#### § 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)](/on/2024-09-20/title-50/section-23.23#p-23.23(e)(3)) or when a shipment is in transit (see [§ 23.22](/on/2024-09-20/title-50/section-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](/on/2024-09-20/title-50/section-23.23) through [23.25](/on/2024-09-20/title-50/section-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 implementation | The Party issuing the CITES document is not subject to any action under Article VIII or 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](/on/2024-09-20/title-50/section-23.73) for certain timber species. |
| (7) Fraudulent CITES document or CITES document containing false information | The CITES document is authentic and does not contain erroneous or misleading 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](/on/2024-09-20/title-50/section-23.9)) or the *International Air Transport Association Perishable Cargo Regulations* (for plants) (incorporated by reference, see [§ 23.9](/on/2024-09-20/title-50/section-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](/on/2024-09-20/title-50/section-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) Non-detriment | 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](/on/2024-09-20/title-50/section-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-collected specimen | A wild-collected specimen (indicated on the CITES document with a source code of “W”) 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 non-Party. 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](https://www.federalregister.gov/citation/72-FR-48448), Aug. 23, 2007, as amended at [79 FR 30423](https://www.federalregister.gov/citation/79-FR-30423), May 27, 2014; [87 FR 10080](https://www.federalregister.gov/citation/87-FR-10080), Feb. 23, 2022]