#### § 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.

(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)](/on/2024-09-20/title-50/section-23.36#p-23.36(c)) apply to the issuance and acceptance of U.S. and foreign export permits except as provided for certain marine specimens in [paragraph (d)](/on/2024-09-20/title-50/section-23.36#p-23.36(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 | | | Section |
| --- | --- | --- | --- | --- |
| I | II | III |
| (1) The wildlife or plant was legally acquired. | Yes | Yes | Yes | 23.60 |
| (2) The proposed export would not be detrimental to the survival of the species. | Yes | Yes | n/a | 23.61 |
| (3) An import permit has already been issued or the Management Authority of the importing country has confirmed that it will be issued. | Yes | n/a | n/a | 23.35 |
| (4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the CoP. | Yes | Yes | Yes | 23.23 |
| (5) Live wildlife or plants will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen. | Yes | Yes | Yes | 23.23 |
| (6) The specimen originated in a country that listed the species. | n/a | n/a | Yes | 23.20 |
| (7) For wildlife with the source code “W” or “F,” the export is for noncommercial purposes. (See [§ 23.46](/on/2024-09-20/title-50/section-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)](/on/2024-09-20/title-50/section-23.36#p-23.36(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)](/on/2024-09-20/title-50/section-23.36#p-23.36(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)](/on/2024-09-20/title-50/section-23.36#p-23.36(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)](/on/2024-09-20/title-50/section-23.36#p-23.36(d)) of this section you must provide sufficient information for us to find that your proposed export meets all of the following issuance criteria:

(1) The specimen was taken in accordance with the provisions of an applicable international treaty, convention, or agreement that was in force on July 1, 1975.

(2) The scientific name of the CITES species is in the standard nomenclature in the CITES Appendices or references adopted by the CoP (see [§ 23.23](/on/2024-09-20/title-50/section-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](https://www.federalregister.gov/citation/72-FR-48448), Aug. 23, 2007, as amended at [79 FR 30424](https://www.federalregister.gov/citation/79-FR-30424), May 27, 2014]