#### § 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](/on/2024-09-20/title-50/section-23.92)). If one of the exemptions does not apply to the specimen, you must obtain a CITES document as provided in [paragraph (e)](/on/2024-09-20/title-50/section-23.20#p-23.20(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 | CITES exemption document | Section |
| --- | --- | --- | --- |
| (1) Artificially propagated plant (see [paragraph (d)(4)](/on/2024-09-20/title-50/section-23.20#p-23.20(d)(4)) of this section for an Appendix-I plant propagated for commercial purposes) | I, II, or III | CITES document with source code “A”1 | 23.40 |
| (2) Artificially propagated plant from a country that has provided copies of the certificates, stamps, and seals to the Secretariat | II or III | Phytosanitary certificate with CITES statement1 | 23.23(f) |
| (3) Bred-in-captivity wildlife (see [paragraph (d)(5)](/on/2024-09-20/title-50/section-23.20#p-23.20(d)(5)) of this section for Appendix-I wildlife bred in captivity for commercial purposes) | I, II, or III | CITES document with source code “C”1 | 23.41 |
| (4) Commercially propagated Appendix-I plant | I | CITES document with source code “D”1 | 23.47 |
| (5) Commercially bred Appendix-I wildlife from a breeding operation registered with the CITES Secretariat | I | CITES document with source code “D”1 | 23.46 |
| (6) Export of certain marine specimens protected under a pre-existing treaty, convention, or international agreement for that species | II | CITES document indicating that the specimen was taken in accordance with provisions of the applicable treaty, convention, or international agreement | 23.36(e) 23.39(e) |
| (7) Hybrid plants | I, II, or III | CITES document unless the specimen qualifies as an exempt plant hybrid | 23.42 |
| (8) Hybrid wildlife | I, II, or III | CITES document unless the specimen qualifies as an exempt wildlife hybrid | 23.43 |
| (9) In-transit shipment (see [paragraph (d)(14)](/on/2024-09-20/title-50/section-23.20#p-23.20(d)(14)) of this section for sample collections covered by an ATA carnet) | I, II, or III | CITES document designating importer and country of final destination | 23.22 |
| (10) Introduction from the sea under a pre-existing treaty, convention, or international agreement for that species | II | Document required by applicable treaty, convention, or international agreement, if appropriate | 23.39(d) |
| (11) Noncommercial loan, donation, or exchange of specimens between scientific institutions registered with the CITES Secretariat | I, II, or III | A label indicating CITES and the registration codes of both institutions and, in the United States, a CITES certificate of scientific exchange that registers the 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](/on/2024-09-20/title-50/section-23.46) and [23.47](/on/2024-09-20/title-50/section-23.47)). | | | |

(e) *Import permits, export permits, re-export certificates, and certificates of origin.* Unless one of the exemptions under [paragraph (d)](/on/2024-09-20/title-50/section-23.20#p-23.20(d)) of this section or [§ 23.92](/on/2024-09-20/title-50/section-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](/on/2024-09-20/title-50/section-23.35)) and either an export permit ([§ 23.36](/on/2024-09-20/title-50/section-23.36)) or re-export certificate ([§ 23.37](/on/2024-09-20/title-50/section-23.37)) |
| II | Export permit ([§ 23.36](/on/2024-09-20/title-50/section-23.36)) or re-export certificate ([§ 23.37](/on/2024-09-20/title-50/section-23.37)) |
| III | Export permit ([§ 23.36](/on/2024-09-20/title-50/section-23.36)) if the specimen originated in a country that listed the species; certificate of origin ([§ 23.38](/on/2024-09-20/title-50/section-23.38)) if the specimen originated in a country other than the listing country, unless the listing annotation indicates otherwise; or re-export certificate for all re-exports ([§ 23.37](/on/2024-09-20/title-50/section-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)](/on/2024-09-20/title-50/section-23.20#p-23.20(d)(10)) of this section applies (see [§ 23.39](/on/2024-09-20/title-50/section-23.39)). The export of a specimen that was previously introduced from the sea will be treated as an export (see [§ 23.36](/on/2024-09-20/title-50/section-23.36) for export, [§ 23.36(e)](/on/2024-09-20/title-50/section-23.36#p-23.36(e)) and [§ 23.39(e)](/on/2024-09-20/title-50/section-23.39#p-23.39(e)) for export of exempt specimens, or [§ 23.37](/on/2024-09-20/title-50/section-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](/on/2024-09-20/title-50/section-23.36)) if the export is from the country that listed the species in Appendix III, a certificate of origin ([§ 23.38](/on/2024-09-20/title-50/section-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](/on/2024-09-20/title-50/section-23.37)).