. | Yes | Yes | 23.23 |
| (6) Live wildlife or plants will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen. | Yes | Yes | 23.23 |

(d) *Exemption.* As allowed under Article XIV(4) and (5) of the Treaty, you may directly introduce into the United States any Appendix-II wildlife or plant taken in the marine environment that is not under the jurisdiction of any country without a CITES document when all of the following conditions are met:

(1) The United States is a party to an international treaty, convention, or agreement that affords protection to the species and was in force on July 1, 1975.

(2) The ship that harvested the specimen is registered in the United States.

(3) The specimen was taken in accordance with the other international treaty, convention, or agreement, including any quotas.

(4) The shipment is accompanied by any official document required under the other international treaty, convention, or agreement or otherwise required by U.S. law.

(e) *Export of exempt specimens.* To export a specimen exempted under [paragraph (d)](/on/2024-09-20/title-50/section-23.39#p-23.39(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)](/on/2024-09-20/title-50/section-23.36#p-23.36(e)) through [(g)](/on/2024-09-20/title-50/section-23.36#p-23.36(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)](/on/2024-09-20/title-50/section-23.20#p-23.20(f))).