48402 Federal Register / Vol. 72, No. 163 / Thursday, August 23, 2007 / Rules and Regulations 

DEPARTMENT OF THE INTERIOR 

Fish and Wildlife Service 

50 CFR Parts 10, 13, 17, and 23 

RIN 1018-AD87 

Revision of Regulations Implementing 

the Convention on International Trade 

in Endangered Species of Wild Fauna 

and Flora (CITES) 

AGENCY: Fish and Wildlife Service, 

Interior. 

ACTION: Final rule. 

SUMMARY: In this final rule, we, the Fish 

and Wildlife Service (FWS), revise the 

regulations that implement the 

Convention on International Trade in 

Endangered Species of Wild Fauna and 

Flora (CITES), a treaty that regulates 

international trade in certain protected 

species. CITES uses a system of permits 

and certificates to help ensure that 

international trade is legal and does not 

threaten the survival of wildlife or plant 

species in the wild. In this final rule, we 

have retained most of the general 

information in the current 50 CFR part 

23, but reorganized the sections and 

added provisions from certain 

applicable resolutions and decisions 

adopted by the CITES Conference of the 

Parties (CoP) at its second through 

thirteenth meetings (CoP2 – CoP13). The 

revised regulations will help us more 

effectively promote species 

conservation, continue to fulfill our 

responsibilities under the Treaty, and 

help those affected by CITES to 

understand how to conduct lawful 

international trade in CITES species. 

DATES: This regulation is effective 

September 24, 2007. Incorporation by 

reference of CITES’s Guidelines for 

transport and preparation for shipment 

of live wild animals and plants and the 

International Air Transport Association 

Live Animals Regulations listed in this 

rule is approved by the Director of the 

Federal Register as of September 24, 

2007. 

FOR FURTHER INFORMATION CONTACT: 

Chief, Division of Management 

Authority, Fish and Wildlife Service, 

4401 North Fairfax Drive, Room 700, 

Arlington, Virginia 22203; telephone, 

(703) 358-2093; fax, (703) 358-2280; or 

email, managementauthority@fws.gov. 

SUPPLEMENTARY INFORMATION: 

What Acronyms and Abbreviations Are 

Used in This Rule? 

AECA African Elephant Conservation Act 

(16 U.S.C. 4201-4245) 

APHIS U.S. Department of Agriculture, 

Animal and Plant Health Inspection 

Service 

ATA A combination of the French and 

English words ‘‘Admission temporaire/ 

Temporary Admission’’ used in the name 

of a type of international customs 

document, the ATA carnet 

CITES Convention on International Trade 

in Endangered Species of Wild Fauna and 

Flora, also referred to as the Convention or 

Treaty 

CBP Department of Homeland Security, 

U.S. Customs and Border Protection 

CFR Code of Federal Regulations 

CoP Conference of the Parties or a meeting 

of the Conference of the Parties 

ESA Endangered Species Act of 1973, as 

amended (16 U.S.C. 1531 et seq.) 

FOIA Freedom of Information Act (5 U.S.C. 

552) 

FWS U.S. Fish and Wildlife Service 

IATA LAR International Air Transport 

Association Live Animals Regulations 

ISO International Organization for 

Standardization 

USDA U.S. Department of Agriculture 

WBCA Wild Bird Conservation Act (16 

U.S.C. 4901 et seq.) 

Background 

CITES was negotiated in 1973 in 

Washington, DC, at a conference 

attended by delegations from 80 

countries. The United States ratified the 

Treaty on September 13, 1973, and it 

entered into force on July 1, 1975, after 

the required 10 countries had ratified it. 

Section 8A of the ESA, as amended in 

1982, designates the Secretary of the 

Interior as the U.S. Management 

Authority and U.S. Scientific Authority 

for CITES. These authorities have been 

delegated to the FWS. The U.S. 

regulations implementing CITES took 

effect on May 23, 1977 (42 FR 10465, 

February 22, 1977), after the first CoP 

was held. The CoP meets every 2 to 3 

years to vote on proposed resolutions 

and decisions that interpret and 

implement the text of the Treaty and on 

amendments to the listing of species in 

the CITES Appendices. Currently 171 

countries have ratified, accepted, 

approved, or acceded to CITES; these 

countries are known as Parties. 

Proposed rule and comments 

received: We published a proposed rule 

on April 19, 2006 (71 FR 20167), to 

revise the regulations that implement 

CITES. We accepted public comments 

on the proposed rule for 60 days, until 

June 19, 2006. In response to several 

requests from the public, we reopened 

the public comment period for an 

additional 30 days on June 28, 2006 (71 

FR 36742). The 2006 proposed rule was 

a reproposal of revisions proposed on 

May 8, 2000 (65 FR 26664), which were 

not finalized. We summarized and 

addressed comments received on the 

2000 proposal in the 2006 proposed 

rule. Please refer to the preamble to the 

April 19, 2006, proposed rule for a 

discussion of those comments. 

We received 344 letters in response to 

the 2006 proposed rule (71 FR 20167). 

We received comments from 

individuals, organizations, and State 

natural resource agencies. Of the 

comments we received, 240 letters were 

from Bengal cat enthusiasts and 

breeders, 33 were from State natural 

resource agencies and regional 

associations, 21 were from falconers and 

falconer organizations, and 13 were 

from fur trapper organizations. 

Resolution consolidation and 

incorporation: Since 1976, the Parties 

have adopted 256 resolutions or 

revisions to resolutions. In 1994, the 

Parties began an effort to consolidate 

some of these resolutions. Some 

resolutions were no longer relevant, and 

others needed to be combined because 

several resolutions were adopted at 

different CoPs on the same or similar 

subjects. As a result of this process, 

there are currently 78 resolutions in 

effect. This rule incorporates certain of 

these consolidated resolutions, as 

appropriate and relevant to U.S. 

implementation of the Treaty. We cite 

the current numbers of resolutions since 

previous resolutions have been 

renumbered. This allows the reader to 

easily access the documents currently in 

effect on the CITES website (http:// 

www.cites.org). 

Stricter national measures: Article 

XIV of the Treaty explicitly recognizes 

the rights of Parties to adopt stricter 

national measures to restrict or prohibit 

trade, taking, possession, or transport of 

any wildlife or plant species. Resolution 

Conf. 11.3 (Rev. CoP13) recommends 

that Parties make use of stricter national 

measures if they have determined ‘‘that 

an Appendix-II or -III species is being 

traded in a manner detrimental to the 

survival of that species’’ or is being 

‘‘traded in contravention of the laws of 

any country involved in the 

transaction.’’ The United States has 

adopted stricter national measures, such 

as the ESA, Marine Mammal Protection 

Act (16 U.S.C. 1361-1407), and Lacey 

Act Amendments of 1981 (16 U.S.C. 

3371-3378). 

As outlined in the preamble to CITES, 

‘‘peoples and States are and should be 

the best protectors of their own wild 

fauna and flora.’’ CITES recognizes the 

sovereign right of a country to regulate 

trade by passing stricter national 

measures to help in the conservation of 

species. Under CITES, an exporting 

country does not have a sovereign right 

to override an importing country’s laws. 

When a Party sends information to the 

Secretariat on how its stricter national 

measures will affect trade in CITES 


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species, the Secretariat provides that 

information to other Parties through a 

notification. These notifications are 

available to the public on the CITES 

website (see § 23.7). 

Plain language: We used plain 

language in writing these regulations to 

make them clearer and easier to use. We 

believe the regulations use an 

appropriate level of language to lay out 

the technical requirements of a 

multilateral treaty. 

General comments: A number of 

commenters commended us for revising 

the U.S. CITES implementing 

regulations and also provided comments 

on specific sections of the 2006 

proposed rule (71 FR 20167). We have 

addressed comments specific to a 

particular section in the appropriate 

section of this preamble. One State 

agricultural agency noted that, for the 

aquaculture industry in that State, our 

changes will help simplify and clarify 

the documentation process for dealing 

with CITES species. 

One commenter expressed general 

opposition to international trade in 

wildlife. We appreciate the comment, 

but we will not address it here as it is 

outside the scope of this rulemaking. 

Another commenter suggested 

changes to specific clearance procedures 

at a port of entry. Those comments were 

outside the scope of this rule, and we 

encourage the commenter to provide 

input when the FWS proposes changes 

to 50 CFR part 14, which includes the 

specific clearance procedures pertaining 

to the import, export, and transport of 

wildlife. 

One commenter asked that we 

establish a ‘‘compliance service’’ where 

individuals could receive assistance in 

filling out and filing the required forms 

and documents. The commenter noted 

that the IRS provides such a service and 

that we should do the same. We believe 

that such assistance already exists on 

our website, where we provide 

information to guide applicants through 

the required agency permits, answer 

frequently asked questions, and direct 

them to the relevant offices for specific 

information. In addition, applicants can 

request information and permit 

application forms from the U.S. 

Management Authority and wildlife 

inspection offices. See § 23.7 for contact 

information. 

One commenter argued that all 

applications for trade in Appendix-I and 

-II species should be subject to public 

notice and review. We disagree. Most of 

the applications we receive involve 

commonly traded Appendix-II species. 

As outlined in this rule, the FWS has 

established specific procedures for 

making the required determinations 

under CITES. We do not believe that 

requesting public comments on all 

applications involving CITES species 

would provide a greater level of insight 

or provide information that is not 

already available to us. 

One commenter recommended adding 

a provision that would allow for 

disclosures to be made without penalty 

and offered the example of identifying 

merchandise that should have been 

declared but was not discovered until 

after the shipment was imported. We 

did not accept this recommendation 

because we believe such a provision 

would undermine our enforcement 

efforts and our obligations under CITES. 

We treat specimens traded contrary to 

CITES the same as other forms of 

illegally acquired goods. A specimen 

that has been traded contrary to CITES 

becomes contraband at the time it enters 

the jurisdiction of the United States. 

One commenter argued that the 

regulations should allow for electronic 

submission of CITES information and 

payment of permitting fees. We 

recognize the need to keep pace with 

technology and are actively pursuing an 

electronic interface in partnership with 

other Federal agencies to streamline 

CITES procedures for the trade 

community. We are also working on an 

electronic permitting system that would 

allow submission of applications for 

CITES documents and applicable fees. 

Nothing in these regulations would 

prevent us from allowing electronic 

submission when we have the 

technology in place. 

Section-by-Section Analysis 

The following parts of the preamble 

explain the final rule, discuss the 

substantive issues of sections for which 

we received comments, outline 

significant changes from the 2006 

proposed rule (71 FR 20167), and 

provide responses to public comments. 

What Are the Changes to 50 CFR Parts 

10, 13, and 17? 

Definitions (§ 10.12): We provide a 

definition of the United States to 

correctly reflect areas under U.S. 

jurisdiction. One commenter suggested 

that the term United States be replaced 

with regulated territory because of 

potential confusion due to more 

common meanings of the term. United 

States is the term consistently used in 

conservation statutes administered by 

the FWS to define the jurisdictional 

scope of the statute. We believe that 

consistency between the term used in 

these regulations and the term used by 

Congress will reduce, not increase, 

confusion. 

Application procedures (§ 13.11): As 

noted in our final rule on FWS permit 

fees (70 FR 18311), we will not charge 

a fee to any Federal, tribal, State, or 

local government agency. Therefore, we 

will not charge a fee to a State or Tribe 

seeking to gain approval of a CITES 

export program. We also will not charge 

a fee to add an institution to the Plant 

Rescue Center Program because this is a 

voluntary program designed to place 

live plant specimens that have been 

confiscated upon import or export, and 

thereby helps the United States fulfill its 

CITES implementing responsibilities. 

Thirty-five commenters, representing 

individual State natural resource 

agencies, State natural resource agency 

organizations, and trapper 

organizations, supported not requiring 

application fees to establish a CITES 

export program. One commenter 

opposed our decision not to charge a fee 

to government agencies seeking 

approval of a CITES export program. It 

is our longstanding policy not to charge 

a fee to Federal, tribal, State, or local 

governments. Another commenter stated 

that fees should be raised to reflect the 

actual value of the wildlife specimen in 

trade and that no applicant should be 

exempt from paying an application fee. 

Thirteen trapper organizations did not 

agree that small-scale trappers should be 

charged permit application fees. In 

addition, one commenter argued that 

publicly supported, nonprofit 

conservation organizations should be 

exempt from any application fees. The 

FWS fee structure is based on the nature 

of the activities being permitted, as well 

as the level of complexity and the time 

required to process applications and 

maintain active permit files. For further 

discussion of our application fees see 70 

FR 18311, April 11, 2005. 

U.S. address for permit applicants (§ 

13.12): This section requires an 

applicant to provide an address within 

the United States when applying for a 

permit. In a number of situations, a 

business or an individual in a foreign 

country may request a CITES document 

from us for a shipment the entity owns 

but is shipping out of the United States. 

We cannot issue the CITES document 

showing the exporter’s foreign address 

for items that are leaving the United 

States. Foreign visitors who are 

requesting a CITES document may 

provide a temporary address, such as a 

hotel, since they do not permanently 

reside within the United States. 

For commercial activities conducted 

by applicants who reside or are located 

outside of the United States, the name 

and address of the commercial entity’s 

agent in the United States must be 

included. We consider any transaction 


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involving a seller and a buyer, or any 

retail or wholesale transaction that 

provides a valuable consideration in 

exchange for the transfer of a wildlife or 

plant specimen as a commercial 

activity. However, we do not consider a 

hunter who exports his or her personal 

sport-hunted trophy to be involved in a 

commercial activity under this section. 

Two commenters agreed with these 

requirements, but one of them suggested 

that, for non-resident applicants who 

could only provide a temporary address, 

we should also require their permanent 

address in their country of residence, as 

well as a permanent U.S. address of an 

agent or attorney. We require a 

permanent U.S. address for the 

applicant’s agent for commercial 

transactions. We do not require a foreign 

address for noncommercial transactions. 

However, most noncommercial 

transactions carried out by non-U.S. 

residents consist of personal effects or 

personally hunted trophies that are 

being sent to the individual’s home, and 

the applicant’s foreign address is 

typically included on the application. 

One commenter asked that we clarify 

that the U.S. address does not need to 

be a domiciliary address or residence. 

For U.S. residents who are applying as 

individual applicants, the address they 

provide must be the physical address of 

their residence. In some cases, however, 

for permits for personal or household 

effects being held in the United States 

pending issuance of a permit, the U.S. 

address may be a relative, the storage 

facility, or the agent. For organizations 

or companies applying for a permit, we 

require the company’s physical address 

where the records regarding the 

application are maintained. 

One commenter recommended that 

the requirements of 50 CFR 13.12 be 

brought into compliance with CBP’s 

Filing Identification Number (FIN) (19 

CFR 24.5). We did not accept this 

suggestion. The CBP Filing 

Identification Number is associated with 

account-based import activities specific 

to the importing requirements of CBP. 

The application process carried out by 

the FWS is a transactional-based activity 

that requires the identification of both 

companies and individuals. In addition, 

we do not have access to CBP’s database 

that contains the FIN data, and therefore 

we could not utilize the system on a 

daily basis, as would be required to 

carry out our permitting process. 

Continuation of permitted activity 

during renewal (§ 13.22(c)): This 

paragraph sets out the general permit 

procedures that allow continuation of 

the permitted activity after the 

submission of an application for 

renewal. The regulations in 50 CFR part 

13 follow the Administrative Procedure 

Act (5 U.S.C. 558(c)). We received one 

comment suggesting that all businesses 

should be required to renew permits 

before they expire. For an activity of a 

continuing nature, when a permittee has 

made timely and sufficient application 

for renewal of a permit, the permit does 

not expire until the agency has made a 

final determination on the application. 

CITES documents, however, do not 

cover an activity of a continuing nature 

and are considered void upon 

expiration. This section clarifies that a 

permittee may not use a CITES 

document once it has expired. For other 

permits of a continuing nature, 

however, we have retained the process 

that allows the permittee to conduct 

permitted activities during renewal if 

the conditions outlined in 50 CFR part 

13 are met. One commenter supported 

this approach. Another commenter 

thought we should allow an extension 

of the period of validity of CITES 

documents after they have expired, 

while the renewal process is underway. 

The commenter did not believe that the 

Treaty or current resolutions support 

our policy not to allow extensions. We 

disagree. Article VI of the Treaty and 

Resolution Conf. 12.3 (Rev. CoP13) 

provide specific periods of validity for 

most permits and certificates. In 

addition, Resolution Conf. 12.3 (Rev. 

CoP13) states that, once a CITES 

document has expired, the permit or 

certificate is void. While the resolution 

does not address a period of validity for 

all of the certificates discussed, for 

consistency, we have established 

specific periods of validity for each type 

of CITES document (see § 23.54). CITES 

documents that have not been used may 

be reissued. However, permittees must 

contact us prior to the expiration date, 

return the unused permit, and give us 

sufficient time to review the reissuance 

request and issue a new permit or 

certificate. 

Maintenance of records (§ 13.46): 

Permittees are required to maintain 

records. However, our authority to 

inspect records is limited to areas 

within the United States. Therefore, to 

ensure that we are able to carry out our 

responsibility to inspect records when 

necessary, § 13.46 outlines the 

requirement that permittees who reside 

or are located in the United States, as 

well as permittees who reside or are 

located outside the United States but are 

conducting commercial activities within 

the United States, maintain records in 

this country. We received 31 comments 

in support of this change. One of these 

commenters also recommended that we 

establish a timeframe during which 

permittees must maintain records. A 

timeframe of 5 years is already codified 

in § 13.46. However, as discussed under 

§ 23.34, since we must make specific 

findings based on information provided 

primarily by an applicant, it may be 

advisable to maintain records for longer 

than 5 years in some cases (see 

discussion on § 23.34). 

Import exemption for threatened, 

Appendix-II wildlife (§ 17.8): This 

section puts into regulation the 

exemption under the ESA, section 

9(c)(2), for import of CITES AppendixII wildlife that is also classified as 

threatened under the ESA, when the 

taking and export meet the provisions of 

CITES and the import is not made in the 

course of a commercial activity. This 

ESA provision only exempts the import 

prohibitions; it does not exempt 

acquisition in foreign commerce in the 

course of a commercial activity. 

Therefore, we require both the 

acquisition and import to be 

noncommercial because we consider 

any transfer of a specimen in pursuit of 

gain or profit to be a commercial 

activity. Thus, a person who is 

importing a specimen under this 

provision must provide documentation 

to the FWS at the time of import that 

shows the specimen was not acquired in 

foreign commerce in the course of a 

commercial activity. This exemption 

does not apply to species that have a 

special rule in 50 CFR part 17. 

Two commenters voiced their support 

for this section. Another commenter 

argued that the exemption for certain 

threatened species that are also listed in 

Appendix II is inconsistent with the 

ESA. As we discussed in the 2006 

proposed rule (71 FR 20167), Congress 

provided this exemption, and we 

believe that this section accurately 

implements it. 

One commenter suggested that we 

add a definition of ‘‘in the course of a 

commercial activity.’’ As noted by the 

commenter, commercial activity is 

defined in section 3 of the ESA. 

Therefore, we do not believe it is 

necessary to define the full term ‘‘in the 

course of a commercial activity.’’

This same commenter suggested that 

a purchase for scientific use, such as an 

acquisition by a museum, should be 

covered by the exemption under 17.8(b) 

and that the exemption should apply to 

any specimen used for science as long 

as the collection and sale are legal in the 

country of origin. We disagree. The 

exemption under section 9(c)(2) of the 

ESA applies only if the importation is 

not made in the course of a commercial 

activity, regardless of who is 

commercializing the specimen. Many 

imports for scientific use are likely to 

meet the exemption, but the purchase of 


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a specimen for scientific use is likely to 

qualify as commercial and thus require 

issuance of an ESA permit prior to 

importation. 

Two commenters asserted that the 

requirement for documentation is overly 

broad and suggested that the FWS 

describe the type of documentation that 

would be acceptable. Because of the 

wide variety of imports that may 

qualify, and to provide flexibility to the 

importer, we did not list what form of 

documentation would be required. We 

will accept any documentation from the 

importer regarding the acquisition of the 

specimen that shows that it was not 

acquired in foreign commerce in the 

course of commercial activity. Such 

documentation may include, for 

example: proof of a personal sport hunt, 

documents related to museum or 

zoological exchange, inheritance 

documents, or scientific collecting 

permits. 

One commenter stated that requiring 

such documentation violates the 

exemption under section 9(c)(2) of the 

ESA. We agree that the exemption 

allows a qualifying specimen to be 

imported into the United States without 

first having obtained an ESA import 

permit, but it remains the burden of the 

importers to show that they qualify for 

the exemption, including by obtaining 

and presenting all required CITES 

documentation, fulfilling all document 

requirements under section 9(d), (e), 

and (f), and showing that the 

importation is not being made in the 

course of a commercial activity. 

One commenter argued that the 

exemption should only apply when the 

importer can prove that both the 

acquisition of the specimen and the 

importation are noncommercial. We 

agree, and we require the importer to 

meet both criteria in § 17.8(b)(1). In §

17.8(b)(5), we specifically require 

documentation showing that the 

specimen was not acquired in foreign 

commerce in the course of a commercial 

activity. Importers of any wildlife 

specimens, whether CITES specimens or 

not, must show the purpose of import 

under general government importation 

requirements. We are able to determine 

from this documentation whether the 

import is in the course of a commercial 

activity. However, documentation 

showing the specimen was not acquired 

in foreign commerce does not typically 

accompany a shipment. Therefore, we 

specifically require that such 

documentation be provided to us. 

Special rule for threatened 

crocodilians (§ 17.42(c)): In accordance 

with this special rule, we allow meat of 

saltwater crocodiles (Crocodylus 

porosus) originating in Australia and of 

Appendix-II Nile crocodiles (C. 

niloticus) to be traded without tags, and 

we clarify that this includes all forms of 

meat. We do not believe that 

international trade in crocodilian meat 

poses a significant conservation risk, but 

we note that CITES documents still 

would be required for any meat 

shipments. The special rule prohibits 

import into the United States of live 

specimens and viable eggs of any 

threatened crocodilians without an ESA 

import permit. 

One commenter disagreed with our 

assertion that international trade in 

meat of saltwater crocodiles originating 

in Australia and Appendix-II Nile 

crocodiles poses no significant 

conservation risk and could therefore be 

traded without tags. We note that the 

crocodilian product most common in 

international trade is skin and U.S. 

import data for 2002 - 2005 show no 

imports of saltwater or Nile crocodile 

meat. Therefore, we continue to believe 

that this type of trade does not pose a 

significant conservation threat. In 

addition, there is no CITES requirement 

for tagging of crocodilian meat. 

The special rule includes reporting 

requirements for range countries. In our 

final yacare caiman (Caiman yacare) 

rule published on May 4, 2000 (65 FR 

25867), we noted that the FWS depends 

primarily on range countries to monitor 

yacare caiman. To assist us in 

monitoring the status of yacare caiman, 

we require that the governments of 

range countries wishing to export 

specimens to the United States for 

commercial purposes provide a report 

every 2 years that includes the most 

recent information available on the 

status of the species. This information 

assists us in determining the current 

conservation status of the species and is 

used to determine if the species is 

recovering and may warrant delisting. 

We also have a section describing 

conditions under which trade 

restrictions can be applied to the import 

of yacare caiman from range countries, 

including the failure to submit the 

reports or failure to respond to requests 

for additional information. 

Three commenters supported 

amendments to the special rule 

regarding reporting requirements for 

range countries of the yacare caiman in 

§ 17.42(c). They urged us to include 

similar reporting requirements if 

additional crocodilian species are 

reclassified as threatened under the ESA 

and are included in the special rule. We 

will consider monitoring and reporting 

requirements for other crocodilians on a 

case-by-case basis, because the 

conservation needs may vary by species 

or population. 

One commenter argued that we 

should require yacare caiman 

monitoring data to be submitted 

annually instead of biennially and 

should expand the list of the types of 

monitoring data required. We believe 

that the final rule to reclassify the 

yacare caiman (65 FR 25867, May 4, 

2000) adequately justifies reporting 

requirements for range countries of the 

species. 

What Are the Changes to Subpart A of 

50 CFR Part 23—Introduction? 

This subpart describes our 

responsibilities under CITES. 

Scope (§ 23.2): This section consists 

of a table with a series of questions and 

answers to help people determine if 

CITES regulations apply to their 

proposed activities. Decisions involve 

whether a specimen is listed under 

CITES, is exempt from CITES, is 

involved in a type of international trade 

regulated by CITES, and was illegally 

acquired or traded in contravention of 

CITES. 

The possession and domestic trade of 

legal specimens are not regulated by 

CITES unless the specimens had been 

traded internationally under specific 

conditions of a CITES document and the 

conditions still apply. The possession 

and domestic or international trade of 

illegally imported specimens, however, 

are prohibited. Further, any possession 

of offspring of illegal specimens is also 

considered illegal. A specimen that has 

been traded contrary to CITES becomes 

contraband at the time it enters the 

jurisdiction of the United States. If such 

a specimen makes its way into the 

United States, the individual or 

business holding or having control of 

the specimen has no custodial or 

property rights to the specimen and, 

therefore, no right to possess, transfer, 

breed, or propagate such specimens. 

Further, we clarify that intrastate or 

interstate movement of specimens 

traded contrary to CITES involves 

possession of unlawfully traded 

specimens and is, therefore, prohibited. 

We note that these prohibitions are not 

new with this final rule. The regulatory 

requirements for CITES specimens, 

including possession, have been in 

place since 1977, and the statutory 

prohibition has been in effect since July 

1975. 

More than 25 State fish and wildlife 

resource management agencies and 

regional fish and wildlife agency 

associations endorsed our inclusion of a 

series of questions to assist the regulated 

community in determining when CITES 

applies to a proposed activity and our 

clarification regarding intrastate and 


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interstate movement of specimens 

traded contrary to CITES. 

One commenter expressed support for 

the provision making the possession of 

and trade in illegally acquired 

specimens and their offspring illegal 

and encouraged us to specify that 

requirement in more detail in the 

regulation. However, another 

commenter expressed concern regarding 

our position on the possession of and 

trade in offspring of illegally imported 

specimens. The commenter also was 

concerned about the possible harm to 

offspring caused by shipping them back 

to the country of origin. We continue to 

maintain that any possession of 

offspring of illegal specimens is 

considered illegal, and we will take 

appropriate action when we become 

aware of such situations. However, we 

consider the health and well being of a 

live specimen that has been confiscated 

or forfeited to us in determining 

whether to place it in a facility in the 

United States or return it to the country 

of origin. 

Other applicable regulations (§ 23.3): 

In this section we reference applicable 

regulations in other parts of subchapter 

B and title 50, since many CITES 

species are covered by one or more 

other laws. We also notify the public 

about the possible application of State, 

tribal, and local regulations. More than 

25 State fish and wildlife resource 

management agencies and regional fish 

and wildlife agency associations 

endorsed the addition of a new 

paragraph notifying the regulated 

community of the additional 

requirement for complying with State, 

tribal, and local requirements when 

engaging in activities with CITES 

species. 

Under Article XIV(1)(a) of the Treaty, 

each Party retains the right to adopt 

stricter national measures that regulate 

or prohibit the import, export, taking, 

possession, or transport of CITES 

species. More restrictive State or local 

laws that regulate or prohibit the 

import, export, or re-export of such 

species, or their parts, products, or 

derivatives, must be observed for CITES 

species that are not listed under the 

ESA. See H.J. Justin & Sons, Inc. v. 

Deukmejian, 702 F.2d 758 (9th Cir. 

1983), cert denied, 464 U.S. 823. 

However, in instances where a CITES 

species is also listed as endangered or 

threatened under the ESA, any State or 

local law that would effectively prohibit 

the import or export of, or interstate or 

foreign commerce in, specimens of such 

species is void to the extent that such 

trade is authorized under the ESA, its 

implementing regulations, or any ESA 

permit or exemption. See 16 U.S.C. 

1535(f); Man Hing Ivory & Imports, Inc. 

v. Deukmejian, 702 F.2d 760 (9th Cir. 

1983). One commenter disagreed with 

this assertion and stated that it is 

contrary to the standard rules regarding 

the relationship between State and 

Federal laws. Our statement reflects the 

decision of the United States Court of 

Appeals for the Ninth Circuit in the 

referenced case, which held that section 

6(f) of the ESA, together with an FWS 

regulation on African elephants 

(Loxodonta africana), preempted a State 

prohibition on trade in African elephant 

products by a trader who had secured 

all necessary Federal permits. 

Definitions (§ 23.5): Whenever 

possible we define terms using the 

wording of the Treaty and the 

resolutions. Most defined terms are 

included in this section, but some less 

frequently used terms are defined in the 

section in which they are used. 

Definition of ‘‘applicant’’: Although 

one commenter believed that we should 

define the term applicant here to be 

only a person who owns the 

specimen(s) subject to trade, we have 

not defined applicant in this part 

because the general permit regulations 

in 50 CFR 13.1 provide sufficient 

guidance. An applicant must have a 

valid connection to the transaction and 

be the person who is responsible for 

meeting the terms and conditions of the 

permit. When a broker, attorney, 

taxidermist, or other person applies for 

a permit on behalf of the owner of the 

specimen, he or she must establish a 

connection to the transaction through a 

contract or power of attorney and, along 

with the person represented, becomes 

the party responsible for meeting the 

terms and conditions of the permit. 

Definitions of ‘‘bred for commercial 

purposes’’ and ‘‘bred for noncommercial 

purposes’’: We defined these two terms 

as they relate to the export and re-export 

of Appendix-I wildlife specimens. 

These definitions are the result of indepth discussions by the Parties over 

the registration of commercial breeding 

facilities, which resulted in the 

adoption of Resolution Conf. 12.10 (Rev. 

CoP13). The Treaty provides in Article 

VII(4) that specimens of Appendix-I 

species bred in captivity for commercial 

purposes shall be deemed to be 

specimens of species included in 

Appendix II (see § 23.46). It also 

provides in Article VII(5) that 

specimens that are bred in captivity may 

be issued an exemption certificate (see 

§ 23.41). Although the Treaty does not 

use the term ‘‘bred for noncommercial 

purposes’’ in paragraph 5, the Parties 

have agreed to use this term as the 

intended meaning of Article VII(5) 

because Article VII(4) addresses bred for 

commercial purposes. In Resolution 

Conf. 12.10 (Rev. CoP13), the Parties 

agreed to strict definitions for these two 

terms. Facilities that are breeding for 

commercial purposes must be registered 

to export specimens. Facilities that are 

breeding for noncommercial purposes 

must be participating in a cooperative 

conservation program with one or more 

of the range countries for the species. 

One commenter sought clarification 

on whether an Appendix-I animal bred 

and raised on a U.S. game ranch, where 

efforts are being made to conserve the 

species, would constitute a specimen 

bred for commercial purposes. If the 

game ranch was conducting activities 

that would categorize the facility as 

commercial (e.g., sale, purchase, or 

exchange of animals resulting in an 

economic gain), then the animals bred 

on the ranch would be considered bred 

for commercial purposes. This would 

apply even if the game ranch were 

carrying out activities that benefited the 

species within its natural range, such as 

participation in a cooperative 

conservation program. 

One commenter did not understand 

how any facility breeding Appendix-I 

species could engage in noncommercial 

breeding activities. The commenter 

believed that, due to the difficulty of 

distinguishing between commercial 

breeding and noncommercial breeding, 

the FWS should combine the two 

activities under a single bred-incaptivity definition and require that all 

facilities breeding Appendix-I or -II 

species become registered. We disagree. 

Since the Treaty does not prohibit or 

control the commercial breeding of 

Appendix-II species, there is no reason 

to establish a registration process for 

facilities breeding Appendix-II species. 

We are confident that the application 

review process established for the 

export of Appendix-II specimens is 

adequate to provide the necessary 

oversight and control of commercial 

breeding facilities for Appendix-II 

species. For Appendix-I species, the 

Treaty makes a distinction between 

commercial and noncommercial 

breeding, and the Parties have enacted 

resolutions to implement this 

distinction. Consequently, these 

regulations outline the criteria for 

determining when a breeding activity is 

commercial versus noncommercial, and 

provide a mechanism to register 

commercial breeding operations with 

the Secretariat. To eliminate any 

confusion and underscore the 

distinction between commercial and 

noncommercial breeding, we have 

added a sentence to the definition of 

‘‘bred for commercial purposes’’ to 

clarify that any captive-bred AppendixVerDate Aug<31>2005 15:36 Aug 22, 2007 Jkt 211001 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\23AUR3.SGM 23AUR3

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I specimen that does not meet the 

definition of ‘‘bred for noncommercial 

purposes’’ is considered to be bred for 

commercial purposes. For the same 

reason, we have made a minor 

amendment to the definition of ‘‘bred 

for noncommercial purposes’’ to make it 

clear that to qualify as noncommercial 

each donation, exchange, or loan of the 

specimen must be noncommercial. 

Definition of ‘‘commercial’’: Three 

commenters argued that the definition 

of commercial is too broad and that it 

is inconsistent with the definition of 

commercial activity in the ESA, which 

implements the Convention. We 

disagree. The new regulatory definition 

is consistent with the term defined in 

the ESA. The Convention regulates trade 

in listed species, and commercial 

activity under the ESA relates to ‘‘all 

activities of industry and trade, 

including, but not limited to, the buying 

or selling of commodities and activities 

conducted for the purpose of facilitating 

such buying and selling.’’ The definition 

of commercial in § 23.5 is also 

consistent with CITES Resolution Conf. 

5.10, which explains that an activity 

should be considered commercial if its 

purpose is to obtain an economic 

benefit, including profit, and is directed 

toward resale, exchange, provision of a 

service, or other form of economic use 

or benefit. The definition is also 

consistent with the use of the term in 

Resolution Conf. 12.10. All CITES 

resolutions that address 

commercializing a specimen focus on 

use of the specimen in a manner that 

results in economic benefit. 

A number of commenters provided 

specific examples of transactions that 

they thought should qualify as 

noncommercial, such as purchase of a 

specimen for scientific purposes at a 

yard sale or estate sale; purchase from 

a person who is not a collector; or sale 

by a museum. Determination of whether 

a specific use qualifies as commercial or 

noncommercial must be made on a caseby-case basis taking into consideration 

all of the facts and circumstances. 

However, we note that, consistent with 

Resolution Conf. 5.10, the determination 

is focused on the use of the specimen, 

not the nature of the transaction. Trade 

may involve the exchange of some funds 

to compensate a party for costs such as 

care and maintenance of a specimen, 

storage costs, or taxidermy work, which 

themselves do not necessarily make the 

trade commercial. 

One commenter argued that for trade 

to be commercial, both parties must 

have commercial interests. We disagree. 

Economic enrichment can result when 

just the importer or just the exporter is 

obtaining an economic gain or benefit 

from the trade. The definitions of 

commercial and noncommercial in this 

part are used to distinguish trade and 

uses of specimens for which commercial 

uses must be limited from those for 

which commercial uses are not limited. 

The FWS cannot fulfill its treaty 

responsibilities unless it examines all 

ways in which a specimen can be 

commercialized. 

One commenter argued that including 

a donation that is used as a tax 

deduction as commercial in essence 

amends the Internal Revenue Code and 

asserted that whether something is 

eligible for a tax deduction is not a 

matter for the FWS to decide. We are 

not interpreting or amending the 

Internal Revenue Code. We are not 

describing what may or may not be 

eligible as a charitable contribution, but 

rather, we are fulfilling our 

responsibility not to authorize uses of 

certain CITES specimens that are 

primarily commercial in nature. 

Although we believe that in some cases 

a tax deduction may qualify as an 

economic gain or benefit, we have 

removed the phrase, ‘‘or tax benefits’’

from this definition, to eliminate 

confusion. See also our responses to 

comments received on § 23.55. 

One commenter also challenged that 

part of the definition that applies to the 

intended, as well as the actual, use of 

the specimen. Determinations under 

CITES cannot be limited to the current, 

immediate action being taken with the 

specimen, but may also require 

consideration of subsequent actions that 

the person intends to take at the time of 

the determination. For example, a 

person may be personally importing a 

specimen in a manner that at first 

appears to be noncommercial, but if 

there is evidence to show that the 

person intends to sell the specimen and 

obtain a profit once the specimen is 

located within the United States,then 

the purpose is commercial. The 

definition is written to make clear that 

the FWS looks at all actions that the 

person intends to take involving the 

specimen, not simply the current, most 

immediate action. 

Definitions of ‘‘household effects’’

and ‘‘personal effects’’: One commenter 

supported our definitions of household 

effect and personal effect to mean only 

dead wildlife or plant specimens. 

Definition of ‘‘introduction from the 

sea’’: We define this term with the 

language in Article I(e) of the Treaty. 

Over the last few years, a number of 

important events have occurred related 

to introduction from the sea. At CoP11 

and CoP13, the Parties considered 

proposed resolutions on introduction 

from the sea and were unable to reach 

consensus on a definition. At CoP12, the 

Parties agreed to look at marine issues, 

including introduction from the sea, in 

consultation with the Food and 

Agriculture Organization of the United 

Nations (FAO). In May and June of 

2004, FAO convened two Expert 

Consultations to consider introduction 

from the sea and other issues related to 

marine species covered by CITES. At 

CoP13, the Parties agreed to convene a 

workshop on introduction from the sea, 

taking into account the work done 

through FAO and the relevant 

documents and discussions from 

previous CoPs. The workshop was held 

in November – December 2005. The 

CITES Secretariat has prepared a 

document on introduction from the sea, 

based on discussions at the workshop, 

for consideration by the Parties at 

CoP14, to be held in June 2007. We 

recognize that the Parties may decide on 

an interpretation of introduction from 

the sea in the future, but in the 

meantime the regulations clarify when 

the prohibition applies, and when and 

what types of CITES documents are 

needed for international trade. 

One commenter suggested that we 

adopt the definition of ‘‘the marine 

environment not under the jurisdiction 

of any State’’ agreed by the 2005 

workshop. This definition, although 

agreed by the workshop, is still under 

discussion in CITES and will be 

considered by the Parties at CoP14. We 

believe it is likely that changes will be 

made to the definition at the CoP and 

that it would be premature for us to 

adopt a definition before it has been 

accepted by the Parties. 

Definition of ‘‘parental stock’’: Based 

on the language in Resolution Conf. 9.19 

(Rev. CoP13) on nursery registration and 

Resolution Conf. 12.10 (Rev. CoP13) on 

registration of operations that breed 

Appendix-I wildlife for commercial 

purposes, we use the term ‘‘parental 

stock’’ to mean the original breeding or 

propagating specimens that produced 

subsequent generations of captive or 

cultivated specimens. Two commenters 

supported our definition. 

Definition of ‘‘precautionary 

measures’’: When there is uncertainty 

regarding the status of a species or the 

impact of trade on the conservation of 

a species we are cautious and act in the 

best interest of the conservation of the 

species in making decisions on CITES 

listings and permit findings. We define 

and use the term ‘‘precautionary 

measures’’ to describe this approach. 

While the definition is taken from the 

concept described in Annex 4 of 

Resolution Conf. 9.24 (Rev. CoP13), we 

use it in these regulations because it 

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approached non-detriment findings and 

species listing decisions when there is 

uncertainty regarding the status of a 

species or the impact of trade on the 

conservation of a species. The use of 

precautionary measures in these 

instances is consistent with the intent of 

the Treaty, which is to protect species 

against over-exploitation. Several 

commenters supported our definition of 

precautionary measures. One asked that 

we provide additional clarification on 

what information we will use to 

determine whether or not to issue a 

permit. Section 23.33 addresses the 

process we use when evaluating an 

application. In addition, §§ 23.60, 23.61, 

and 23.62 address the processes for 

making the required findings under 

CITES. We direct the commenters to 

those sections for more detailed 

discussion on how we implement the 

use of precautionary measures. 

Definition of ‘‘ranching’’: We have not 

defined this term. At CoP13, the 

Animals and Plants Committees 

(committees established by the Parties 

to provide technical support to the 

Parties and to the Secretariat) were 

tasked with looking at production 

systems, including the consideration of 

source codes, which include ‘‘R’’ for 

ranching. This work is still ongoing. 

One commenter suggested that we 

develop a working definition of 

ranching until the Parties come to an 

agreed definition. We believe that it 

would be premature, and result in 

additional confusion, to adopt a 

definition before the production systems 

discussions are concluded. 

Definition of ‘‘readily recognizable’’: 

We base our definition of readily 

recognizable on Resolution Conf. 9.6 

(Rev.). Two commenters supported our 

definition. 

Definition of ‘‘sustainable use’’: We 

define this term as the use of a species 

in a manner and at a level that 

maintains wild populations at 

biologically viable levels for the long 

term. It is essentially the same 

definition used in 50 CFR part 15 to 

implement the WBCA. The wording has 

been slightly edited to be consistent 

with language used in these regulations. 

We believe that sustainable use is the 

essence of a CITES non-detriment 

finding, and these regulations provide a 

clear, scientifically based definition of 

the term. An exporting country can 

make a finding of non-detriment only if 

it can show that a given level of harvest 

is consistent with the long-term viability 

of the species. This finding must be 

based on professionally recognized 

management practices and the best 

available biological information. The 

Parties adopted Resolution Conf. 12.8 

(Rev. CoP13), which provides for review 

of significantly traded species, to ensure 

that countries exporting those species 

have made the appropriate findings and 

the export levels are sustainable. 

Countries with species subject to this 

review must demonstrate the scientific 

basis for the quantity of exports they are 

allowing. (See preamble discussion on 

non-detriment findings (§ 23.61)). Three 

commenters supported our definition of 

sustainable use. 

One commenter believed that it was 

unnecessary for us to state in the 

preamble to the 2006 proposed rule (71 

FR 20167) that sustainable use can 

include adaptive management but that, 

‘‘adaptive management does not...imply 

that when there are gaps in information 

the assumption would be that trade 

would be sustainable.’’ Our intent is not 

to minimize the value of adaptive 

management. However, adaptive 

management is not the only information 

considered when determining if trade 

would be sustainable. When making 

non-detriment findings, we will 

consider all relevant biological and 

trade information (see § 23.61). 

One commenter agreed with us that 

sustainable use is the essence of a CITES 

non-detriment finding. However, the 

commenter noted that not all permit 

applications are for activities that have 

an impact on wild populations. We 

agree and take this into consideration 

when making non-detriment findings. 

Even if a specimen is considered captive 

bred under the Treaty, certain 

conditions must be met, including that 

the founder stock was acquired legally 

and in a manner non-detrimental to the 

survival of the species (see §§ 23.46, 

23.63). 

One commenter stated that certain 

phrases in our definition could be 

interpreted in multiple ways, and asked 

us to provide additional discussion of 

several phrases, including ‘‘biologically 

viable,’’ ‘‘long term,’’ and ‘‘role or 

function in its ecosystem.’’ We do not 

believe that these phrases require 

additional clarification because they are 

concepts that are inherent to 

conservation and wildlife management. 

Furthermore, they are not defined in the 

Treaty or in resolutions agreed by the 

Parties. We use these concepts for 

guidance in making non-detriment 

findings. 

Definition of ‘‘traveling exhibition’’: 

We revised the definition of traveling 

exhibition for clarity, in response to 

comments received (see preamble 

discussion for § 23.49). 

Management and Scientific 

Authorities (§ 23.6): Under Article IX of 

the Treaty, each Party must designate at 

least one Management Authority and 

one Scientific Authority. In the United 

States, the Secretary of the Interior is 

designated as the CITES Management 

Authority and Scientific Authority, and 

these authorities have been delegated by 

the Secretary and the Director of the 

FWS to different offices within the 

FWS. This section summarizes the 

major roles of these authorities in the 

United States. The roles include a wide 

range of activities, such as the issuance 

and denial of permits; making scientific 

and management findings; monitoring 

of trade and trade impacts; 

communication with the Secretariat and 

other countries on scientific, 

administrative, and enforcement issues; 

and evaluation of species’ status and 

trade. Another role is to provide training 

and technical assistance to countries 

when possible (Resolution Conf. 3.4). 

Although other Federal agencies, as part 

of a larger federal involvement in 

international affairs, also play a role in 

CITES efforts, for example in 

communicating with the Secretariat and 

representing the United States at CITES 

meetings, they are not part of the 

Management Authority or the Scientific 

Authority for the United States. 

A number of State fish and wildlife 

resource management agencies noted 

that the inclusion of this section 

summarizing the major roles of the 

Management and Scientific Authorities 

was very useful to the regulated 

community. Additionally, some of these 

commenters remarked on the need to 

clarify the process by which a non-Party 

designates competent authorities to 

fulfill the role of a Management and 

Scientific Authority to engage in 

international trade in CITES species. We 

decline to make a change in response to 

this comment because this section is 

intended to outline the roles of a 

Management Authority and a Scientific 

Authority rather than outline the 

process by which they are designated. 

Contact information (§ 23.7): The 

table in this section outlines the type of 

information available from the U.S. 

Management Authority, U.S. Scientific 

Authority, the FWS Office of Law 

Enforcement, APHIS, CBP, and the 

Secretariat, and the different ways you 

can contact each office. APHIS is the 

contact office for information on plant 

clearance procedures even though the 

formation of CBP split CITES 

responsibilities for import and export of 

plants. CBP inspects and clears 

shipments of dead CITES plant 

materials being imported into the 

United States and live plants being 

imported from Canada at a designated 

border port. CBP also identifies and 

regulates CITES materials in passenger 

baggage, including live plants. APHIS 


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continues to inspect and clear 

shipments for the export and re-export 

of live and dead plants, and the import 

of live plants, except for live plants 

being imported from Canada at a 

designated border port. 

One commenter noted the absence in 

this section of the contact information 

for the appropriate office in the U.S. 

Department of Agriculture for live 

animal clearance procedures. Another 

commenter suggested that we include 

contact information in this section for 

APHIS Veterinary Services, National 

Center for Import and Export (NCIE), 

and the Centers for Disease Control 

(CDC) because imports of live wildlife 

and wildlife products may also be 

regulated by these offices. The 

commenter pointed out that this 

information would be useful to the large 

number of pet bird owners who travel 

into and out of the United States with 

their pet birds. Since neither NCIE nor 

the CDC has direct responsibility for the 

inspection or clearance of shipments of 

live CITES specimens, we have declined 

to include their contact information in 

this section. 

Information collection (§ 23.8): Each 

information collection, including each 

application form, that we use must be 

reviewed and approved by the Office of 

Management and Budget under the 

Paperwork Reduction Act (44 U.S.C. 

3501 et seq.). These information 

collections undergo review every 3 

years. This process gives the public an 

opportunity to provide input concerning 

the amount of time it takes to complete 

the forms and reports and to prepare the 

information requested. One commenter 

mistakenly thought that our estimate for 

the amount of time it takes to complete 

an application was an estimate of the 

length of time it takes to obtain a permit. 

What Are the Changes to Subpart B of 

50 CFR Part 23—Prohibitions, 

Exemptions, and Requirements? 

In this subpart, we detail the activities 

that are prohibited, circumstances when 

exemptions may apply, and 

requirements for international 

movement of specimens. CITES uses a 

system of documents to ensure that 

trade in protected species is legal and 

does not threaten the survival of 

wildlife or plant species in the wild. 

The Treaty outlines standardized 

information that must be included on 

these documents, and based on 

experience in inspecting shipments and 

enforcing CITES, the Parties have 

adopted a number of resolutions to 

refine the types of information that need 

to be included on documents for Parties 

and non-Parties. 

Prohibitions (§ 23.13): This section 

implements the international trade 

prohibitions under CITES. We list 

introduction from the sea separately 

from import to clarify that CITES treats 

these activities differently. We include 

the phrase ‘‘engage in international 

trade’’ in the list of prohibitions to 

clarify that international trade in 

specimens in violation of these 

regulations by any person subject to 

U.S. jurisdiction is prohibited even if 

specimens are not actually imported 

into or exported from the United States. 

The regulatory language is derived 

from the language in section 9(c)(1) of 

the ESA, which makes it unlawful for 

any person subject to the jurisdiction of 

the United States to engage in trade 

contrary to the provisions of CITES. The 

ESA does not limit this prohibition to 

import into or export from the United 

States, but further requires U.S. citizens, 

and others subject to U.S. jurisdiction, 

engaging in trade outside of the United 

States to abide by CITES requirements 

as a matter of U.S. law. Although this 

activity may be difficult to detect, we 

will take enforcement action when 

appropriate. 

Three commenters expressed their 

support for the clarification in § 23.13 

that trade in violation of the regulations 

by a person subject to U.S. jurisdiction 

is prohibited even if the specimen is not 

imported into or exported from the 

United States. They noted that this will 

ensure that actions by U.S. citizens do 

not undermine the purposes of CITES 

outside the United States. One 

commenter opposed this part of the 

section, stating that it was contrary to 

elemental principles of national 

jurisdiction to hold a U.S. citizen legally 

responsible for conducting an activity 

outside the United States that is a 

violation of U.S. law when the activity 

is consistent with the law of the foreign 

country. 

As long as a U.S. citizen engages in 

trade in a CITES specimen outside the 

United States consistent with all the 

requirements of CITES and the foreign 

countries’ domestic laws implementing 

CITES, it would not be a violation of 

U.S. law. Section 9 of the ESA makes 

clear that citizens of the United States 

have a responsibility to comply with all 

applicable CITES procedures when they 

engage in trade in CITES specimens 

outside the United States. Given that 

171 countries are parties to CITES, a 

U.S. citizen trading a CITES specimen 

between two foreign countries is likely 

to need CITES documentation from one 

or both of those countries. Failure to 

obtain and present the required CITES 

documentation would be a violation of 

the ESA. 

One commenter was concerned with 

our response in the 2006 proposed rule 

(71 FR 20167) to a previous comment 

that an applicant’s failure to provide 

adequate documentation showing 

legality of a specimen, while not 

necessarily evidence that the specimen 

was traded contrary to CITES, might 

prevent us from making the required 

findings or being able to issue the 

necessary CITES documents for 

subsequent import, export, or re-export. 

The commenter suggested that the FWS 

establish procedures or describe the 

kinds of evidence we will accept in lieu 

of positive documentation. 

We have not specified the type of 

documentation that an applicant must 

present in order for us to make 

necessary findings and issue the 

required documents because it is not 

possible to describe the full variety of 

information that could be used to show 

that a proposed activity is consistent 

with CITES requirements. In each case, 

the applicant must present enough 

information to allow the FWS to make 

the required determination, but the 

source of this information and the level 

of detail needed to make the finding 

will vary. See § 23.34 for more detail. 

Personal and household effects (§

23.15): Article VII(3) of the Treaty 

provides for the import, export, or reexport of specimens that are personal or 

household effects without CITES 

documents under certain circumstances. 

We clarified the current regulations (§

23.13(d)) based on our experience in 

administering the Convention and 

Resolution Conf. 13.7. This section 

details the circumstances under which a 

person may travel with personal items 

of CITES wildlife and plants worn as 

clothing or accessories, or contained in 

accompanying luggage without CITES 

documents. It also details how a person 

may move personal items of CITES 

wildlife and plants from one country to 

another as part of a change of residence. 

We defined personal effect and 

household effect in § 23.5. We clarified 

that we consider qualifying tourist 

souvenirs to be personal effects. 

Six commenters supported, in 

general, the clarification regarding 

personal and household effects, and 

several of those commenters supported 

specific provisions regarding AppendixI and live specimens. They believed the 

clarification would help prevent abuses 

of the personal and household effects 

exemption. Three commenters, 

however, urged us to ease restrictions 

on individuals traveling with legally 

acquired CITES species. Although the 

commenters did not provide specific 

suggestions, we note that these 

regulations already provide an 


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exemption from CITES documentation 

for many individuals traveling with 

legally acquired CITES specimens. 

Another commenter believed that the 

trade in specimens under the exemption 

for personal and household effects 

creates a loophole that may adversely 

impact imperiled species. We disagree 

that this exemption has an adverse 

effect on listed taxa. As noted above, 

Article VII(3) provides for this 

exemption under certain circumstances, 

and the Parties have adopted additional 

guidelines through resolution. 

In Resolution Conf. 13.7, the Parties 

agreed not to require CITES documents 

for personal or household effects of 

dead specimens, parts, products, or 

derivatives of Appendix-II species 

unless a Party requires a CITES 

document. Parties are to notify the 

Secretariat if they require CITES 

documents for personal and household 

effects, and the Secretariat will maintain 

a list on the CITES website (see § 23.7). 

Importing countries would generally 

assume that an export permit is not 

required if the exporting country had 

not notified the Secretariat otherwise. 

For species covered by the Lacey Act 

Amendments of 1981, however, the 

United States requires an export permit 

if such a permit is required by the other 

Party involved in the trade, even if the 

Party had not notified the Secretariat of 

the requirement. It is the responsibility 

of the importer to consult with the 

exporting country to determine whether 

an export permit is needed in such 

instances. One commenter believed the 

United States should impose stricter 

measures and require CITES documents 

for all personal and household effects. 

Such a requirement would be 

burdensome and provide little 

conservation value in most cases. 

Therefore, we declined to make a 

change based on this suggestion. 

However, these regulations allow for 

stricter measures under other U.S. laws 

(e.g., the ESA) for those species that 

warrant greater scrutiny. We believe this 

will allow for greater oversight when 

there appears to be a conservation value 

in doing so. 

One commenter requested that we 

provide clarification regarding the 

restrictions imposed by the Lacey Act 

Amendments of 1981 and notify other 

CITES Parties of this requirement. The 

commenter also argued that the Lacey 

Act covered all foreign CITES species. 

We state in § 23.15(b) that the personal 

and household effects exemption does 

not apply if the country prohibits or 

restricts the import, export, or re-export 

of the item. In addition, we state that a 

personal or household effects shipment 

must be accompanied by any document 

required by a country under its stricter 

national measures. Both ofthese 

restrictions are imposed upon 

shipments because of our obligations 

under the Lacey Act Amendments of 

1981 to provide support for other 

countries’ stricter measures, and actions 

may be taken based upon information 

received from those countries about 

such restrictions. 

For certain species, the Parties also 

agreed to numerical limits of specific 

types of specimens that qualify as 

personal and household effects. These 

specimens include sturgeon caviar, 

seahorses, crocodilian products, giant 

clam and queen conch shells, and 

cactus rainsticks. We note that if 

someone wants to import, export, or reexport more than the quantity 

designated in the regulations, the 

specimens no longer qualify for the 

personal effects exemption, and they 

must be accompanied by a valid CITES 

document for the entire quantity. 

One commenter supported our efforts 

to enforce the quantity limitations and 

agreed that when the quantities exceed 

the limit, a CITES document is required 

for the entire quantity. 

We exclude live wildlife and plants 

(including eggs and non-exempt seeds) 

and most Appendix-I specimens from 

the exemption. The drafting history of 

CITES, as well as significant debate that 

occurred at CoP4, clearly supports the 

view that this exemption applies only to 

dead items, such as clothing or jewelry, 

that are for personal use and are not for 

resale. In addition, few countries allow 

the import or export of Appendix-I 

specimens, including personal pets, 

without CITES documents. In the 

United States, many Appendix-I species 

are also listed under the ESA and other 

laws that do not provide an exemption 

for personal or household effects. 

Therefore, to assist in the enforcement 

of the Convention and to reduce the risk 

to Appendix-I species in the wild, and 

so not to create conflicts with U.S. laws, 

we require CITES documents for all 

Appendix-I specimens, except for 

certain worked items made from African 

elephant ivory (see § 23.15(f)). One 

commenter requested clarification as to 

whether Appendix-I species could 

qualify for the personal or household 

effects exemption, and if so, indicated 

that they should only be preConvention. Section 23.15(d)(2) states 

that no specimens from an Appendix-I 

species are included except for certain 

worked African elephant ivory. Section 

23.15(f) on worked African elephant 

ivory states that the ivory must be preConvention. 

We clarify that personal effects must 

be personally owned by the traveler for 

exclusively noncommercial purposes, 

the quantity and nature be reasonably 

appropriate for the purpose of the trip 

or stay, and either be worn as clothing 

or accessories or be part of 

accompanying personal baggage. We 

believe this requirement provides 

additional assistance to inspectors at the 

port when determining whether items 

are personal effects or are commercial 

items that a person is attempting to 

import without CITES documents under 

the exemption. 

We have encountered a number of 

instances, both in the United States as 

well as abroad, when individuals have 

had souvenirs or other items seized 

when these items were mailed or 

shipped to them. Although these could 

be considered items for personal use, 

the CITES exemption does not apply 

unless the specimens accompany the 

individuals. 

We clarify that household effects must 

be personally owned items that are part 

of a noncommercial household move. A 

shipment may contain only items 

acquired before the individual moves. It 

may not include items purchased, 

inherited, or otherwise acquired after 

the person has moved, even though the 

household goods have not yet been 

shipped. 

We understand that sometimes it is 

not possible to ship household goods all 

at one time. Thus, we allow a person to 

make as many shipments as needed to 

accomplish the move as long as they 

occur within 1 year of the person’s 

change in residence. A person is not 

precluded from shipping his or her 

household effects after 1 year, although 

such a shipment would require the 

appropriate CITES documents. 

Two commenters believed that 

allowing 1 year after a move from one 

country to another to import or export 

household effects was too long, and 

allowed for potential abuse of the 

system. Based upon years of experience 

with CITES household moves, which 

have previously had no timeframe 

under U.S. regulations, we believe the 

1–year timeframe is reasonably 

appropriate for completing the shipment 

of household goods to a new residence 

while preventing abuse of the 

exemption. 

The AECA and ESA include stricter 

U.S. legislation concerning international 

trade in African elephant ivory. We 

allow U.S. residents to travel out of and 

return to the United States with preConvention worked African elephant 

ivory as personal or household effects 

under certain conditions, including that 

the items are registered. Registration 

consists of obtaining a U.S. CITES preConvention certificate, FWS Wildlife 


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Declaration (Form 3-177), or CBP 

Certificate of Registration for Personal 

Effects Taken Abroad (Form 4457). This 

exemption is limited to ivory already 

owned in the United States and is not 

a special opportunity for trade. Upon reimport, travelers must show records that 

the ivory is pre-Convention and that 

they registered it before leaving the 

United States. The exemption does not 

include items that are purchased while 

abroad or intended as gifts. We adopted 

the same definition of raw ivory as 

found in the special rule concerning 

African elephants in 50 CFR 17.40(e), 

which is similar to the definition found 

in Resolution Conf. 10.10 (Rev. CoP12). 

Individuals should contact the 

Management Authority in the country of 

their destination to find out about its 

requirements for African elephant ivory. 

One commenter did not support this 

exemption because of concerns 

regarding the illegal trade in ivory. The 

commenter believed the exemption sets 

a bad precedent and should be deleted. 

We believe that the measures we have 

put in place, including registration of 

personally owned pre-Convention 

worked African elephant ivory before 

leaving the United States, provide 

sufficient safeguards. 

Urine, feces, and synthetically derived 

DNA (§ 23.16): International trade in 

these specimens is exempt from CITES 

requirements under certain 

circumstances. We consider samples of 

urine and feces to be wildlife 

byproducts, rather than parts, products, 

or derivatives. We differentiate between 

DNA extracted directly from blood or 

tissue samples and synthetically derived 

DNA. DNA extracted directly from 

blood and tissue samples must comply 

with all CITES permitting requirements. 

We do not believe that trade in urine, 

feces, and synthetically derived DNA 

samples will adversely affect the 

conservation of, or effective regulation 

of trade in, CITES species and their 

parts, products, or derivatives. 

At CoP12 and CoP13, there were 

proposals to annotate the Appendices to 

exempt these types of samples. The 

proposals were withdrawn. It should be 

noted, however, that some Parties do 

not agree that these specimens should 

be exempt from CITES controls. If a 

country requires CITES documents, we 

will process an application for these 

specimens. 

Three commenters generally 

supported and two commenters 

generally opposed the exemption for 

urine, feces, and synthetically derived 

DNA in § 23.16. One commenter agreed 

that urine and feces should be exempt, 

but wanted to see a statement to ensure 

that collection methods for urine or 

feces posed no harm to listed species. 

Two commenters expressed concern 

about the exemption because of the 

potential need to capture and restrain 

listed species to collect samples. We 

have exempted urine and feces from 

CITES requirements and will therefore 

not require a statement on collection 

method. However, as noted in the 2006 

proposed rule (71 FR 20167), we believe 

that it is important that researchers 

collect samples in a manner that does 

not harm the wildlife and complies with 

the laws of the country where the 

collection occurs. Researchers should 

contact the foreign Management 

Authority or other relevant wildlife 

authorities to obtain information on 

collection and export requirements prior 

to collection of urine or feces. Another 

commenter endorsed the exemption and 

described non-CITES restrictions placed 

on U.S. researchers regarding collection 

of these samples. The commenter added 

that such research oversight is also 

prevalent in other countries, often 

through legislation. 

One commenter said that the United 

States should resist promulgating 

regulations that are more lenient than 

those agreed to by the Parties and noted 

that there is no resolution that provides 

for this exemption. In the 2006 

proposed rule (71 FR 20167), we noted 

that the Parties have not agreed on 

whether urine, feces, or synthetically 

derived DNA are regulated by CITES. 

Where there is a lack of clarity or no 

agreement, the United States is left to 

make its own interpretation of the 

provisions of the Treaty. In our view, 

these are byproducts and are not 

recognizable parts or derivatives as 

defined in Article I of the Treaty. The 

commenter was also concerned that this 

exemption could lead to illegal trade in 

non-synthetic DNA labeled as 

synthetically derived DNA. We note that 

this exemption reflects a practice of the 

FWS that has been in effect since 1994. 

We have received no information to 

indicate that this practice has led to an 

increase in illegal trade in falsely 

declared DNA, nor do we expect this to 

occur in the future. 

One commenter asked whether 

ambergris was covered under the 

provisions of either CITES or the 

MMPA. Because it is a byproduct, we do 

not consider ambergris to be covered by 

CITES provisions. The applicability of 

MMPA provisions to trade in ambergris 

is outside the scope of this rule. 

Diplomats and other customs-exempt 

persons (§ 23.17): CITES Decision 9.15 

urges the Parties to remind their 

diplomatic missions, their delegates in 

foreign countries, and their troops 

serving under the flag of the United 

Nations that they are not exempt from 

the provisions of the Convention. In 

these regulations we remind all persons 

who receive duty-free or inspection 

exemption privileges that CITES 

specimens traded internationally must 

meet the requirements of CITES and 

these regulations. One commenter 

strongly supported the requirement for 

CITES documentation even if a person 

receives duty-free or inspection waiver 

privileges. The commenter further 

emphasized that U.S. officials have the 

legal authority to confiscate specimens 

of CITES species if a diplomat attempts 

to import or export them, or transit 

through the United States with them, 

without appropriate documentation. 

Required CITES documents (§§ 23.18–

23.20): Articles III, IV, and V of the 

Treaty outline the types of documents 

that must accompany Appendix-I, -II, or 

-III specimens in international trade. 

Article VII and Article XIV of the Treaty 

recognize exemptions for certain 

specimens, such as those that qualify as 

pre-Convention, bred in captivity, or 

artificially propagated. Generally, these 

specimens must be accompanied by 

CITES exemption documents. The 

regulations remind people who trade in 

wildlife and plants to check with the 

Management Authorities of all countries 

concerned to determine their 

requirements before importing, 

introducing from the sea, exporting, or 

re-exporting CITES specimens. 

We organized the information on 

what types of CITES documents are 

required into two decision trees and two 

tables. The decision trees and tables 

should make it easier for importers and 

exporters to understand what type of 

document is needed for a shipment. 

They refer the user to the section in the 

regulations that explains the application 

procedures, general provisions, issuance 

and acceptance criteria, and conditions 

for each type of document. One 

commenter agreed with this approach 

and stated that the decision trees and 

tables in these sections were extremely 

useful. 

One commenter supported the 

statement in § 23.20(f) that an 

introduction-from-the-sea certificate 

must be obtained before conducting the 

proposed activity and the clarification 

that international trade following 

introduction from the sea is considered 

an export, not a re-export. 

Another commenter expressed 

concern that the document requirements 

for Appendix-III specimens that 

originate in a country other than the 

listing country are not clear. We have 

addressed this comment under the 

preamble discussion pertaining to 

certificates of origin (§ 23.38). 


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Export of Appendix-I wildlife (§

23.18): The decision tree clarifies that 

international trade in Appendix-I 

wildlife may not be for commercial 

purposes when permits are issued under 

Article III of the Treaty. Article II of the 

Treaty states that Appendix-I specimens 

‘‘...must be subject to particularly strict 

regulation in order not to endanger 

further their survival and must only be 

authorized in exceptional 

circumstances.’’ The Parties have agreed 

that Appendix-I wildlife specimens 

should not be traded for commercial 

purposes unless the specimens 

originated from a CITES-registered 

commercial breeding operation. In the 

past, the FWS has allowed commercial 

breeders of Appendix-I wildlife to 

export specimens that have been sold to 

individuals outside the United States 

provided that the Management 

Authority of the importing country can 

make a not-for-primarily-commercialpurposes finding and issues an import 

permit. After review of this type of 

trade, we do not believe that Article III 

of the Treaty was intended to allow 

such commercial trade. Thus, we no 

longer allow the use of Article III of the 

Treaty to export Appendix-I wildlife 

unless the export is for noncommercial 

purposes. We also allow the export of 

Appendix-I wildlife that qualifies for an 

exemption under Article VII(4) and (5) 

as bred in captivity only if the specimen 

was bred at a CITES-registered breeding 

operation or was bred for 

noncommercial purposes, respectively. 

Other captive-bred Appendix-I wildlife 

will be given a source code ‘‘F,’’ rather 

than a ‘‘C,’’ and the export will be 

allowed only if the export is for 

noncommercial purposes and an import 

permit has been granted. 

One commenter thought that the use 

of the double negative in the decision 

tree for export of Appendix-I wildlife in 

§ 23.18 leads the casual reader to 

assume that noncommercial trade is not 

allowed. The purpose of the decision 

tree is to walk the reader through the 

requirements for trading in Appendix-I 

specimens under different scenarios, 

and it is important to read it through in 

full. 

Two commenters strongly supported 

the requirement that to qualify for an 

exemption under Article VII(4) and (5) 

as bred in captivity, the specimen must 

have been bred at a CITES-registered 

facility or bred for noncommercial 

purposes. However, one of these 

commenters questioned how the terms 

‘‘not primarily commercial’’ and 

‘‘noncommercial purposes’’ were used. 

See the discussion regarding the 

definition of ‘‘commercial’’ in § 23.5. 

Reservations (§ 23.21): Articles XV, 

XVI, and XXIII of the Treaty allow a 

Party to take a reservation on a species 

listing in Appendix I, II, or III. 

Generally, a reserving Party is treated as 

a non-Party with respect to trade in the 

reserved species. Countries that choose 

not to recognize a listing and take a 

reservation may continue trading in the 

species without CITES documents with 

other Parties that have taken the same 

reservation or with non-Parties, 

provided such shipments do not transit 

a Party country. Trade with Parties that 

have not taken the same reservation 

requires CITES documents. 

This section emphasizes what types of 

documents are required from Parties 

that have taken a reservation on a 

species listing. We incorporated 

Resolution Conf. 4.25, which 

recommends that, when a species is 

newly listed in Appendix I or is 

transferred from Appendix II to 

Appendix I, Parties that take a 

reservation issue a CITES document and 

treat the species as if it were listed in 

Appendix II, rather than not listed, 

when trading with other reserving 

Parties or non-Parties. This provision 

should promote the conservation of 

species listed in Appendix I because the 

reserving Party would continue to issue 

CITES documents based on legal 

acquisition and non-detriment findings, 

and report such trade in its annual 

report. We also incorporated Resolution 

Conf. 9.7 (Rev. CoP13), which clarifies 

the requirements in the Treaty that a 

shipment containing specimens of 

CITES species traded between nonParties or reserving Parties or between a 

non-Party and a reserving Party must be 

accompanied by CITES documents if it 

transits a Party country before reaching 

its final destination. 

We explain how a person can provide 

relevant information and request that 

the United States consider taking a 

reservation. Additionally, we note that 

if the United States entered a 

reservation to the listing of a species in 

Appendix I, we will require a CITES 

document that meets Appendix-II 

permit criteria for international trade in 

specimens of that species. To date, the 

United States has not taken a 

reservation. Entering a reservation 

would do very little to relieve importers 

in the United States from the need for 

foreign export permits because the 

Lacey Act Amendments of 1981 make it 

a Federal offense to import into the 

United States any animal taken, 

possessed, transported, or sold in 

violation of foreign conservation laws. If 

the foreign country has implemented 

CITES through its domestic legislation 

and has not taken a reservation with 

regard to the species, the United States 

would continue to require CITES 

documents as a condition of import. A 

reservation by the United States also 

would provide exporters in this county 

with little relief from the need for U.S. 

export documents. Unless the receiving 

country had entered the same 

reservation or was a non-Party, U.S. 

exporters would continue to be required 

to obtain CITES-comparable documents 

because the Parties have agreed to trade 

with non-Parties and reserving Parties 

only if they issue permits and 

certificates that substantially conform 

with CITES requirements and contain 

the required information outlined in 

Resolution Conf. 9.5 (Rev. CoP13). 

One commenter argued that the 

United States should prohibit all trade 

in Appendix-I species involving nonParties or Parties with a reservation if 

that trade involves a U.S. citizen or if 

the specimen is to be imported into, 

exported from, or otherwise transit a 

U.S. port. We believe that this comment 

is adequately addressed in the 2006 

proposed rule (71 FR 20167), and refer 

the commenter to that document for 

further clarification. 

In-transit (§ 23.22): Due to limited 

transportation routes and schedules, 

exporters and re-exporters may not 

always be able to ship specimens from 

one country directly to another without 

transshipping them through 

intermediary countries. Shipments of 

sample collections may transit a number 

of countries before returning to the 

originating country. Article VII(1) of the 

Treaty provides an exemption for 

specimens that are in transit through a 

country while the specimens remain 

under customs control. We define an intransit shipment as the transshipment of 

any wildlife or plant through an 

intermediary country when the 

specimen remains under customs 

control and meets either the 

requirements of this section or the 

requirements in § 23.50 for sample 

collections covered by an ATA carnet. 

In-transit shipments, other than sample 

collections (§ 23.50), may stay in an 

intermediary country, including storage 

in a duty-free, bonded, or other kind of 

warehouse or a free-trade zone, only for 

the time necessary to transfer the 

specimens to the mode of transport used 

to continue to the final destination. 

In 1983, the CoP recognized the 

potential for abuse of the in-transit 

provision, such as when importers 

claimed the exemption and delayed 

shipment of the transiting specimen 

while they found a buyer in a foreign 

country. In 1989, the CoP noted that, if 

valid CITES export documents were 

required to accompany shipments 


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through intermediary countries, Parties 

could discover illegal trade by drawing 

attention to undocumented shipments. 

The inspection of in-transit shipments 

was recommended in 1992. Resolution 

Conf. 9.7 (Rev. CoP13) consolidates the 

earlier resolutions concerning in-transit 

shipments. 

These regulations reflect the 

recommendations of the CoP to prevent 

misuse of the in-transit exemption. A 

copy of the valid original document may 

be used for in-transit shipments. 

However, transshippers should be aware 

that, if shipments are not accompanied 

by an original CITES document, 

intermediary countries could delay 

movement of the shipment while they 

determine whether a copy is an accurate 

copy of the original valid document. If 

we have reason to question an 

accompanying copy, we will contact the 

Management Authorities in the 

countries of export or re-export and 

final destination. 

The CITES document must designate 

the name of the importer in the country 

of final destination. The shipment must 

also be accompanied by a copy of a 

valid import permit for Appendix-I 

specimens, where required, and 

transportation routing documents that 

show that the shipment has been 

consigned to the importer listed on the 

CITES documents. 

A shipment that contains specimens 

of CITES species protected under other 

U.S. regulations, such as migratory 

birds, bald and golden eagles, injurious 

wildlife, endangered or threatened 

species, or marine mammals, and 

arrives in the United States before 

continuing on to another country is 

considered an import and must meet all 

import requirements. 

One commenter stated that the 

regulations should require a ‘‘firmer 

control of original CITES documents by 

carriers.’’ The commenter suggested that 

the carrier should permit the shipment 

to be held at the destination for no 

additional charge when the documents 

are lost by the carrier. The scope of 

these regulations does not address how 

carriers control shipping documents or 

the charges that are assessed by carriers 

for storage of shipments pending 

clearance. One commenter suggested 

that we include a statement that all intransit wildlife shipments of CITES 

species must comply with IATA 

regulations. As stated in § 23.26, all 

shipments, including in-transit 

shipments, must meet the IATA 

requirements. Therefore, we believe it is 

unnecessary to restate that in-transit 

shipments must comply with the 

humane transport requirements. 

Required information on CITES 

documents (§ 23.23): This section 

details what information must be 

included on CITES documents. It 

applies not only to documents issued by 

the United States, but also to those 

issued by other Parties and non-Parties. 

Article VI of the Treaty provides basic 

requirements for CITES documents for 

import, introduction from the sea, 

export, and re-export. At the first CoP, 

the Parties recognized the importance of 

having standardized documents. They 

also recognized that the process of 

developing the standards would be a 

continuous one. The resolution on 

permits and certificates has been revised 

at CoPs 2, 3, 7, 9, 10, 11, 12, and 13. The 

resulting comprehensive resolution 

(Resolution Conf. 12.3 (Rev. CoP13)) 

provides guidance on all aspects of 

CITES documents. 

Two commenters had concerns 

regarding our response in the preamble 

to a comment stating that ‘‘documents 

that do not contain the required 

information may be considered invalid 

and rejected by any Party.’’ One 

commenter requested clarification of 

specifically what would trigger a 

rejection by the FWS, and the other 

commenter indicated that the statement 

was too ambiguous and left too much 

discretion to the port official. Section 

23.23 of the rule details the information 

required on a permit, and § 23.26 

provides guidance on when we consider 

a U.S. or foreign CITES document to be 

valid. 

Most of the information in this section 

is presented in a series of tables, 

organized alphabetically by required 

information, code, or type of document. 

This format should help those shipping 

and receiving specimens to understand 

what information is needed on CITES 

documents. A number of commenters 

appreciated the inclusion of this 

section, and stated that it would provide 

a ‘‘valuable addition to the regulated 

community.’’

CITES forms (§ 23.23(b)): This section 

states that CITES documents issued by 

a Party must be on a form printed in one 

or more of the three working languages 

of CITES (English, French, or Spanish). 

One commenter stated that, to ensure 

that our customs and wildlife inspectors 

are able to understand all statements 

made on the face of a CITES document, 

we should require that all CITES 

documents for shipments coming into 

the United States be printed in English 

only. Similarly, the commenter stated 

that each Party should designate one of 

the three working languages in which 

all CITES documents accompanying 

shipments into that Party’s country 

should be printed. While we agree that 

having English as the only language 

appearing on incoming documents 

would be easier for our inspectors, 

CITES allows for documents to be 

printed in any of the three working 

languages and we cannot regulate the 

activities of foreign countries through 

our domestic regulations. 

Required information (§ 23.23(c)): 

One commenter raised a concern that, 

while the customs declaration label that 

is required on the outside of a container 

of CITES specimens moving from one 

registered scientific institution to 

another registered scientific institution 

(§ 23.48(e)(5)) may constitute a CITES 

document, it is unlike other CITES 

documents with regard to the 

information it must contain. We agree 

with the commenter that, like 

phytosanitary certificates, the customs 

declaration label must contain specific 

language and information that is not the 

same as what is required on other CITES 

documents. We have amended the 

language in § 23.23(c) to exclude these 

labels. 

Bill of lading or air waybill (§

23.23(c)(3)): Although a suggestion was 

made after we first proposed these 

regulations in 2000 to require that the 

air waybill or bill of lading information 

appear on the face of CITES documents, 

we declined to make this mandatory 

because the specific information is not 

always known at the time the CITES 

document is validated. One commenter 

on the 2006 proposed rule (71 FR 

20167) supported this approach, 

agreeing that such information is not 

always available. 

Dates (§ 23.23(c)(4)): Over the years, 

we have received many questions about 

the ‘‘valid until’’ date. In this final rule, 

we clarify that the validity of a 

document expires at midnight (local 

time at the place of presentation) on the 

date indicated on the document. All 

activities, including but not limited to 

transport and presentation for import, 

must be completed before that time. One 

commenter expressed a concern that, 

due to situations beyond an importer’s 

control, such as delayed transport or 

prolonged customs procedures, 

shipments may not arrive prior to the 

expiration date of a document. The 

commenter argued that, if an importer 

allows a reasonable period of time for 

the shipment to arrive in the United 

States, the documents should be 

accepted regardless of the expiration 

date. We cannot accept this suggestion. 

The Treaty establishes the period of 

validity for some documents, and the 

Parties, through resolution, have 

established a specific time period for 

which other documents are valid. We 

strongly urge importers and exporters to 


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be aware of the expiration date of their 

documents and to request replacement 

documents if they do not believe that 

the shipment can be completed before 

the document expires. 

Humane transport (§ 23.23(c)(7)): We 

require that CITES export and re-export 

documents for live wildlife contain a 

specific condition that the document is 

only valid if the transport complies with 

certain humane transport standards. 

One commenter indicated that three 

sections (§§ 23.23, 23.26, 23.36) do not 

contain the same language with respect 

to humane transport. The commenter 

suggested the language used in § 23.36 

should be used in all sections because 

it reiterates CITES language. We 

declined to make a change based on this 

suggestion because each section has a 

different purpose and requires different 

language. Section 23.23 provides the 

wording that must be included on a 

CITES document, § 23.26 lays out the 

condition for acceptance of a shipment, 

and § 23.36 provides the criteria for 

issuance of a permit. 

We do, however, make a change to 

§23.23(c)(7) to incorporate by reference 

CITES’s Guidelines for transport and 

preparation for shipment of live wild 

animals and plants. We inadvertently 

omitted this necessary incorporation by 

reference in our proposed rule, and we 

are correcting that omission in this final 

rule. 

Identification of specimen 

(§23.23(c)(8)): We require that the CITES 

document accompanying a shipment 

contain information on any unique 

number or mark that is used to identify 

a specimen in that shipment. If the 

specimen has a microchip, the specific 

information concerning the code, 

trademark of the transponder 

manufacturer, and location of the chip 

must be on the CITES document, and if 

necessary, we may ask the importer, 

exporter, or re-exporter to have the 

equipment on hand to read the 

microchip at the time of import, export, 

or re-export. One commenter supported 

the provision that an importer or 

exporter must provide equipment to 

read a microchip, if requested. Another 

commenter did not support this 

approach and argued that the FWS 

should provide any required equipment. 

This commenter also did not believe 

that we should require that unique 

markings or microchip numbers be 

identified on the face of the CITES 

documents. The commenter thought this 

requirement would be burdensome to 

exporters that use microchips, whereas 

those exporters who do not use 

microchips would not have the same 

documentation burden. On an 

application for a CITES document, the 

applicant is asked to identify the 

specimens to be imported or exported. 

If the applicant uses a unique mark or 

microchip as a form of identification, 

we will use that as a means of 

identifying the specimen. Because a 

CITES document is issued for specific 

specimens, the use of identification 

marks or microchips ensures that the 

specimens identified in the application 

are the specimens presented at the time 

of import or export. Requiring that the 

unique marks or microchips be 

identified on the face of the CITES 

document allows for such identification. 

With regard to the FWS purchasing 

microchip readers, there currently is no 

industry standard for microchip readers 

and the cost to purchase every type for 

each wildlife inspection station would 

be prohibitive. 

Purpose of transaction (§

23.23(c)(11)): Resolution Conf. 12.3 

(Rev. CoP13) lists standard transaction 

codes that are to be used on documents. 

These are the same codes used by 

Parties in their CITES annual reports. 

One commenter expressed confusion 

over the fact that the regulatory 

language at § 23.23(c)(11) uses the 

words ‘‘if possible’’ and therefore allows 

for the possibility that the purpose of 

the transaction may not appear on the 

face of a CITES document. We have 

amended the text to remove the 

ambiguity and to clarify that the 

purpose of the transaction must be 

identified on the face of the CITES 

document, either through use of one of 

the purpose of transaction codes in §

23.23(d) or through a written 

description. 

Quantity (§ 23.23(c)(12)): We require 

that standardized units are used on all 

documents. The unit of measurement 

should be appropriate for the type of 

specimen and agree with the preferred 

or alternative unit to be used in the 

CITES annual report, if possible. The 

unit should be in metric measurement. 

If weight is given, it is important to 

provide the weight of the specimen, not 

the packing material. To monitor trade 

effectively, we need records on 

quantities that accurately reflect the 

volume of that trade. 

One commenter agreed with the 

requirement that appropriate units be 

used on documents. However, the 

commenter believed that we should 

include a table of all of the units 

accepted by the Parties. We decline to 

accept this comment since the accepted 

units, which are identified by species or 

commodity, are too numerous to list. 

The accepted units are identified in the 

annual report format guidelines that are 

available on the CITES website or from 

us (see § 23.7). 

Signature (§ 23.23(c)(16)): We require 

that the signatures of individuals 

authorized to sign CITES documents for 

a Management Authority be on file with 

the Secretariat. This requirement will 

help us determine if a document is valid 

and avoid delays in the clearance of 

shipments. One commenter believed 

that this requirement would be 

impractical. We disagree and note that 

this is not a new requirement. 

Resolution Conf. 12.3 (Rev. CoP13) 

recommends that Parties communicate 

to the Secretariat the names of the 

persons empowered to sign CITES 

documents and submit examples of 

their signatures. The FWS provides this 

information to the Secretariat for 

documents issued by the United States 

and verifies signatures with the 

Secretariat when questions arise about 

the validity of foreign documents. 

Validation (§ 23.23(c)(21)): We 

require CITES documents to indicate the 

actual quantity exported or re-exported, 

whether the shipment is physically 

inspected upon export or not. One 

commenter expressed concerns that this 

section requires a CITES permit to be 

validated prior to leaving the country; 

otherwise it is not considered a valid 

permit. The commenter stated that the 

majority of countries do not validate 

their export permits and that this will 

become an enforcement burden to the 

wildlife inspection program to either reexport the shipment for lack of 

validation or seize the item(s). The 

commenter questioned if there is a plan 

to notify all CITES Parties of this new 

requirement to lessen the burden. We 

are aware of the lack of implementation 

of this CITES requirement by some 

countries, and plan to focus outreach 

efforts on this issue before the rule 

enters into effect. However, we are also 

aware that receipt of a CITES document 

without validation is not necessarily 

due to an exporting or re-exporting 

country having chosen not to validate, 

but may be because these shipments 

have evaded export controls. The lack of 

validation is quite often a violation of 

the exporting or re-exporting country’s 

CITES laws, and we are committed to 

ensuring that shipments of CITES 

species are legally traded. 

One commenter had concerns that the 

FWS would seize specimens if the 

authorized quantity had been changed 

without the validation stamp. The 

commenter suggested that, if a mark-out 

occurs and a new quantity is written by 

the Management Authority of the 

exporting country, the quantity should 

be verified through a physical 

inspection by the FWS without action 

taken against the importer. We disagree 

with this comment. If any alteration of 


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the CITES document occurs, this must 

be identified by the stamp and signature 

of a person authorized to sign CITES 

documents for the issuing Management 

Authority or the document is 

considered invalid. Without the stamp 

and signature verifying the originator of 

the changes, we can only assume such 

changes were not authorized, and we 

must take appropriate action. 

One commenter raised a concern 

about requiring validation or 

certification of a customs declaration 

label used to identify specimens being 

moved between registered scientific 

institutions. We have revised this 

section to exclude these labels from the 

validation requirement. 

Additional information (§ 23.23(e)): 

The table in paragraph (e) provides 

details on additional information that is 

required for specific types of 

documents, such as an annex or 

certificate of origin. Some documents 

require additional information because 

of the type of transaction, the specimen 

involved, or special provisions, such as 

quotas. One commenter expressed 

concern over how quotas are handled by 

the Parties and believed that this section 

should include additional language that 

would provide greater control over 

quotas. Although we recognize that the 

Parties are currently evaluating the uses 

of quotas, this section was not intended 

to address those concerns. This section 

provides the additional language 

required on CITES documents when the 

specimens identified on the document 

fall under an established quota. 

Therefore, we have not made the 

changes to this section requested by the 

commenter. 

Phytosanitary certificates (§ 23.23(f)): 

CITES allows phytosanitary certificates 

to be used in lieu of CITES certificates 

to export certain artificially propagated 

plants under specific circumstances. At 

this time, we do not allow the use of 

phytosanitary certificates in lieu of 

CITES certificates for export of plants 

artificially propagated in the United 

States. One commenter believed there 

was a contradiction in this last 

statement. To clarify, although the 

United States does not issue 

phytosanitary certificates in lieu of 

CITES certificates, we will accept them 

from other Parties that have issued such 

documents, provided the phytosanitary 

certificate was properly issued and 

meets the requirements set out in this 

section. 

Source of the specimen (§ 23.24): The 

source of a specimen is needed by 

Management and Scientific Authorities 

to make the findings required to issue 

CITES documents and is an important 

component in analyzing data and 

monitoring trade. We provide a list of 

standardized codes that Management 

Authorities use on CITES documents to 

identify the source of the specimen. In 

addition, we provide the definition for 

each code, and explain that the source 

code ‘‘O’’ for pre-Convention specimens 

should be used in conjunction with 

another source code. The U.S. 

Management Authority will determine 

the appropriate code to use when 

issuing a document, based on 

information provided in an application. 

We often receive questions about the 

difference between the source codes ‘‘C’’

and ‘‘F.’’ Wildlife bred in captivity can 

be given the source code ‘‘C’’ and traded 

under an Article-VII exemption 

certificate only if the specimen meets 

the requirements adopted by the CoP for 

bred in captivity (see § 23.63). In 

addition, for Appendix-I wildlife, the 

specimen must have been bred for 

noncommercial purposes. If a specimen 

does not meet these criteria, it is 

assigned the source code ‘‘F’’ and 

requires CITES documents under 

Articles III, IV, or V of the Treaty. For 

export of Appendix-I wildlife, see the 

discussion in the preamble for § 23.18. 

Two commenters expressed concern 

that use of the source code ‘‘F’’ for 

Appendix-I specimens that were 

commercially bred at a facility that was 

not registered with the CITES 

Secretariat would negatively impact 

their commercial operations. As 

discussed further in § 23.46, specimens 

that are produced for commercial 

purposes at a registered commercial 

breeding operation are afforded a 

specific exemption under Article VII(4) 

of the Treaty. These specimens are given 

the source code ‘‘D’’ on CITES 

documents. If a commercial breeding 

operation for Appendix-I species does 

not meet the requirements set out in §

23.46 to be registered with the CITES 

Secretariat, its specimens would not be 

eligible for the exemption under Article 

VII(4), and therefore any international 

trade of such specimens would be 

subject to the provisions of Article III of 

the Treaty. 

Additional information required on 

non-Party documents (§ 23.25): This 

section provides the additional 

information that is required on nonParty documents. Article X of the Treaty 

allows a Party to accept documentation 

from a non-Party if it is issued by a 

competent authority and substantially 

conforms to the requirements of CITES. 

Because the Parties were concerned that 

the trade of CITES specimens through 

non-Parties might jeopardize the 

effectiveness of the Convention, they 

adopted Resolution Conf. 9.5 (Rev. 

CoP13). This resolution recommends 

that Parties accept documents from nonParties only if they contain certain basic 

information, including certifications 

that a competent authority has made the 

findings required under Articles III, IV, 

or V of the Treaty. Therefore, we have 

incorporated the requirements of 

Resolution Conf. 9.5 (Rev. CoP13) on 

trade with non-Parties and Resolution 

Conf. 12.3 (Rev. CoP13) on permits and 

certificates. One commenter expressed 

concern that a certification from a nonParty that findings have been made in 

accordance with the Convention did not 

guarantee that findings were accurate or 

scientifically sound. We believe that the 

requirements in Resolution Conf. 9.5 

(Rev. CoP13) and Resolution Conf. 12.3 

(Rev. CoP13) are sufficient to ensure 

that trade with non-Parties is conducted 

in accordance with CITES. As noted 

elsewhere in this rule, if we have 

concerns regarding a CITES document 

issued by another country, we will 

investigate the situation further. 

Valid CITES documents (§ 23.26): 

Article VIII of the Treaty outlines 

measures that Parties shall take to 

enforce the provisions of the 

Convention. Resolutions Conf. 9.9, 11.3 

(Rev.CoP13), and 12.3 (Rev. CoP13) 

further detail these measures. For CITES 

to be effective, shipments must be 

accompanied by valid CITES documents 

issued by the appropriate authority and 

must meet all conditions of those 

documents. Each Party must have 

border controls for the inspection and 

validation of CITES documents. To 

ensure that specimens traded in 

violation of CITES do not re-enter illegal 

trade, Parties are urged to consider 

seizure of specimens, rather than refusal 

of entry of the shipment. Parties are 

encouraged to cooperate with other 

Parties, the Secretariat, and 

international enforcement organizations 

to further effective enforcement of the 

Treaty and provide protection to CITES 

species. 

One commenter stated that the FWS 

should impose rules that make it clear 

that a CITES shipment not accompanied 

by the required CITES documents 

would be deemed illegal and disposed 

of pursuant to the FWS laws and 

policies with all costs borne by the 

importer, exporter, or re-exporter. We 

believe the rule clearly identifies the 

CITES prohibitions. The commenter 

further stated that if such a rule is not 

imposed, the FWS should require that 

countries issuing permits for shipments 

to the United States should submit 

electronic copies of the documents to 

ensure that a record of all trade is 

available. We disagree with this 

suggestion because such a requirement 

has not been agreed upon by the CoP 


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and would be overly burdensome for 

both the United States and other CITES 

Parties. 

We included this section in the 

regulations to outline what 

requirements must be met for CITES 

documents to be considered valid. 

Several commenters objected to our 

reviewing the legal and scientific bases 

for a CITES document issued by another 

country, noting that we should accept a 

document if it is not procured by fraud 

and meets Article VI of the Treaty. One 

commenter argued that if we had a 

dispute with a country about a permit 

we should address our concerns to that 

country, and that the Convention does 

not give us the authority to refuse entry 

of shipments or reject permits in the 

absence of fraud or falsification of the 

permit. 

We have the authority to question any 

shipment and its accompanying 

documents if the surrounding facts 

indicate a potential violation or create a 

reasonable suspicion of a violation. 

Section 10(g) of the ESA places the 

burden on a permittee to prove that the 

document was valid and in force at the 

time of entry into the United States. 

Foreign countries have the same 

discretion to inquire about documents 

we have issued. In addition, violations 

of CITES consist of more than fraud or 

falsified documents, and the Treaty 

requires Parties to penalize trade in, and 

possession of, specimens traded 

contrary to the Convention. As decided 

by the United States District Court for 

the District of Columbia in Castlewood 

Products v. Norton (Apr. 16, 2003), and 

affirmed by the Court of Appeals for the 

District of Columbia Circuit (Apr. 30, 

2004), the role of all CITES Parties is to 

ensure that international trade in CITES 

specimens meets the provisions of the 

Convention, and the Government has 

the authority to decline to accept export 

permits at face value when reason is 

shown to doubt their validity. We note 

that the United States receives 

thousands of CITES shipments annually 

for which CITES documents are 

accepted as issued. We focus our 

verification efforts on those shipments 

and CITES documents for which the 

available information indicates a 

problem may exist. 

One commenter believed that the 

FWS relies too heavily on the 

assumption that an exporting or reexporting country is issuing accurate 

and scientifically defensible nondetriment findings. The commenter 

argued that the FWS must mandate 

import permits for all Appendix-I and 

Appendix-II wildlife or mandate 

internal reviewof export permits to 

make concurrence determinations, with 

no exceptions. The commenter also 

stated that the regulations should set 

specific requirements with which 

foreign Scientific and Management 

Authorities must comply when 

completing and issuing their findings. 

The imposition of a CITES import 

permit requirement for Appendix-II 

wildlife and of specific criteria for other 

countries to use in making their nondetriment findings goes beyond what is 

required under the Treaty. We have full 

authority to question a non-detriment 

finding when we have reason for 

concern. Requiring import permits for 

Appendix-II specimens would add 

significantly to our workload, but would 

not provide significant benefit. 

Acceptance of CITES documents (§

23.26(c)): We present the information on 

valid documents in a table arranged 

alphabetically by key phrase to assist 

importers and exporters. Most of the 

requirements are self-explanatory. 

However, we believe it would be helpful 

to discuss some in more detail. 

Annual reports (§ 23.26(c)(2)), 

Convention implementation (§

23.26(c)(5)), Legal acquisition (§

23.26(c)(9)), and Non-detriment (§

23.26(c)(12)): Three commenters urged 

us to include regulatory provisions to 

implement recommended trade 

suspensions. When the Standing 

Committee or the CoP recommends a 

temporary trade suspension, based on 

the results of the Review of Significant 

Trade, non-submission of annual 

reports, the status of adequate national 

legislation, or ongoing enforcement or 

implementation problems, Parties are 

informed of the decision through a 

Notification to the Parties issued by the 

Secretariat. All three commenters 

indicated that temporary suspensions 

are a valuable tool for ensuring 

compliance by CITES countries. Two 

commenters stated that implementation 

of CITES trade suspensions is a 

responsibility of the United States in its 

role as a major importer of CITES 

species, and one commenter urged 

regulatory language requiring immediate 

implementation of CITES trade 

suspensions. One commenter also 

suggested that we add a specific key 

phrase to § 23.26(c) for CITES trade 

suspensions. 

While we believe the regulations as 

proposed allow us to implement any 

temporary suspensions of trade, we 

agree that adding language to § 23.26(c) 

will provide useful clarification for the 

public. CITES trade suspensions are 

based on failure to comply with basic 

Treaty requirements, and we realize that 

the basic Treaty requirements are 

scattered throughout many sections of 

the regulations. Therefore, to provide 

clarity, we have added four additional 

key phrases to § 23.26(c), annual 

reports, Convention implementation, 

legal acquisition, and non-detriment, as 

conditions that must be met before we 

consider a CITES document valid. The 

addition of these key phrases also 

ensures continuity with § 23.26(d) 

which outlines when we might verify a 

CITES document with the Secretariat or 

a foreign Management Authority. 

Although we indicate that these key 

phrases form the basis for acceptance of 

CITES documents, in addition to 

requirements in other sections, we will 

not generally question findings made by 

a Party for each individual shipment. 

We seek additional information where 

there is reason to question a shipment 

or a pattern of trade. 

Management Authority and Scientific 

Authority (§ 23.26(c)(10)): One 

commenter supported the requirement 

that non-Parties designate Management 

and Scientific Authorities. 

Quotas (§ 23.26(c)(14)): Quotas may 

be established voluntarily by Parties, 

adopted by the CoP through a resolution 

or proposal to amend Appendix I or II, 

or put into place through the Review of 

Significant Trade in Appendix-II species 

(Resolution Conf. 12.8 (Rev. CoP13). 

The Secretariat notifies the Parties of 

quotas each year, and we require that, 

for a given species, the quantity 

exported not exceed the quota. One 

commenter agreed with this 

requirement. 

Ranched specimen: We received one 

comment related to a provision that 

appeared in the 2000 proposed rule (65 

FR 26664) regarding not allowing 

international trade in ranched 

specimens involving non-Parties or 

Parties with a reservation on a species 

downlisted from Appendix I to 

Appendix II subject to ranching. 

Resolution Conf. 10.18 included 

language addressing this potential trade 

restriction. However, Resolution Conf. 

11.16, which replaced Resolution Conf. 

10.18, does not include this provision. 

Since the Parties excluded this 

provision when revising the ranching 

resolution, we did not include the 

restriction in this rule. 

Shipment contents (§ 23.26(c)(18)): 

This paragraph specifies that the 

contents of the shipment must match 

the description of specimens on the 

CITES document and that the shipper 

may not substitute a new specimen to 

replace the one authorized. One 

commenter believed it was reasonable to 

allow a scientist who had obtained a 

permit for several specimens of a 

particular species to substitute different 

specimens of the same species without 

having to amend the permit. We 


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disagree. Findings are made based on 

information provided by the applicant 

for specific specimens, and therefore the 

specimens in a shipment must 

correspond to what was authorized. 

Verification of CITES documents (§

23.26(d)): This paragraph outlines the 

situations when we may request 

verification of documents from the 

Secretariat or the Management 

Authority of any country involved in 

the shipment. They include instances 

when we have reasonable grounds to 

believe a document is not valid or 

authentic. 

Verification of CITES documents can 

be a lengthy process and depends on the 

issue, the means of communication, and 

the cooperation of the countries 

involved. Failure by a country to 

respond through normal channels of 

communication or failure to provide 

sufficient information to determine 

validity of documents may result in 

refusal of a shipment. 

We rely on Parties and non-Parties to 

make appropriate findings, and we seek 

additional information only when we 

have a specific reason to do so. The 

Plants and Animals Committees, 

through the Review of Significant Trade 

process, regularly evaluate whether 

Parties are properly making nondetriment findings. Four commenters 

questioned why we both rely on Parties 

and non-Parties to make appropriate 

findings and also allow the Animals and 

Plants Committees to regularly evaluate 

whether Parties are properly making 

non-detriment findings. The 

commenters suggested that we delegate 

the process to the Committees. We wish 

to clarify that Parties and non-Parties 

are required under CITES to make legal 

acquisition and non-detriment findings 

for the CITES documents they issue. 

Although the Plants and Animals 

Committees regularly evaluate whether 

Parties are properly making nondetriment findings, this is only done for 

selected species determined to be 

subject to significant levels of trade. 

Such evaluations are done at the species 

level, usually range-wide, not for 

individual permits, and not at the 

specific request of a country. Individual 

permit findings cannot possibly be 

made by the Plants and Animals 

Committees, which generally meet only 

annually. We may request information 

on non-detriment findings made by 

other countries, including the 

underlying basis for quotas established 

by Parties, when we have a question 

regarding a shipment or a pattern of 

trade. 

Several commenters indicated that if 

the United States questions a nondetriment finding there should be 

official notice to the public and the 

regulated community before a contrary 

determination is made. Although we 

encourage the public to provide relevant 

information if they have concerns about 

a finding made for a particular 

shipment, we decline to add a 

requirement that we solicit public 

comment whenever we have reason to 

question a non-detriment finding. We 

believe it is unnecessary and would 

undermine any timely and appropriate 

enforcement action that may be 

warranted. 

One commenter strongly supported 

the regulations regarding verification of 

documents and noted that the issuance 

of a permit without making the relevant 

findings is inconsistent with Articles III 

and IV of the Treaty and therefore 

constitutes noncompliance. Another 

commenter recognized that the FWS has 

the authority to respond to violations, 

but believed that where a document is 

apparently valid, and not procured 

fraudulently, importers should have a 

reasonable expectation of a procedural 

standard for ‘‘looking behind’’ the 

document to determine its validity. We 

agree and have provided detailed 

information about when we would 

question the validity of a permit and 

seek verification. The commenter 

further stated that the failure to make 

adequate findings by ignoring, omitting, 

or failing to review relevant information 

is no different. The commenter argued 

that the regulation confirms the FWS’

authority to look behind a facially valid 

permit. The commenter urged us to 

retain the proposed language in the final 

rule because it facilitates proper 

implementation of the Convention and 

the holding of the United States District 

Court for the District of Columbia in 

Castlewood Products v. Norton (Apr. 16, 

2003). 

One commenter argued that a CITES 

export permit must be regarded as the 

only authorization necessary to trade in 

CITES species. We agree that as 

signatories to CITES, the Parties have an 

obligation to issue export permits in 

accordance with the requirements of the 

Convention. However, we have the 

authority to question any shipment and 

its accompanying documents if the 

surrounding facts indicate a potential 

violation or create a reasonable 

suspicion of a violation. This position 

was affirmed by the United States 

District Court for the District of 

Columbia in Castlewood v. Norton and 

the Court of Appeals for the District of 

Columbia. 

One commenter suggested we include 

in § 23.26(d)(5) a statement allowing us 

to request verification of a CITES 

document when we have reasonable 

grounds to believe that the specimen 

was produced from illegally acquired 

parental stock. We agree and have 

revised the regulations accordingly. 

One commenter stated that the 

verification process outlined in the 2006 

proposed rule (71 FR 20167) would be 

grossly unfair to importers. We disagree. 

These regulations provide a greatly 

expanded explanation of what CITES 

documents are required for trade, the 

information that must be contained on 

a CITES document, when we consider a 

document valid, and what importers 

should present at the port of entry. We 

believe that this section will assist the 

regulated public in determining what 

they must do to comply with CITES if 

they wish to import or export CITES 

species. 

Presentation of CITES documents at 

the port (§ 23.27): Inspecting officials at 

the ports of exit and entry must verify 

that shipments are accompanied by 

valid CITES documents and take 

enforcement action when shipments do 

not comply with CITES. To help 

importers and exporters, we provide a 

table outlining the type of U.S. and 

foreign documents they must present for 

validation or certification, or that they 

must surrender, when importing, 

introducing from the sea, exporting, or 

re-exporting CITES species. 

One commenter made a general 

statement that we should modify these 

regulations to reflect reality and allow 

uniform application of the rules, in 

particular with respect to the validation 

and clearance process. We believe the 

regulations governing the CITES 

approval and validation process are 

appropriate as written. Article VIII of 

the Treaty requires the Parties to 

establish an inspection process that 

takes place at the ports of exit and entry 

to ensure that wildlife shipments are in 

compliance with CITES. The validation 

process is an important component of 

CITES that enables U.S. inspection 

authorities to confirm the authenticity 

of permits and ensure that wildlife 

shipments were legally shipped from 

the exporting country. Such 

determinations are needed to ensure the 

proper enforcement of U.S. laws and 

regulations. Specific problems with 

clearance procedures in a foreign 

country should be addressed to the 

appropriate Management Authority. 

One commenter supported our 

clarification in the 2006 proposed rule 

(71 FR 20167) that CITES documents for 

wildlife in personal accompanying 

baggage should be submitted as soon as 

possible to the FWS if Customs or 

Agriculture officials fail to collect the 

documents at the time of arrival of the 

passenger. 


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One commenter correctly noted that 

the documentation that accompanies 

shipments of CITES specimens moving 

between registered scientific institutions 

is not processed at the port in the same 

manner as other CITES documents. We 

have removed the registered scientific 

institution CITES label from the table in 

§ 23.27(b) and added a new paragraph 

(§ 23.27(d)) to describe the port 

requirements for such shipments. In 

addition, we inadvertently omitted the 

process for presenting phytosanitary 

certificates for shipments of artificially 

propagated plants and have corrected 

that by adding the necessary language to 

the table in § 23.27(c). 

What Are the Changes to Subpart C of 

50 CFR Part 23—Application 

Procedures, Criteria, and Conditions? 

This subpart provides information on 

how to apply for a U.S. CITES 

document. It also contains general 

provisions and criteria that apply to 

both U.S. and foreign CITES documents. 

Application procedures (§ 23.32): 

This section gives a general overview of 

the application process for U.S. CITES 

documents. Much of the information 

that appears in this section also appears 

in 50 CFR 13, General Permit 

Procedures, and is repeated here for the 

convenience of the regulated public. 

One commenter appreciated this 

reiteration of the application process for 

CITES documents. A number of CITES 

species are protected under other laws 

or treaties that we implement. If 

appropriate, we will accept one 

application if the applicant provides the 

information needed under all relevant 

regulations. An applicant should review 

the issuance criteria for all relevant 

regulations when preparing an 

application to ensure he or she 

understands the kinds of information 

we need. This review will help the 

applicant submit a more complete 

application and prevent delays in 

processing. 

When we review an application, we 

decide whether the requirements of an 

exemption document under Article VII 

of the Treaty can be met or whether we 

need to process the application under 

the standard CITES requirements of 

Articles III, IV, or V (see §§ 23.35–

23.39). If we find that the application is 

incomplete, we will contact the 

applicant for additional information. If 

the applicant does not respond to our 

request within 45 days, we will abandon 

the file. We will not re-open the 

application if the applicant sends the 

additional information at a later date. 

The applicant may, however, submit a 

new application, including any relevant 

application fees, if he or she still wants 

to pursue obtaining a permit. 

One commenter disapproved of our 

intent in § 23.32(f)(2) to abandon any 

application after 45 days when the 

applicant has not responded to our 

request for additional information and 

of the fact that we will not re-open an 

application file once it has been 

abandoned. This procedure is not new. 

Part 13 of this subchapter identifies the 

process for abandoned application files, 

and it is repeated in this section for 

emphasis. We receive over 6,000 permit 

applications annually, and we work 

closely with applicants to avoid the 

need to abandon any application file. In 

the past, we have received requests to 

re-open files months, and even years, 

after a file has been abandoned. Such 

requests are burdensome, and we have 

found that it is more efficient to create 

a new file. As a result, once abandoned 

we will not re-open an application file. 

Decisions on applications (§ 23.33): 

This section explains the procedures we 

follow in making a decision on an 

application. When an application is 

complete, we review the information 

under all applicable issuance criteria, 

including 50 CFR part 13, regulations 

under other wildlife and plant laws, and 

the CITES regulations. We may consult 

with outside experts, scientists, and 

staff within the Federal Government, 

State and tribal agencies, the Secretariat, 

or foreign Management or Scientific 

Authorities before we make our 

findings. The burden of proof in 

establishing that the issuance criteria 

are met lies with the applicant. We can 

issue a CITES document only if we are 

satisfied that all criteria specific to the 

proposed activity are met. 

One commenter believed that we were 

inconsistent when we stated in the 2006 

proposed rule (71 FR 20167) that we 

may consult with outside experts and 

others before making required findings, 

yet we also stated that we rely on Parties 

or non-Parties to make appropriate 

findings and would seek additional 

information only when we have a 

specific reason to do so (§ 23.26(d)). We 

believe that the commenter 

misunderstood our point in this section 

with regard to consultation with outside 

experts. We may consult with outside 

experts to assist us in making our 

required findings. This is separate from 

the issue of whether or not we will 

accept the findings made by a foreign 

CITES authority. 

One commenter was concerned that 

the burden of proof is on the applicant 

to establish that the issuance criteria are 

met. The commenter noted that the FWS 

is more likely to have access to certain 

information than the applicant (e.g., 

biological status of the species). While 

it is true that in some cases we may have 

access to more information than many 

applicants, we do not believe that it is 

the burden of the government to obtain 

the information necessary to prove that 

the issuance criteria have been met. We 

inform the applicant of the basis of any 

denial decision and indicate what 

information is lacking. If the missing 

information is difficult for an individual 

applicant to obtain (e.g., foreign 

government management plans), we will 

do our best to obtain such data during 

the course of reviewing an application. 

However, it is the applicant’s 

responsibility to prove that he or she 

meets the issuance criteria. 

We received several comments on the 

process for appeal when an application 

has been denied. We refer the 

commenters to the 2006 proposed rule 

(71 FR 20167), where we addressed this 

issue, and note that the general permit 

procedures in part 13 of this subchapter 

provide the process for review if an 

application is denied. The procedures in 

part 13 cover all applications processed 

by the FWS, including applications for 

activities under CITES. 

Records (§ 23.34): This section 

provides examples of the kinds of 

records individuals and businesses may 

want to keep if they intend to trade in 

CITES species internationally. Although 

the applicant for a CITES document 

needs to provide sufficient information 

for us to make the legal acquisition 

finding, we base the amount of 

information we need on the risk that the 

specimen was illegally acquired. For 

example, we consider whether the 

specimen is a hybrid; is common in 

captivity in the United States; breeds or 

propagates readily; has little illegal 

trade; or is commonly imported. We 

give less scrutiny and require less 

information when there is a low risk 

that a specimen was illegally acquired 

and give more scrutiny and require 

more detailed information when the risk 

is greater. 

One commenter was concerned with 

our response in the 2006 proposed rule 

(71 FR 20167) to a previous comment 

that an applicant’s failure to provide 

adequate documentation showing 

legality of a specimen, while not 

necessarily evidence that the specimen 

was traded contrary to CITES, might 

prevent us from making the required 

findings or being able to issue the 

necessary CITES documents for 

subsequent import, export, or re-export. 

The commenter suggested that the FWS 

establish procedures or describe the 

kinds of evidence we will accept in lieu 

of positive documentation. 


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We have not specified the type of 

documentation that an applicant must 

present in order for us to make 

necessary findings because it is not 

possible to describe the full range of 

information an applicant could use to 

show that their activity is consistent 

with CITES requirements. In each case, 

the applicant must present enough 

information to allow the FWS to make 

the required determinations, but the 

source of this information and the level 

of detail needed to make the findings 

will vary. 

One commenter was concerned that 

an importer might be unable to show 

proof of legal import because the 

documents were retained by CBP and 

not forwarded to the FWS. The retention 

of copies by the importer at the time of 

import is separate from whether CBP 

transfers paperwork for follow-up 

investigation or storage by the FWS. 

Commercial importers must retain 

copies of documents for their files. 

Noncommercial importers are 

encouraged to retain copies of any 

documents submitted to the government 

for clearance as an ordinary part of the 

process whether or not they intend to 

submit applications in the future. All 

importers should also be aware that 

there are recordkeeping obligations 

under customs laws (19 U.S.C. 1508 and 

1509) and customs regulations (19 CFR 

part 163). 

General requirements for standard 

CITES documents (§§ 23.35–23.39): The 

basic requirements for U.S. and foreign 

CITES documents have not changed 

since the Treaty took effect in 1975. We 

have designed U.S. application forms 

for specific activities and protection 

levels to make applications easier to 

complete and to clarify what 

information is needed. Each of these 

sections provides information to help an 

applicant determine which application 

form to use. The forms can be obtained 

from our website or requested by phone, 

mail, or e-mail (see § 23.7). 

These sections list the issuance 

criteria for each type of document and 

reference the appropriate section for 

factors we consider in making a 

decision on certain criteria. The 

issuance criteria are based on the 

provisions of the Convention (Articles 

III, IV, V, and XIV) and resolutions, 

including Resolution Conf. 12.3 (Rev. 

CoP13) on permits and certificates. 

Prior issuance of an import permit (§

23.35(e)): Under Article III of the Treaty, 

before a Management Authority can 

issue an export permit for an AppendixI specimen, it must be satisfied that an 

import permit has been issued for the 

specimen. However, some countries 

have stricter national measures that 

require the export permit to be issued 

before they can issue an import permit. 

Resolutions Conf. 10.14 (Rev. CoP13) 

and 10.15 (Rev. CoP12) recommend that 

this requirement may be satisfied when 

the Management Authority of the 

importing country has provided written 

assurance that an import permit will be 

issued. Thus, for the export of live and 

dead Appendix-I specimens and reexport of live Appendix-I specimens (as 

required by Article III of the Treaty), the 

issuance criteria can be met either by 

showing that the import permit has been 

issued or by providing confirmation 

from the Management Authority of the 

importing country that the import 

permit will be issued. For re-export of 

dead specimens, the Management 

Authority does not need to see the 

import permit before issuing a re-export 

certificate, but the shipment still must 

be accompanied by an import permit. 

One commenter stated that we should 

require the Management Authority of 

the exporting country to acquire a copy 

of the import permit before issuing an 

export permit or re-export certificate. 

The commenter was concerned that, due 

either to limited resources or lack of 

interest, a country will not make the 

required findings if they know in 

advance that the importing country will 

allow the import. We believe that 

countries strive to fulfill the 

requirements of the Treaty to the best of 

their abilities and that it is unlikely that 

an importing country would issue an 

import permit based solely on the fact 

that the exporting country issued an 

export permit. The commenter also 

contended that allowing the importing 

country to provide a ‘‘letter of intent’’ or 

written assurance that an import permit 

will be issued will lead to situations 

where the import permit will not be 

issued by the time the import actually 

occurs, placing border officials in a 

difficult situation. It is the responsibility 

of the exporter to obtain all the 

necessary documents before engaging in 

international trade. We concur with 

Resolutions Conf. 10.14 (Rev. CoP13) 

and 10.15 (Rev. CoP12) that allowing 

importing countries to provide written 

assurance that an import permit will be 

issued provides a workable solution that 

allows the administrative needs of both 

the importing and exporting countries to 

be met. If the U.S. Management 

Authority receives a written 

confirmation that appears unusual or 

inappropriate, we will investigate the 

situation further. 

Export permits (§ 23.36): To comply 

with Article II of the Treaty, the export 

of Appendix-I wildlife that qualifies for 

source code ‘‘W’’ or ‘‘F’’ must be for 

noncommercial purposes (see 

discussion in the preamble for § 23.18). 

This provision means that facilities that 

are commercially breeding Appendix-I 

wildlife must become registered under §

23.46 before they can export AppendixI specimens. This does not affect the 

sale of specimens within the United 

States, nor does it preclude the export 

of specimens where the purpose is 

noncommercial, such as for science, 

conservation, or personal use. 

Two commenters expressed their 

support for registering breeding 

facilities for Appendix-I wildlife and 

allowing the export of wildlife from 

these registered facilities for commercial 

purposes. However, one commenter 

thought that measures such as 

registering breeding facilities create 

loopholes and do not provide benefit to 

Appendix-I species in the wild. CITES 

allows for commercial trade in 

Appendix-I specimens from registered 

breeding operations, and we do not 

believe that this requirement creates a 

loophole. The commenter also wanted 

assurances that an Appendix-I specimen 

bred for noncommercial purposes (i.e., 

not from a registered breeding facility) 

would only be traded internationally for 

noncommercial purposes over its 

lifetime. We will not authorize 

commercial trade of an Appendix-I 

specimen that does not qualify for an 

exemption under which such trade 

would be allowed. Additionally, we 

expect that countries that are party to 

CITES will abide by the provisions of 

the Convention, however we do not 

have control over trade that does not 

involve the United States. 

We address the exemption in Article 

XIV(4) and (5) for certain Appendix-II 

marine species protected under another 

treaty, convention, or international 

agreement that was in force on July 1, 

1975 (the date of entry into force of 

CITES). Export of a marine specimen 

exempted under Article XIV requires a 

CITES certificate indicating that the 

specimen was taken in accordance with 

the provisions of the other treaty, 

convention, or international agreement. 

One commenter appreciated the 

clarification in § 23.36(d) of the 

requirements for CITES documents for 

certain marine specimens exempted 

under Article XIV(4) and (5). 

We added a new application form to 

the table in (b) for export of caviar or 

meat from wild-caught sturgeon and 

paddlefish (Form 3-200-76). This form 

was developed after the 2006 proposed 

rule (71 FR 20167) was published. 

Certificate of origin (§ 23.38): A 

certificate of origin allows the export of 

a specimen of a species listed in 

Appendix III when the specimen 

originated in a non-listing country. This 


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section provides specific information on 

the application form and issuance 

criteria for a certificate of origin. 

One commenter expressed concern 

regarding documentation requirements 

for trade in Appendix-III specimens. 

While he believed that the requirements 

were clear for specimens originating in 

the listing country, he stated that there 

is no uniform format for certificates of 

origin, which results in considerable 

variation in these documents, with some 

countries no longer issuing any 

documents for the export of AppendixIII specimens. He also noted that 

acceptance of these documents by the 

United States varies at different ports of 

entry and asked that we ‘‘formulate 

clear rules which reflect the ongoing 

customs and regulations of other 

countries.’’

Sections 23.23 to 23.27 provide clear 

descriptions of the information 

requirements for CITES documents, 

including certificates of origin. These 

requirements implement the current 

resolution on permits and certificates, 

and therefore reflect what has been 

agreed by the CITES Parties. Some 

countries have taken reservations for 

certain Appendix-III species, and we 

refer the commenter to § 23.21 for an 

explanation of document requirements 

when a country has elected to take a 

reservation on an Appendix-III listing. 

Introduction from the sea (§ 23.39): 

Article XIV(4) and (5) of the Treaty 

provide a limited exemption for certain 

Appendix-II species when a country is 

a party to another treaty, convention, or 

international agreement that protects the 

listed marine species and was in force 

on July 1, 1975 (the date of entry into 

force of CITES). For introductions from 

the sea, this exemption applies only to 

specimens that were harvested by a ship 

registered in the country of introduction 

that is also a party to the pre-existing 

treaty. This is in keeping with Article 

XIV(4) and with the intent of the 

provisions of Article IV of the Treaty. It 

also supports the CITES goal of 

exempting only those introductions 

from the sea that are certified as being 

in compliance with a pre-existing treaty 

by a party to that treaty who is 

competent to make such a certification. 

Should a commercially exploited 

marine species that is exempt under 

Article XIV be listed in the future, 

implementation details may need to be 

addressed at the time of listing. 

One commenter was concerned that 

allowing the use of other treaties, 

conventions, or international 

agreements to exempt specimens from 

CITES requirements may reduce their 

overall protection by allowing trade that 

may not be permissible under CITES. He 

stated that the FWS should identify all 

such agreements in force on July 1, 

1975, and provide an analysis 

comparing and contrasting requirements 

imposed by these other agreements in 

relationship to CITES requirements. We 

disagree. The exemption in Article 

XIV(4) and (5) for certain Appendix-II 

marine species is limited in scope and 

was purposely written into the Treaty to 

avoid conflicts with pre-existing 

treaties, conventions, and agreements. 

Changing or eliminating this exemption 

would require amending the Treaty, 

which we do not believe is practicable 

or warranted. 

Another commenter believed that 

guidance was lacking on when an 

introduction-from-the- sea certificate is 

required. Introduction from the sea is 

defined in § 23.5, and § 23.20(f) and §

23.39 explain clearly that unless the 

specimen qualifies for an exemption 

under Article XIV(4) and (5), the 

introduction from the sea of an 

Appendix-I or -II specimen requires an 

introduction- from-the-sea certificate. 

Criteria for issuance and acceptance of 

introduction-from-the-sea certificates 

are provided in § 23.39. 

Bred-in-captivity certificates (§ 23.41): 

This section implements Article VII(5) 

and allows us to issue a bred-incaptivity certificate for specimens of 

Appendix-I species bred for 

noncommercial purposes (see § 23.5) or 

traveling as part of an exhibition, and 

specimens of Appendix-II or -III species 

bred for any purpose. At CoP12, the 

Parties agreed that facilities that are 

breeding Appendix-I species for 

noncommercial purposes must be 

participating in a cooperative 

conservation program with one or more 

of the range countries for that species. 

We adopted this provision. If the 

breeding facility is not participating in 

a cooperative conservation program, 

specimens will be assigned the source 

code ‘‘F’’ and are not eligible for a bredin-captivity certificate. Export of such 

Appendix-I specimens will be allowed 

only when the export is for 

noncommercial purposes (see the 

discussion in the preamble for § 23.18). 

We also adopted the recommendations 

of Resolution Conf. 10.16 (Rev.) for 

specimens bred in captivity (see §

23.63). Appendix-I wildlife that 

qualifies for a bred-in-captivity 

certificate does not need a CITES import 

permit. 

One commenter asked if we could 

issue bred-in-captivity certificates for 

Appendix-II and -III specimens that are 

part of a traveling exhibition, or for 

Appendix-I specimens in foreign-based 

traveling exhibitions performing in the 

U.S. As stated above, such certificates 

may be issued for any purpose, 

including traveling exhibitions, for 

Appendix-II or -III specimens. However, 

we generally do not issue bred-incaptivity certificates for specimens in a 

traveling exhibition. Traveling 

exhibitions are addressed by Article 

VII(7) of the Treaty and we refer the 

commenter to the procedures for 

traveling exhibitions described in §

23.49. The same commenter asked 

whether we could issue a bred-incaptivity certificate to facilitate import 

of an Appendix-I specimen that had 

been bred for noncommercial purposes 

in a foreign country. A Party cannot 

issue a bred-in-captivity certificate for a 

specimen outside of its national 

jurisdiction. 

The commenter also expressed 

concern that issuance of a bred-incaptivity certificate bypasses the 

requirements in Article III, IV, and V to 

make a legal acquisition finding and the 

requirements in Article III and IV to 

make a finding that the export would 

not be detrimental to the survival of the 

species. These findings are made 

through our adoption of the standard 

interpretation of the term ‘‘bred in 

captivity’’ in Resolution Conf. 10.16 

(Rev.). We refer the commenter to §

23.63 on the procedures for evaluating 

the breeding stock from which the 

specimen was derived. 

The Parties have agreed that facilities 

that are breeding Appendix-I species for 

noncommercial purposes must be 

participating in a cooperative 

conservation program with one or more 

range countries for the species. The 

commenter noted that we have not 

provided a specific definition of what 

constitutes a cooperative conservation 

program. We amended the definition in 

§ 23.5 slightly to make it clear that the 

program must be conducted in 

cooperation with one or more of the 

range countries for the species. 

However, we defined ‘‘cooperative 

conservation program’’ in general terms 

because we did not want to limit what 

might be considered under such a 

program. These programs may include a 

wide variety of activities, and we cannot 

adequately address every variation in 

this rule. Instead, using our professional 

judgment and through communication 

with range countries and species 

experts, we will evaluate each breeding 

situation to determine if the activities 

being conducted constitute active 

participation in a cooperative 

conservation program. 

The commenter also expressed 

concern that the issuance of bred-incaptivity certificates would facilitate 

fraudulent activities by providing a 

loophole for the international movement 


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of wild-caught specimens. We disagree. 

We believe that the procedures we use 

to review applications for bred-incaptivity certificates and our close 

coordination with law enforcement, 

both domestically and internationally, 

are a strong deterrent to such fraudulent 

activities. 

General information on hybrids (§§

23.42 and 23.43): At CoP2, the Parties 

recognized that it can be difficult to 

distinguish between purebred and 

hybrid specimens in trade. If hybrids 

were not subject to CITES controls, 

persons wishing to avoid the controls of 

CITES could falsely claim that the 

specimens in question were hybrids. 

Resolution Conf. 2.13 recommended 

that hybrids, even though not 

specifically listed in any of the 

Appendices, are subject to CITES if one 

or both parents are listed. The Parties 

agreed at CoP10 to treat plant hybrids 

differently from wildlife hybrids. 

Resolution Conf. 2.13 was repealed, and 

provisions for hybrids were placed in 

other resolutions. 

Plant hybrids (§ 23.42): Resolution 

Conf. 11.11 (Rev. CoP13) contains 

provisions on trade in plant hybrids. 

Trade in plant hybrids must meet the 

requirements of CITES unless the 

Parties agree to exempt an Appendix-II 

or -III hybrid by a specific annotation to 

the Appendices (see § 23.92). Plant 

hybrids are subject to CITES controls if 

one or both parents are listed in the 

Appendices. If the hybrid includes two 

CITES species in its lineage, it is listed 

in the more restrictive Appendix of 

either parent, with Appendix I being the 

most restrictive. 

Two commenters stated that plant 

hybrids should be exempt from CITES 

document requirements. See the general 

discussion of hybrids above for the basis 

of applying CITES requirements to 

hybrids of CITES species. The same 

commenters believed that the 

exemption for certain hybrids when the 

specimens are traded in shipments 

containing 20 or more plants of the 

same hybrid is unfair to small growers. 

This exemption was adopted by the 

Parties as a listing annotation for certain 

orchid species. The appropriateness of 

specific species listings and listing 

annotations is addressed by the CoP and 

is beyond the scope of these regulations. 

Wildlife hybrids (§ 23.43): In 

Resolution Conf. 10.17 (Rev.), the 

Parties agreed that wildlife hybrids with 

one or more Appendix-I or -II specimens 

in their recent lineage are controlled 

under CITES. Therefore, in general, 

wildlife hybrids of CITES species must 

be accompanied by a CITES document, 

issued by the Management Authority of 

the country of export or re-export. 

The Parties agreed to a limited 

exception for certain wildlife hybrids 

under specific conditions. When the 

hybrid specimen is a cross between a 

CITES species and a non-CITES species, 

and no purebred CITES specimen 

appears in the previous four generations 

of its ancestry, it is exempt from CITES 

requirements. A hybrid of species 

included in a higher-taxon listing, such 

as parrots, falcons, or sturgeons, would 

not be exempted under this provision 

because the crosses are generally 

between two CITES species within that 

higher-taxon listing. We expect that the 

wildlife hybrid exemption will apply 

only rarely. 

A specimen that qualifies as an 

exempt wildlife hybrid does not require 

CITES documents. However, at the time 

of import, export, or re-export you must 

provide sufficient information to 

demonstrate to CITES border officials 

that your wildlife specimen contains no 

purebred CITES species in the previous 

four generations of its lineage, and you 

must follow the clearance requirements 

for wildlife in part 14 of this subchapter. 

Initially, we had proposed that either 

a CITES document or an ‘‘excluded 

hybrid letter,’’ issued by a Management 

Authority, must accompany any exempt 

wildlife hybrid being imported into or 

exported from the United States. One 

commenter questioned how the United 

States could require that a CITES 

document or a letter accompany an 

exempt hybrid when other CITES 

Parties do not require such 

documentation. After further review, we 

have decided to eliminate this 

document requirement. However, as 

previously stated, individuals traveling 

with or shipping exempt wildlife 

hybrids should be aware that they must 

provide information to clearly 

demonstrate to border officials that the 

specimen qualifies as an exempt 

wildlife hybrid. 

We received over 200 comments in 

support of this section as proposed. 

While not specifically stated in most of 

these comments, it was clear that the 

commenters were under the impression 

that Bengal cats, a hybrid cross between 

domestic cats and Asian leopard cats 

(Prionailurus bengalensis), would be 

automatically exempt from CITES 

document requirements. Although some 

Bengal cat specimens may qualify as 

exempt hybrids, if you cannot clearly 

demonstrate that your specimen meets 

the qualifications for the exemption, 

you must obtain a CITES document for 

international trade. 

One commenter expressed a need for 

a clear definition of when an exotic 

specimen becomes domesticated. While 

we recognize the possible value of this 

comment, this rule is not intended to 

address that issue. 

Some commenters stated that hybrid 

falcons should be exempt from CITES 

controls because international trade in 

such specimens has no impact on the 

conservation of wild raptor populations. 

Trade in hybrids is controlled by CITES 

because of the difficulty in 

distinguishing purebred and hybrid 

specimens. See the general discussion of 

hybrids above for the basis of applying 

CITES requirements to hybrids of CITES 

species. 

Personally owned live wildlife (§

23.44): Article VII(3) of the Treaty 

provides that, in some circumstances, 

the provisions of Articles III, IV, and V 

of the Treaty do not apply to specimens 

that are personal or household effects. 

As discussed previously, Parties have 

generally excluded live wildlife from 

this exception. However, in Resolution 

Conf. 10.20, the Parties agreed that 

personally owned, live wildlife that is 

registered by the Management Authority 

in the country where the owner usually 

resides may be moved internationally 

using a certificate of ownership, under 

specific conditions. 

We have implemented this resolution, 

which should simplify the procedure for 

people who frequently travel 

internationally with companion animals 

or wildlife used in noncommercial 

competitions, such as falconry. The 

certificate of ownership acts like a 

passport, but can be issued only after 

agreement between the Management 

Authorities of the Parties concerned. 

The owner must accompany the 

specimen when crossing international 

borders, and the wildlife cannot be sold 

or otherwise transferred when traveling 

abroad. 

Five commenters supported the idea 

of issuing certificates of ownership, or 

‘‘passports.’’ One commenter, while 

supporting the concept, stated that the 

certificates should be called ‘‘certificates 

of stewardship’’ since wildlife should 

not be ‘‘owned,’’ but should only be 

held in ‘‘trust.’’ We decline to make a 

change based on this suggestion since 

the title of this CITES document was 

agreed upon by the Parties. 

Seven other commenters also 

supported the issuance of certificates of 

ownership, but did not believe that the 

owners of birds covered under the 

MBTA should be required to notify us 

when their birds have died or been sold 

since they must report such events to 

their Regional Migratory Bird 

Management office via Form 3-186A. 

While we are working with the regional 

migratory bird offices to ensure quick 

and accurate exchange of information, 

we have not developed a reliable means 


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to share data that are submitted by 

permittees on Form 3-186A. As a result, 

and because of the different records 

management systems for handling 

information submitted by permittees 

and different uses of the data, it is 

necessary that both the Division of 

Migratory Bird Management and the 

U.S. Management Authority are notified 

of deaths or transfers. Many CITES 

‘‘passports’’ are issued for bird species 

that are not covered by the MBTA, and 

therefore would not require the 

submission of information to a Regional 

Migratory Bird Management office. We 

require that all ‘‘passport’’ holders 

notify us of any change in the status of 

their personally owned live wildlife. 

Two additional commenters 

supported the issuance of ‘‘passports,’’

but questioned the length of validity of 

such documents. Both commenters 

believed that certificates of ownership 

should be valid until the animal dies or 

has been transferred. They stated that a 

3–year period of validity would create a 

burden on the permittee. The 3–year 

period of validity was agreed upon by 

the Parties and is specified in 

Resolution Conf. 12.3 (Rev.CoP13). We 

therefore cannot issue these certificates 

for longer than 3 years. 

Two commenters believed that the 

process for obtaining certificates of 

ownership and for moving animals 

across international borders should be 

simplified. In particular, the 

commenters stated that the movement of 

CITES pets across the U.S.-Canadian 

border should not require clearance by 

an FWS Wildlife Inspector, but should 

be handled solely by CBP officials. 

While we strive to minimize any 

inconvenience at the port, this 

particular comment cannot be addressed 

by these regulations. The clearance 

process is addressed in 50 CFR 14, 

which is not being revised as part of this 

rulemaking. 

Two commenters believed that the 

issuance of certificates of ownership, 

particularly for raptors, would facilitate 

the illegal movement of specimens that 

were not obtained legally. They did not 

think that the process under which 

these certificates are issued would allow 

for adequate control of specimens, 

particularly of Appendix-I species, since 

only the exporting country needs to 

issue a certificate. The applicant must 

provide adequate documentation to 

show that the specimen was legally 

obtained before a certificate of 

ownership can be issued. In addition, 

when applying for a certificate of 

ownership, the applicant must confirm 

that he or she does not intend to sell or 

transfer the specimen while outside of 

the United States. Finally, since border 

officials of both the exporting/reexporting and the importing countries 

must inspect the wildlife and the 

accompanying certificate, fraudulent 

activity would be detected. We believe 

that this provides sufficient control of 

the trade in these specimens to 

minimize illegal activities. 

One commenter stated that live 

specimens should not be considered 

personal or household effects. We agree 

and refer the commenter to the 

definitions of these terms in § 23.5. The 

commenter also suggested that §

23.44(d)(5) be amended to state that the 

applicant ‘‘will not sell, donate, or 

transfer the wildlife while traveling 

internationally’’ instead of ‘‘does not 

intend to sell, donate, or transfer the 

wildlife while traveling internationally’’

and that this restriction should also be 

expanded to limit sale, donation, or 

transfer within the applicant’s usual 

country of residence. Section 23.44(d) 

lists criteria for the issuance and 

acceptance of certificates of ownership 

and indicates that an applicant must 

provide sufficient information for us to 

determine that he or she does not intend 

to sell or otherwise transfer the wildlife 

while traveling internationally (§

23.44(d)(5)). Section 23.44(e) lists U.S. 

standard conditions for certificates of 

ownership, including § 23.44(e)(3), 

which states that the certificate holder 

‘‘must not sell, donate, or transfer the 

specimen while traveling 

internationally.’’ Expansion of this 

restriction to cover activities within an 

applicant’s country of residence is 

beyond the scope of CITES and these 

regulations. 

Pre-Convention specimen (§ 23.45): 

Under Article VII(2) of the Treaty, a 

specimen acquired before the provisions 

of CITES applied to the species is 

exempt from Articles III, IV, and V of 

the Treaty when a Management 

Authority issues a certificate. Resolution 

Conf. 13.6 provides guidance on 

determining when a specimen is 

considered pre-Convention. One 

commenter supported the use of the 

date on which the species was first 

listed in the Appendices to determine 

the pre-Convention status of a 

specimen, as recommended in the 

resolution. We define the term ‘‘preConvention’’ in § 23.5 and clarify in this 

section the general provisions that apply 

to the acceptance and issuance of preConvention documents. 

The pre-Convention status applies to 

the specimen, not to when it was 

possessed by the current owner. Before 

we can issue a pre-Convention 

certificate, the applicant must provide 

sufficient information for us to 

determine that the wildlife or plant 

(including parts, products, and 

derivatives) was removed from the wild 

or born or propagated in a controlled 

environment before the first date that 

CITES applied to the specimen. This 

information also is needed for products 

(such as manufactured items) or 

derivatives subsequently made from 

such specimens. If the specific 

acquisition date is unknown or cannot 

be proved, then the applicant should 

provide any subsequent and provable 

date on which the item was first 

possessed by a person. 

Even antiques that are at least 100 

years old that clearly qualify as preConvention must be accompanied by 

pre-Convention documents. The general 

import regulations for antiques under 

the ESA are found in 50 CFR part 14. 

Except in rare situations, we do not 

require a person to show the sequential 

ownership of pre-Convention 

specimens, including antiques. If a 

CITES species is also listed under the 

ESA and does not qualify under the ESA 

as an antique, we will ask for 

information on whether the specimen 

has been sold or offered for sale because 

an ESA species loses its pre-Act status 

when placed in commerce. 

We no longer apply the definition of 

pre-Convention to cell lines whose 

originating line was established prior to 

the listing date of the species. These cell 

lines are continually growing and cells 

are harvested from growing cultures. 

Applicants who wish to export cell lines 

must comply with CITES requirements, 

and provide sufficient documentation of 

legal acquisition and the date when the 

cell line was established. Although most 

cell lines do not qualify as preConvention, they may qualify for other 

types of CITES exemption certificates. 

One commenter expressed concern 

that international trade will be restricted 

if cell lines are not traded as preConvention specimens. The commenter 

also argued that our suggestion in the 

2006 proposed rule (71 FR 20167) that 

these specimens may qualify for trade 

under another CITES exemption 

document, such as a bred-in-captivity 

certificate, would be confusing because 

it differs from the interpretation of other 

authorities. As discussed previously, the 

pre-Convention status applies to a 

specimen that was removed from the 

wild or born or propagated in a 

controlled environment before the first 

date that CITES applied to the 

specimen. Cell lines that are continually 

growing and being harvested would 

therefore not qualify for a preConvention certificate. We believe that 

this is an accurate interpretation of the 

Treaty requirements and disagree that it 

will result in a restriction of trade. 


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Based on our experience with this trade, 

we do not believe that shipping cell 

lines under another type of CITES 

document, other than a pre-Convention 

certificate, will be problematic for 

foreign CITES authorities or that it will 

create difficulties for the industry. 

Registration of commercial breeding 

operations for Appendix-I species (§

23.46): Article VII(4) of the Treaty 

provides that specimens of Appendix-I 

species bred for commercial purposes 

will be deemed to be specimens of 

species included in Appendix II for 

CITES document requirements. A 

Management Authority may grant an 

export permit or a re-export certificate 

without requiring the prior issuance of 

an import permit, thus allowing 

specimens that originate in a CITESregistered breeding operation to be 

traded commercially. The specimens are 

still listed in Appendix I and are not 

eligible for any exemption granted to an 

Appendix-II species or taxon, such as 

less restrictive provisions for personal 

and household effects. 

The Parties recognize the potential 

abuse inherent in this exemption 

because it is difficult for inspectors to 

distinguish between specimens bred in 

captivity and those removed from the 

wild. They also recognize that captive 

breeding for both commercial and 

conservation purposes is increasing. 

These regulations implement Resolution 

Conf. 12.10 (Rev. CoP13) and establish 

application procedures to allow an 

operation to become registered for each 

Appendix-I species maintained at the 

operation. The registration criteria 

include whether the species qualifies as 

bred in captivity (see § 23.63). 

Appendix-I wildlife from a registered 

breeding operation can be exported with 

an export permit under Article IV of the 

Treaty. An import permit is not 

required, and specimens can be used for 

primarily commercial purposes. To 

date, very few U.S. operations have 

chosen to complete the process of 

registering. Most U.S. commercial 

breeders are applying for permits under 

Article III of the Treaty. We will issue 

permits under Article III only in 

exceptional circumstances. This reflects 

the intent of CITES to prohibit trade in 

Appendix-I specimens for primarily 

commercial purposes when they do not 

qualify for an exemption to allow it. 

Thus, we encourage breeders to register 

their operations if they plan to trade in 

Appendix-I specimens internationally 

(see discussion in the preamble for §

23.18). 

One commenter opposed the 

registration requirement for commercial 

captive-breeding operations for 

Appendix-I species because of the 

ongoing discussion among CITES 

Parties about which facilities should be 

registered, the conservation value of 

registration, and obstacles to 

registration. In addition, the commenter 

noted the refusal of the European Union 

to implement the registration 

requirement. Another commenter 

opposed our implementation of 

Resolution Conf. 12.10 (Rev. CoP13) 

because it would weaken the protection 

of Appendix-I species. The United 

States has always supported the 

registration system and worked with 

other Parties to craft the current 

language in the resolution. We recognize 

that certain Appendix-I species are 

widely bred in captivity to the second 

generation without the addition of wild 

stock. The registration system 

encourages the captive breeding of 

Appendix-I species, discourages take of 

specimens from the wild, may provide 

conservation benefits, and is the only 

mechanism by which such species can 

be traded commercially. 

Several commenters argued that small 

falcon breeders should not be required 

to register. The Parties agreed, in 

Resolution Conf. 12.10 (Rev. CoP13), 

that the exemption in Article VII(4) 

should be implemented through the 

registration of operations breeding 

Appendix-I species for commercial 

purposes. Therefore, any breeding 

operation, regardless of size, that wishes 

to qualify for the exemption and engage 

in commercial international trade of 

Appendix-I species, must be registered. 

One commenter suggested that §

23.46(d)(7) should include ‘‘in the wild’’

or ‘‘in situ’’ at the end of the sentence 

to clarify that any breeding operation for 

Appendix-I species should benefit in 

situ conservation. We decline to adopt 

this suggestion because we believe that 

both in situ and ex situ activities can 

contribute to improving the 

conservation status of wild populations. 

The commenter also requested that we 

list guidelines or provide examples of 

appropriate conservation activities. We 

have not included a list because 

meaningful conservation activities will 

vary by taxon. 

Several commenters urged us to 

amend § 23.46(b)(12) to permit the take 

of wild breeding stock of Appendix-I 

birds by registered facilities to augment 

the captive population, as provided for 

in § 23.63 for noncommercial breeders. 

These birds would be used for 

maintaining genetic diversity and 

providing birds for conservation efforts, 

such as State reintroduction programs 

for peregrine falcons (Falco peregrinus). 

In the United States, take of wild 

specimens may be authorized with 

appropriate permits (e.g., State permits, 

Migratory Bird Treaty Act permits). 

However, under Article III(3)(c), wild 

stock may not be imported to augment 

the captive population of a registered 

commercial breeding operation, and we 

therefore decline to make a change 

based on this suggestion. We have 

amended § 23.46(d)(4) to clarify that, 

where the establishment of a 

commercial breeding operation for 

Appendix-I wildlife involves the 

removal of animals from the wild, it 

may only be allowed under exceptional 

circumstances and only for native 

species. 

Three commenters opposed our 

decision not to publish the receipt of an 

application to register commercial 

breeding operations for Appendix-I 

species in the Federal Register, which 

would allow the public to comment. 

Another commenter suggested we 

publish the first application received for 

a species. As described in the 2006 

proposed rule (71 FR 20167), there is no 

legal requirement to obtain public 

comments on CITES applications, we 

make determinations on whether 

specimens qualify as bred in captivity 

for other CITES documents without 

obtaining public comments, and further 

review is conducted by the CITES 

Secretariat and the CITES Parties. 

Publication in the Federal Register 

would result in delays in the 

registration process. Once the 

Secretariat makes the application 

available, the Parties have 90 days in 

which to comment. Thus, even without 

a public comment period within the 

United States, registration of an 

operation may take a minimum of 

several months. We acknowledge that 

members of the public will not have an 

opportunity to comment on the 

applications. However, we will consult 

outside experts if necessary, and we 

believe that the evaluation by the FWS, 

the Secretariat, and the Parties is 

sufficient to make a determination as to 

whether an operation qualifies to be 

registered. 

One commenter expressed concern 

that registered captive-breeding 

operations could be used to launder 

illegal specimens and that the Service 

should develop strict regulations for 

identifying specimens bred at a 

registered operation. We believe that the 

criteria and oversight provided in §

23.46 and the marking requirements in 

§ 23.56(a)(4) minimize the potential for 

laundering and appropriately 

implement Resolution Conf. 12.10 (Rev. 

CoP13). 

Exporting Appendix-I plants 

commercially (§ 23.47): The Parties 

recognize that the artificial propagation 

of plants is essentially different from 


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captive breeding of wildlife and requires 

a different approach. Artificial 

propagation of native plants can provide 

an economic alternative to traditional 

agriculture in countries of origin. By 

making specimens readily available, 

artificial propagation may have a 

positive effect on the conservation of 

wild populations by reducing pressure 

from collection, provided the parental 

stock was legally obtained in a nondetrimental manner. 

Article VII(4) of the Treaty provides 

that specimens of Appendix-I plants 

artificially propagated for commercial 

purposes will be deemed to be 

specimens of species included in 

Appendix II for CITES document 

requirements. Just as for wildlife in the 

previous section, this means that a 

Management Authority may grant an 

export permit without requiring the 

prior issuance of an import permit. The 

specimens are still listed in Appendix I, 

and they are not eligible for any 

exemption granted to an Appendix-II 

species or taxon. 

Two commenters thought that a 

registration system should be provided 

for facilities that propagate Appendix-I 

plants, similar to the registration system 

for wildlife. This issue was addressed in 

the 2006 proposed rule (71 FR 20167). 

Although we recognize that there may 

be some advantages to developing a 

registration process, we have not 

incorporated such a process into the 

regulations due to the complex issues 

resulting from the decentralized system 

of regulating nurseries in the United 

States. Instead, we have reserved §

23.47(e) for nursery registration, because 

we will need to work with nurseries, 

other State and Federal regulators, and 

the interested public to develop 

regulations. 

We continue to implement Article 

VII(4) of the Convention by reviewing a 

nursery’s facilities during the 

application process and issuing CITES 

export permits with a source code ‘‘D.’’

This type of export permit indicates to 

other Parties that we have treated the 

nurseries as propagating Appendix-I 

plants for commercial purposes. No 

import permit is required under CITES 

for the trade of these specimens. 

Registered scientific institutions (§

23.48): Article VII(6) of the Treaty 

provides an exemption from strict 

CITES controls for preserved, dried, or 

embedded museum specimens, 

herbarium specimens, and live plant 

materials that carry an approved label. 

The exemption covers the 

noncommercial loan, donation, or 

exchange of these items between 

scientific institutions registered by each 

country’s Management Authority. 

Resolution Conf. 11.15 (Rev. CoP12) 

recommends that Parties encourage 

their natural history museums and 

herbaria to inventory their holdings of 

rare and endangered species. This 

recommendation allows researchers to 

efficiently borrow specimens for study 

and reduce any potential adverse 

impacts that museum needs for research 

specimens can have on small 

populations of rare wildlife and plants. 

This section incorporates the 

standards in the resolution for 

registration of scientific institutions. A 

scientist who wishes to use this 

exemption must be affiliated with a 

registered scientific institution. 

Specimens are to be acquired primarily 

for research that is to be reported in 

scientific publications, and no CITES 

specimens obtained through the use of 

this exemption may be used for 

commercial purposes. We clarify that 

offspring (i.e., cuttings, seeds, or 

propagules) may not be commercialized, 

including sale through a catalog or as a 

fund-raising effort, because the 

registration is for scientific purposes 

only. 

Biological samples, including blood 

and tissue samples of preserved, frozen, 

dried, or embedded museum samples, 

herbarium specimens, or live plant 

material, that will be destroyed during 

analysis will be eligible for this 

exemption provided a portion of the 

sample is maintained and permanently 

recorded at a registered institution for 

future scientific reference. Because not 

all countries recognize these types of 

samples as being eligible to be traded 

under this exemption, registered 

scientific institutions should check with 

the foreign Management Authority 

before shipping such specimens under a 

scientific exchange certificate. 

All specimens for which the 

exemption is being claimed must have 

been legally acquired. The specimens 

must have been permanently recorded 

by the sending registered institution 

before being shipped for exchange, 

donation, or loan for scientific research 

purposes. The Parties were concerned 

about possible abuse of the exemption 

by scientists who might collect 

specimens and directly export them 

without the permission of a registered 

institution in the exporting country. 

Thus, the registration criteria require the 

orderly handling and permanent 

recording of specimens, including the 

maintenance of permanent records for 

loans and transfers of specimens to 

other institutions. In addition, scientists 

may still need permits under other parts 

of this subchapter (see § 23.3). 

We received two comments on this 

section. One commenter was 

philosophically opposed to the use of 

CITES species by a scientific institution 

for research, but supported the 

statement that CITES specimens 

obtained by scientific institutions 

cannot be used for commercial 

purposes. Both commenters supported 

the requirement that specimens be 

permanently recorded as being part of 

an institution’s collection but not 

necessarily formally acquisitioned by 

the sending institution. However, the 

commenters expressed concern that the 

requirement that Appendix-I specimens 

be centrally and permanently housed 

means that the specimens must be kept 

segregated from other specimens in the 

institution’s collection and would 

preclude the donation of such 

specimens to other institutions. We 

interpret this requirement to mean that 

Appendix-I specimens are to be 

maintained in a way that they will not 

be used in a manner incompatible with 

the principles of CITES. Appendix-I 

specimens do not need to be separated 

from the rest of the collection provided 

that they are incorporated into the 

institution’s record system. They may 

reside anywhere that is under the 

control of the registered scientific 

institution. This may include field 

stations, offsite storage facilities, or 

other facilities managed by the 

institution. As noted in the 2006 

proposed rule (71 FR 20167), a 

specimen could be donated to another 

registered institution provided a record 

of the transaction is maintained. 

Both commenters supported allowing 

the use of samples or subsamples from 

specimens that are maintained by 

registered institutions. One commenter 

was concerned that exchange of such 

samples could be inhibited by other 

countries’ Management Authorities. We 

agree that this is a possibility and 

recommend that foreign Management 

Authorities be consulted prior to 

shipment. The other commenter 

suggested that we add a definition of 

‘‘sample.’’ We do not think such a 

definition is necessary as the meaning of 

this term is commonly understood. 

Traveling exhibitions (§ 23.49): 

Article VII(7) of the Treaty allows for 

the international movement without 

CITES certificates of pre-Convention, 

bred in captivity, or artificially 

propagated specimens that are part of a 

traveling zoo, circus, menagerie, plant 

exhibition, or other traveling exhibition. 

The exhibition must register each 

specimen with its Management 

Authority, and live specimens must be 

transported and cared for humanely. In 

Resolution Conf. 8.16, the Parties agreed 

to require traveling live-animal 

exhibitions to be accompanied by CITES 


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certificates to verify such registration, 

address technical problems, and prevent 

potential fraud. At CoP12, the Parties 

agreed to extend these provisions to all 

traveling exhibitions, not just traveling 

live-animal exhibitions. We describe 

provisions for traveling exhibitions in 

this section and define the term 

‘‘traveling exhibition’’ in § 23.5. 

A traveling-exhibition certificate acts 

like a passport. The exhibitor (i.e., the 

entity responsible for the specimens in 

a traveling exhibition) must obtain a 

separate certificate for each live animal. 

In the 2006 proposed rule (71 FR 

20167), we specified that the certificate 

could only be issued to an exhibitor 

who owns the specimens. Based on 

comments received, we have revised our 

definition and the language in this 

section to indicate that the entity 

responsible for the specimens in a 

traveling exhibition may obtain the 

certificate. The exhibitor of live plants 

or dead parts, products, or derivatives 

may be issued a certificate with an 

inventory for all the specimens in the 

exhibition. The exhibitor retains the 

original certificate, which must be 

validated at each border crossing. We 

include a number of conditions to 

ensure that these certificates are used 

only for temporary cross-border 

movement by the exhibitor. A certificate 

may not be transferred to another 

exhibitor, and specimens cannot be sold 

or otherwise transferred when traveling 

abroad. Specimens can be transported 

internationally only for temporary 

display activities, not for breeding, 

propagating, or other purposes, and the 

specimens must return to the country in 

which the exhibition is based before the 

exhibition certificate expires. 

Many specimens covered by this 

exemption are listed in Appendix I. We 

require under the general conditions 

(see § 23.56(a)(4)) that all live 

Appendix-I specimens must be securely 

marked or uniquely identified in a way 

that border officials can verify that the 

specimen and CITES document 

correspond. To ensure that each 

specimen exported or imported is the 

specimen indicated on the certificate, 

we recommend that Appendix-II and -III 

specimens also be clearly identified 

and, if appropriate, uniquely marked. 

Tattoos, microchips, tags, or other marks 

may be used. If a microchip is used, we 

may, if necessary, ask the importer, 

exporter, or re-exporter to have 

equipment on hand to read the 

microchip at the time of import, export, 

or re-export. 

We received four comments on this 

section. One commenter welcomed the 

incorporation of the traveling-exhibition 

certificate into the regulations, stating 

that it will streamline the permitting 

process and result in smoother border 

crossings and more reliable 

recordkeeping. Another commenter 

strongly supported the requirement that 

the cross-border movement authorized 

under a traveling-exhibition certificate 

may not be for any purpose other than 

exhibition and the requirements in §

23.49(d)(6) regarding marking. 

Another commenter requested that 

this section be amended to allow the use 

of traveling- exhibition certificates for 

activities other than exhibition, 

including research and conservation of 

museum specimens. We decline to make 

a change based on this suggestion. 

Article VII(7) provides an exemption for 

traveling exhibitions and the Parties 

agreed in Resolution Conf. 12.3 (Rev. 

CoP13) that traveling-exhibition 

certificates should be issued ‘‘for 

exhibition purposes only.’’ Article VII 

providesother exemptions and special 

provisions that may be appropriately 

used for other purposes, including 

international transport of museum 

specimens and specimens for research. 

The same commenter stated that it 

was not always clear who should obtain 

the traveling- exhibition certificate, 

particularly when a specimen is loaned 

for an exhibition hosted by one or more 

institutions, rather than by the owner of 

the specimen, and suggested that the 

certificate should be issued to the owner 

of the specimen rather than to the 

traveling exhibition. The resolution 

specifies that the certificate be issued 

for specimens that are part of a traveling 

exhibition; it does not specify that the 

owners of the specimens must receive 

the certificates. Since there must be an 

entity responsible for the traveling 

exhibition and its specimens, a 

certificate is issued to that entity, which 

we refer to as the ‘‘exhibitor.’’ We have 

amended § 23.49 to clarify that it is the 

exhibitor who must obtain the 

certificate and to ensure that the terms 

‘‘exhibitor,’’ ‘‘traveling exhibition,’’ and 

‘‘exhibition’’ are used consistently. We 

likewise revised the definition of 

‘‘traveling exhibition’’ in § 23.5 so that 

it corresponds more precisely to use of 

the term in this section. 

The same commenter believed the 

word ‘‘frequent’’ should be deleted from 

the criteria for issuance and acceptance 

of traveling-exhibition certificates as it 

is not required by Resolution Conf. 12.3 

(Rev. CoP13). We agree and have 

amended § 23.49(d)(1) accordingly. 

Another commenter suggested that we 

strengthen the requirement for humane 

transport by including a reference to 

IATA LAR and the CITES’ Guidelines 

for transport and preparation for 

shipment of live wild animals and 

plants in this section and requiring that 

any animal covered by a travelingexhibition certificate also have a health 

certificate issued by a licensed 

veterinarian. Section 23.23(c)(7) 

requires that transport conditions for 

live animals comply with the 

CITES’Guidelines for transport and 

preparation for shipment of live wild 

animals and plants or, for air transport, 

with IATA LAR. We do not believe it is 

necessary to repeat those requirements 

here. The issuance of health certificates 

is beyond the scope of these regulations, 

but we note that § 23.3 informs the 

public that in addition to the 

requirements in part 23, they may also 

need to comply with other Federal, 

State, tribal, or local requirements. 

The same commenter suggested that 

we ‘‘explicitly require’’ the exhibitor to 

return with the same number of 

specimens as originally exported, that 

the specimens be microchipped, and 

that the exhibitor provide the necessary 

equipment to read the chips. Section 

23.49(e) requires that an entity may not 

sell or otherwise transfer a specimen 

covered by a traveling-exhibition 

certificate while traveling 

internationally. We do not believe that 

we need to require that all specimens be 

microchipped because the regulations as 

written provide sufficient means for 

border officials to ensure that each 

specimen exported or imported is the 

specimen indicated on the certificate. 

Sample collections § 23.50: At CoP13, 

in an effort to address the international 

movement of display samples, such as 

sets of shoes or reptile skin samples, the 

Parties defined such shipments as 

sample collections and agreed to allow 

the in-transit shipment of these 

collections under specific conditions. 

Management Authorities could issue a 

CITES document that would allow the 

shipment to move from one country to 

another before returning to the 

originating country, rather than 

requiring the issuance of a re-export 

certificate from each country visited. 

Such a CITES document must be 

accompanied by a valid ATA carnet. 

The ATA carnet is an international 

customs document that allows the 

temporary introduction of goods 

destined for fairs, shows, exhibitions, 

and other events. One commenter 

supported the provisions allowing the 

movement of merchandise subject to 

CITES regulations on an ATA carnet. 

The CITES document must list the 

same specimens that the accompanying 

ATA carnet lists and must include the 

number of the ATA carnet on its face. 

The CITES document can only be valid 

for the same length of time as the ATA 

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shorter, and the shipment must return to 

the originating country prior to the 

expiration of the CITES document. None 

of the specimens within the sample 

collection may be sold, donated, or 

transferred while outside the originating 

country. The CITES document must be 

presented at border crossings, but only 

the ATA carnet must be stamped and 

signed at each intermediary border 

crossing by customs officials. At the 

time of first export or re-export and at 

re-import, the originating Party is to 

check the CITES document and sample 

collection closely to ensure that the 

collection was not changed. For import 

into and export or re-export from the 

United States, the shipment must 

comply with the FWS requirements for 

wildlife in part 14 of this subchapter 

and APHIS/CBP requirements for plants 

in part 24 of this subchapter and 7 CFR 

parts 319, 355, and 356. 

Partially completed CITES documents 

(§ 23.51): Under Article VIII(3) of the 

Treaty, Parties are to ensure that CITES 

specimens are traded with a minimum 

of delay. At CoP12, the Parties agreed to 

issue partially completed documents 

when the permitted trade would have a 

negligible impact or no impact on the 

conservation of the species (see 

Resolution Conf. 12.3 (Rev. CoP13)). 

The permittee would be authorized to 

complete specifically identified boxes 

on the document and would be required 

to sign the document to certify that the 

information entered is true and correct. 

We implement these procedures and 

issue single-use documents that are 

partially completed under specific 

circumstances for exports that are 

repetitive in nature (i.e., when the same 

types of specimens or the same 

specimens are exported shipment after 

shipment). 

An applicant should submit the 

appropriate application form for the 

proposed activity (see §§ 23.18–23.20) 

and show that the use of this type of 

document is beneficial and appropriate. 

Upon review of the application, if 

appropriate, we will create a master file 

or annual program file for native species 

that contains all of the relevant 

information about the proposed activity. 

We will issue single-use partially 

completed documents based on the 

master file or annual program file when 

we find that the issuance criteria for the 

proposed activity and the issuance 

criteria for a partially completed 

document are met. 

We received two comments on this 

section. While both commenters 

generally supported the concept of 

partially completed documents, one 

suggested limiting the use of such 

documents to pre-Convention 

specimens due to concern that wildcaught live animals could be mislabeled 

and shipped fraudulently as captivebred animals. Further, the commenter 

suggested that such documents should 

not be used for animals in traveling 

exhibitions. We did not adopt these 

suggestions. Partially completed 

documents are issued for specific taxa 

and specific types of specimens. The 

permittee is authorized to fill in the 

destination and, in the case of 

specimens from an approved-taxa list, 

the quantity of specimens in the 

shipment and an inventory page. 

The other commenter requested that 

we consider the use of partially 

completed documents for import of 

scientific specimens that were removed 

from the wild under the authority of the 

exporting government’s wildlife 

management offices. The regulations as 

written allow us to issue and accept 

documents issued under the provisions 

of this section for wild-collected 

scientific specimens in limited 

situations. 

Replacement documents (§ 23.52): We 

adopted the provisions of Resolution 

Conf. 12.3 (Rev. CoP13) on replacing 

documents that are lost, damaged, 

stolen, or accidentally destroyed. We 

clarify when replacement documents 

may be available and how to request 

them. One of the issuance criteria 

requires a full and reasonable 

explanation of the circumstances under 

which the CITES document was lost, 

damaged, stolen, or accidentally 

destroyed. We will also check to see if 

the exporter has requested a 

replacement document before and 

review the circumstances surrounding 

any previous request. 

A replacement document must 

indicate on its face the reason the 

document was replaced. Since we 

sometimes receive a replacement 

document that does not provide this 

information, we may verify the validity 

of such a document with the issuing 

Management Authority before deciding 

if we will accept the document as a 

valid replacement. It is important that 

we issue and accept replacement 

documents only when the 

circumstances warrant doing so and that 

issuance of such documents prevents 

the use of the original CITES document 

for a different shipment. 

When a replacement document is 

requested after a commercial shipment 

has left the United States, we will 

consult with the Management Authority 

of the importing country. When a 

replacement document is needed for a 

shipment that arrives in the United 

States, the importer should contact the 

exporter or re-exporter in the foreign 

country to assess the circumstances 

surrounding a lost, damaged, stolen, or 

accidentally destroyed CITES 

document. Then, the exporter or reexporter should contact the 

Management Authority in that country 

concerning replacement documents, and 

the Management Authority will contact 

us directly. 

Although the U.S. CITES document 

states in block 15 that it is ‘‘valid only 

with inspecting official’s ORIGINAL 

stamp, signature and date in this block,’’

we will not validate U.S. replacement 

documents for shipments that have 

already left the United States because 

we cannot compare the actual shipment 

contents to the document. Instead, we 

will issue a replacement document only 

for the quantity that was originally 

exported as shown on a cleared copy of 

the FWS Wildlife Declaration (Form 3- 

177) or a copy of the validated CITES 

document for plants, and include a 

condition on the document describing 

this policy so the importing country can 

accept it as valid. 

One commenter requested that we 

allow copies of the stamped original 

CITES document and the FWS Wildlife 

Declaration (Form 3-177) to be used for 

clearance purposes when documents are 

misplaced at the port after declarations 

have been submitted to the FWS. We 

decline to address this request since the 

provision proposed by the commenter is 

outside the scope of these regulations 

and has already been addressed through 

changes in port procedures. 

Retrospective documents (§ 23.53): A 

retrospective document authorizes an 

export or re-export after that activity has 

occurred, but before the shipment is 

cleared for import. A shipment must be 

cleared when it first arrives at the port 

of import. At that time, we, APHIS, or 

CBP inspect the paperwork to see that 

it meets the requirements of CITES. The 

request for a retrospective document 

needs to be made at the time the 

specimens arrive at the port and are 

available for inspection. 

Resolution Conf. 12.3 (Rev. CoP13) 

recommends that a Party neither issue 

nor accept retrospective documents, but 

recognizes that there may be some 

limited exceptions. This section allows 

for the issuance and acceptance of 

retrospective documents based on the 

resolution. We generally limit issuance 

of retrospective documents to 

noncommercial items and, even then, 

only in certain prescribed 

circumstances, which are clarified in 

this section. Management Authorities of 

both the exporting or re-exporting and 

the importing countries must be 

satisfied either that any irregularities 

that have occurred are not attributable 


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to the exporter or re-exporter or the 

importer, or, in the case of items for 

personal use, that evidence indicates a 

genuine error was made and there was 

no attempt to deceive. Thus, before a 

retrospective document can be issued, 

the exporter or re-exporter or importer 

must demonstrate either that he or she 

was misinformed by an official who 

should have known the CITES 

requirements (in the United States, an 

employee of the FWS for any species, or 

APHIS or CBP for plants; or in a foreign 

country, an employee of the 

Management Authority or CITES 

inspection authorities), or that the 

issuing Management Authority made a 

technical error on the CITES document 

that was not prompted by the applicant. 

An additional provision limited to 

individuals exporting or re-exporting 

certain specimens for personal use 

allows them to demonstrate that they 

made a genuine error and did not 

attempt to deceive. 

The Parties intended for this 

provision to be used rarely and only 

under very narrow circumstances. The 

exporter is responsible for obtaining 

CITES documents before making a 

shipment and for inspecting the CITES 

documents to ensure the key 

information on the face of the permit, 

such as quantity and species, match 

what was requested and what is in the 

shipment. The provisions for 

retrospective documents are not to help 

resolve an enforcement issue, but to 

resolve a mistake by the government or 

a genuine error made by a person 

exporting or re-exporting specimens for 

their personal use. 

We recognize that in some countries 

customs officials inspect and clear 

CITES shipments on behalf of the 

Management Authority, and we will 

consider that in making a decision. In 

the United States, however, although 

CBP officials have the authority under 

the ESA to enforce CITES, they are not 

generally responsible for the clearance 

of CITES wildlife or live plant 

shipments except for live plants being 

imported from Canada (see § 23.7(e)). 

We will issue a retrospective 

document only if the Management 

Authority of the importing country 

agrees to accept it. The provision 

applies not only to the issuance of 

retrospective documents, but to the 

acceptance of such documents. We note 

that a number of CITES countries 

interpret this provision more strictly 

than the United States, and travelers 

may not qualify for a retrospective 

document for specimens, especially live 

wildlife or plants, taken with them to 

these countries. 

Several commenters supported the 

general concept and appreciated the 

recognition that there are circumstances 

when issuance of retrospective 

documents is warranted. Two other 

commenters were opposed to the 

issuance of retrospective documents 

except to ensure humane treatment of 

live specimens. While we agree that 

issuance of retrospective documents 

should be very limited, we believe it is 

warranted under the specific 

circumstances described in § 23.53. 

Two commenters asked 

howshipments are treated pending 

review of the circumstances to 

determine whether a retrospective 

permit can be issued. These 

determinations are made by our 

enforcement officials on a case-by-case 

basis. We refer the commenters to the 

general import/export requirements for 

wildlife in part 14 of this subchapter 

and the requirements for plants in part 

24 of this subchapter and 7 CFR parts 

319, 355, and 356. 

One commenter asked why we 

limited the issuance of retrospective 

permits for Appendix-I specimens to 

certain shipments for personal use. The 

Parties have agreed that Appendix-I 

specimens must be subject to 

particularly strict regulation and that 

trade in these specimens should be 

authorized only in ‘‘exceptional 

circumstances.’’ As stated in the 2006 

proposed rule (71 FR 20167), we expect 

commercial traders to know the laws 

that apply to their business, including 

CITES requirements, and to carefully 

inspect their documents for technical 

errors. Consequently, we limit the 

issuance of retrospective permits for 

Appendix-I specimens to certain preConvention Appendix-I specimens for 

personal use that meet the requirements 

in § 23.53(d)(7). Another commenter 

suggested that we add to the rule the 

language from the preamble stating that 

we expect commercial importers and 

exporters to know the law. We decline 

to adopt this suggestion because we 

believe that § 23.53(b)(7) adequately 

describes that expectation. 

Another commenter suggested that we 

clarify that the provision restricting sale 

of specimens within 6 months following 

import under a retrospective document 

(§ 23.53(b)(5)(iii)) applies only to 

Appendix-II and –III species. We 

decline to adopt this suggestion. The 

restriction on sale applies only to 

specimens imported for personal use 

and therefore may apply to a preConvention Appendix-I specimen under 

certain circumstances (see §

23.53(d)(7)). 

Two commenters requested 

clarification and additional details 

regarding the issuance process and what 

kind of information an applicant would 

need to provide to obtain a retrospective 

document. We refer the commenters to 

the discussion on this section in the 

2006 proposed rule (71 FR 20167). 

One commenter incorrectly stated that 

the provisions in this section would 

‘‘absolutely eliminate’’ any possibility 

for a hunter to receive a retrospective 

permit if he or she had ever received a 

CITES permit before. While we 

generally will not issue a retrospective 

document to an individual who has 

received CITES documents in the past, 

we recognize that there may be 

situations where the importer or 

exporter was not responsible for 

whatever irregularity occurred and may 

therefore qualify for a retrospective 

document (see § 23.53(b)(7)). 

Period of document validity (§ 23.54): 

Article VI(2) of the Treaty states that an 

export permit can be valid only for a 

period of 6 months from the date of 

issuance. Resolution Conf. 12.3 (Rev. 

CoP13) specifies the period of validity 

for re-export certificates (6 months), 

import permits (12 months), certificates 

of origin (12 months), and traveling 

exhibitions (3 years). Resolution Conf. 

10.20 recommends that certificates of 

ownership be valid for no more than 3 

years. 

This section incorporates the 

recommended periods of validity 

established in the Treaty and the 

resolutions. We also set the term for an 

introduction-from-the-sea certificate at 

12 months since the activity is similar 

to import. All CITES documents must 

specify the period of validity. All import 

and introduction-from-the-sea activities 

must be completed by midnight (local 

time at the point of import) of the 

expiration date indicated on the 

document. The only situation where an 

extension of the period of validity is 

authorized is for certain timber species 

under limited circumstances (see §

23.73). 

Several commenters suggested that 

the periods of validity specified in this 

section for permits and certificates are 

too short. Another stated that the period 

of validity for traveling-exhibition 

certificates is too long. One commenter 

acknowledged that the periods of 

validity for CITES documents are set out 

in the Treaty and in Resolution Conf. 

12.3 (Rev. CoP13), but urged us to ask 

the Parties to revisit this issue. We 

believe the established timeframes are 

reasonable for the activities permitted, 

and we do not believe it is appropriate 

to amend the Treaty or necessary to 

amend the resolutions in this regard. 

Another commenter believed that the 

use of the phrase ‘‘no longer than...’’ in 


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§ 23.54(b) to describe the period of 

validity of CITES documents creates 

uncertainty for the regulated public. The 

commenter requested that the section be 

amended to state that a document is 

valid for 6 months, 3 years, etc., as 

appropriate, unless the FWS places a 

special condition on the document to 

address some unusual circumstance. In 

general, we issue CITES documents for 

the maximum period of validity allowed 

for the activity. We did not adopt the 

commenter’s suggestion because § 23.54 

provides the maximum period of 

validity for a CITES document, but a 

document may be issued for a shorter 

period of time. 

Use of CITES specimens after import 

(§ 23.55): Unless an Appendix-I wildlife 

or plant specimen qualifies for an 

exemption under Article VII of the 

Treaty, it can be imported only when 

the intended use is not for primarily 

commercial purposes. In addition, the 

Parties addressed subsequent use of 

certain Appendix-I sport-hunted 

trophies by recommending that the 

trophies be ‘‘imported as personal items 

that will not be sold in the country of 

import’’ (Resolution Conf. 10.14 (Rev. 

CoP13) for leopard, Resolution Conf. 

10.15 (Rev. CoP12) for markhor, and 

Resolution Conf. 13.5 for black 

rhinoceros). 

This section provides conditions for 

the import and subsequent use of 

certain CITES specimens. The import 

and subsequent use of Appendix-I 

specimens and certain Appendix-II 

specimens, including transfer, donation, 

or exchange, may be only for 

noncommercial purposes. Such imports 

are conditioned that the specimen and 

all its parts, products, and derivatives 

may not be imported and subsequently 

used for any commercial purpose. Other 

Appendix-II specimens and any 

Appendix-III specimen may be used for 

any purpose after import, unless the 

trade allowed under CITES is only for 

noncommercial purposes. 

Section 9(c)(1) of the ESA, which 

contains a prohibition on illegally 

traded specimens, confirms that the 

FWS’s regulatory responsibility does not 

end at import. The commercialization of 

Appendix-I specimens can result in 

further demand, which is contrary to the 

intent of allowing limited import of 

Appendix-I specimens. We note that the 

condition does not apply to specimens, 

such as artificially propagated orchids, 

that are traded under a CITES Article 

VII exemption. 

Two commenters supported the 

restriction on subsequent use of most 

imported Appendix-I species and 

Appendix-II species with an annotation 

prohibiting commercial trade as an 

important means of conserving these 

species. One of these commenters was 

concerned, however, that there is no 

mechanism, such as a reporting 

requirement, by which the FWS will 

track use of specimens over time. We 

have decided against adding any type of 

periodic reporting requirement on 

subsequent use of imported specimens. 

The regulations are clear, however, that 

such specimens may be used only for 

noncommercial purposes, and any use 

inconsistent with this standard would 

be a violation of the regulations. As 

noted in the 2006 proposed rule (71 FR 

20167), the FWS will investigate any 

situation for which we receive 

information that such an imported 

specimen is being commercialized. 

The same commenter expressed 

confusion over statements in the 2006 

proposed rule (71 FR 20167) that certain 

specimens may only be imported when 

they are not to be used for primarily 

commercial purposes and that such 

specimens may be used only for 

noncommercial purposes. This 

commenter asked for clarification for 

what appeared to be two different 

standards. 

Prior to importation of an AppendixI specimen, the Management Authority 

must be satisfied that the specimen is 

not to be used for primarily commercial 

purposes. We cannot make a finding of 

not for primarily commercial purposes 

if the specimen could be 

commercialized following import. 

Therefore, this section is clear that any 

subsequent use of such specimens must 

be noncommercial. 

One commenter argued that 

provisions in this section would prevent 

future donations of specimens for 

educational purposes. As explained in 

the 2006 proposed rule (71 FR 20167), 

certain specimens may only be imported 

when the use is not for primarily 

commercial purposes. Thus, any 

subsequent use may be only for 

noncommercial purposes. Nothing in 

the section prevents a person from 

donating or transferring an Appendix-I 

specimen or a specimen of a species 

listed in Appendix-II with an annotation 

prohibiting commercial trade. These 

specimens can still be donated, 

consistent with any other requirements 

of law, as long as there is no economic 

use, gain, or benefit by either the person 

or institution receiving the donation or 

the person making the donation. (See 

also the discussion in the preamble 

under § 23.5 on the definition of 

‘‘commercial.’’) 

Another commenter argued that it is 

only the purpose of the import at the 

time of import that is regulated by 

CITES and any later use is irrelevant. 

Nothing in the language of the 

Convention requiring the finding that 

the specimen ‘‘is not to be used for 

primarily commercial purposes’’

indicates that this examination is 

limited to the immediate use by the 

importer. As we indicated in the 2006 

proposed rule (71 FR 20167), the 

commercialization of Appendix-I 

specimens following import can result 

in further demand, which is contrary to 

the intent of allowing trade in 

Appendix-I specimens only under 

‘‘exceptional circumstances.’’

Appendix-II species that are annotated 

to allow trade only for noncommercial 

purposes face similar commercial 

pressures. We can only determine that 

the use will not be for ‘‘primarily 

commercial purposes’’ when we know 

that the specimen will not be 

subsequently used for economic gain or 

benefit. 

One commenter disagreed with the 

provisions in paragraph (d) of the table 

that allow for any use with certain types 

of Appendix-I specimens and 

questioned how concerns regarding 

commercialization of Appendix-I 

species will not be realized if 

commercial use of such specimens is 

not prohibited. All of the situations 

listed under § 23.55(d) represent 

provisions under Article VII of the 

Convention that provide exemptions 

from the requirements otherwise 

imposed for Appendix-I species under 

Article III. These exemptions represent 

situations in which the Parties have 

found that commercialization, or the 

potential for commercialization, of 

certain types of specimens does not 

pose a threat to species whose trade 

must otherwise be limited to 

noncommercial uses. 

CITES document conditions (§ 23.56): 

General conditions apply to all CITES 

documents, standard conditions apply 

to specific types of documents, and 

special conditions may be placed on a 

CITES document when the authorized 

activity warrants it. All CITES 

document conditions must be met for a 

shipment to be lawful. 

Resolution Conf. 8.13 (Rev.) 

recommends that Parties, where 

possible and appropriate, adopt the use 

of microchip transponders for the secure 

identification of live Appendix-I 

wildlife. Because the Parties have 

identified a number of technical issues 

that need to be addressed, we are not 

requiring that all Appendix-I wildlife be 

marked with microchips. We do require, 

however, that all live Appendix-I 

wildlife be securely marked or uniquely 

identified. If a microchip is used, we 

may, if necessary, ask the importer, 

exporter, or re-exporter to have 


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equipment on hand to read the 

microchip at the time of import, export, 

or re-export. One commenter supported 

the requirement that Appendix-I 

specimens be securely marked or 

uniquely identified. 

What Are the Changes to Subpart D of 

50 CFR Part 23—Factors Considered in 

Making Certain Findings? 

Legal acquisition (§ 23.60): Under 

Articles III, IV, and V of the Treaty, we 

must make a legal acquisition finding 

before issuing export permits and reexport certificates for Appendix-I, -II, 

and -III wildlife and plants. The Parties 

have also agreed through a number of 

resolutions to make this finding before 

issuing certain exemption documents 

under Article VII of the Treaty. These 

include Resolutions Conf. 10.16 (Rev.) 

and 12.10 (Rev. CoP13) on wildlife bred 

in captivity; Conf. 9.19 (Rev. CoP13) and 

11.11 (Rev. CoP13) on artificially 

propagated plants; Conf. 10.20 on 

personally owned live wildlife; and 

Conf. 11.15 (Rev. CoP12) on scientific 

exchange. 

There are two types of legal 

acquisition determinations: (a) whether 

a specimen and its parental stock were 

traded internationally under the 

provisions of CITES and (b) whether 

they were acquired consistent with 

relevant laws for the protection of 

wildlife and plants. In the United States, 

these laws include all applicable local, 

State, Federal, tribal, and foreign laws. 

We make the legal acquisition finding 

on a case-by-case basis considering a 

number of general and specific factors 

(see the preamble to Subpart E for a 

discussion of legal acquisition for State 

or tribal programs). General factors 

include the status of the species; 

whether the specimen was cultivated 

from exempt plant material, is a hybrid, 

or was bred in captivity or artificially 

propagated; whether the species is 

common in a captivity or cultivation in 

the United States and has been 

documented to breed or propagate 

readily in a controlled environment; and 

whether significant illegal trade in the 

species occurs, specimens have been 

legally imported into the United States, 

and the range countries allow 

commercial export of the species. We 

also consider a number of specific 

factors, such as whether the specimen 

was confiscated, a donation of unknown 

origin, or imported previously. Thus, 

while it is the responsibility of the 

applicant to provide sufficient 

information for us to make this finding, 

we consider not only information 

provided by the applicant but other 

relevant trade information, scientific 

literature, and advice of experts. In 

making a legal acquisition finding, we 

may also consult with foreign 

Management and Scientific Authorities, 

the CITES Secretariat, other U.S. 

governmental agencies, and 

nongovernmental experts. 

We hold persons who conduct 

commercial activities involving 

protected wildlife and plants to a high 

standard in understanding and 

complying with the requirements of the 

laws that affect their activities. We 

apply a lower information requirement, 

in most instances, for a person who 

acquires a specimen in the United States 

and wants to travel internationally with 

it for personal use. One commenter 

disagreed with this approach and stated 

that all trade, whether commercial or 

noncommercial, should be subject to the 

same level of scrutiny. We believe this 

system for individuals traveling 

internationally with their personal items 

or personally owned live wildlife is 

appropriate for the limited number of 

specimens involved, for the low 

conservation risk posed. We will, 

however, request additional information 

when noncommercial trade in a 

particular species raises greater 

conservation concern. 

For the export of specimens that are 

bred in captivity or artificially 

propagated in the United States, we 

consider whether the breeding stock or 

cultivated parental stock was 

established under the provisions of 

CITES and relevant national laws 

according to Resolutions Conf. 10.16 

(Rev.) and 11.11 (Rev. CoP13). In 

addition, for the registration of 

Appendix-I commercial breeding 

operations or nurseries, Resolutions 

Conf. 12.10 (Rev. CoP13) and 9.19 (Rev. 

CoP13) require that a Management 

Authority demonstrate that the parental 

stock was legally acquired. We defined 

the terms ‘‘parental stock,’’ ‘‘breeding 

stock,’’ and ‘‘cultivated parental stock’’

(see §§ 23.5, 23.63, and 

23.64,respectively). 

We also allow the export of donated 

CITES specimens of unknown origin by 

public institutions on a case-by-case 

basis under limited circumstances. In 

some instances, public institutions, 

primarily zoos, aquariums, and 

botanical gardens, receive unsolicited 

donations of wildlife and plants. When 

this occurs, the institution may not be 

able to obtain reliable information 

concerning the origin of the specimen. 

It is extremely difficult to issue a permit 

when no data exist on the origin of the 

specimen, especially when the donor 

remains anonymous. The underlying 

purpose of CITES is to protect, conserve, 

and benefit the listed species. We 

believe that these regulations, rather 

than opening a loophole for laundering 

illegally obtained specimens, will assist 

in the suitable placement of specimens 

without leading to illegal or unjustified 

removal of wildlife and plants from the 

wild. We emphasize that this provision 

is only for limited, noncommercial 

international trade in CITES species. 

We received over 40 comments on 

this section, all of which were 

supportive. One commenter was 

concerned about how we would obtain 

data on the volume of illegal trade since 

there is no centralized source of data on 

all illegal trade. It is true that there is 

not a single, central source of illegal 

trade data, but we do have the ability, 

through consultation with other Parties, 

the CITES Secretariat, nongovernmental 

organizations, and law enforcement 

agencies to obtain data on illegal trade. 

It is through the review of these data 

that we are able to make a determination 

on the presumed level of illegal trade in 

CITES species. 

We removed ‘‘volume of legal trade’’

from the list of factors in § 23.60(d)(5) 

because the risk associated with the 

volume of legal trade is not a continuum 

but rather must be considered on a caseby-case basis when making a legal 

acquisition finding. 

Non-detriment findings (§ 23.61): 

Under Articles III and IV of the Treaty 

and Resolution Conf. 10.3 we must 

make a non-detriment finding before 

issuing export permits and introductionfrom-the-sea certificates for Appendix-I 

and-II wildlife and plants and import 

permits for Appendix-I wildlife and 

plants. This section explains how the 

U.S. Scientific Authority makes its nondetriment findings. 

We identify several factors that we 

consider in making a non-detriment 

finding. These factors include whether 

the activity represents sustainable use or 

would result in net harm to the status 

of the species in the wild. We believe 

that ‘‘no net harm’’ is appropriate 

because the finding required by CITES 

is whether a proposed activity will be 

detrimental to the survival of the 

species, not individual animals. For 

both Appendix-I and -II species, this 

generally involves a determination of 

whether there is any effect, either 

adverse or beneficial, on the species in 

the wild, and if so, an assessment of the 

productivity of the species to determine 

whether the removal of specimens from 

the wild will adversely affect the 

species’ long-term viability. However, 

Appendix-I species require 

consideration of additional factors, such 

as the effect of the import or export on 

recovery efforts for the species, 

including long-range strategies to ensure 

the survival of the species. All the 


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effects of the proposed trade, whether 

direct, indirect, or cumulative, must be 

assessed to determine the aggregate 

‘‘net’’ effect on the survival of the 

species before making the finding. We 

amended 23.61(g)(5) so that it reads 

‘‘from high to low occurrence of legal 

trade’’ because high volumes of trade, 

either legal or illegal, create potential for 

detriment. Species subject to high 

volumes of trade may be selected as 

candidates for the Review of Significant 

Trade to assess whether non-detriment 

findings are being made appropriately. 

One commenter asked us to further 

clarify our statement that a nondetriment finding must take into 

account ‘‘no net harm’’ to the species 

rather than ‘‘no harm’’ to individuals 

within a species. Two commenters 

strongly supported our view. One 

supporter noted that it has become 

increasingly necessary to engage in 

conservation activities that result in a 

net benefit to the species, but which at 

the same time may result in some 

negative impact on a limited number of 

individuals. Our approach follows the 

requirement of the Treaty, which 

focuses on species rather than 

individual specimens with regard to 

non-detriment findings. 

We consider a number of factors in 

making the non-detriment finding, 

including biological, trade, and 

management information on the species. 

The information must include not only 

what is known about the current status 

of the species, but the potential 

biological impact that the proposed 

import or export will have. For example, 

we consider whether the biological 

impact is to reduce the population of 

the species (by direct removal of 

animals) or to interfere with 

reproduction or recruitment (such as by 

targeting breeding animals or a specific 

age-class for removal or sampling). The 

type and magnitude of the biological 

impact are weighed against the status 

and needs of the species to determine 

whether issuance of the permit will be 

detrimental to the survival of the 

species. 

This section describes how we use 

both risk assessment and precautionary 

measures to make a non-detriment 

finding. There is a continuum of how 

stringent the documentation 

requirements may be for us to make a 

non-detriment finding. The higher-risk, 

rarer species will generally require a 

more complete documentation trail to 

show that they were obtained in a 

manner that was not detrimental to the 

survival of the species. Documentation 

requirements will be strictest for species 

that have been recently discovered, are 

not established in cultivation or 

breeding programs, are difficult to 

propagate or breed, and, most 

importantly, could be adversely 

impacted by trade in wild-collected 

specimens due to a restricted range or 

other factors. We use precautionary 

measures when a review of the available 

information reveals an absence of 

essential data as to the intensity of the 

effect of the proposed trade on the status 

of the species in the wild. The lack of 

information may cause the Scientific 

Authority to be unable to findthat the 

import or export will not be detrimental 

to the survival of the species. This 

process was upheld by the Federal 

District Court in Prima v. DOI, (E.D. La. 

Feb. 19, 1998) when we denied a CITES 

document based on a lack of sufficient 

information to make a non-detriment 

finding. 

We only question the finding of the 

exporting country if our analysis of the 

best available biological information 

shows a problem. We can neither accept 

the finding of the exporting country nor 

ascertain the potential for detriment 

derived from the purpose of the import 

without knowledge of the exporting 

country’s management program for the 

species (including whether one exists or 

is being implemented) or what scientific 

information exists on the species itself. 

We must also determine whether the 

effect of allowing imports for a 

particular purpose can be separated 

from other potentially detrimental 

impacts on the species, including trade 

for other purposes. 

We are bound to base our nondetriment finding on the best available 

biological and management information, 

and Resolution Conf. 9.21 (Rev. CoP13) 

contains sufficient latitude to allow this. 

The resolution does not require us to 

accept imports of Appendix-I species 

blindly if the Parties have approved a 

quota for the species for the country of 

export. Rather, the resolution contains a 

provision that preserves the 

independent authority of the Scientific 

Authority of an importing country to 

make its own non-detriment finding if 

the quota has been exceeded or if ‘‘new 

scientific or management data have 

emerged to indicate that the species’

population in the range State concerned 

can no longer sustain the agreed quota.’’

Similar to our rationale for obtaining 

information from range countries for 

making our non-detriment findings on 

the import of trophies, we rely on the 

best available scientific and 

management information on the species 

for the exporting country to determine 

if the basis for the quota is still valid. 

We use the best available biological 

information, not just the information 

used as the basis for the quota. 

Most commenters agreed with our 

description of how we make nondetriment findings. We received many 

comments endorsing our statement that 

controlled trade may create incentives 

for conservation and our consideration 

of adaptive management in making nondetriment findings. Several commenters 

supported our recognition of the 

potential ecological harm caused by 

importation of invasive species under 

CITES permits. One supporter asked 

why disease transmission is a factor 

considered in making the findings when 

invasive potential is not. We consider 

disease transmission because we are 

examining the potential effects disease 

could have on other members of the 

imported or exported species, whether 

in the wild or in captivity. Invasive 

potential describes the effects the 

imported or exported species could 

have on other species, so it is not 

relevant to whether or not the trade is 

detrimental to the survival of the 

species being imported or exported. 

One commenter said that the FWS 

should not collect information to make 

a non-detriment finding for imports of 

sport-hunted trophies of Appendix-I 

species if the trophy is covered by an 

export quota reported by the range 

country to the Secretariat and the 

exporting country has issued its own 

non-detriment determination. We and 

several commenters disagree. This was 

also discussed in the 2006 proposed 

rule (71 FR 20167). Resolution Conf. 

2.11 (Rev.), on trade in hunting trophies 

of species listed in Appendix I, 

recommends that the Scientific 

Authority of the importing country 

make an independent non-detriment 

finding in accordance with Article III of 

the Convention. Resolution Conf. 9.21 

(Rev. CoP13) regarding interpretation 

and application of quotas for species 

included in Appendix I also gives 

Parties the flexibility to evaluate 

scientific and management data to 

determine whether the quota adequately 

ensures the sustainability of the species. 

The commenter objected to § 23.61(f)(4) 

because we indicate that, where 

insufficient information is available to 

make the non-detriment finding, we 

take a precautionary approach and state 

that we are unable to find nondetriment. He suggests that, in such 

situations, we use Resolution Conf. 8.3 

(Rev. CoP13), which recognizes the 

socioeconomic and conservation 

benefits of trade in wildlife. We note 

that Resolution Conf. 8.3 (Rev. CoP13) 

indicates that there are benefits of 

wildlife trade only ‘‘when carried out at 

levels that are not detrimental to the 

survival of the species in question.’’


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Three commenters stated that we 

should not treat non-detriment 

determinations for imports and exports 

of Appendix-I species in the same 

manner. We addressed this comment in 

the 2006 proposed rule (71 FR 20167) 

and refer the commenters there for 

additional clarification. One commenter 

suggested we add language to the 

regulations to consider the cumulative 

effects of past and likely future imports 

of specimens on the survival of the 

species. This is generally considered in 

§ 23.61(e)(3). 

A few commenters recommended 

adding a provision that would 

accommodate a streamlined process for 

making non-detriment findings under 

circumstances where a range-wide 

population assessment for a particular 

Appendix-II species has been 

completed. We agree that a range-wide 

population assessment would be very 

useful in making non-detriment 

findings. It may even expedite the 

process by providing much of the 

information needed to make the finding; 

however, such an assessment would 

still need to be reviewed as part of our 

independent process of determining 

non-detriment. 

One commenter suggested that we 

modify § 23.61(e)(1) to allow 

consideration of the risk of extinction 

for both the species as a whole and the 

population from which the specimen 

was obtained when making a nondetriment finding. Another commenter 

asked that the FWS only consider the 

species as a whole in making the 

finding. We maintained the text 

‘‘species as a whole or the population 

from which the specimen was obtained’’

because, if during the course of our 

review of the species throughout its 

range we determine that there is cause 

for focusing on a specific region or 

population from which the specimen 

was removed, we may consider the 

more local threats. There may be 

instances where the species is abundant 

throughout parts of its range, yet may be 

threatened in other parts. In addition, 

Article IV of the Treaty states that the 

Scientific Authority should ensure that 

the export of specimens listed in 

Appendix II is controlled in order to 

maintain the species throughout its 

range at a level consistent with its role 

in the ecosystems in which it occurs. 

One commenter provided a list of 

additional biological factors to consider 

when making non-detriment findings. 

Many of these suggested factors are 

already considered under the more 

general factors in § 23.61; others are not 

relevant. The commenter also requested 

regulatory changes that are not 

consistent with the Treaty, such as 

requiring countries exporting specimens 

to the United States to provide copies of 

their non-detriment findings to the U.S. 

Scientific Authority for review prior to 

export. As we explained previously, our 

determination of non-detriment for 

Appendix-I species is independent of 

the finding made by the exporting 

country. Although the exporting country 

is not required to send copies of its nondetriment finding on Appendix-II 

species to the importing country, if 

there is reason to suspect that 

appropriate and valid findings are not 

being made, a country or species can be 

considered for the Review of Significant 

Trade by the CITES Animals or Plants 

Committee. The commenter also 

suggested that non-detriment findings 

should not be limited to the survival of 

the species, but should require that 

there is a conservation benefit to the 

species from the import or export. We 

disagree because the requirement for a 

conservation benefit would be beyond 

the requirements of the Treaty. 

Two commenters requested that the 

public be able to comment on 

Appendix-I and Appendix-II 

applications. We responded to similar 

comments in the 2006 proposed rule (71 

FR 20167). 

Not for primarily commercial 

purposes (§ 23.62): Under Article III of 

the Treaty, import permits or 

introduction-from-the-sea certificates for 

Appendix-I species can be issued only 

when a Management Authority is 

satisfied that the specimen will not be 

used for primarily commercial 

purposes. The Parties interpreted 

‘‘primarily commercial purposes’’ in 

Resolution Conf. 5.10. We incorporated 

the provisions of this resolution in this 

section and defined ‘‘commercial’’ and 

‘‘primarily commercial purposes’’ in §

23.5. 

For an import or introduction from 

the sea of an Appendix-I specimen to 

qualify for a CITES document, the 

noncommercial aspects of the import or 

introduction must clearly predominate. 

We evaluate each application on a caseby-case basis and take all factors 

involved into account. The applicant 

needs to provide core information on 

the purposes for carrying out the 

proposed activity and the intended use 

of the specimen after import or 

introduction from the sea for us to 

consider in making our finding. If the 

noncommercial aspects do not clearly 

predominate, we will consider the 

import or introduction from the sea to 

be primarily commercial. 

Instead of a specific list of 

information that each applicant must 

provide, we describe how we make our 

finding, provide examples of types of 

transactions in which noncommercial 

aspects may predominate, and outline 

factors we will consider in assessing the 

level of information we will need to 

make a finding. As with legal 

acquisition (§23.60) and non-detriment 

(§23.61) findings, we use a risk 

assessment approach in evaluating the 

level of information needed to make our 

finding. We require less detailed 

information when the import or 

introduction from the sea has a low risk 

of being primarily commercial, and 

require more detailed information when 

the proposed activity poses greater risk. 

For activities with a high risk of being 

primarily commercial, we will analyze 

anticipated measurable increases in 

revenue and other economic value 

associated with the proposed import or 

introduction from the sea. Based on our 

experience, we anticipate that we will 

rarely receive an application that 

involves activities with anticipated high 

net profits. We expect that only in rare 

instances will we need to ask the 

applicant for the detailed analysis 

described in § 23.62(e)(4). 

Two commenters indicated that we 

had not provided a clear enough 

explanation of what we consider a 

‘‘high-risk activity.’’ Although we do not 

specifically define this term, we provide 

a list of the factors we consider (see §

23.62(d)) in making our finding and the 

risk, from high to low, associated with 

each factor. We ask applicants to 

describe their proposed activity and 

intended use. If information raises a 

reasonable question of whether 

commercial motivation may have 

influenced the proposed import, we will 

ask for more detailed information. 

One commenter disagreed with the 

use of a risk assessment process under 

this section. Another commenter stated 

that the risk assessment approach 

penalizes public display facilities that 

are interested in obtaining specimens 

that have high public appeal or are not 

common in the United States, thus 

raising the ‘‘risk’’ that the import is 

commercial in nature. The risk 

assessment approach is a tool to 

facilitate review of applications. By 

using such an approach, we are able to 

lower the documentation burden on 

some applicants, without eliminating 

the possibility that for other 

applications we need more 

documentation than normally 

requested. We consider the type of 

entity as a factor in deciding the level 

of information we need to make a 

finding. In general, the nature of forprofit organizations makes it more 

difficult for us to find that specimens 

involved in a proposed import or 

introduction from the sea will not be 


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used for primarily commercial 

purposes. In all cases, however, we 

make the required findings on a case-bycase basis taking intoaccount all 

available information. 

One commenter disagreed with the 

statement in § 23.62(b)(5) that we will 

consider the purpose of the export in 

making a not-for-primarily-commercialpurposes finding and asserted that 

conservation benefits to range States 

should not be considered as part of this 

finding. The same commenter argued 

that commercial enterprises, such as 

public display facilities, should never 

be allowed to import an Appendix-I 

specimen by claiming that the purpose 

is for conservation or education. We 

disagree. It is possible that an import or 

introduction from the sea, although 

superficially commercial, may qualify as 

not for primarily commercial purposes 

because anticipated profit will be offset 

by conservation benefits provided 

through assistance to range countries, 

research, or other considerations that 

result from the import or introduction 

from the sea. 

In the 2006 proposed rule (71 FR 

20167), we stated that all net profits 

generated from activities associated 

with the import or introduction from the 

sea of an Appendix-I species must be 

used for conservation of the species in 

a range country. Two commenters 

strongly supported this requirement. 

Two other commenters voiced strong 

opposition, citing a belief that there is 

no legal basis for such a requirement 

and that it would be more appropriate 

as part of an enhancement finding under 

the ESA. The same issue was raised 

earlier and addressed in our 2006 

proposed rule (71 FR 20167). One of 

these commenters also stated that 

requiring a permittee to give up profits 

is a disincentive to participation in 

conservation activities, amounts to an 

illegal tax or fee, and violates the 

‘‘takings clause’’ of the Fifth 

Amendment. 

Before we can issue a CITES 

document, we need sufficient 

information to make the required 

findings. We have determined that for 

activities with a high risk of being 

primarily commercial (i.e., activities 

that are anticipated to generate revenue 

above the operating cost of maintaining 

the specimen), the purpose of the 

import would be considered primarily 

commercial if the institution or 

individual that imported the specimen 

utilized the profits for any purpose 

other than for the conservation of the 

species. We do not agree with the 

commenter that this requirement is a 

violation of the U.S. Constitution. 

However, after additional analysis, we 

believe that requiring all net profits 

generated in the United States from 

such activities be used for the 

conservation of the Appendix-I species 

in a range country may not be 

reasonable, or even desirable, in some 

cases. We are aware that there are 

situations where ex situ conservation 

efforts, such as research or captive 

breeding, may provide greater benefit to 

a species than attempting to carry out in 

situ conservation in a country where the 

logistical or political situation would 

make such activities unworkable. As a 

result, we have modified § 23.62(b)(7). 

We will still require that net profits be 

used for conservation of the species, but 

will not specifically require that these 

funds be used in a range country. We 

will continue to request information on 

how revenue generated by the import of 

the Appendix-I specimen would be 

utilized, including a description of any 

funded conservation project and its 

monitoring plan, for consideration when 

making our finding. 

One commenter argued against the 

economic analysis described in §

23.62(e). Another commenter supported 

an extensive review of all profits 

associated with the import and use of an 

Appendix-I specimen, but requested an 

explanation of how we intend to 

conduct such comprehensive reviews 

and how we intend to monitor a facility 

to ensure that it continues to use any 

profits generated from the import in the 

manner required by the regulations. 

As stated previously, we do not 

anticipate that there will be many cases 

in which the importer would need to 

provide in-depth, ongoing financial 

reporting. As both commenters correctly 

noted, the onlycurrent reporting of this 

type is for giant pandas. We believe that 

the reporting requirements are being 

successfully implemented by the four 

U.S. zoos that currently hold pandas. To 

date, the reporting has provided clear 

documentation to support our finding 

that the import was not for primarily 

commercial purposes and has allowed 

us to monitor the activities to ensure 

that our initial findings remain valid. 

One commenter suggested that this 

section should be revised to make it 

consistent with our definition of 

commercial and argued that, if we 

interpreted the concept correctly, we 

could not consider the import of sporthunted trophies to be not for primarily 

commercial purposes. We allow the 

import of Appendix-I sport-hunted 

trophies only for personal use, which is 

not a primarily commercial purpose. 

The Parties have recognized that trade 

in certain Appendix-I specimens and 

annotated Appendix-II specimens is 

allowable provided that the specimen is 

a personally hunted trophy that will not 

be used for commercial purposes. We 

believe our definition of sport-hunted 

trophies, as written, is in line with the 

intent of the Parties (see discussion in 

the preamble for § 23.74). 

Bred in captivity (§ 23.63): Article 

VII(4) and (5) of the Treaty provide 

exemptions for wildlife bred in 

captivity. To establish a standard 

interpretation of the term ‘‘bred in 

captivity,’’ the Parties adopted 

Resolution Conf. 10.16 (Rev.). We 

incorporated provisions of the 

resolution in this section. 

In making this finding, we consider 

the conditions under which an 

individual specimen is bred, whether 

the breeding stock was established 

legally and in a non-detrimental 

manner, and whether it is maintained 

with limited introduction of wild 

specimens. We also consider whether 

the breeding stock has reliably produced 

offspring to at least the second 

generation (F2), or whether it is 

managed in a way that has been 

demonstrated to result in the reliable 

production of F2 offspring and has 

produced some F1 offspring. 

We may consider whether specimens 

of a species qualify as bred in captivity 

for the breeding population of an 

individual operation or any larger 

conglomerate of breeding operations, up 

to and including the entire U.S. captive 

population. The breeding stock of an 

individual operation may 

independently meet the bred-incaptivity criteria based on its own 

history and production data, including 

the reliable production of F2 offspring. 

Few operations, however, have 

sufficient stock to meet the criteria. 

Also, we may limit bred-in-captivity 

findings to individual operations when 

information on a broader captive 

population is lacking, when there is 

ongoing import of wild-caught 

specimens into the United States, or if 

there is significant illegal trade in the 

species. Alternatively, by evaluating a 

larger population, we have more 

extensive information with which to 

make our finding. If we can demonstrate 

that the entire U.S. population or any 

conglomerate of breeding operations 

meets the criteria, then all specimens 

within that breeding population can be 

considered to meet the criteria without 

requiring a review of each individual 

breeding facility. 

Typically, we consider the entire U.S. 

captive population of an exotic species 

to meet the bred-in-captivity criteria if, 

among other things, the U.S. population 

is a ‘‘closed’’ population that is not 

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caught specimens. These often are 

populations that can be tracked to a 

limited parental population that 

qualifies as pre-Convention or was 

otherwise legally established, and for 

which there is both a lack of evidence 

of current illegal trade into the United 

States and reliable breeding of the 

species within the United States to F2 

or beyond. Thus, we have determined 

that a number of species commonly held 

in the United States (such as lions, 

tigers, and brown-eared pheasants) 

qualify as bred in captivity. We may 

find, however, that only part of the U.S. 

population qualifies as bred in captivity, 

such as a population managed 

cooperatively by zoos, if only that part 

of the population can be shown to meet 

the criteria. 

One commenter requested 

clarification of whether animals bred 

and raised on a U.S. game ranch would 

qualify as bred in captivity under these 

regulations. To meet the definition of 

bred in captivity, a specimen must be 

bred in a controlled environment that is 

actively manipulated to produce 

specimens, enclosed to prevent the 

movement of specimens out of the 

environment, and have characteristics 

such as artificial housing, waste 

removal, provision of veterinary care, 

protection from predators, and 

artificially supplied food. In general, we 

would consider a controlled 

environment as being a small enclosure 

(less than a few acres) where an animal 

could not survive without direct human 

assistance. While it may be possible that 

animals could be held in a controlled 

environment, as defined by the 

regulations, on a game ranch, we would 

not normally consider a large (over a 

few acres) area surrounded by a game 

fence to be such a controlled 

environment. Typically, game ranches 

in the United States consist of hundreds 

of acres of open area where there is 

limitedhuman interaction, and the 

animals can survive without direct 

human assistance. However, if you 

believe specimens on your game ranch 

meet the requirements, we will evaluate 

your request to designate animals bred 

at your facility as bred in captivity. 

One commenter suggested that there 

should be an allowance for 

noncommercial breeders of Appendix-I 

species to periodically augment their 

programs with wild stock. The 

commenter noted that this is 

particularly important for rare species, 

so that best-suited individuals are 

maintained in captivity and for reintroduction, if required. This section of 

the rule allows the occasional 

introduction of wild specimens and lists 

conditions that are similar to those 

required by Resolution Conf. 10.16 

(Rev.). The purpose of the augmentation 

must be to prevent or alleviate 

deleterious inbreeding or to dispose of 

confiscated animals. However, wild 

Appendix-I specimens may not be 

imported for the purpose of augmenting 

a commercial captive-breeding 

operation because this would be a 

violation of Article III. We added a 

reference to § 23.46(b)(12) in § 23.63(d) 

to highlight this restriction. 

Two commenters were critical of §

23.63(c)(3)(iv) because they thought it 

appeared to be stricter, and thus more 

difficult to meet, than Resolution Conf. 

10.16 (Rev.). They believed our addition 

of ‘‘consistently’’ and ‘‘has produced 

first-generation offspring’’ to the criteria 

in § 23.63(c)(3)(iv) went beyond the 

intent of the resolution. We addressed 

this in the 2006 proposed rule (71 FR 

20167) and believe that this section as 

written is consistent with Article VII(4) 

and (5) of the Treaty and the intent of 

Resolution Conf. 10.16 (Rev.). We will 

base our determination of whether a 

breeding operation has achieved 

consistent production or second or 

subsequent generations on the lifehistory characteristics of the taxon 

involved. Some species mature quickly, 

have short gestation periods, and 

produce many offspring, whereas other 

species take many years to mature, have 

long gestation periods, and produce few 

offspring. Thus, fewer offspring could 

indicate consistent production in 

species that take many years to 

reproduce when compared to species 

that would be expected to reproduce 

earlier and more frequently. If an 

operation has not consistently produced 

specimens to the second or subsequent 

generations, we require that it has 

produced first-generation offspring and 

is using husbandry methods 

demonstrated to result in the production 

of second and subsequent generations. 

We cannot determine that a breeding 

operation is able to implement methods 

for producing second-generation 

offspring if it has not demonstrated its 

ability to reproduce the species at all. 

One commenter was concerned that 

the bred-in-captivity provisions could 

allow for fraudulent labeling of wildlife 

as captive-bred. To show that specimens 

qualify as bred in captivity, applicants 

must demonstrate that they meet the 

criteria in § 23.63. Past applicants have 

included breeding records, photographs 

of the breeding facility, and 

documentation of the origin of the 

founder stock. If we receive reports of 

fraudulent documentation or other 

illegal activity, we will work with our 

Office of Law Enforcement to take 

appropriate action. The commenter also 

mentioned that we do not include a 

marking requirement for captive-bred 

specimens. However, the regulation is 

consistent with Resolution Conf. 10.16 

(Rev.), which recommends that trade in 

a specimen bred in captivity be 

permitted only if it is marked in 

accordance with resolutions adopted by 

the Parties. We have incorporated those 

resolutions in the appropriate sections 

of these regulations. 

Artificially propagated (§ 23.64): 

Article VII(4) and (5) of the Treaty 

provide exemptions for artificially 

propagated plants. Modern 

developments in plant propagation, 

such as the use of micropropagation and 

growth of seedlings in sterile flasks, 

have allowed large quantities of 

artificially propagated plants to be 

produced. Resolution Conf. 11.11 (Rev. 

CoP13) addresses ways to reduce the 

paperwork required to trade plants 

internationally while maintaining 

protection of wild plants. 

This section is based on Resolution 

Conf. 11.11 (Rev. CoP13), and 

incorporates criteria we use to decide 

whether plants, including cuttings or 

divisions, grafted plants, and timber, 

qualify as artificially propagated. To 

qualify as artificially propagated, a plant 

must have been grown under controlled 

conditions. We also consider whether 

the cultivated parental stock was 

established legally and in a nondetrimental manner, and whether it is 

managed in a way to ensure its longterm maintenance. Plants grown from 

exempt plant material, including 

exempt seeds that may have been 

collected from the wild, are considered 

artificially propagated when grown 

under controlled conditions. 

At CoP13, the Parties agreed to amend 

the definition of ‘‘artificially 

propagated’’ to allow, in exceptional 

circumstances, for some plants grown 

from wild-collected seeds or spores to 

be treated as artificially propagated if 

certain conditions are met. The basis for 

the exception is the practical limitations 

that arise for long-lived, late-maturing 

species, such as certain trees (e.g., the 

monkey-puzzle tree, Araucaria 

araucana). The exception is allowed 

only when the seeds or spores are 

legally collected and propagated in a 

range country and the Scientific 

Authority of that country has 

determined that the collection of the 

seeds or spores was not detrimental to 

the survival of the species in the wild, 

and further that allowing trade in such 

specimens has a positive effect on the 

conservation of wild populations. A 

portion of the plants produced must be 

used for replanting in the wild, to 

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populations, or to re-establish 

populations that have been extirpated. 

Some plants produced under such 

circumstances must also be used to 

establish a cultivated parental stock for 

future production so that removal of 

seeds or spores from the wild can 

eventually be reduced or eliminated. 

One commenter noted that the 

definition and application of the term 

‘‘artificially propagated’’ was too 

restrictive for wild seeds. The 

commenter suggested that growers of 

woodsgrown American ginseng should 

have the option of using locally 

harvested seeds from wild plants. As 

described in the 2006 proposed rule (71 

FR 20167), we are applying the criteria 

of CITES Resolution Conf. 11.11 (Rev. 

CoP13) to determine whether plants 

qualify as artificially propagated. If 

seeds from CITES plant species are 

exempt from CITES control, as is the 

case for American ginseng, then plants 

grown from exempt seed in controlled 

conditions are considered artificially 

propagated according to the criteria of 

Resolution Conf. 11.11 (Rev. CoP13). 

However, this is a separate issue from 

whether States allow ginseng seed to be 

harvested from the wild for such 

purposes or whether we consider 

collection of wild seed for the 

production of artificially propagated 

ginseng to be undermining the 

conservation of the species. 

Suitably equipped to house and care 

for (§ 23.65): Under Article III(3)(b) and 

(5)(b) of the Treaty, we must determine 

that any individual or institution 

receiving a live Appendix-I specimen 

being imported or introduced from the 

sea is suitably equipped to house and 

care for that specimen. These 

requirements are to ensure that rare 

specimens will survive following 

import. 

This section outlines the factors we 

consider in making this finding. All 

individuals or institutions that will be 

receiving specimens must be identified 

in an application, whether or not they 

are the actual importers of the 

specimens, and their facilities approved 

by us, including individuals or 

institutions that are likely to receive 

specimens within 1 year of the 

specimens’ arrival in the country. We 

consider all identified uses of the 

imported specimens that could be 

reasonably expected to occur, and the 

housing and care requirements for those 

uses. 

We base our finding on the best 

available information on the 

requirements of the species and 

information provided by the applicant. 

We give closer scrutiny to applications 

for species with more demanding 

biological and husbandry or 

horticultural needs. We would give less 

scrutiny for a captive-born, commonly 

held species, like a scarlet macaw (Ara 

macao), due to the ease with which 

such a species can be held in captivity 

and the availability of veterinary care 

and commercially prepared diets. For a 

species such as the Chinese giant 

salamander (Andrias davidianus), 

which is not commonly held in 

captivity and has very restrictive 

husbandry and housing requirements, 

we will require a greater level of detail 

regarding the facilities and personnel 

where the specimen would be held. 

We also provide the general and 

specific factors that we consider in 

making this finding. We consider 

whether a facility supplies adequate 

space, appropriate living conditions 

(temperature, light, etc.), adequate 

veterinary or horticultural care, 

sufficient security, and properly trained 

staff to care for the specimen being 

imported. We also assess whether a 

facility has had a reasonable survival 

rate of specimens of the same or similar 

species previously in its care. We 

believe 3 years of data on numbers of 

animals or plants maintained at the 

facility, mortalities, and occurrence of 

significant disease generally provides 

sufficient information for us to consider. 

The 2006 proposed rule (71 FR 20167) 

included language that suggested that 

we would consider a facility’s ability to 

reproduce or propagate specimens in 

making a finding under this section. We 

have deleted those references in 

paragraphs (d)(1) and (e)(3) because the 

purpose of the finding is to determine 

if a facility is able to house and care for 

a specimen, not whether a facility is 

capable of breeding or propagating it. 

An applicant may apply for a CITES 

document to import or introduce from 

the sea a specimen before the facility is 

completed or the staff who will 

maintain the specimen has been 

identified or properly trained. In such a 

case, we review the information, 

including construction plans or 

intended staffing, and make the finding 

based on that information. We would, 

however, condition any resulting permit 

to require that the import could not 

occur until the facility has been 

completed, or the staff hired and 

trained, and approved by us. 

Three commenters supported the 

provisions in this section. One 

commenter encouraged us to maintain 

an open dialogue with experts 

experienced with individual taxa 

because the ‘‘state of the art’’ in animal 

and plant care is constantly changing. 

These regulations are designed to allow 

such flexibility. We welcome the input 

of experts to keep us informed about the 

most recent advances in animal and 

plant care and husbandry. 

Two commenters noted that many 

imported animal specimens are covered 

by the Animal Welfare Act (AWA), 

which is administered by the USDA. 

One commenter argued that this makes 

our regulations duplicative, and another 

asked whether the FWS or the USDA 

regulations would take precedence in 

determining whether or not a facility is 

suitably equipped to house a particular 

species. The AWA is limited to warmblooded vertebrates and does not cover 

all instances in which we would be 

required to make a finding under this 

provision. We consider whether or not 

the applicant is USDA-licensed and 

consult with the USDA about recent 

inspection reports. In cases where it is 

applicable, we will use information 

from the USDA to inform our decision 

about a particular facility. 

The commenter also requested that 

we develop stringent species-specific 

animal care regulations and include 

regular inspections of facilities that 

receive imported specimens. We believe 

that this is unnecessary. Our regulations 

allow for the evaluation of the housing 

and care of the specimens of any taxon 

under a variety of conditions. The FWS 

staff may visit facilities, and if there is 

reason to suspect that animal care and 

housing is not what was reported, we 

can notify USDA inspectors or our 

Office of Law Enforcement. The 

commenter encouraged us to consider 

making the finding for all imported 

specimens regardless of how the species 

is listed and whether or not the 

specimen is captive bred. We have 

limited the regulations in this section to 

implementing Article III (3)(b) and (5)(b) 

of the Treaty. There is no basis for 

making such a finding for Appendix-II 

or -III species. 

What Are the Changes to Subpart E of 

50 CFR Part 23—International Trade in 

Certain Specimens? 

This subpart deals with situations that 

are either covered by specific 

resolutions or by procedures we have 

developed to deal with certain native 

CITES species from States or Tribes 

with appropriate conservation 

management programs and legal 

controls. One commenter suggested that 

we add a section in this subpart to 

address international trade in raptors 

and another commenter requested the 

addition of a section on trade in live 

animals to address humane transport 

issues in greater detail. We believe that 

requirements for trade in raptors and 

other live specimens are sufficiently 

described in this rule as written, and 


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that separate sections covering such 

specimens are not necessary. 

Export of heavily traded native 

species (§§ 23.68–23.70): Certain native 

species (American ginseng (Panax 

quinquefolius), bobcat (Lynx rufus), 

river otter (Lontra canadensis), Canada 

lynx (Lynx canadensis), gray wolf 

(Canis lupus), brown bear (Ursus 

arctos), and American alligator 

(Alligator mississippiensis) that are 

managed by a State or tribal 

conservation program are traded 

internationally, sometimes in high 

volumes. As for all CITES Appendix-I 

and -II species, before we can issue a 

CITES document to allow export, we 

must find that the specimens were 

legally acquired and that the export will 

not be detrimental to the survival of the 

species in the wild. Over the past 25 

years, we have worked with State and 

tribal governments to develop 

procedures that allow us to make the 

necessary findings programmatically 

rather than permit by permit. When 

States and Tribes provide information 

showing that they have established a 

management program that ensures a 

sustainable harvest, and that they have 

the means to identify or mark specimens 

that have been legally taken under their 

system, we are able to make findings for 

specimens harvested within their 

jurisdiction and thereby approve their 

program. A tag or certificate issued by 

the State or Tribe demonstrates that a 

particular specimen was harvested 

under an approved program and that the 

appropriate findings have been made. 

This alternative to making the legal 

acquisition and non-detriment findings 

on a permit-by-permit basis reduces a 

potentially large workload for exporters 

as well as for our offices. 

States and Tribes for which 

programmatic findings have been made 

submit annual reports to us containing 

information on the previous harvest 

season. In some cases, such as for some 

furbearer species, we make multi-year 

findings. Regular reporting from States 

and Tribes allows us to determine 

whether our findings remain valid. In 

these sections, we include the types of 

information we request from the States 

and Tribes on an annual basis to 

maintain approval of their export 

programs. A list of States and Tribes 

with approved CITES export programs, 

copies of recent findings on which the 

approvals are based, and conditions that 

must be met for lawful export will be 

posted on our website or will be 

available from us (see § 23.7). 

Many commenters supported the 

provisions for approval of State and 

tribal export programs, but would like 

the FWS to make range-wide nondetriment findings, rather than State-byState or Tribe-by-Tribe assessments. We 

approve programs for the export of 

American ginseng, furbearers, and 

crocodilians on a State-by-State or 

Tribe-by-Tribe basis because they are 

managed by individual States or Tribes. 

We require specific information about 

the population status and management 

of the species on those specific State 

and tribal lands. As discussed in §

23.61, a range-wide population 

assessment would be useful in making 

non-detriment findings because it 

would place the State or tribal programs 

in the context of species management 

and population status throughout its 

range. However, in making a nondetriment finding, we must determine 

whether there are effects from the 

export, including locally, that will 

impact the survival of the species. 

Generally, the information provided to 

the FWS by a State or Tribe is limited 

to the species’ status in that State or 

tribal management area. If, however, 

sufficient information is provided by 

States and Tribes within the range of a 

particular species, we may review the 

information, in conjunction with other 

available information, on a range-wide 

basis. We have, for example, made a 

range-wide non-detriment finding for 

bobcat. We added provisions in §

23.69(b) to accommodate situations 

where the Scientific Authority has made 

a range-wide non-detriment finding. 

The same commenters suggested that 

re-evaluation periods for range-wide 

findings should be no less than every 5 

years. As discussed in the 2006 

proposed rule (71 FR 20167), 

subsequent to programmatic approval 

for a State or Tribe, exports are 

approved as long as the periodic 

submission of information by the State 

or Tribe shows that there is no 

significant change in status or 

management of the species that might 

lead to different treatment of the 

species. 

One commenter requested stronger 

language to mandate that States and 

Tribes provide relevant reports, and that 

the FWS disclose whether it has 

detected tag fraud for furbearers and 

alligators issued to the States and 

Tribes. We review the CITES furbearer 

and alligator activity reports received 

from each approved State or Tribe to 

determine if our programmatic findings 

remain correct or if the species needs 

closer monitoring. If an assessment of 

the information indicates that the 

population may be declining, we may 

request additional information from the 

States or Tribes to conduct a more 

comprehensive review to ensure that 

our findings are still valid. Violations in 

the use of tags are monitored by the 

Office of Law Enforcement and 

disclosure is subject to the rules and 

regulations governing release of 

investigative information. 

American ginseng roots (§ 23.68): 

Most American ginseng, both collected 

from the wild and artificially 

propagated, is exported as roots. 

Ginseng root is exported in a much 

larger volume than any other native 

CITES plant species. Ginseng that has 

been legally harvested under State or 

tribal requirements is certified by the 

appropriate State or tribal authority 

prior to export. To document the legal 

origin of the material, State or tribal 

certificates must accompany the ginseng 

until the time of export from the United 

States. 

We use two categories for ginseng, 

wild and artificially propagated, 

because CITES only recognizes these 

two categories. The permits we issue 

and our annual report to the CITES 

Secretariat use only these two 

classifications. 

If an applicant wishes to export 

ginseng as artificially propagated even 

though it visually resembles wild 

ginseng, he or she must demonstrate 

that the ginseng indeed meets the 

criteria for artificially propagated plants. 

We note that the classification of 

ginseng as either wild or artificially 

propagated on export permits is only for 

CITES purposes and is not intended to 

indicate marketing categories or value of 

the roots. Furthermore, it does not 

preclude the use of additional categories 

by States and Tribes. We continue to 

monitor the use of additional categories 

by States and Tribes, and we may use 

such information in future decision 

making on ginseng exports as we 

evaluate the impact of trade on the 

viability of the wild populations. 

States or Tribes no longer provide us 

in their annual reports an estimate of 

the average age of wild-harvested plants. 

Instead, the U.S. Scientific Authority 

uses roots-per-pound information 

provided by the States as an index to 

indicate shifts in age structure of 

harvested roots. 

One commenter suggested that we 

modify § 23.68 (b)(1)(iii) so that State or 

tribal personnel would only inspect and 

certify wild-collected ginseng for export 

and not all wild-collected ginseng 

harvested on State or tribal lands. Since 

the majority of wild-collected ginseng is 

exported, having State or tribal officials 

inspect all ginseng harvested in a 

particular State will minimize the 

likelihood of under-aged or illegally 

obtained wild-collected roots being 

exported. Additionally, some States do 

not require inspection of wild-collected 


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ginseng for personal use, and ginseng 

that does not enter international 

commerce is not subject to CITES 

requirements. 

One commenter asked us to provide 

the list of States and Tribes with 

approved ginseng programs in the 

regulations as well as on the FWS 

website (see § 23.7). It is easier to 

update the FWS website quickly, and 

therefore, we will provide the list of 

approved States and Tribes there. We do 

not believe it is necessary to provide the 

list in the regulations as well. 

In the 2006 proposed rule (71 FR 

20167), we proposed changing the 

annual report date from May 31 to May 

1, to ensure that we receive information 

in time for us to make required CITES 

findings before the beginning of the next 

harvest season. Three commenters 

suggested that we not change the annual 

reporting date from May 31 to May 1, 

because it would require States to revise 

their existing ginseng laws and would 

decrease the amount of time ginseng 

dealers, States, and Tribes have to 

prepare the requested information. One 

of the commenters strongly supported 

our intention to complete the required 

CITES findings early. However, the 

commenter noted that the annual 

reports are one of many references the 

FWS considers in making the findings. 

The commenter is correct in that we 

consider additional information as well 

as information provided in the annual 

reports when making our non-detriment 

findings. However, under CITES we 

must also make a legal acquisition 

finding, which is largely based on 

information contained in the State 

reports. Based on further review of our 

requirements, and in consultation with 

the State program coordinators, we have 

decided to maintain the current May 31 

reporting date. 

CITES furbearers (§ 23.69): We define 

‘‘CITES furbearers’’ to include bobcat, 

river otter, Canada lynx, and the 

Alaskan populations of gray wolf and 

brown bear. These species are included 

in Appendix II under the provisions of 

Article II(2)(b) of the Treaty because 

their parts, products, and derivatives are 

difficult to distinguish from certain 

similar CITES Appendix-I and -II 

species. 

To streamline the export process for 

CITES furbearers, we review the 

programs that States and Tribes have set 

up for management and harvest. We 

approve programs for States and Tribes 

when they have provided information 

that allows us to make the required nondetriment and legal acquisition findings. 

Our non-detriment finding takes into 

account that the CITES furbearers are 

listed in Appendix II because of their 

similarity of appearance to species 

listed under Article II(2)(a) of the 

Treaty. These species are listed to 

ensure that trade in the species to which 

they are similar is effectively controlled. 

We are obligated, however, by the 

Treaty to ensure that such a species 

does not decline to the point that it 

qualifies to be treated as an AppendixII species under Article II(2)(a) of the 

Treaty. 

Under the current regulations, States 

and Tribes with approved programs 

must have procedures for placement of 

CITES export tags on fur skins. When a 

fur skin with a CITES tag is presented 

for export, the tag provides assurance 

that the fur was harvested under an 

approved CITES export program and 

that the necessary findings have been 

made. This allows the exporter to more 

quickly obtain CITES documents from 

either the U.S. Management Authority 

or certain FWS Law Enforcement offices 

(see § 23.7). However, there may be 

flexibility in whether furbearer skins 

must be tagged. The utility and 

effectiveness of the current U.S. CITES 

tagging regime has been the subject of 

ongoing discussions between the FWS 

and the States and Tribes. Through this 

process we are exploring other ways to 

demonstrate legal acquisition, for 

example, the possible use of a 

documentation system in lieu of tags, or 

issuance of a national legal acquisition 

finding based on State and tribal legal 

and enforcement systems. Any 

alternative system of determining legal 

acquisition must be as reliable as the 

current system. Many State fish and 

wildlife agencies and fur trapper 

associations endorsed efforts to develop 

an alternative to tags. We will continue 

to work with States and Tribes to 

explore other ways to provide evidence 

of legal acquisition. 

We review the information we receive 

annually from each State or Tribe to 

determine if our programmatic findings 

remain correct or if the species needs 

closer monitoring. Article IV(3) of the 

Convention requires the Scientific 

Authority to monitor trade in any 

Appendix-II species, regardless of 

whether it is listed under the provisions 

of Article II(2)(a) or II(2)(b). Species 

listed in Appendix II are not designated 

as being listed for similarity of 

appearance (i.e., they are not designated 

as being listed under Article II(2)(a) or 

II(2)(b)), and the Convention lacks a 

mechanism for review of Appendix-II 

species to determine if they should 

continue to be listed under the 

provisions of Article II(2)(b). It is the 

responsibility of each range country to 

monitor its species listed under Article 

II(2)(b) and determine whether they 

subsequently qualify under Article 

II(2)(a). 

Crocodilians (including American 

alligator) (§ 23.70): This section 

incorporates Resolution Conf. 11.12 and 

extends the tagging requirements to all 

crocodilian skins entering international 

trade, which assists Parties in 

identifying legal skins. Raw, tanned, or 

finished crocodilian skins may be 

imported, exported, or re-exported only 

if tagged with a non-reusable tag 

containing specific information. The 

requirements of the special rules in 50 

CFR part 17 concerning the American 

alligator and other threatened 

crocodilians must be met in addition to 

the requirements of this section. 

Like American ginseng and native 

CITES furbearers, we have developed 

specific CITES procedures for States and 

Tribes with an approved conservation 

program for the American alligator. As 

part of the reporting required under the 

program, participating States and Tribes 

provide us with information on how 

many alligators were taken during the 

wild harvest and how many alligators 

were harvested from farming facilities. 

One commenter questioned why the 

requirements for marking of American 

alligator meat and skulls are different 

from those for other crocodilians. When 

we incorporated the marking 

requirements from the special rules in 

part 17 into this section, we did not 

change those requirements. The marking 

requirements for American alligator 

meat and skulls were developed to 

accommodate different State marking 

requirements. 

Two commenters asked us to develop 

a system to expedite issuance of export 

permits for American alligator skins, 

similar to the process in place for 

Appendix-III turtles. The system in 

place for Appendix-III wildlife is not 

appropriate for Appendix-II wildlife. 

Export of specimens listed in Appendix 

III, including certain turtle taxa native to 

the United States, requires only a legal 

acquisition finding. By contrast, 

American alligators are listed in 

Appendix II, and therefore, we must 

make a non-detriment finding in 

addition to a legal acquisition finding 

before issuing an export permit. 

Sturgeon caviar (§ 23.71): At CoP10, 

all sturgeons that were not already 

included in the CITES Appendices were 

added to Appendix II. This section 

implements Resolution Conf. 12.7 (Rev. 

CoP13), including requirements for 

labeling of caviar containers, provisions 

for shared populations subject to annual 

export quotas, and re-export timeframes 

for caviar. 

To assist Parties in identifying legal 

caviar in trade, the resolution 


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recommends a universal labeling 

system. Sturgeon caviar may be 

imported, exported, or re-exported only 

if non-reusable labels containing 

specific information are affixed to 

primary and secondary containers. If 

caviar is repackaged before export or reexport, the containers must be relabeled to reflect the change. 

To improve monitoring of re-exports 

in relation to the original export 

permits, the Parties agreed to establish 

time limits for re-exporting caviar. We 

require that any re-export of caviar take 

place within 18 months from the 

issuance date of the original export 

permit. We also clarify that caviar and 

caviar products that contain the roe of 

more than one species may only be 

imported into or exported from the 

United States if each species is 

identified and the quantity of each 

species is specified on the CITES 

document. In the final rule, we 

amended § 23.71(g) to more clearly 

describe this requirement and to 

underscore that we include products 

made with caviar under this paragraph. 

To assist in monitoring the level of 

exports in relation to annual export 

quotas and to address certain 

unscrupulous trade practices, the 

Parties agreed to place a time limit on 

export of caviar from shared stocks 

subject to quotas. We allow import of 

sturgeon caviar from shared stocks 

subject to quotas only during the 

calendar year in which it was harvested. 

Personal sport-hunted trophies (§

23.74): This section defines ‘‘sporthunted trophy’’ and outlines the 

requirements for trade in sport-hunted 

trophies, including the use of a sporthunted trophy after import (see § 23.55). 

Some countries allow limited take of 

Appendix-I species as part of an overall 

management plan. The Parties have 

agreed to allow international movement 

of such trophies provided they are for 

the hunter’s personal use. The export of 

Appendix-I hunting trophies requires 

both export and import permits under 

Article III of the Treaty (see § 23.35). 

This practice is re-affirmed in 

Resolution Conf. 2.11 (Rev.). 

We defined ‘‘sport-hunted trophy’’ to 

provide the public with a clear 

understanding of what we consider to 

be included in the term. The definition 

does not include handicraft items or 

items manufactured from the trophy 

used as clothing, curios, ornamentation, 

jewelry, or other utilitarian items. We 

based this definition on our experience 

with international trade in these items 

and the commonly understood meaning 

of the term from the dictionary and 

other wildlife regulations. The 

definition is similar to one used in 50 

CFR part 18 (marine mammals) for 

sport-hunted polar bear trophies, which 

was developed to ensure that the trade 

in trophies was consistent with CITES. 

We considered language from a House 

Committee Report (H.R. Rep. No. 439, 

103rd Cong., 2nd Sess. (1994)) that 

states ‘‘trophies normally constitute the 

hide, hair, skull, teeth, and claws of an 

animal that can be used by a taxidermist 

to create a mount of an animal for 

display or tanned for use as a rug.’’

Two commenters supported our 

definition, but one did not agree that 

sport-hunted trophies should be 

considered personal effects. This 

commenter suggested that we remove 

the phrase ‘‘for personal use’’ from the 

definition. As stated above, the Parties 

have recognized that trade in certain 

Appendix-I specimens and annotated 

Appendix-II specimens is allowable 

provided that the specimen is a 

personally hunted trophy that will not 

be used for commercial purposes. We 

believe our definition, as written, 

supports the intent of the Parties. The 

same commenter encouraged us to add 

this definition to the general definition 

section (§ 23.5) as well. We defined 

some terms that apply to a specific type 

of trade, such as ‘‘sport-hunted trophy,’’

in the sections where they are used 

rather than in the general definition 

section (§ 23.5) for efficiency. We do not 

believe it is appropriate to restate the 

definition in two places. 

Two commenters believed that items 

manufactured from a trophy should be 

included in the definition. They 

expressed concern that our definition 

would preclude hunters from bringing 

such items into the United States 

because they would be considered 

commercial. We do not agree that 

utilitarian items manufactured from a 

trophy should be considered a trophy. 

In a number of instances, large 

quantities of fully manufactured 

products, such as briefcases, handbags, 

and golf bags, have been imported as 

parts of a ‘‘hunting trophy.’’ Since we 

accord a noncommercial status to 

personal sport-hunted trophies, we must 

be able to distinguish between a 

noncommercial trophy and commercial 

products derived from an animal that 

may or may not have been taken by the 

hunter as a sport-hunted trophy. 

This does not mean that the import or 

export of utilitarian items made from a 

trophy is not allowed. Provided that the 

items are not identified as a sporthunted trophy, manufactured items of 

Appendix-II and -III species may be 

imported into the United States or 

exported from the United States with 

CITES export or re-export documents 

that indicate an appropriate purpose 

code (e.g., ‘‘P’’ for personal or ‘‘T’’ for 

commercial). The purpose code ‘‘H’’

(sport-hunted) may not be used. 

However, the Parties have established 

greater controls over the international 

movement of Appendix-I specimens. As 

with Appendix-II or -III species, 

manufactured items produced from an 

Appendix-I species outside the United 

States could be imported provided that 

all of the required findings have been 

made and the items are not identified as 

a sport-hunted trophy. 

We also included specific conditions 

for import, export, or re-export of 

leopard, markhor, and black rhinoceros 

hunting trophies as provided in 

Resolutions Conf. 10.14 (Rev. CoP13), 

Conf. 10.15 (Rev. CoP12), and Conf. 

13.5, respectively. In any calendar year, 

a hunter may import no more than two 

leopard trophies, one markhor trophy, 

and one black rhinoceros trophy. Any 

tagging or marking requirements for 

skins, horns, or other parts of trophies, 

mounted or loose, must also be met. We 

added a description of tag locking 

requirements and tagging requirements 

for mounted sport-hunted trophies to §

23.74(d)(i). These requirements are in 

addition to any requirements in 50 CFR 

part 17. One commenter requested that 

we clarify that the limits on the number 

of certain sport-hunted trophies that 

may be imported in a given year apply 

to an individual hunter. We amended §

23.74(d) accordingly. 

Two commenters were opposed to all 

trophy hunting and recommended that 

we prohibit the import of all sporthunted trophies listed in the CITES 

Appendices. This issue was addressed 

in the 2006 proposed rule (71 FR 

20167). CITES did not intend to ban the 

trade in sport-hunted trophies, and we 

do not have the authority to impose a 

ban on the import of any CITES species 

without legal or scientific justification. 

What Are the Changes to Subpart F of 

50 CFR Part 23—Disposal of 

Confiscated Wildlife and Plants? 

Confiscated specimens (§ 23.78): 

Article VIII(4) and (5) of the Treaty 

outline the requirements for disposal of 

confiscated live specimens, and the 

Parties adopted Resolution Conf. 10.7, 

which set out detailed guidance. Our 

general procedures for disposal of 

forfeited or abandoned property, under 

CITES as well as other U.S. laws, are 

contained in 50 CFR part 12, 7 CFR part 

356, and 19 CFR part 162. Section 23.78 

outlines the process we use in making 

a decision on how to dispose of 

confiscated live CITES wildlife and 

plants that have been forfeited or 

abandoned to FWS Law Enforcement, 

APHIS, or CBP. 


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We consider a number of factors, and 

consult the guidance in Resolution 

Conf. 10.7, when determining how to 

dispose of confiscated live specimens. 

The most important factor we consider 

is the welfare of the wildlife or plants. 

Generally, the disposal options are 

maintenance in captivity or cultivation, 

return to the wild, and euthanasia or 

destruction. In the absence of other 

options, euthanasia or destruction may 

be the most humane or appropriate 

option. Although under Article VIII of 

the Treaty, returning confiscated live 

specimens to the country of export is 

one available option, we cannot always 

return them. For example, when 

criminal charges are brought in 

connection with confiscated specimens, 

litigation may require us to hold the 

specimens as evidence for an extended 

period of time, and the court may 

decide how we are to dispose of them. 

Return to the wild of confiscated 

specimens is rarely possible. It can carry 

risks for existing wild populations, such 

as introduction of disease, and can 

result in the death of the specimens 

released due to starvation, disease, or 

predation. Before considering return to 

the wild, a country must decide if that 

action would make a significant 

contribution to the conservation of the 

species or might be harmful to the 

conservation of the species in the wild. 

In many countries, including the United 

States, some confiscated specimens are 

donated to zoos, aquariums, or botanical 

gardens. This option may not be 

available when a seizure involves a 

large number of common species. Both 

the botanical and zoological 

communities recognize that placing 

specimens of low conservation value in 

limited space may benefit those 

individuals, but may detract from 

conservation efforts as a whole. 

To comply with the intent of 

Resolution Conf. 9.10 (Rev. CoP13) and, 

in limited circumstances, to return 

confiscated live Appendix-I specimens 

to the country of export, we included an 

issuance criterion for re-export of 

confiscated specimens in § 23.37(c)(5). 

It requires us, before issuing a re-export 

certificate, to find that the proposed reexport of confiscated specimens would 

not be detrimental to the survival of the 

species. Regulations in 50 CFR part 12 

allow for the sale of confiscated 

Appendix-II and -III wildlife and plants. 

When specimens have been confiscated 

and subsequently sold or transferred by 

the U.S. Government, we consider them 

legally acquired when the applicant 

provides the appropriate documentation 

to show the origin of the specimens. 

However, because the specimens were 

imported without the proper CITES 

documents, we must make the 

biological finding, which normally 

would have been made prior to export, 

before issuing a re-export certificate. 

Two commenters urged us to develop 

an action plan for the disposal of 

confiscated live specimens, as is 

recommended in Resolution Conf. 10.7. 

As noted in the 2006 proposed rule (71 

FR 20167), due to the complexity of 

issues involved in placing seized 

specimens, the FWS makes disposition 

decisions on a case-by-case basis. 

One commenter asserted that we 

should strictly control the breeding and 

disposition of any progeny for any 

wildlife specimen placed with a zoo, 

sanctuary, or care facility. All live 

wildlife placed with a zoo, sanctuary, or 

similar care facility is accompanied by 

a loan or donation document as 

described in 50 CFR part 12 that may 

include restrictions on use or 

disposition of the animal. We may also 

place restrictions on breeding of the 

animal or disposition of the animal and 

any progeny, as appropriate. 

One commenter urged us to place 

confiscated specimens in scientific 

collections with restrictions on their 

transfer rather than re-export them back 

to the country of export. Another 

commenter expressed concern regarding 

the option of selling confiscated 

Appendix-II and -III specimens. Under 

these regulations, as well as under 50 

CFR part 12, the FWS disposes of 

confiscated specimens on a case-by-case 

basis after considering the most 

appropriate option. See 50 CFR part 12, 

subpart D, for the criteria we use when 

considering the appropriate disposition 

of abandoned and forfeited wildlife and 

plants, including the order of preferred 

disposal methods. 

One commenter remarked on the 

impracticality of re-exporting seized 

specimens to the country of export. The 

commenter cited an instance where 

seized specimens were re-exported to 

the country of origin, but despite efforts 

to maintain the specimens, they could 

not be salvaged once they arrived in the 

country of export and had to be 

discarded. The commenter 

recommended that the FWS place 

seized specimens in scientific 

collections in the United States and 

restrict the use of the specimens to 

prevent them from being transferred to 

the intended importer. 

We believe that the re-export of 

confiscated specimens to the country of 

origin or re-export is an appropriate 

option for certain specimens. Although 

the commenter cited an instance where 

specimens could not be salvaged, we 

have successfully re-exported many 

confiscated specimens to the country of 

export. We decline to incorporate a 

mandate for the placement of 

confiscated specimens only with 

scientific institutions. We must retain 

the ability to determine the most 

appropriate disposition of confiscated 

specimens based on specific facts of the 

case. 

Two commenters argued against 

returning confiscated live specimens to 

the wild. One maintained that returning 

raptors is only successful in the context 

of a well-organized and carefully 

implemented translocation program. 

The other commenter noted that 

reintroduction programs require careful 

organization and implementation. That 

commenter also noted that returning 

confiscated live wildlife to the country 

of origin was often not realistic, noting 

that adequate facilities for caring for the 

live specimens may not exist. We have 

clarified under what limited 

circumstances we would return 

confiscated specimens to the wild. With 

regard to the return of confiscated live 

specimens to the country of origin, 

Resolution Conf. 9.10 (Rev. CoP13) 

recommends that confiscated specimens 

be returned to the country of origin or 

re-export when the Scientific Authority 

of the confiscating State deems it in the 

interest of the specimens to do so, and 

the country of origin or re-export 

requests that the specimens be returned. 

The United States follows this 

recommendation in determining if it is 

appropriate to return confiscated 

specimens to the country of origin or reexport. 

One commenter argued that we 

should not allow confiscated live 

wildlife specimens to be given to 

scientific institutions unless the 

institution does not intend to use the 

specimen for invasive scientific 

research. The commenter further argued 

that we should not place such 

specimens with any organization that 

operates a traveling exhibition. The 

commenter noted particular concern 

regarding the regulations in 50 CFR part 

12 that allow for the sale of confiscated 

Appendix-II and -III wildlife and plants. 

The commenter believed that this 

option might cause the FWS to overlook 

other disposal options such as return to 

the country of origin. As previously 

discussed, the options available in 50 

CFR part 12 are ordinarily exercised in 

the order in which the methods are 

outlined. Sale and destruction are the 

final options to be exercised, and any 

sale must be in accordance with Federal 

Property Management Regulations and 

Interior Property Management 

regulations. 


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What Are the Changes to Subpart G of 

50 CFR Part 23—CITES 

Administration? 

Development of U.S. documents and 

negotiating positions for a CoP (§ 23.87): 

This section outlines the process we 

follow in developing documents for 

submission to the CoP and our 

negotiating positions, including how the 

public can participate in this process. 

We will outline what the United States 

is considering and our proposed 

negotiating positions on agenda items 

and proposals from other countries 

either through Federal Register notices 

or postings on our website (see § 23.7). 

We will also hold one or more public 

meetings to discuss these issues. 

However, we will not publish final 

negotiating positions because some 

issues are extremely complex and 

require extensive coordination, and our 

final negotiating positions may not be 

available prior to the CoP. We hold 

daily briefings at the CoP for U.S. 

observers, where we often discuss our 

tentative negotiating positions and any 

changes to them. We no longer publish 

an official report after each CoP because 

information on the results of a CoP is 

available from a number of sources, 

such as the CITES website (see § 23.7). 

Consequently, the production of a 

separate report has become duplicative 

and unnecessary. 

One commenter noted that we did not 

indicate a timeframe for providing a 

summary of our proposed negotiating 

positions in preparation for a CoP. The 

commenter suggested that we provide 

our proposed negotiating positions at 

least 2 weeks prior to the start of a CoP 

to allow sufficient time for public input 

and comment. Although we make every 

effort to provide our proposed 

negotiating positions sufficiently in 

advance of a CoP, it is not always 

possible, and we have declined to adopt 

this suggestion. 

Another commenter opposed our 

proposal not to make our final 

negotiating positions available prior to a 

CoP. We believe that this comment is 

adequately addressed in the 2006 

proposed rule (71 FR 20167) and refer 

the commenter to that document for 

further clarification. 

Resolutions and decisions (§ 23.88): 

This section provides the legal basis and 

purpose of resolutions and decisions. 

We have implemented Resolution Conf. 

4.6 (Rev. CoP13), which establishes that 

a resolution or decision becomes 

effective 90 days after the meeting at 

which it is adopted, unless the 

resolution or decision specifies a 

different date. 

One commenter recommended that 

we clarify that the effective date of 

resolutions and decisions adopted at a 

CoP is 90 days after the last day of the 

meeting at which they were adopted. 

We agree with the commenter and have 

revised the final rule accordingly. 

What Are the Changes to Subpart H of 

50 CFR Part 23—List of Species? 

Listing criteria for Appendix I or II (§

23.89): We intend that the listing criteria 

identified in this section will faithfully 

track the criteria and principles set out 

in Resolution Conf. 9.24 (Rev. CoP13). If 

that resolution is substantially modified 

at a future CoP, then we may propose 

amendments to this section to maintain 

our science-based interpretation of 

criteria for the addition or removal of 

species from Appendices I and II. 

A number of falconers argued that not 

all Falconiformes should be included 

under CITES, but only those species that 

are endangered or threatened. These 

regulations do not address specific 

listings in the Appendices. However, 

through a series of Federal Register 

notices and public meetings, 

individuals and organizations have an 

opportunity to participate in U.S. 

preparations for a CoP and should 

provide information on potential listing 

proposals through those means. 

One commenter questioned our 

statement regarding the use of 

precautionary measures to ensure that 

scientific uncertainty is not a reason for 

failing to act in the best interest of the 

conservation of the species when 

considering a listing proposal. The 

commenter argued that if adequate 

information to evaluate conservation 

needs is lacking, it is difficult to 

determine those needs. The commenter 

asked how proposals under these 

circumstances should be evaluated. The 

statement to which the commeter refers 

is taken from the concept described in 

Annex 4 to Resolution Conf. 9.24 (Rev. 

CoP13). In evaluating the need to list a 

species in the Appendices, we use the 

best available information. However, in 

applying precautionary measures, we 

may still take a listing action when the 

best available information suggests the 

action is warranted despite incomplete 

information. 

Exemptions (§ 23.92): This section 

provides details on what materials are 

exempt. Upon import, export, or reexport, you may be required to 

demonstrate that your specimens 

qualify as exempt under this section. 

One commenter stated that tissue, 

blood, and serum collected at the time 

of necropsy for diagnostic testing should 

not require permits under CITES. 

Although Parties have proposed 

exempting such specimens in the past, 

no consensus has been reached on such 

an exemption. Consequently, tissue, 

blood, and serum are not exempt from 

CITES requirements. 

Another commenter indicated that 

our text regarding annotated AppendixIII wildlife (§ 23.92 (b)(1)) and 

Appendix-II or -III plant species (§ 23.92 

(b)(2)) was confusing. Upon review of 

this section we realized these 

paragraphs did not accurately reflect our 

current practice. As a result, we 

combined (b)(1) and (b)(2) from the 2006 

proposed rule (71 FR 20167) into one 

paragraph so that it is clear that for 

Appendix-III wildlife and Appendix-II 

or -III plant listings we consider all 

parts, products, or derivatives to be 

covered (and thus to require CITES 

documents) unless they are annotated to 

indicate otherwise. We also added 

references in (b)(2) and (b)(3) to the 

section on artificially propagated plants 

to underscore the fact that these 

specimens must qualify as artificially 

propagated under § 23.64. 

Required Determinations 

Regulatory Planning and Review: The 

Office of Management and Budget 

(OMB) has determined that this is a 

significant regulatory action under 

Executive Order 12866 because it may 

raise novel legal or policy issues. 

Therefore this rule has been reviewed 

by OMB. 

a. This rule will not have an annual 

economic effect of $100 million or 

negatively affect a part of the economy, 

productivity, jobs, the environment, or 

other units of government. An 

assessment to clarify the costs and 

benefits associated with this rule 

follows. The purpose of this rule is to 

clarify and update the regulations that 

implement CITES. It is designed to 

assist individuals and businesses who 

import and export specimens of CITES 

species by clearly outlining the 

requirements that the United States, as 

well as the other 170 Parties, must 

follow under the Convention. As of 

February 1, 2007, our records show 

there are approximately 9,800 active 

U.S. CITES documents (the period of 

validity for documents ranges from 6 

months to 3 years). In the United States, 

the percentage of CITES documents 

issued for various uses is generally as 

follows: 34 percent hunting trophies; 19 

percent commercial wildlife; 18 percent 

personal use; 8 percent scientific 

research; 6 percent commercial plants; 6 

percent zoological parks; 5 percent 

breeding; 3 percent circuses; and 1 

percent miscellaneous. 

The overwhelming majority of 

countries that trade internationally in 


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wildlife and plants are CITES Parties. 

Because most of these Parties are 

currently implementing the Convention 

and the current CITES resolutions and 

decisions, this rule should cause little or 

no impact for importers or exporters. 

The foreign suppliers are, in most cases, 

already required by their own country’s 

laws to follow the Convention as well as 

the current CITES resolutions and 

decisions. In addition, if a U.S. importer 

were to receive a shipment that did not 

comply with all of the requirements of 

the country of export, the import may 

violate the Lacey Act Amendments of 

1981. Exporters need to comply with the 

requirements of the importing country 

in addition to U.S. requirements. If a 

shipment is not in compliance with all 

applicable laws, it may be seized, 

detained, or refused clearance at its 

destination. These revisions include 

clarifications of the Convention’s 

provisions that have not previously 

been published. Thus, U.S. businesses 

are already complying with most of the 

revisions. Revisions that would impact 

current business practices are addressed 

below. 

We do not expect that this rule will 

have a significant effect on the volume 

or dollar value of wildlife and plants 

imported, exported, or re-exported to 

and from the United States. There is no 

indication that this rule will result in 

changes in levels of trade, permit 

applications, or permit issuance or 

denial that are statistically significant. 

Many of the costs incurred by 

industry would be associated with 

changes to required information 

collections. These are annual, periodic, 

or one-time collections. The costs 

presented represent the estimated yearly 

costs for all types of collections. Refer 

to the ‘‘Paperwork Reduction Act’’

section for more details. The yearly cost 

associated with new information 

collections described in the rule is 

$34,063 ($2,813 in value of burden 

hours + $31,250 in application fees). 

The 10–year quantitative cost is 

$340,630 ($299,281 discounted at 3 

percent or $255,991 discounted at 7 

percent). We do not anticipate that this 

rulemaking will have a significant effect 

on permit application processing time 

for CITES documents issued under 50 

CFR part 23. We do not expect 

administrative costs to increase. 

Costs not associated with information 

collections are more difficult to 

quantify. These costs include (1) the 

need for operations that are breeding 

Appendix-I wildlife for commercial 

purposes to become registered, (2) the 

need for facilities that are breeding 

Appendix-I wildlife for noncommercial 

purposes to participate in a 

cooperativeconservation program, (3) 

conditioned noncommercial use of 

Appendix-I and certain Appendix-II and 

-III specimens after import into the 

United States, and (4) the need to label 

sturgeon caviar and re-export caviar 

within 18 months from the date of the 

issuance of the original export permit. 

To comply with Article II of the 

Treaty, which states that Appendix-I 

specimens ‘‘...must be subject to 

particularly strict regulation in order not 

to endanger further their survival and 

must only be authorized in exceptional 

circumstances,’’ we no longer allow the 

use of Article III of the Treaty for 

commercial export of Appendix-I 

wildlife. This new provision means that 

operations that are breeding AppendixI wildlife for commercial purposes 

under Article VII(4) of the Treaty need 

to become registered. This does not 

affect the sale of specimens within the 

United States, only the commercial 

export of such specimens; it also does 

not preclude the export of specimens 

when the export is not commercial, 

such as for scientific, conservation, or 

personal use. 

Wildlife may be exported with a 

certificate under the bred-in-captivity 

exemption of Article VII(5). However, at 

CoP12, the Parties agreed that for 

facilities to qualify as breeding 

Appendix-I species for noncommercial 

purposes, they must be participating in 

a cooperative conservation program 

with one or more of the range countries 

for that species. Otherwise, if a facility 

is not cooperating with a range country, 

they are considered to be breeding for 

commercial purposes. We adopted this 

new provision to ensure that trade in 

Appendix-I species will not be 

detrimental to the survival of the 

species in the wild. Many Appendix-I 

species also are listed under the ESA, 

and an export permit may be issued 

only when the activity will provide for 

the conservation of the species. Thus, 

we do not expect administrative costs to 

increase for facilities that want to export 

Appendix-I species bred for 

noncommercial purposes. 

Unless an Appendix-I wildlife or 

plant specimen qualifies for an 

exemption under Article VII of the 

Treaty, it may be imported only when 

the intended use is not for primarily 

commercial purposes. In addition, the 

Parties agreed that Appendix-I trophies 

may be ‘‘imported as personal items that 

will not be sold in the country of 

import’’ (Resolution Conf. 10.14 (Rev. 

CoP13) for leopards, Resolution Conf. 

10.15 (Rev. CoP12) for markhor, and 

Resolution Conf. 13.5 for black 

rhinoceros). We incorporated into 50 

CFR part 23 a provision that AppendixI specimens and certain Appendix-II 

and -III specimens may not be imported 

and subsequently used for a commercial 

purpose. This provision is to prevent 

commercial use after import when the 

trade allowed under CITES is only for 

a noncommercial purpose. The 

provision applies to Appendix-II 

specimens that are subject to an 

annotation that allows noncommercial 

trade of sport-hunted trophies, such as 

the African elephant populations of 

Botswana, Namibia, South Africa, and 

Zimbabwe. Under this rule, these types 

of trophies may be imported for 

personal use only and may not be sold 

or otherwise transferred for economic 

use, gain, or benefit after import into the 

United States. From 2001 to 2005, the 

number of African elephant trophies 

imported into the United States 

annually ranged from 265 to 352. During 

the same time period, annual imports of 

leopard trophies ranged from 413 to 

507. 

We implemented changes in 

requirements for trade in sturgeon 

caviar agreed at CoP12 and CoP13. We 

require that all caviar be labeled in 

accordance with Resolution Conf. 12.7 

(Rev. CoP13) and any re-exports of 

caviar take place within 18 months from 

the date of issuance of the original 

export permit. We believe these 

procedures are consistent with current 

industry practices and will not cause 

any additional burden to applicants. 

The publication of this final rule will 

assist U.S. businesses in complying with 

CITES requirements when engaging in 

international wildlife trade. Many of the 

benefits associated with the rule are due 

to clarified regulations. Benefits include 

(1) streamlining procedures for traveling 

exhibitions, (2) establishing application 

procedures for registration of operations 

breeding Appendix-I wildlife species for 

commercial purposes, (3) issuing a bredin-captivity certificate that eliminates 

the need to obtain an import permit, (4) 

using standardized coral nomenclature 

to simplify procedures and therefore 

provide relief to entities that trade in 

coral internationally, (5) informing the 

public about proper CITES documents 

and procedures for international travel 

with personally owned live wildlife 

(e.g., pets), (6) streamlining procedures 

to issue permits for trade that would 

have a negligible impact or no impact 

on the conservation of the permitted 

species and that is repetitive in nature, 

(7) simplifying procedures for shipment 

of sample collections under an ATA 

carnet, and (8) exempting certain 

wildlife hybrids and urine, feces, and 

synthetically derived DNA from CITES 

requirements. These benefits are 

presented qualitatively below. 


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We expect the regulations to provide 

relief by streamlining the CITES 

document procedures for traveling 

exhibitions. At CoP8, the Parties agreed 

to issue CITES documents for live 

animals that qualify as pre-Convention 

or bred in captivity and that travel 

internationally as part of an exhibition. 

The document is to be treated like a 

passport and allows the exhibitor to use 

the same CITES document to cross 

multiple borders, rather than having to 

obtain a new document for each border 

crossing. This CITES document is valid 

for 3 years rather than 6 months like a 

standard export permit. At CoP12, the 

Parties agreed to extend these 

provisions to all traveling exhibitions, 

not just traveling live-animal 

exhibitions. We incorporated provisions 

for traveling exhibitions into these 

regulations and defined the term 

traveling exhibition to include live 

animals and plants and dead items (e.g., 

herbarium specimens and museum 

specimens). We estimate that 50 

permittees would be affected by this 

procedure, although we do not 

categorize permittees as traveling 

exhibitors in our records and, therefore, 

are not able to quantify the precise effect 

of this relief. 

We have also implemented Resolution 

Conf. 12.10 (Rev. CoP13) and 

established application procedures for 

an operation breeding Appendix-I 

wildlife species for commercial 

purposes to become registered for each 

Appendix-I species. Specimens that 

originate from registered facilities may 

be granted export permits or re-export 

certificates without the issuance of an 

import permit. This provides some 

economic relief by allowing specimens 

from registered facilities to be imported 

for commercial purposes, trade which is 

otherwise prohibited by the Treaty for 

Appendix-I specimens. The registration 

fee in 50 CFR part 13 is set at $100. To 

date, the United States has registered 

four operations breeding Appendix-I 

species for commercial purposes. 

During 2005 and 2006, these four 

facilities combined exported a total of 

18 shipments per year. We anticipate 

that 15-20 operations would seek to be 

registered initially. 

We adopted the definition of ‘‘bred for 

noncommercial purposes’’ in Resolution 

Conf. 12.10 (Rev. CoP13) for AppendixI wildlife. Facilities that are breeding for 

noncommercial purposes must 

participate in a cooperative 

conservation program with one or more 

of the range countries for that species. 

Qualifying applicants are issued a bredin-captivity certificate that eliminates 

the need to obtain an import permit. 

The number of facilities exporting 

Appendix-I wildlife is relatively small. 

In 2006, we issued about 200 CITES 

documents to export Appendix-I 

specimens. 

We exempted coral sand and coral 

fragments from CITES requirements, 

because the Parties have recognized the 

difficulty in identifying these coral 

specimens. The Parties also agreed to 

the use of higher-taxon names (broader 

classification) for coral rock and live 

and dead coral under certain conditions. 

We willaccept a CITES document that 

uses a higher-taxon name for coral when 

the CoP has agreed to its use. A current 

list of acceptable higher-taxon names for 

coral is available on the CITES website 

or from us (see § 23.7). We anticipate 

that the use of this standardized 

nomenclature and the exemption of 

coral sand and coral fragments from 

CITES requirements will simplify 

procedures and therefore provide relief 

to entities that trade in coral 

internationally. Because we are 

uncertain how much of the trade would 

be affected by these changes, we are 

unable to quantify their impact. 

Resolution Conf. 10.20 provides for 

the issuance of certificates for 

personally owned live wildlife that 

would be valid for a period of 3 years 

and allow for multiple imports, exports, 

and re-exports of the covered 

specimens. The final rule advises 

travelers that they must have a CITES 

document to travel with their CITESlisted personally owned live wildlife, 

and it provides procedures for the 

issuance of these CITES documents. 

Individuals importing live CITES 

wildlife for personal use are required 

under this rule to obtain a CITES 

document prior to arriving in the United 

States. Since most Parties require CITES 

documents for international trade of all 

live specimens, this requirement will 

ensure that pet owners are not 

inadvertently violating the Lacey Act 

Amendments of 1981 by exporting a 

CITES species without having obtained 

the required CITES permits. Although 

we can issue and accept retrospective 

documents under limited circumstances 

for activities that have already occurred, 

the practice is discouraged. On average, 

we issue about 20 retrospective 

documents for personal shipments, 

including live wildlife, annually. These 

revised regulations will not impose an 

additional paperwork or financial 

burden on pet owners or falconers, but 

may actually save time and money by 

clearly informing travelers of CITES 

requirements. 

This rule will provide relief to permit 

applicants by streamlining procedures 

to issue permits for trade that would 

have a negligible impact or no impact 

on the conservation of the permitted 

species and that is repetitive in nature 

(i.e., the same type of specimens or the 

same actual specimens are exported 

shipment after shipment). Examples 

include biomedical companies shipping 

biological samples derived from cell 

lines they maintain and production 

facilities exporting certain native 

Appendix-II and Appendix-III species. 

In the past, in an effort to facilitate the 

timely movement of such specimens, we 

have issued multiple-use export 

documents that could be photocopied 

for use with multiple shipments. 

However, many countries no longer 

accept photocopied documents. Thus, 

we have implemented streamlined 

procedures adopted at CoP12 and issue 

partially completed documents under 

specific circumstances. We do this by 

establishing a master file for a permittee 

and then issue multiple documents 

based on information in the master file. 

The permittee is authorized to complete 

specifically identified boxes on the 

document and is required to sign the 

document to certify that the information 

entered is true and correct. For U.S. 

documents, an applicant must submit 

the appropriate application form for the 

proposed activity and show that the use 

of this type of document is beneficial to 

both the applicant and to the Service. 

We can issue multiple partially 

completed documents when we find 

that the issuance criteria for the 

proposed activity and the issuance 

criteria for a partially completed 

document are met. In 2005, we issued 

approximately 3,200 partially 

completed documents. In 2006, the 

number increased to around 9,300 

documents. Although the creation of a 

master file has somewhat increased the 

initial burden for applicants, the 

subsequent issuance of documents 

under a master file is streamlined. In 

addition, this process has brought our 

procedures into line with most other 

CITES Parties, which will no longer 

accept multiple-use export documents. 

This final rule will provide relief to 

applicants whotravel internationally 

with collections of display samples, 

such as sets of shoes or reptile skin 

samples. At CoP13, the Parties agreed to 

allow the in-transit shipment of such 

collections under specific conditions. 

We can issue a CITES document that 

will allow these sample collections to 

move from one country to another 

before returning to the originating 

country, rather than requiring the 

issuance of a re-export certificate from 

each country visited. Such a CITES 

document must be accompanied by a 

valid ATA carnet. An ATA carnet is an 


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international customs document that 

allows the temporary introduction of 

goods destined for fairs, shows, 

exhibitions, and other events. We 

estimate that approximately 50 

applicants will benefit from this 

simplified procedure. 

Under this rule, we require CITES 

documents to accompany most wildlife 

hybrids that are imported, exported, or 

re-exported. Certain wildlife hybrids 

will no longer require CITES documents 

if they meet a limited exemption. We 

generally receive fewer than 50 

inquiries concerning exempt hybrids 

annually. 

We have exempted urine, feces, and 

synthetically derived DNA of CITES 

species from CITES requirements under 

certain circumstances. We consider 

samples of urine and feces to be wildlife 

byproducts, rather than parts, products, 

or derivatives, and therefore do not 

require CITES permits for the 

international movement of these 

specimens unless a permit is required 

by the other country involved in the 

trade. This exemption applies only to 

synthetically derived DNA. DNA 

extracted directly from blood and tissue 

samples must comply with all CITES 

permitting requirements. Because we do 

not maintain records on the trade in 

these specimens, we are unable to 

estimate the impact of this exemption. 

b. This rule will not create 

inconsistencies with other agencies’

actions. As the lead agency for 

implementing CITES in the United 

States, we are responsible for 

monitoring imports and exports of 

CITES wildlife and plants, including 

their parts, products, and derivatives, 

and issuing import and export 

documents under CITES. 

c. This rule will not materially affect 

entitlements, grants, user fees, loan 

programs, or the rights and obligations 

of their recipients. 

d. OMB has determined that this rule 

raises novel legal or policy issues. As a 

Party to CITES, the United States is 

committed to fully and effectively 

implementing the Convention. This rule 

clarifies the requirements for the import, 

export, and re-export of CITES 

specimens and informs individuals and 

businesses of the current requirements. 

Regulatory Flexibility Act: Under the 

Regulatory Flexibility Act (as amended 

by the Small Business Regulatory 

Enforcement Fairness Act (SBREFA) of 

1996), whenever a Federal agency is 

required to publish a notice of 

rulemaking for any proposed or final 

rule, it must prepare and make available 

for public comment a regulatory 

flexibility analysis that describes the 

effect of the rule on small entities (i.e., 

small businesses, small organizations, 

and small government jurisdictions) (5 

U.S.C. 601 et seq.). However, no 

regulatory flexibility analysis is required 

if the head of an agency certifies that the 

rule would not have a significant 

economic impact on a substantial 

number of small entities. Thus, for a 

regulatory flexibility analysis to be 

required, impacts must exceed a 

threshold for ‘‘significant impact’’ and a 

threshold for a ‘‘substantial number of 

small entities.’’ See 5 U.S.C. 605(b). 

SBREFA amended the Regulatory 

Flexibility Act to require Federal 

agencies to provide a statement of the 

factual basis for certifying that a rule 

would not have a significant economic 

impact on a substantial number of small 

entities. 

The U.S. Small Business 

Administration (SBA) defines a small 

business as one with annual revenue or 

employment that meets or is below an 

established size standard. To assess the 

effects of the rule on small entities, we 

focus on industries that may have 

businesses that import, export, or reexport CITES specimens. Many of these 

businesses can be placed in the 

following categories: Zoos and Botanical 

Gardens with an SBA size standard of 

$6.0 million in average annual receipts; 

Merchant wholesalers, nondurable 

goods, with an SBA size standard of 100 

employees; Leather and allied product 

manufacturers, with an SBA size 

standard of 500 employees; and 

Clothing and Clothing Accessories 

Stores, with an SBA size standard 

ranging from $6.0 million to $7.5 

million in average annual receipts. The 

U.S. Economic Census does not capture 

the detail necessary to determine the 

number of small businesses that are 

engaged in international commerce in 

CITES species. However, we expect that 

the overwhelming majority of the 

entities involved with this type of 

commerce would be considered small as 

defined by the SBA. The declared value 

for U.S. trade in CITES wildlife (not 

including plants) was $345 million in 

2002, $394 million in 2003, $1.5 billion 

in 2004 (including one export of a single 

panda to China with a declared value of 

$1 billion), and $737 million in 2005. 

These new regulations create no 

substantial fee or paperwork changes in 

the permitting process. Any increase in 

costs due to information collections is 

expected to be minimal. Response time 

for new information collections will 

vary from 6 minutes to 30 minutes per 

response, and new application fees 

range from free to $100. The regulatory 

changes are not major in scope and 

would create only a modest financial or 

paperwork burden on the affected 

members of the general public. 

This rule also benefits these 

businesses by providing updated and 

more clearly written regulations for the 

international trade of CITES specimens. 

We do not expect these benefits to be 

significant under the Regulatory 

Flexibility Act. The authority to enforce 

CITES requirements already exists 

under the ESA and is carried out by 

regulations contained in 50 CFR part 23. 

The requirements that must be met to 

import, export, and re-export CITES 

species are based on the text of the 

Convention, which has been in effect in 

the United States since 1975. 

Therefore, we have determined that 

this rule will not have a significant 

economic effect on a substantial number 

of small entities as defined under the 

Regulatory Flexibility Act (5 U.S.C. 601 

et seq.). A Regulatory Flexibility 

Analysis is not required. Accordingly, a 

Small Entity Compliance Guide is not 

required. 

Small Business Regulatory 

Enforcement Fairness Act: This rule is 

not a major rule under 5 U.S.C. 804(2), 

the Small Business Regulatory 

Enforcement Fairness Act. As discussed 

above, this rule: 

a. Does not have an annual effect on 

the economy of $100 million or more. 

This rule provides the importing and 

exporting community within the United 

States updated and more clearly written 

regulations that implement CITES in the 

United States. This rule will not have a 

negative effect on this part of the 

economy. 

This final rule will affect all 

importers, exporters, and re-exporters 

equally, and the benefits of having 

updated guidance on complying with 

CITES requirements will be evenly 

spread among all businesses, whether 

small or large. There is not a 

disproportionate share of benefits for 

small or large businesses. 

b. Will not cause a major increase in 

costs or prices for consumers; 

individual industries; Federal, State, 

tribal, or local government agencies; or 

geographic regions. This rule clarifies 

and updates the regulations that 

implement CITES and, therefore, will 

provide benefits to all permit applicants 

in terms of time savings. However, this 

rule may result in a small increase in 

the number of applications and 

processing fees for circuses, pet owners 

trading in CITES animal species, 

commercial breeding operations for 

appendix-I species, and entities 

currently exporting under multiple-use 

permits. This rule also proposes to 

establish processing fees for the 

following application types: 


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introduction from the sea ($100) and 

registration of commercial breeding 

operations for Appendix-I species 

($100). We anticipate fewer than 30 

applicants will be affected annually by 

these new fees. 

c. Does not have significant adverse 

effects on competition, employment, 

investment, productivity, innovation, or 

the ability of U.S.-based enterprises to 

compete with foreign-based enterprises. 

This rule will enable U.S. importers and 

exporters of CITES species to better 

understand and comply with the 

regulations covering international trade 

in CITES wildlife and plants. Without 

these revisions to the regulations, the 

U.S. importing and exporting 

community may not be able to compete 

effectively with foreign-based 

companies in the international trade of 

CITES specimens. This rule will assist 

U.S. businesses in ensuring that they are 

meeting all current CITES requirements, 

thereby decreasing the possibility that 

shipments may be delayed or even 

seized in another country that has 

implemented CITES resolutions not yet 

incorporated into U.S. regulations. 

Unfunded Mandates Reform Act: 

Under the Unfunded Mandates Reform 

Act (2 U.S.C. 1501, et seq.): 

a. This final rule will not significantly 

or uniquely affect small governments. A 

Small Government Agency Plan is not 

required. As the lead agency for 

implementing CITES in the United 

States, we are responsible for 

monitoring import and export of CITES 

wildlife and plants, including their 

parts, products, and derivatives, and 

issuing import and export documents 

under CITES. The structure of the 

program imposes no unfunded 

mandates. Therefore, this rule has no 

effect on small governments’

responsibilities. This rule affects States 

only as described below, concerning 

export programs for certain native 

species listed under CITES. 

Some rural communities rely on the 

added income produced by harvesting 

and selling certain CITES species that 

occur in the United States, such as the 

American alligator, American ginseng, 

bobcat, river otter, Canada lynx, brown 

bear, and gray wolf. The majority of 

consumer products made from these 

species are processed and manufactured 

overseas. During 2001-2005, annual 

exports of animal skins under the CITES 

export programs ranged from 

approximately $29 to $61 million. 

Annual exports of American ginseng 

during the same timeframe ranged from 

approximately $41 to $111 million. We 

have not changed the existing 

regulations for export from these 

programs (although, in the future, we 

may eliminate the need for export tags 

on skins of certain native furbearers) 

and, therefore, do not anticipate any 

change in economic effects or current 

activities. 

States have the right and 

responsibility to manage their wildlife 

and plants. Many States have monitored 

the harvest of CITES species since 

before the Convention came into effect. 

We have worked with States and Indian 

Tribes to use the information they 

collect to make CITES findings on a 

State or tribal basis where export 

program approval is requested. This 

allows us to make findings for all 

specimens of a particular species from 

a State or Tribe rather than requiring 

each individual applicant to supply the 

information we need to make legal 

acquisition and non-detriment findings. 

We supply States and Tribes that have 

approved programs for the export of 

skins with CITES export tags at no 

charge. These tags are placed on each 

skin under State- or Tribe-monitored 

conditions or regulations. The presence 

of a tag on a skin indicates that the skin 

was taken under an approved program 

and that the necessary findings have 

been made. By making programmatic 

findings, we reduce the amount of 

paperwork required considerably and, 

thus, allow exporters of these species to 

benefit from streamlined export 

procedures. Export from a State or from 

tribal lands where there is not an 

approved program is also allowed. 

However, where there is no approved 

program, each applicant must complete 

the standard application for export 

(rather than the streamlined application 

for export from approved programs) and 

must provide all information necessary 

to determine that the specimens were 

legally acquired and that their export 

would not be detrimental to the survival 

of the species. 

In this rule, we provide the criteria we 

use in making decisions to approve a 

program. These criteria are consistent 

with those that we currently employ in 

making such findings, and program 

approval will continue to function as it 

does now. This final rule provides the 

public with information on how the 

Service makes findings regarding State 

and tribal programs. 

These updated CITES regulations will 

assist those who rely on income from 

the export of certain native CITES 

species by providing clear, updated 

requirements for international trade, 

thus allowing them to remain 

competitive when conducting business 

in international markets. This final rule 

provides the importing and exporting 

community a better opportunity for 

obtaining economic gain from 

international business in CITES 

specimens. 

b. This rule will not produce a 

Federalrequirement of $100 million or 

greater in any year and is not a 

‘‘significant regulatory action’’ under 

the Unfunded Mandates Reform Act. 

Takings: Under Executive Order 

12630, this rule does not have 

significant takings implications. A 

takings implication assessment is not 

required. This rule is not considered to 

have takings implications because it 

does not further restrict the import, 

export, or re-export of CITES specimens. 

Rather, the rule updates the regulations 

for the import, export, and re-export of 

CITES specimens, which will assist the 

importing and exporting community in 

conducting international trade in CITES 

specimens. 

Federalism: The revisions to part 23 

do not contain provisions that have 

Federalism implications significant 

enough to warrant preparation of a 

Federalism Assessment under Executive 

Order 13132. 

Civil Justice Reform: Under Executive 

Order 12988, the Office of the Solicitor 

has determined that this final rule does 

not unduly burden the judicial system 

and meets the requirements of sections 

3(a) and 3(b)(2) of the Order. 

Specifically, this rule has been reviewed 

to eliminate errors and ensure clarity, 

has been written to minimize potential 

disagreements, provides a clear legal 

standard for affected actions, and 

specifies in clear language the effect on 

existing Federal law or regulation. 

Paperwork Reduction Act: This final 

rule contains information collections for 

which OMB approval is required under 

the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.). We may not 

conduct or sponsor and a person is not 

required to respond to a collection of 

information unless it displays a 

currently valid OMB control number. 

The information collections associated 

with this rule will be used to evaluate 

applications for CITES documents and 

registrations. We will use the 

information to make decisions on the 

issuance, suspension, revocation, or 

denial of CITES documents and 

registrations. 

The majority of the information 

collection associated with this rule has 

been approved under OMB control 

number 1018-0093. Forms approved 

under 1018-0093 include 3-200-19, 3- 

200-20, 3-200-23 through 3-200-37, 3- 

200-39, 3-200-43, 3-200-46 through 3- 

200-48, 3-200-52, and 3-200-53, 3-200- 

58, 3-200-61, 3-200-64 through 3-200-66, 

3-200-69, 3-200-70, 3-200-73, and 3-200- 

76. 


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We developed new application forms 

for single-use permits under a master 

file or an annual program file and 

registration of production facilities for 

export of certain native species. We 

requested approval of the new 

information collections, including forms 

3-200-74 and 3-200-75, from OMB for a 

3–year period. The OMB control 

number for the new information 

collections is 1018-0137. The new 

information collections and the 

estimated reporting burdens are 

indicated in the following table. 

NEW INFORMATION COLLECTIONS ASSOCIATED WITH THE FINAL RULE

Form Number Activity 

Total 

Number of 

Respondents 

Total 

Number of 

Responses 

Estimated 

Completion 

Time 

(Hours) 

Total 

AnnualBurden 

Hours 

$ Value of 

Burden 

Hours 

Application 

Processing 

Fee 

Total 

AnnualNonHour $ Cost 

Burden 

Regulation 

3-200-74 Single-Use Permits 

Under a Master File 

or an Annual Program File 

350 1,000 0.1 100 $2,500 $5 * $30,000 50 CFR 23.51 

3-200-75 Registration of a Production Facility for 

Export of Native 

CITES Species 

25 25 0.5 12.5 $313 $50 * $1,250 50 CFR 23.36, 

23.20, 13.11 

Totals 375 1,025 112.5 $2,813 $31,250 

*These fees have been approved (see 70 FR 18311, April 11, 2005). 

We have made changes to the 

requirements for trade in sturgeon 

caviar (which includes paddlefish 

caviar). The majority of these 

requirements are already implemented 

by other CITES Parties that are either 

exporting caviar to the United States or 

receiving imports of caviar from the 

United States. Therefore, our 

codification of these existing 

requirements will not impose a new 

burden on traders. We require the 

labeling of containers of caviar being 

imported into or exported or re-exported 

from the United States. Resolution Conf. 

12.7 (Rev. CoP13) recommends 

guidelines for a universal labeling 

system to assist Parties in identifying 

legal caviar in trade. Sturgeon caviar 

may be traded internationally only if 

non-reusable labels containing specific 

information are affixed to primary and 

secondary containers. In 2005 and 2006, 

we issued approximately 200 CITES 

documents annually to export and reexport caviar from the United States. 

CITES Resolution Conf. 12.3 (Rev. 

CoP13) also requires each live animal in 

a traveling exhibition (such as a circus) 

that is pre-Convention or bred in 

captivity to be covered by a CITES 

document specific to that specimen. 

Currently, circuses are allowed to have 

one document that covers several 

animals. Under these new regulations, 

when a document covering multiple 

specimens qualifying as pre-Convention 

or bred in captivity specimens expires, 

the permittee will need to obtain one 

document for each specimen. As a 

result, this rule may result in increased 

permit application processing fees ($100 

per application) for a small number of 

importers and exporters. This 

requirement will be phased in as current 

documents expire. We estimate that 

approximately 40 circuses import and 

export CITES wildlife to and from the 

United States on a regular basis. If 

exhibitors do not obtain individual 

documents for each specimen, they may 

encounter difficulties at border 

crossings. During the comment period 

on the 2000 proposal, one circus stated 

that they would not wait for their 

documents to expire, but would obtain 

the new documents as soon as possible 

since the new type of documents should 

expedite border crossings. 

The system for providing multiple 

single-use CITES documents, in lieu of 

a single multiple-use document, will 

result in increased permit fees ($5 per 

document) for those entities that were 

utilizing photocopied multiple-use 

CITES documents. We are eliminating 

multiple-use documents because many 

CITES Parties will no longer accept 

photocopied documents. We estimate 

350 exporters will be impacted by this 

change.. 

We estimate the public burden for all 

the information collections associated 

with this rule, including those already 

approved under OMB control numbers 

1018-0093 and 1018-0130, will vary 

from 6 minutes to 85 hours per 

response, with the vast majority 

requiring 1 hour per response. This 

estimate includes time for reviewing 

instructions, gathering and maintaining 

data, and completing and reviewing the 

forms and reports. 

During the proposed rule stage, we 

solicited comments on the new 

information collections (FWS Forms 3- 

200-74 and 3-200-75). While we did not 

receive any comments specifically for 

the new collection requirements, we did 

receive several comments pertaining to 

other information collection 

requirements in the rule (recordkeeping, 

reporting, fees, etc.), which we 

summarize and discuss in this 

preamble. We did not make any changes 

to our burden estimates as a result of 

these comments. 

At any time, interested members of 

the public and affected agencies may 

comment on the information collection 

requirements contained in this rule. 

Please send such comments to Hope 

Grey, Information Collection Clearance 

Officer, Fish and Wildlife Service, MS 

222-ARLSQ, 4401 North Fairfax Drive, 

Arlington, VA 22203 (mail); (703) 358- 

2269 (fax); or hope_grey@fws.gov (email). 

We particularly invite your comments 

on: (1) whether or not the collection of 

information is necessary for the proper 

performance of the functions of the 

Service, including whether or not the 

information will have practical utility; 

(2) the accuracy of our estimate of the 

burden for this collection; (3) ways to 

enhance the quality, utility, and clarity 

of the information to be collected; and 

(4) ways to minimize the burden of the 

collection of information on applicants.. 

National Environmental Policy Act 

(NEPA): The FWS has determined that 

this final rule is categorically excluded 

from further NEPA review as provided 

by 516 DM 2, Appendix 1.9, of the 

Department of the Interior National 

Environmental Policy Act Revised 

Implementing Procedures (FR Volume 

69, No. 45, March 8, 2004). No further 

documentation will be made. 

Government-to-Government 

Relationship with Tribes: Under the 

President’s memorandum of April 29, 

1994, ‘‘Government-to-Government 

Relations with Native American Tribal 

Governments’’ (59 FR 22951) and 512 


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Federal Register / Vol. 72, No. 163 / Thursday, August 23, 2007 / Rules and Regulations 48445 

DM 2, we have evaluated possible 

effects on Federally recognized Indian 

Tribes and have determined that there 

are no effects. Individual tribal members 

must meet the same regulatory 

requirements as other individuals who 

trade internationally in CITES species. 

Energy Supply, Distribution, or Use: 

On May 18, 2001, the President issued 

Executive Order 13211 on regulations 

that significantly affect energy supply, 

distribution, and use. Executive Order 

13211 requires agencies to prepare 

Statements of Energy Effects when 

undertaking certain actions. This rule 

revises the current regulations in 50 

CFR part 23 that implement CITES. The 

regulations provide procedures to assist 

individuals and businesses that import, 

export, and re-export CITES wildlife 

and plants, and their parts, products, 

and derivatives, to meet international 

requirements. Although this final rule is 

considered a significant regulatory 

action under Executive Order 12866, it 

will not significantly affect energy 

supplies, distribution, and use. 

Therefore, this action is a not a 

significant energy action and no 

Statement of Energy Effects is required. 

List of Subjects 

50 CFR Part 10 

Exports, Fish, Imports, Law 

enforcement, Plants, Transportation, 

Wildlife. 

50 CFR Part 13 

Administrative practice and 

procedure, Exports, Fish, Imports, 

Plants, Reporting and recordkeeping 

requirements, Transportation, Wildlife. 

50 CFR Part 17 

Endangered and threatened species, 

Exports, Imports, Reporting and 

recordkeeping requirements, 

Transportation. 

50 CFR Part 23 

Animals, Endangered and threatened 

species, Exports, Fish, Foreign officials, 

Foreign trade, Forest and forest 

products, Imports, Incorporation by 

reference, Marine mammals, Plants, 

Reporting and recordkeeping 

requirements, Transportation, Treaties, 

Wildlife. 

Regulation Promulgation 

■ For the reasons given in the preamble, 

we amend title 50, chapter I, subchapter 

B of the CFR as follows: 

PART 10 – [AMENDED] 

■ 1. The authority citation for part 10 

continues to read as follows: 

Authority: 18 U.S.C. 42; 16 U.S.C. 703-712; 

16 U.S.C. 668a-d; 19 U.S.C. 1202; 16 U.S.C. 

1531-1543; 16 U.S.C. 1361-1384, 1401-1407; 

16 U.S.C. 742a-742j-l; 16 U.S.C. 3371-3378. 

■ 2. In § 10.12, the definition of United 

States is revised to read as follows: 

§ 10.12 Definitions. 

* * * * * 

United States means the several States 

of the United States of America, District 

of Columbia, Commonwealth of Puerto 

Rico, American Samoa, U.S. Virgin 

Islands, Guam, Commonwealth of the 

Northern Mariana Islands, Baker Island, 

Howland Island, Jarvis Island, Johnston 

Atoll, Kingman Reef, Midway Atoll, 

Navassa Island, Palmyra Atoll, and 

Wake Atoll, and any other territory or 

possession under the jurisdiction of the 

United States. 

* * * * * 

PART 13 – [AMENDED] 

■ 3. The authority citation for part 13 

continues to read as follows: 

Authority: 16 U.S.C. 668a, 704, 712, 742jl, 1374(g), 1382, 1538(d), 1539, 1540(f), 3374; 

4901-4916; 18 U.S.C. 42; 19 U.S.C. 1202; 31 

U.S.C. 9701. 

■ 4. Section 13.1 is revised to read as 

follows: 

§ 13.1 General. 

(a) A person must obtain a valid 

permit before commencing an activity 

for which a permit is required by this 

subchapter, except as provided in §

23.53 of this subchapter for 

retrospective permits for certain CITES 

shipments under very specific 

situations. 

(b) A person must apply for such a 

permit under the general permit 

procedures of this part and any other 

regulations in this subchapter that apply 

to the proposed activity. 

(1) The requirements of all applicable 

parts of this subchapter must be met. 

(2) A person may submit one 

application that includes the 

information required in each part of this 

subchapter, and a single permit will be 

issued if appropriate. 

■ 5. Section 13.11(d) is amended, as set 

forth below, by: 

a. Removing the first two sentences in 

paragraph (d)(1) and adding in their 

place the three new sentences set forth 

below; and 

b. Adding to the table in paragraph 

(d)(4) the following four entries in the 

section ‘‘Endangered Species Act/ 

CITES/Lacey Act’’ immediately before 

the last four entries in that section so 

that all entries that begin with the word 

‘‘CITES’’ are listed together: 

§ 13.11 Application procedures. 

* * * * * 

(d) Fees. (1) Unless otherwise 

exempted under this paragraph (d), you 

must pay the required permit processing 

fee at the time that you apply for 

issuance or amendment of a permit. You 

must pay in U.S. dollars. If you submit 

a check or money order, it must be made 

payable to the ‘‘U.S. Fish and Wildlife 

Service.’’ * * * 

* * * * * 

(4) User fees. * * * 

Type of permit CFR Citation Fee Amendment 

fee 

* * * * * * * 

Endangered Species Act/CITES/Lacey Act 

* * * * * * * 

CITES Introduction from the Sea 50 CFR 23 100 50 

CITES Participation in the Plant Rescue Center Program 50 CFR 23 (1) (1) 

CITES Registration of Commercial Breeding Operations for Appendix-I wildlife 50 CFR 23 100 

CITES Request for Approval of an Export Program for a State or Tribe (American Ginseng, Certain Furbearers, and American Alligator) 50 CFR 23 (1) (1) 

* * * * * * * 


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* * * * * 

■ 6. Section 13.12(a)(1) is revised to 

read as follows: 

§ 13.12 General information requirements 

on applications for permits. 

(a) * * * 

(1) Applicant’s full name and address 

(street address, city, county, state, and 

zip code; and mailing address if 

different from street address); home and 

work telephone numbers; and, if 

available, a fax number and e-mail 

address, and: 

(i) If the applicant resides or is located 

outside the United States, an address in 

the United States, and, if conducting 

commercial activities, the name and 

address of his or her agent that is 

located in the United States; and 

(ii) If the applicant is an individual, 

the date of birth, social security number, 

if available, occupation, and any 

business, agency, organizational, or 

institutional affiliation associated with 

the wildlife or plants to be covered by 

the license or permit; or 

(iii) If the applicant is a business, 

corporation, public agency, or 

institution, the tax identification 

number; description of the type of 

business, corporation, agency, or 

institution; and the name and title of the 

person responsible for the permit (such 

as president, principal officer, or 

director); 

* * * * * 

■ 7. Section 13.22(c) is revised to read 

as follows: 

§ 13.22 Renewal of permits. 

* * * * * 

(c) Continuation of permitted activity. 

Any person holding a valid, renewable 

permit may continue the activities 

authorized by the expired permit until 

the Service acts on the application for 

renewal if all of the following 

conditions are met: 

(1) The permit is currently in force 

and not suspended or revoked; 

(2) The person has complied with this 

section; and 

(3) The permit is not a CITES 

document that was issued under part 23 

of this subchapter (because the CITES 

document is void upon expiration). 

* * * * * 

■ 8. Section 13.46 is amended by adding 

a sentence at the end of the section to 

read as follows: 

§ 13.46 Maintenance of records. 

* * * Permittees who reside or are 

located in the United States and 

permittees conducting commercial 

activities in the United States who 

reside or are located outside the United 

States must maintain records at a 

location in the United States where the 

records are available for inspection. 

PART 17 – [AMENDED] 

■ 9. The authority citation for part 17 

continues to read as follows: 

Authority: 16 U.S.C. 1361-1407; 16 U.S.C. 

1531-1544; 16 U.S.C. 4201-4245; Pub. L. 99- 

625, 100 Stat. 3500; unless otherwise noted. 

§ 17.8 [Redesignated as § 17.9] 

■ 10. Part 17 is amended by 

redesignating § 17.8 as § 17.9. 

■ 11. New § 17.8 is added to read as 

follows: 

§ 17.8 Import exemption for threatened, 

CITES Appendix-II wildlife. 

(a) Except as provided in a special 

rule in §§ 17.40 through 17.48 or in 

paragraph (b) of this section, all 

provisions of §§ 17.31 and 17.32 apply 

to any specimen of a threatened species 

of wildlife that is listed in Appendix II 

of the Convention. 

(b) Import. Except as provided in a 

special rule in §§ 17.40 through 17.48, 

any live or dead specimen of a fish and 

wildlife species listed as threatened 

under this part may be imported 

without a threatened species permit 

under § 17.32 provided all of the 

following conditions are met: 

(1) The specimen was not acquired in 

foreign commerce or imported in the 

course of a commercial activity; 

(2) The species is listed in Appendix 

II of the Convention. 

(3) The specimen is imported and 

subsequently used in accordance with 

the requirements of part 23 of this 

subchapter, except as provided in 

paragraph (b)(4) of this section. 

(4) Personal and household effects 

(see § 23.5) must be accompanied by a 

CITES document. 

(5) At the time of import, the importer 

must provide to the FWS 

documentation that shows the specimen 

was not acquired in foreign commerce 

in the course of a commercial activity. 

(6) All applicable requirements of part 

14 of this subchapter are satisfied. 

■ 12. Section 17.42 is amended as set 

forth below by: 

a. Republishing the heading for 

paragraph (a); 

b. Revising paragraphs (a)(1), 

(a)(2)(ii)(A), and (a)(2)(ii)(B) to read as 

set forth below; 

c. Removing (a)(2)(ii)(C), (a)(2)(iii), 

and (a)(2)(iv); 

d. Adding paragraphs (a)(3) and (a)(4) 

to read as set forth below; 

e. Revising paragraph (c) to read as set 

forth below; and 

f. Removing and reserving paragraph 

(g). 

§ 17.42 Special rules—reptiles. 

(a) American alligator (Alligator 

mississippiensis)—(1) Definitions. For 

purposes of this paragraph (a) the 

following definitions apply: 

(i) American alligator means any 

specimen of the species Alligator 

mississippiensis, whether alive or dead, 

including any skin, part, product, egg, 

or offspring thereof held in captivity or 

from the wild. 

(ii) The definitions of crocodilian 

skins and crocodilian parts in § 23.70(b) 

of this subchapter apply to this 

paragraph (a). 

(2) * * * 

(ii) * * * 

(A) Any skin of an American alligator 

may be sold or otherwise transferred 

only if the State or Tribe of taking 

requires skins to be tagged by State or 

tribal officials or under State or tribal 

supervision with a Service-approved tag 

in accordance with the requirements in 

part 23 of this subchapter; and 

(B) Any American alligator specimen 

may be sold or otherwise transferred 

only in accordance with the laws and 

regulations of the State or Tribe in 

which the taking occurs and the State or 

Tribe in which the sale or transfer 

occurs. 

(3) Import and export. Any person 

may import or export an American 

alligator specimen provided that it is in 

accordance with part 23 of this 

subchapter. 

(4) Recordkeeping. 

(i) Any person not holding an import/ 

export license issued by the Service 

under part 14 of this subchapter and 

who imports, exports, or obtains permits 

under part 23 of this subchapter for the 

import or export of American alligator 

shall keep such records as are otherwise 

required to be maintained by all import/ 

export licensees under part 14 of this 

subchapter. Such records shall be 

maintained as in the normal course of 

business, reproducible in the English 

language, and retained for 5 years from 

the date of each transaction. 

(ii) Subject to applicable limitations of 

law, duly authorized officers at all 

reasonable times shall, upon notice, be 

afforded access to examine such records 

required to be kept under paragraph 

(a)(4)(i) of this section, and an 

opportunity to copy such records. 

* * * * * 

(c) Threatened crocodilians—(1) What 

are the definitions of terms used in this 

paragraph (c)? 

(i) Threatened crocodilian means any 

live or dead specimen of the following 

species: yacare caiman (Caiman yacare), 

common caiman (Caiman crocodilus 

crocodilus), brown caiman (Caiman 


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crocodilus fuscus, including Caiman 

crocodilus chiapasius), saltwater 

crocodile (Crocodylus porosus) 

originating in Australia (also referred to 

as Australian saltwater crocodile), and 

Nile crocodile (Crocodylus niloticus). 

(ii) The definitions of crocodilian 

skins and crocodilian parts in § 23.70(b) 

and re-export in § 23.5 of this 

subchapter apply to this paragraph (c). 

(2) What activities involving 

threatened crocodilians are prohibited 

by this rule? 

(i) All provisions of §§ 17.31 and 

17.32 apply to live specimens, including 

viable eggs, of all threatened 

crocodilians and to any specimen of the 

Appendix-I Nile crocodile. 

(ii) Except as provided in paragraph 

(c)(2)(i) of this section, the following 

prohibitions apply to threatened 

crocodilians. 

(A) Import, export, and re-export. 

Except as provided in paragraph (c)(3) 

of this section, it is unlawful to import, 

export, or re-export, or attempt to 

import, export, or re-export without 

valid permits as required under parts 17 

and 23 of this subchapter any 

threatened crocodilians, including their 

skins, parts, and products. 

(B) Commercial activity. Except as 

provided in paragraph (c)(3) of this 

section, it is unlawful, in the course of 

a commercial activity, to sell or offer for 

sale, deliver, receive, carry, transport, or 

ship in interstate or foreign commerce 

any threatened crocodilians, including 

their skins, parts, and products. 

(C) It is unlawful for any person 

subject to the jurisdiction of the United 

States to commit, attempt to commit, 

solicit to commit, or cause to be 

committed any acts described in 

paragraphs (c)(2)(i) and (c)(2)(ii)(A) and 

(B) of this section. 

(3) What activities involving 

threatened crocodilians are allowed by 

this rule? Except as provided in (c)(2)(i), 

you may import, export, or re-export, or 

sell or offer for sale, deliver, receive, 

carry, transport, or ship in interstate or 

foreign commerce and in the course of 

a commercial activity, threatened 

crocodilian skins, parts, and products 

without a threatened species permit 

otherwise required under §17.32 

provided the requirements of parts 13, 

14, and 23 of this subchapter and the 

requirements of paragraphs (c)(3) and 

(4) of this section have been met. 

(i) Skins and parts. Except as 

provided in (c)(3)(ii) of this section, the 

import, export, or re-export of 

threatened crocodilian skins and 

crocodilian parts is allowed provided 

the following conditions are met: 

(A) Each crocodilian skin and 

crocodilian part imported, exported, or 

re-exported must be tagged or labeled in 

accordance with § 23.70 of this 

subchapter. 

(B) Any countries re-exporting 

crocodilian skins or parts must have 

implemented an administrative system 

for the effective matching of imports 

and re-exports. 

(C) If a shipment contains more than 

25 percent replacement tags, the U.S. 

Management Authority will consult 

with the Management Authority of the 

re-exporting country before clearing the 

shipment. Such shipments may be 

seized if we determine that the 

requirements of the Convention have 

not been met. 

(D) The country of origin and any 

intermediary country(s) must be 

effectively implementing the 

Convention. If we receive persuasive 

information from the CITES Secretariat 

or other reliable sources that a specific 

country is not effectively implementing 

the Convention, we will prohibit or 

restrict imports from such country(s) as 

appropriate for the conservation of the 

species. 

(ii) Meat, skulls, scientific specimens, 

products, and noncommercial personal 

or household effects. The tagging 

requirements in paragraph (c)(3)(i) of 

this section for skins and parts do not 

apply to the import, export, or re-export 

of threatened crocodilian meat, skulls, 

scientific specimens, or products or to 

the noncommercial import, export, or 

re-export of personal effects in 

accompanying baggage or household 

effects. 

(4) When and how will the Service 

inform the public of additional 

restrictions in trade of threatened 

crocodilians? Except in rare cases 

involving extenuating circumstances 

that do not adversely affect the 

conservation of the species, the Service 

will issue an information bulletin 

(posted on our websites, http:// 

www.fws.gov/le and http:// 

www.fws.gov/international) announcing 

additional restrictions on trade of 

specimens of threatened crocodilians if 

any ofthe following criteria are met: 

(i) The country is listed in a 

Notification to the Parties by the CITES 

Secretariat as not having designated 

Management and Scientific Authorities. 

(ii) The country is identified in any 

action adopted by the Conference of the 

Parties to the Convention, the Standing 

Committee, or in a Notification issued 

by the CITES Secretariat, whereby 

Parties are asked not to accept 

shipments of specimens of any CITES 

species from the country in question or 

of any crocodilian species listed in the 

CITES Appendices. 

(iii) We determine, based on 

information from the CITES Secretariat 

or other reliable sources, that the 

country is not effectively implementing 

the provisions of the Convention. 

(5) Reporting requirements for yacare 

caiman range countries. 

(i) Biennial reports. Range countries 

(Argentina, Bolivia, Brazil, and 

Paraguay) wishing to export specimens 

of yacare caiman to the United States for 

commercial purposes must provide a 

biennial report containing the most 

recent information available on the 

status of the species. The first 

submission of a status report will be 

required as of December 31, 2001, and 

every 2 years thereafter on the 

anniversary of that date. For each range 

country, all of the following information 

must be included in the report. 

(A) Recent distribution and 

population data, and a description of 

the methodology used to obtain such 

estimates. 

(B) Description of research projects 

currently being conducted related to the 

biology of the species in the wild, 

particularly reproductive biology (for 

example, age or size when animals 

become sexually mature, number of 

clutches per season, number of eggs per 

clutch, survival of eggs, survival of 

hatchlings). 

(C) Description of laws and programs 

regulating harvest, including 

approximate acreage of land set aside as 

natural reserves or national parks that 

provide protected habitat for yacare 

caiman. 

(D) Description of current sustainable 

harvest programs, including ranching 

(captive rearing of specimens collected 

from the wild as eggs or juveniles) and 

farming (captive-breeding) programs. 

(E) Current harvest quotas for wild 

populations. 

(F) Export data for the last 2 years. 

Information should be organized 

according to the source of specimens 

such as wild-caught, captive-reared, or 

captive-bred. 

(ii) Review and restrictions. The U.S. 

Scientific Authority will conduct a 

review every 2 years, using information 

in the biennial reports and other 

available information, to determine 

whether range country management 

programs are effectively achieving 

conservation benefits for the yacare 

caiman. Based on the best available 

information, we may restrict trade from 

a range country if we determine that the 

conservation or management status of 

threatened yacare caiman populations 

has changed, such that continued 

recovery of the population in that 

country may be compromised. Trade 

restrictions, as addressed in paragraph 


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(c)(4) of this section, may be 

implemented based on one or more of 

the following factors: 

(A) Failure to submit the reports 

described above, or failure to respond to 

requests for additional information. 

(B) A change in range country laws or 

regulations that lessens protection for 

yacare caiman. 

(C) A change in range country 

management programs that lessens 

protection for the species. 

(D) A documented decline in wild 

population numbers. 

(E) A documented increase in 

poaching. 

(F) A documented decline in habitat 

quality or quantity. 

(G) Other natural or manmade factors 

affecting the species’ recovery. 

* * * * * 

■ 13. Part 23 is revised to read as 

follows: 

PART 23—CONVENTION ON 

INTERNATIONAL TRADE IN 

ENDANGERED SPECIES OF WILD 

FAUNA AND FLORA (CITES) 

Subpart A—Introduction 

Sec. 

23.1 What are the purposes of these 

regulations and CITES? 

23.2 How do I decide if these regulations 

apply to my shipment or me? 

23.3 What other wildlife and plant 

regulations may apply? 

23.4 What are Appendices I, II, and III? 

23.5 How are the terms used in these 

regulations defined? 

23.6 What are the roles of the Management 

and Scientific Authorities? 

23.7 What office do I contact for CITES 

information? 

23.8 What are the information collection 

requirements? 

Subpart B—Prohibitions, Exemptions, and 

Requirements 

23.13 What is prohibited? 

23.14 [Reserved] 

23.15 How may I travel internationally with 

my personal or household effects, 

including tourist souvenirs? 

23.16 What are the U.S. CITES 

requirements for urine, feces, and 

synthetically derived DNA? 

23.17 What are the requirements for CITES 

specimens traded internationally by 

diplomatic, consular, military, and other 

persons exempt from customs duties or 

inspections? 

23.18 What CITES documents are required 

to export Appendix-I wildlife? 

23.19 What CITES documents are required 

to export Appendix-I plants? 

23.20 What CITES documents are required 

for international trade? 

23.21 What happens if a country enters a 

reservation for a species? 

23.22 What are the requirements for intransit shipments? 

23.23 What information is required on U.S. 

and foreign CITES documents? 

23.24 What code is used to show the source 

of the specimen? 

23.25 What additional information is 

required on a non-Party CITES 

document? 

23.26 When is a U.S. or foreign CITES 

document valid? 

23.27 What CITES documents do I present 

at the port? 

Subpart C—Application Procedures, 

Criteria, and Conditions 

23.32 How do I apply for a U.S. CITES 

document? 

23.33 How is the decision made to issue or 

deny a request for a U.S. CITES 

document? 

23.34 What kinds of records may I use to 

show the origin of a specimen when I 

apply for a U.S. CITES document? 

23.35 What are the requirements for an 

import permit? 

23.36 What are the requirements for an 

export permit? 

23.37 What are the requirements for a reexport certificate? 

23.38 What are the requirements for a 

certificate of origin? 

23.39 What are the requirements for an 

introduction-from-the-sea certificate? 

23.40 What are the requirements for a 

certificate for artificially propagated 

plants? 

23.41 What are the requirements for a bredin-captivity certificate? 

23.42 What are the requirements for a plant 

hybrid? 

23.43 What are the requirements for a 

wildlife hybrid? 

23.44 What are the requirements to travel 

internationally with my personally 

owned live wildlife? 

23.45 What are the requirements for a preConvention specimen? 

23.46 What are the requirements for 

registering a commercial breeding 

operation for Appendix-I wildlife and 

commercially exporting specimens? 

23.47 What are the requirements for export 

of an Appendix-I plant artificially 

propagated for commercial purposes? 

23.48 What are the requirements for a 

registered scientific institution? 

23.49 What are the requirements for an 

exhibition traveling internationally? 

23.50 What are the requirements for a 

sample collection covered by an ATA 

carnet? 

23.51 What are the requirements for issuing 

a partially completed CITES document? 

23.52 What are the requirements for 

replacing a lost, damaged, stolen, or 

accidentally destroyed CITES document? 

23.53 What are the requirements for 

obtaining a retrospective CITES 

document? 

23.54 How long is a U.S. or foreign CITES 

document valid? 

23.55 How may I use a CITES specimen 

after import into the United States? 

23.56 What U.S. CITES document 

conditions do I need to follow? 

Subpart D—Factors Considered in Making 

Certain Findings 

23.60 What factors are considered in 

making a legal acquisition finding? 

23.61 What factors are considered in 

making a non-detriment finding? 

23.62 What factors are considered in 

making a finding of not for primarily 

commercial purposes? 

23.63 What factors are considered in 

making a finding that an animal is bred 

in captivity? 

23.64 What factors are considered in 

making a finding that a plant is 

artificially propagated? 

23.65 What factors are considered in 

making a finding that an applicant is 

suitably equipped to house and care for 

a live specimen? 

Subpart E—International Trade in Certain 

Specimens 

23.68 How can I trade internationally in 

roots of American ginseng? 

23.69 How can I trade internationally in fur 

skins and fur skin products of bobcat, 

river otter, Canada lynx, gray wolf, and 

brown bear? 

23.70 How can I trade internationally in 

American alligator and other crocodilian 

skins, parts, and products? 

23.71 How can I trade internationally in 

sturgeon caviar? 

23.72 How can I trade internationally in 

plants? 

23.73 How can I trade internationally in 

timber? 

23.74 How can I trade internationally in 

personal sport-hunted trophies? 

Subpart F—Disposal of Confiscated Wildlife 

and Plants 

23.78 What happens to confiscated wildlife 

and plants? 

23.79 How may I participate in the Plant 

Rescue Center Program? 

Subpart G—CITES Administration 

23.84 What are the roles of the Secretariat 

and the committees? 

23.85 What is a meeting of the Conference 

of the Parties (CoP)? 

23.86 How can I obtain information on a 

CoP? 

23.87 How does the United States develop 

documents and negotiating positions for 

a CoP? 

23.88 What are the resolutions and 

decisions of the CoP? 

Subpart H—Lists of Species 

23.89 What are the criteria for listing 

species in Appendix I or II? 

23.90 What are the criteria for listing 

species in Appendix III? 

23.91 How do I find out if a species is 

listed? 

23.92 Are any wildlife or plants, and their 

parts, products, or derivatives, exempt? 

Authority: Convention on International 

Trade in Endangered Species of Wild Fauna 

and Flora (March 3, 1973), 27 U.S.T. 1087; 

and Endangered Species Act of 1973, as 

amended, 16 U.S.C. 1531 et seq. 

Subpart A—Introduction 

§ 23.1 What are the purposes of these 

regulations and CITES? 

(a) Treaty. The regulations in this part 

implement the Convention on 


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International Trade in Endangered 

Species of Wild Fauna and Flora, also 

known as CITES, the Convention, the 

Treaty, or the Washington Convention, 

TIAS (Treaties and Other International 

Acts Series) 8249. 

(b) Purpose. The aim of CITES is to 

regulate international trade in wildlife 

and plants, including parts, products, 

and derivatives, to ensure it is legal and 

does not threaten the survival of species 

in the wild. Parties, recognize that: 

(1) Wildlife and plants are an 

irreplaceable part of the natural systems 

of the earth and must be protected for 

this and future generations. 

(2) The value of wildlife and plants is 

ever-growing from the viewpoints of 

aesthetics, science, culture, recreation, 

and economics. 

(3) Although countries should be the 

best protectors of their own wildlife and 

plants, international cooperation is 

essential to protect wildlife and plant 

species from over-exploitation through 

international trade. 

(4) It is urgent that countries take 

appropriate measures to prevent illegal 

trade and ensure that any use of wildlife 

and plants is sustainable. 

(c) National legislation. We, the U.S. 

Fish and Wildlife Service (FWS), 

implement CITES through the 

Endangered Species Act (ESA). 

§ 23.2 How do I decide if these regulations 

apply to my shipment or me? 

Answer the following questions to 

decide if the regulations in this part 

apply to your proposed activity: 

Question on proposed activity Answer and action 

(a) Is the wildlife or plant species (including parts, products, derivatives, whether wild-collected, or born or propagated in a controlled 

environment) listed in Appendix I, II, or III of CITES (see § 23.91)? 

(1) YES. Continue to paragraph (b) of this section. 

(2) NO. The regulations in this part do not apply. 

(b) Is the wildlife or plant specimen exempted from CITES (see § 

23.92)? 

(1) YES. The regulations in this part do not apply. 

(2) NO. Continue to paragraph (c) of this section. 

(c) Do you want to import, export, re-export, engage in international 

trade, or introduce from the sea? 

(1) YES. The regulations in this part apply. 

(2) NO. Continue to paragraph (d) of this section. 

(d) Was the specimen that you possess or want to enter into intrastate 

or interstate commerce unlawfully acquired, illegally traded, or otherwise subject to conditions set out on a CITES document that authorized import? 

(1) YES. The regulations in this part apply. See § 23.13(c) and (d) 

and sections 9(c)(1) and 11(a) and (b) of the ESA (16 U.S.C. 

1538(c)(1) and 1540(a) and (b)). 

(2) NO. The regulations in this part do not apply. 

§ 23.3 What other wildlife and plant 

regulations may apply? 

(a) You may need to comply with 

other regulations in this subchapter that 

require a permit or have additional 

restrictions. Many CITES species are 

also covered by one or more parts of this 

subchapter or title and have additional 

requirements: 

(1) Part 15 (exotic birds). 

(2) Part 16 (injurious wildlife). 

(3) Parts 17 of this subchapter and 

222, 223, and 224 of this title 

(endangered and threatened species). 

(4) Parts 18 of this subchapter and 216 

of this title (marine mammals). 

(5) Part 20 (migratory bird hunting). 

(6) Part 21 (migratory birds). 

(7) Part 22 (bald and golden eagles). 

(b) If you are applying for a permit, 

you must comply with the general 

permit procedures in part 13 of this 

subchapter. Definitions and a list of 

birds protected under the Migratory 

Bird Treaty Act can be found in part 10 

of this subchapter. 

(c) If you are importing (including 

introduction from the sea), exporting, or 

re-exporting wildlife or plants, you must 

comply with the regulations in part 14 

of this subchapter for wildlife or part 24 

of this subchapter for plants. Activities 

with plants are also regulated by the 

U.S. Department of Agriculture, Animal 

and Plant Health Inspection Service 

(APHIS) and Department of Homeland 

Security, U.S. Customs and Border 

Protection (CBP), in 7 CFR parts 319, 

355, and 356. 

(d) You may also need to comply with 

other Federal, State, tribal, or local 

requirements. 

§ 23.4 What are Appendices I, II, and III? 

Species are listed by the Parties in one 

of three Appendices to the Treaty (see 

subpart H of this part), each of which 

provides a different level of protection 

and is subject to different requirements. 

Parties regulate trade in specimens of 

Appendix-I, -II, and -III species and 

their parts, products, and derivatives 

through a system of permits and 

certificates (CITES documents). Such 

documents enable Parties to monitor the 

effects of the volume and type of trade 

to ensure trade is legal and not 

detrimental to the survival of the 

species. 

(a) Appendix I includes species 

threatened with extinction that are or 

may be affected by trade. Trade in 

Appendix-I specimens may take place 

only in exceptional circumstances. 

(b) Appendix II includes species that 

are not presently threatened with 

extinction, but may become so if their 

trade is not regulated. It also includes 

species that need to be regulated so that 

trade in certain other Appendix-I or -II 

species may be effectively controlled; 

these species are most commonly listed 

due to their similarity of appearance to 

other related CITES species. 

(c) Appendix III includes species 

listed unilaterally by a range country to 

obtain international cooperation in 

controlling trade. 

§ 23.5 How are the terms used in these 

regulations defined? 

In addition to the definitions 

contained in part 10 of this subchapter, 

and unless the context otherwise 

requires, in this part: 

Affected by trade means that either a 

species is known to be in trade and the 

trade has or may have a detrimental 

impact on the status of the species, or 

a species is suspected to be in trade or 

there is demonstrable potential 

international demand for the species 

that may be detrimental to the survival 

of the species in the wild. 

Annotation means an official footnote 

to the listing of a species in the CITES 

Appendices. A reference annotation 

provides information that further 

explains the listing (such as ‘‘p.e.’’ for 

possibly extinct). A substantive 

annotation is an integral part of a 

species listing. It designates whether the 

listing includes or excludes a 

geographically separate population, 

subspecies, species, group of species, or 

higher taxon, and the types of 

specimens included in or excluded from 

the listing, such as certain parts, 

products, or derivatives. A substantive 

annotation may designate export quotas 

adopted by the CoP. For species 


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transferred from Appendix I to II subject 

to an annotation relating to specified 

types of specimens, other types of 

specimens that are not specifically 

included in the annotation are treated as 

if they are Appendix-I specimens. 

Appropriate and acceptable 

destination, when used in an AppendixII listing annotation for the export of, or 

international trade in, live animals, 

means that the Management Authority 

of the importing country has certified, 

based on advice from the Scientific 

Authority of that country, that the 

proposed recipient is suitably equipped 

to house and care for the animal (see 

criteria in § 23.65). Such certification 

must be provided before a CITES 

document is issued by the Management 

Authority of the exporting or reexporting country. 

Artificially propagated means a 

cultivated plant that meets the criteria 

in § 23.64. 

ATA carnet means a type of 

international customs document (see §

23.50). ATA is a combination of the 

French and English words ‘‘Admission 

Temporaire/Temporary Admission.’’

Bred for commercial purposes means 

any specimen of an Appendix-I wildlife 

species bred in captivity for commercial 

purposes. Any Appendix-I specimen 

that does not meet the definition of 

‘‘bred for noncommercial purposes’’ is 

considered to be bred for commercial 

purposes. 

Bred for noncommercial purposes 

means any specimen of an Appendix-I 

wildlife species bred in captivity for 

noncommercial purposes, where each 

donation, exchange, or loan of the 

specimen is noncommercial and is 

conducted between facilities that are 

involved in a cooperative conservation 

program. 

Bred in captivity means wildlife that 

is captive-bred and meets the criteria in 

§ 23.63. 

Captive-bred means wildlife that is 

the offspring (first (F1) or subsequent 

generations) of parents that either mated 

or otherwise transferred egg and sperm 

under controlled conditions if 

reproduction is sexual, or of a parent 

that was maintained under controlled 

conditions when development of the 

offspring began if reproduction is 

asexual, but does not meet the bred-incaptivity criteria (see § 23.63). 

Certificate means a CITES document 

or CITES exemption document that 

identifies on its face the type of 

certificate it is, including re-export 

certificate, introduction-from-the-sea 

certificate, and certificate of origin. 

CITES document or CITES exemption 

document means any certificate, permit, 

or other document issued by a 

Management Authority of a Party or a 

competent authority of a non-Party 

whose name and address is on file with 

the Secretariat to authorize the 

international movement of CITES 

specimens. 

Commercial means related to an 

activity, including actual or intended 

import, export, re-export, sale, offer for 

sale, purchase, transfer, donation, 

exchange, or provision of a service, that 

is reasonably likely to result in 

economic use, gain, or benefit, 

including, but not limited to, profit 

(whether in cash or in kind). 

Cooperative conservation program 

means a program in which participating 

captive- breeding facilities produce 

Appendix-I specimens bred for 

noncommercial purposes and 

participate in or support a recovery 

activity for that species in cooperation 

with one or more of the species’ range 

countries. 

Coral (dead) means pieces of coral in 

which the skeletons of the individual 

polyps are still intact, but which contain 

no living coral tissue. 

Coral fragments, including coral 

gravel and coral rubble, means loose 

pieces of broken finger-like coral 

between 2 and 30 mm in diameter that 

contain no living coral tissue (see §

23.92 for exemptions). 

Coral (live) means pieces of coral that 

are alive. 

Coral rock means hard consolidated 

material greater than 30 mm in diameter 

that consists of pieces of coral and 

possibly also cemented sand, coralline 

algae, or other sedimentary rocks that 

contain no living coral tissue. Coral rock 

includes live rock and substrate, which 

are terms for pieces of coral rock to 

which are attached live specimens of 

other invertebrate species or coralline 

algae that are not listed in the CITES 

Appendices. 

Coral sand means material that 

consists entirely, or in part, of finely 

crushed coral no larger than 2 mm in 

diameter and that contains no living 

coral tissue (see § 23.92 for exemptions). 

Country of origin means the country 

where the wildlife or plant was taken 

from the wild or was born or propagated 

in a controlled environment, except in 

the case of a plant specimen that 

qualified for an exemption under the 

provisions of CITES, the country of 

origin is the country in which the 

specimen ceased to qualify for the 

exemption. 

Cultivar means a horticulturally 

derived plant variety that has been 

selected for specific morphological, 

physiological, or other characteristics, 

such as color, a large flower, or disease 

resistance. 

Cultivated means a plant grown or 

tended by humans for human use. A 

cultivated plant can be treated as 

artificially propagated under CITES only 

if it meets the criteria in § 23.64. 

Export means to send, ship, or carry 

a specimen out of a country (for export 

from the United States, see part 14 of 

this subchapter). 

Flasked means plant material 

obtained in vitro, in solid or liquid 

media, transported in sterile containers. 

Household effect means a dead 

wildlife or plant specimen that is part 

of a household move and meets the 

criteria in § 23.15. 

Hybrid means any wildlife or plant 

that results from a cross of genetic 

material between two separate taxa 

when one or both are listed in Appendix 

I, II, or III. See § 23.42 for plant hybrids 

and § 23.43 for wildlife hybrids. 

Import means to bring, ship, or carry 

a specimen into a country (for import 

into the United States, see part 14 of this 

subchapter). 

International trade means the import, 

introduction from the sea, export, or reexport across jurisdictional or 

international boundaries for any 

purpose whether commercial or 

noncommercial. 

In-transit shipment means the 

transshipment of any wildlife or plant 

through an intermediary country when 

the specimen remains under customs 

control and either the shipment meets 

the requirements of § 23.22 or the 

sample collection covered by an ATA 

carnet meets the requirements of §

23.50. 

Introduction from the sea means 

transportation into a country of 

specimens of any species that were 

taken in the marine environment not 

under the jurisdiction of any country. 

ISO country code means the two-letter 

country code developed by the 

International Organization for 

Standardization (ISO) to represent the 

name of a country and its subdivisions. 

Live rock see the definition for coral 

rock. 

Management Authority means a 

governmental agency officially 

designated by, and under the 

supervision of, either a Party to 

implement CITES, or a non-Party to 

serve in the role of a Management 

Authority, including the issuance of 

CITES documents on behalf of that 

country. 

Noncommercial means related to an 

activity that is not commercial. 

Noncommercial includes, but is not 

limited to, personal use. 

Non-Party means a country that has 

not deposited an instrument of 

ratification, acceptance, approval, or 


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accession to CITES with the Depositary 

Government (Switzerland), or a country 

that was a Party but subsequently 

notified the Depositary Government of 

its denunciation of CITES and the 

denunciation is in effect. 

Offspring of first generation (F1) 

means a wildlife specimen produced in 

a controlled environment from parents 

at least one of which was conceived in 

or taken from the wild. 

Offspring of second generation (F2) or 

subsequent generations means a wildlife 

specimen produced in a controlled 

environment from parents that were also 

produced in a controlled environment. 

Parental stock means the original 

breeding or propagating specimens that 

produced the subsequent generations of 

captive or cultivated specimens. 

Party means a country that has given 

its consent to be bound by the 

provisions of CITES by depositing an 

instrument of ratification, acceptance, 

approval, or accession with the 

Depositary Government (Switzerland), 

and for which such consent is in effect. 

Permit means a CITES document that 

identifies on its face import permit or 

export permit. 

Personal effect means a dead wildlife 

or plant specimen, including a tourist 

souvenir, that is worn as clothing or 

accessories or is contained in 

accompanying baggage and meets the 

criteria in § 23.15. 

Personal use means use that is not 

commercial and is for an individual’s 

own consumption or enjoyment. 

Precautionary measures means the 

actions taken that will be in the best 

interest of the conservation of the 

species when there is uncertainty about 

the status of a species or the impact of 

trade on the conservation of a species. 

Pre-Convention means a specimen 

that was acquired (removed from the 

wild or born or propagated in a 

controlled environment) before the date 

the provisions of the Convention first 

applied to the species and that meets 

the criteria in § 23.45, and any product 

(including a manufactured item) or 

derivative made from such specimen. 

Primarily commercial purposes means 

an activity whose noncommercial 

aspects do not clearly predominate (see 

§ 23.62). 

Propagule means a structure, such as 

a cutting, seed, or spore, which is 

capable of propagating a plant. 

Readily recognizable means any 

specimen that appears from a visual, 

physical, scientific, or forensic 

examination or test; an accompanying 

document, packaging, mark, or label; or 

any other circumstances to be a part, 

product, or derivative of any CITES 

wildlife or plant, unless such part, 

product, or derivative is specifically 

exempt from the provisions of CITES or 

this part. 

Re-export means to send, ship, or 

carry out of a country any specimen 

previously imported into that country, 

whether or not the specimen has been 

altered since import. 

Reservation means the action taken by 

a Party to inform the Secretariat that it 

is not bound by the effect of a specific 

listing (see § 23.21). 

Scientific Authority means a 

governmental or independent scientific 

institution or entity officially designated 

by either a Party to implement CITES, 

or a non-Party to serve the role of a 

Scientific Authority, including making 

scientific findings. 

Secretariat means the entity 

designated by the Treaty to perform 

certain administrative functions (see §

23.84). 

Shipment means any CITES specimen 

in international trade whether for 

commercial or noncommercial use, 

including any personal item. 

Species means any species, 

subspecies, hybrid, variety, cultivar, 

color or morphological variant, or 

geographically separate population of 

that species. 

Specimen means any wildlife or 

plant, whether live or dead. This term 

includes any readily recognizable part, 

product, or derivative unless otherwise 

annotated in the Appendices. 

Sustainable use means the use of a 

species in a manner and at a level that 

maintains wild populations at 

biologically viable levels for the long 

term. Such use involves a determination 

of the productive capacity of the species 

and its ecosystem to ensure that 

utilization does not exceed those 

capacities or the ability of the 

population to reproduce, maintain itself, 

and perform its role or function in its 

ecosystem. 

Trade means the same as 

international trade. 

Transit see the definition for in-transit 

shipment. 

Traveling exhibition means a display 

of live or dead wildlife or plants for 

entertainment, educational, cultural, or 

other display purposes that is 

temporarily moving internationally. 

§ 23.6 What are the roles of the 

Management and Scientific Authorities? 

Under Article IX of the Treaty, each 

Party must designate a Management and 

Scientific Authority to implement 

CITES for that country. If a non-Party 

wants to trade with a Party, it must also 

designate such Authorities. The names 

and addresses of these offices must be 

sent to the Secretariat to be included in 

the Directory. In the United States, 

different offices within the FWS have 

been designated the Scientific Authority 

and Management Authority, which for 

purposes of this section includes FWS 

Law Enforcement. When offices share 

activities, the Management Authority is 

responsible for dealing primarily with 

management and regulatory issues and 

the Scientific Authority is responsible 

for dealing primarily with scientific 

issues. The offices do the following: 

Roles 

U.S. 

Scientific 

Authority 

U.S. 

Management 

Authority 

(a) Provide scientific advice and recommendations, including advice on biological findings for applications for certain 

CITES documents, registrations, and export program approvals. Evaluate the conservation status of species to determine if a species listing or change in a listing is warranted. Interpret listings and review nomenclatural issues. 

x 

(b) Review applications for CITES documents and issue or deny them based on findings required by CITES. x 

(c) Communicate with the Secretariat and other countries on scientific, administrative, and enforcement issues. x x 

(d) Ensure that export of Appendix-II specimens is at a level that maintains a species throughout its range at a level consistent with its role in the ecosystems in which it occurs and well above the level at which it might become eligible for 

inclusion in Appendix I. 

x 

(e) Monitor trade in all CITES species and produce annual reports on CITES trade. x 


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Roles 

U.S. 

Scientific 

Authority 

U.S. 

Management 

Authority 

(f) Collect the cancelled foreign export permit or re-export certificate and any corresponding import permit presented for 

import of any CITES specimen. Collect a copy of the validated U.S. export permit or re-export certificate presented for 

export or re-export of any CITES specimen. 

x 

(g) Produce biennial reports on legislative, regulatory, and administrative measures taken by the United States to enforce 

the provisions of CITES. 

x 

(h) Coordinate with State and tribal governments and other Federal agencies on CITES issues, such as the status of native species, development of policies, negotiating positions, and law enforcement activities. x x 

(i) Communicate with the scientific community, the public, and media about CITES issues. Conduct public meetings and 

publish notices to gather input from the public on the administration of CITES and the conservation and trade status of 

domestic and foreign species traded internationally. 

x x 

(j) Represent the United States at the meetings of the CoP, on committees (see subpart G of this part), and on CITES 

working groups. Consult with other countries on CITES issues and the conservation status of species. Prepare discussion papers and proposals for new or amended resolutions and species listings for consideration at the CoP. 

x x 

(k) Provide assistance to APHIS and CBP for the enforcement of CITES. Cooperate with enforcement officials to facilitate the exchange of information between enforcement bodies and for training purposes. x x 

(l) Provide financial and technical assistance to other governmental agencies and CITES officials of other countries. x x 

§ 23.7 What office do I contact for CITES 

information? 

Contact the following offices to 

receive information about CITES: 

Type of information Office to contact 

(a) CITES administrative and management issues: 

(1) CITES documents, including application forms and procedures; 

lists of registered scientific institutions and operations breeding 

Appendix-I wildlife for commercial purposes; and reservations 

(2) Information on the CoP 

(3) List of CITES species 

(4) Names and addresses of other countries’ Management and 

Scientific Authority offices 

(5) Notifications, resolutions, and decisions 

(6) Standing Committee documents and issues 

(7) State and tribal export programs 

U.S. Management Authority 

U.S. Fish and Wildlife Service 

4401 North Fairfax Drive, Room 700 

Arlington, Virginia 22203 

Toll Free: (800) 358-2104/permit questions 

Tel: (703) 358-2095/other questions 

Fax: (703) 358-2281/permits 

Fax: (703) 358-2298/other issues 

E-mail: managementauthority@fws.gov 

Website: http://www.fws.gov/international and http://www.fws.gov/permits 

(b) Scientific issues: 

(1) Animals and Plants Committees documents and issues 

(2) Findings of non-detriment and suitability of facilities, and other 

scientific findings 

(3) Listing of species in the Appendices and relevant resolutions 

(4) Names and addresses of other countries’ Scientific Authority 

offices and scientists involved with CITES-related issues 

(5) Nomenclatural issues 

U.S. Scientific Authority 

U.S. Fish and Wildlife Service 

4401 North Fairfax Drive, Room 750 

Arlington, Virginia 22203 

Tel: (703) 358-1708 

Fax: (703) 358-2276 

E-mail: scientificauthority@fws.gov 

Website: http://www.fws.gov/international 

(c) Wildlife clearance procedures: 

(1) CITES replacement tags 

(2) Information about wildlife port office locations 

(3) Information bulletins 

(4) Inspection and clearance of wildlife shipments involving import, 

introduction from the sea, export, and re-export, and filing a 

Declaration of Importation or Exportation of Fish or Wildlife 

(Form 3–177) 

(5) Validation, certification, or cancellation of CITES wildlife documents 

Law Enforcement 

U.S. Fish and Wildlife Service 

4401 North Fairfax Drive, Mail Stop LE–3000 

Arlington, Virginia 22203 

Tel: (703) 358-1949 

Fax: (703) 358-2271 

Website: http://www.fws.gov/le 


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Type of information Office to contact 

(d) APHIS plant clearance procedures: 

(1) Information about plant port office locations 

(2) Inspection and clearance of plant shipments involving: 

(i) Import and introduction from the sea of living plants 

(ii) Export and re-export of living and nonliving plants 

(3) Validation or cancellation of CITES plant documents for the 

type of shipments listed in paragraph (d)(2) of this section 

U.S. Department of Agriculture APHIS/PPQ 

4700 River Road 

Riverdale, Maryland 20737–1236 

Toll Free: (877) 770-5990/permit questions 

Tel: (301) 734-8891/other CITES issues 

Fax: (301) 734-5786/permit questions 

Fax: (301) 734-5276/other CITES issues 

Website: http://www.aphis.usda.gov/plant_health 

(e) CBP plant clearance procedures: 

(1) Inspection and clearance of plant shipments involving: 

(i) Import and introduction from the sea of nonliving plants 

(ii) Import of living plants from Canada at designated border 

ports (7 CFR 319.37–14(b) and 50 CFR 24.12(d)) 

(2) Cancellation of CITES plant documents for the type of shipments listed in paragraph (e)(1) of this section 

Department of Homeland Security 

U.S. Customs and Border Protection 

Office of Field Operations 

Agriculture Programs and Liaison 

1300 Pennsylvania Avenue, NW, Room 2.5 B 

Washington, DC 20229 

Tel: (202) 344-3298 

Fax: (202) 344-1442 

(f) General information on CITES: 

(1) CITES export quota information 

(2) CITES’Guidelines for transport and preparation for shipment of 

live wild animals and plants 

(3) Information about the Secretariat 

(4) Names and addresses of other countries’ Management and 

Scientific Authority offices 

(5) Official documents, including resolutions, decisions, notifications, CoP documents, and committee documents 

(6) Official list of CITES species and species database 

(7) Text of the Convention 

CITES Secretariat 

Website: http://www.cites.org 

§ 23.8 What are the information collection 

requirements? 

The Office of Management and Budget 

approved the information collection 

requirements for application forms and 

reports contained in this part and 

assigned OMB Control Numbers 1018–

0093 and 1018–0137. We cannot collect 

or sponsor a collection of information 

and you are not required to provide 

information unless it displays a 

currently valid OMB control number. 

Subpart B—Prohibitions, Exemptions, 

and Requirements 

§ 23.13 What is prohibited? 

Except as provided in § 23.92, it is 

unlawful for any person subject to the 

jurisdiction of the United States to 

conduct any of the following activities 

unless they meet the requirements of 

this part: 

(a) Import, export, re-export, or engage 

in international trade with any 

specimen of a species listed in 

Appendix I, II, or III of CITES. 

(b) Introduce from the sea any 

specimen of a species listed in 

Appendix I or II of CITES. 

(c) Possess any specimen of a species 

listed in Appendix I, II, or III of CITES 

imported, exported, re-exported, 

introduced from the sea, or traded 

contrary to the provisions of CITES, the 

ESA, or this part. 

(d) Attempt to commit, solicit another 

to commit, or cause to be committed any 

of the activities described in paragraphs 

(a) through (c) of this section. 

§ 23.14 [Reserved] 

§ 23.15 How may I travel internationally 

with my personal or household effects, 

including tourist souvenirs? 

(a) Purpose. Article VII(3) of the 

Treaty recognizes a limited exemption 

for the international movement of 

personal and household effects. 

(b) Stricter national measures. The 

exemption for personal and household 

effects does not apply if a country 

prohibits or restricts the import, export, 

or re-export of the item. 

(1) You or your shipment must be 

accompanied by any document required 

by a country under its stricter national 

measures. 

(2) In the United States, you must 

obtain any permission needed under 

other regulations in this subchapter (see 

§ 23.3). 

(c) Required CITES documents. You 

must obtain a CITES document for 

personal or household effects and meet 

the requirements of this part if one of 

the following applies: 

(1) The Management Authority of the 

importing, exporting, or re-exporting 

country requires a CITES document. 

(2) You or your shipment does not 

meet all of the conditions for an 

exemption as provided in paragraphs (d) 

through (f) of this section. 

(3) The personal or household effect 

for the following species exceeds the 

quantity indicated in paragraphs (c)(3)(i) 

through (vi) in the table below: 

Major group Species (Appendix II only) Type of specimen Quantity1

Fishes (i) Acipenseriformes (sturgeon, including paddlefish) Sturgeon caviar (see § 23.71) 250 gm 

Fishes (ii) Hippocampus spp. (seahorses) Dead specimens, parts, products (including manufactured items), and 

derivatives 

4 


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Major group Species (Appendix II only) Type of specimen Quantity1

Reptiles (iii) Crocodylia (alligators, caimans, 

crocodiles, gavial) 

Dead specimens, parts, products (including manufactured items), and 

derivatives 

4 

Molluscs (iv) Strombus gigas (queen conch) Shells 3 

Molluscs (v) Tridacnidae (giant clams) Shells, each of which may be one intact shell or two matching halves 3 shells, total not exceeding 3 kg 

Plants (vi) Cactaceae (cacti) Rainsticks 3 

1To import, export, or re-export more than the quantity listed in the table, you must have a valid CITES document for the entire quantity. 

(d) Personal effects. You do not need 

a CITES document to import, export, or 

re-export any legally acquired specimen 

of a CITES species to or from the United 

States if all of the following conditions 

are met: 

(1) No live wildlife or plant (including 

eggs or non-exempt seeds) is included. 

(2) No specimen from an Appendix-I 

species is included, except for certain 

worked African elephant ivory as 

provided in paragraph (f) of this section. 

(3) The specimen and quantity of 

specimens are reasonably necessary or 

appropriate for the nature of your trip or 

stay and, if the type of specimen is one 

listed in paragraph (c)(3) of this section, 

the quantity does not exceed the 

quantity given in the table. 

(4) You own and possess the 

specimen for personal use, including 

any specimen intended as a personal 

gift. 

(5) You are either wearing the 

specimen as clothing or an accessory or 

taking it as part of your personal 

baggage, which is being carried by you 

or checked as baggage on the same 

plane, boat, vehicle, or train as you. 

(6) The specimen was not mailed or 

shipped separately. 

(e) Household effects. You do not 

need a CITES document to import, 

export, or re-export any legally acquired 

specimen of a CITES species that is part 

of a shipment of your household effects 

when moving your residence to or from 

the United States, if all of the following 

conditions are met: 

(1) The provisions of paragraphs (d)(1) 

through (3) of this section are met. 

(2) You own the specimen and are 

moving it for personal use. 

(3) You import or export your 

household effects within 1 year of 

changing your residence from one 

country to another. 

(4) The shipment, or shipments if you 

cannot move all of your household 

effects at one time, contains only 

specimens purchased, inherited, or 

otherwise acquired before you changed 

your residence. 

(f) African elephant worked ivory. 

You may export or re-export from the 

United States worked African elephant 

(Loxodonta africana) ivory and then reimport it without a CITES document if 

all of the following conditions are met: 

(1) The worked ivory is a personal or 

household effect that meets the 

requirements of paragraphs (c) through 

(e) of this section and you are a U.S. 

resident who owned the worked ivory 

before leaving the United States and 

intend to bring the item back to the 

United States. 

(2) The ivory is pre-Convention (see §

23.45). (The African elephant was first 

listed in CITES on February 26, 1976.) 

(3) You may not sell or transfer the 

ivory while outside the United States. 

(4) The ivory is substantially worked 

and is not raw. Raw ivory means an 

African elephant tusk, or any piece of 

tusk, the surface of which, polished or 

unpolished, is unaltered or minimally 

carved, including ivory mounted on a 

stand or part of a trophy. 

(5) When you return, you are able to 

provide records, receipts, or other 

documents to show that the ivory is preConvention and that you owned and 

registered it before you left the United 

States. To register such an item you 

must obtain one of the following 

documents: 

(i) U.S. CITES pre-Convention 

certificate. 

(ii) FWS Declaration of Importation or 

Exportation of Fish or Wildlife (Form 3–

177). 

(iii) Customs and Border Protection 

Certificate of Registration for Personal 

Effects Taken Abroad (Form 4457). 

§ 23.16 What are the U.S. CITES 

requirements for urine, feces, and 

synthetically derived DNA? 

(a) CITES documents. We do not 

require CITES documents to trade in 

urine, feces, or synthetically derived 

DNA. 

(1) You must obtain any collection 

permit and CITES document required by 

the foreign country. 

(2) If the foreign country requires you 

to have a U.S. CITES document for these 

kinds of samples, you must apply for a 

CITES document and meet the 

requirements of this part. 

(b) Urine and feces. Except as 

provided in paragraph (a) of this 

section, we consider urine and feces to 

be wildlife byproducts, rather than 

parts, products, or derivatives, and 

exempt them from the requirements of 

CITES and this part. 

(c) DNA. We differentiate between 

DNA directly extracted from blood and 

tissue and DNA synthetically derived as 

follows: 

(1) A DNA sample directly derived 

from wildlife or plant tissue is regulated 

by CITES and this part. 

(2) A DNA sample synthetically 

derived that does not contain any part 

of the original template is exempt from 

the requirements of CITES and this part. 

§ 23.17 What are the requirements for 

CITES specimens traded internationally by 

diplomatic, consular, military, and other 

persons exempt from customs duties or 

inspections? 

A specimen of a CITES species 

imported, introduced from the sea, 

exported, or re-exported by a person 

receiving duty-free or inspection 

exemption privileges under customs 

laws must meet the requirements of 

CITES and the regulations in this part. 

§ 23.18 What CITES documents are 

required to export Appendix-I wildlife? 

Answer the questions in the following 

decision tree to find the section in this 

part that applies to the type of CITES 

document you need to export 

Appendix-I wildlife. See § 23.20(d) for 

CITES exemption documents or § 23.92 

for specimens that are exempt from the 

requirements of CITES and do not need 

CITES documents. 

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§ 23.19 What CITES documents are 

required to export Appendix-I plants? 

Answer the questions in the following 

decision tree to find the section in this 

part that applies to the type of CITES 

document you need to export 

Appendix-I plants. See § 23.20(d) for 

CITES exemption documents or § 23.92 

for specimens that are exempt from the 

requirements of CITES and do not need 

CITES documents. 


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§ 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). If one of the exemptions does not 

apply to the specimen, you must obtain 

a CITES document as provided in 

paragraph (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) 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) 

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) 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 status123.45 

(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. 

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(e) Import permits, export permits, reexport certificates, and certificates of 

origin. Unless one of the exemptions 

under paragraph (d) of this section or §

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) and either an export permit (§ 23.36) or re-export certificate (§ 23.37) 

II Export permit (§ 23.36) or re-export certificate (§ 23.37) 

III Export permit (§ 23.36) if the specimen originated in a country that listed the species; certificate of origin (§ 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) 

(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) of this section applies (see §

23.39). The export of a specimen that 

was previously introduced from the sea 

will be treated as an export (see § 23.36 

for export, § 23.36(e) and § 23.39(e) for 

export of exempt specimens, or § 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) if the export is from the country 

that listed the species in Appendix III, 

a certificate of origin (§ 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). 

§ 23.21 What happens if a country enters 

a reservation for a species? 

(a) Purpose. CITES is not subject to 

general reservations. Articles XV, XVI, 

and XXIII of the Treaty allow a Party to 

enter a specific reservation on a species 

listed in Appendix I, II, or III, or on 

parts, products, or derivatives of a 

species listed in Appendix III. 

(b) General provision. A Party can 

enter a reservation in one of the 

following ways: 

(1) A Party must provide written 

notification to the Depositary 

Government (Switzerland) on a specific 

new or amended listing in the 

Appendices within 90 days after the 

CoP that adopted the listing, or at any 

time for Appendix-III species. 

(2) A country must provide written 

notification on a specific species listing 

when the country ratifies, accepts, 

approves, or accedes to CITES. 

(c) Requesting the United States take 

a reservation. You may submit 

information relevant to the issue of 

whether the United States should take a 

reservation on a species listing to the 

U.S. Management Authority. The 

request must be submitted within 30 

calendar days after the last day of the 

CoP where a new or amended listing of 

a species in Appendix I or II occurs, or 

at any time for a species (or its parts, 

products, or derivatives) listed in 

Appendix III. 

(d) Required CITES documents. 

Except as provided in paragraph (d)(2) 

of this section, Parties treat a reserving 

Party as if it were a non-Party for trade 

in the species concerned (including 

parts, products, and derivatives, as 

appropriate). The following table 

indicates when CITES documents must 

accompany a shipment and which 

Appendix should appear on the face of 

the document: 

If Then 

(1) The shipment is between a Party and a reserving Party, or the shipment is from a non-Party to a reserving Party and is in transit 

through a Party 

The shipment must be accompanied by a valid CITES document(s) 

(see § 23.26) that indicates the CITES Appendix in which the species is listed. 

(2) The shipment is from a reserving Party to another reserving Party1

or non-Party and is in transit through a Party 

The shipment must be accompanied by a valid CITES document(s) 

(see § 23.26) that indicates the CITES Appendix in which the species is listed.2

(3) The shipment is between a reserving Party and another reserving 

Party1 or non-Party and is not in transit through a Party 

No CITES document is required.2

1Both reserving Parties must have a reservation for the same species, and if the species is listed in Appendix III, a reservation for the same 

parts, products, and derivatives. 2 CITES recommends that reserving Parties treat Appendix-I species as if listed in Appendix II and issue CITES documents based on Appendix-II permit criteria (see § 23.36). However, the CITES document must show the specimen as listed in Appendix I. If the United States entered a 

reservation, such a CITES document would be required. 

(e) Reservations taken by countries. 

You may consult the CITES website or 

contact us (see § 23.7) for a list of 

countries that have taken reservations 

and the species involved. 

§ 23.22 What are the requirements for intransit shipments? 

(a) Purpose. Article VII(1) of the 

Treaty allows for a shipment to transit 

an intermediary country that is a Party 

before reaching its final destination 

without the need for the intermediary 

Party to issue CITES documents. To 

control any illegal trade, Parties are to 

inspect, to the extent possible under 

their national legislation, specimens in 

transit through their territory to verify 

the presence of valid documentation. 

See § 23.50 for in-transit shipment of 

sample collections covered by an ATA 

carnet. 

(b) Document requirements. An intransit shipment does not require a 

CITES document from an intermediary 

country, but must be accompanied by 

all of the following documents: 

(1) Unless the specimen qualifies for 

an exemption under § 23.92, a valid 

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the valid original CITES document, that 

designates the name of the importer in 

the country of final destination and is 

issued by the Management Authority of 

the exporting or re-exporting country. A 

copy of a CITES document is subject to 

verification. 

(2) For shipment of an Appendix-I 

specimen, a copy of a valid import 

permit that designates the name of the 

importer in the country of final 

destination, unless the CITES document 

in paragraph (b)(1) of this section is a 

CITES exemption document (see §

23.20(d)). 

(3) Transportation and routing 

documents that show the shipment has 

been consigned to the same importer 

and country of final destination as 

designated on the CITES document. 

(c) Shipment requirements. An intransit shipment, including items in an 

on-board store, must meet the following: 

(1) When in an intermediary country, 

an in-transit shipment must stay only 

for the time needed to immediately 

transfer the specimen to the mode of 

transport used to continue to the final 

destination and remain under customs 

control. Other than during immediate 

transfer, the specimen may not be stored 

in a duty-free, bonded, or other kind of 

warehouse or a free trade zone. 

(2) At any time during transit, an intransit shipment must not be sold, 

manipulated, or split unless authorized 

by the Management Authority of the 

intermediary country for inspection or 

enforcement purposes. 

(d) Reserving Party or non-Party. All 

the requirements of this section apply to 

shipments to or from a reserving Party 

or non-Party that are being transshipped 

through a Party. The CITES document 

must treat the specimen as listed in the 

Appendix as provided in § 23.21(d). 

(e) Specimen protected by other 

regulations. Shipment of a specimen 

that is also listed as a migratory bird 

(part 10 of this subchapter), injurious 

wildlife (part 16 of this subchapter), 

endangered or threatened species (parts 

17 of this subchapter and 222–224 of 

this title), marine mammal (parts 18 of 

this subchapter and 216 of this title), or 

bald or golden eagle (part 22 of this 

subchapter), and is moving through the 

United States is considered an import, 

and cannot be treated as an in-transit 

shipment (see § 23.3). 

§ 23.23 What information is required on 

U.S. and foreign CITES documents? 

(a) Purpose. Article VI of the Treaty 

provides standard information that must 

be on a permit and certificate issued 

under Articles III, IV, and V. To identify 

a false or invalid document, any CITES 

document, including a CITES 

exemption document issued under 

Article VII, must contain standardized 

information to allow a Party to verify 

that the specimen being shipped is the 

one listed on the document and that the 

trade is consistent with the provisions 

of the Treaty. 

(b) CITES form. A CITES document 

issued by a Party must be on a form 

printed in one or more of the three 

working languages of CITES (English, 

Spanish, or French). A CITES document 

from a non-Party may be in the form of 

a permit or certificate, letter, or any 

other form that clearly indicates the 

nature of the document and includes the 

information in paragraphs (c) through 

(e) of this section and the additional 

information in § 23.25. 

(c) Required information. Except for a 

phytosanitary certificate used as a 

CITES certificate for artificially 

propagated plants in paragraph (f) of 

this section, or a customs declaration 

label used to identify specimens being 

moved between registered scientific 

institutions (§ 23.48(e)(5)), a CITES 

document issued by a Party or non-Party 

must contain the information set out in 

this paragraph (listed alphabetically). 

Specific types of CITES documents must 

also contain the additional information 

identified in paragraph (e) of this 

section. A CITES document is valid only 

when it contains the following 

information: 

Required information Description 

(1) Appendix The CITES Appendix in which the species, subspecies, or population is listed (see § 23.21 when a Party 

has taken a reservation on a listing). 

(2) Applicant’s signature The applicant’s signature if the CITES document includes a place for it. 

(3) Bill of lading, air waybill, or flight 

number 

As applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or air waybill number or (ii) 

in accompanying baggage, the flight number, as recorded on the CITES document by the inspecting official at the port, if known at the time of validation or certification. 

(4) Dates Date of issue and date of expiration (‘‘valid until’’ date on the standardized CITES form), which is midnight 

of the date on the CITES document. See § 23.54 for the length of validity for different types of CITES 

documents. 

(5) Description of the specimen A complete description of the specimen, including whether live or the type of goods. The sex and age of a 

live specimen should be recorded, if possible. Such information must be in English, Spanish, or French 

on a CITES document from a Party. If a code is used to indicate the type of specimen, it must agree 

with the Guidelines for preparation and submission of CITES annual reports available from the CITES 

website or us (see § 23.7). 

(6) Document number A unique control number. We use a unique 12-character number. The first two characters are the last two 

digits of the year of issuance, the next two are the two-letter ISO country code, followed by a six-digit 

serial number, and two digits or letters used for national informational purposes. 


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Required information Description 

(7) Humane transport of live wildlife If the CITES document authorizes the export or re-export of live wildlife, a statement that the document is 

valid only if the transport conditions comply with CITES’ Guidelines for transport and preparation for 

shipment of live wild animals and plants, or in the case of air transport of wildlife, with the International 

Air Transport Association Live Animals Regulations. The shipment must comply with the requirements of 

CITES’Guidelines for transport and preparation for shipment of live wild animals and plants, adopted by 

the Parties in 1979 and revised in 1981, or, in the case of air transport of wildlife, the Live Animals Regulations (LAR), 33rd edition, October 1, 2006, by the International Air Transport Association (IATA), Reference Number: 9105-33, ISBN 92-9195-818-2. The incorporation by reference of these documents was 

approved by the Director of the Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. Copies of CITES’ Guidelines for transport and preparation for shipment of live wild animals 

and plants may be obtained from the CITES Secretariat, International Environment House, Chemin des 

Ane ́mones, CH-1219, Chaˆtelaine, Geneva, Switzerland, or through the Internet at http://www.cites.org/ 

eng/resources/transport/E-TranspGuide.pdf. Copies of the IATA LAR may be obtained from IATA, 800 

Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, by calling 1-800-716-6326, or ordering through the Internet at http://www.iata.org. Copies of these documents may be inspected at the U.S. 

Management Authority, Fish and Wildlife Service, 4401 N. Fairfax Dr., Arlington, VA 22203 or at the National Archives and Records Administration (NARA). For information on the availability of this material at 

NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ 

ibr_locations.html. 

(8) Identification of the specimen Any unique identification number or mark (such as a tag, band, ring, microchip, label, or serial number), including any mark required under these regulations or a CITES listing annotation. For a microchip, the 

microchip code, trademark of the transponder manufacturer and, where possible, the location of the 

microchip in the specimen. If a microchip is used, we may, if necessary, ask the importer, exporter, or 

re-exporter to have equipment on hand to read the microchip at the time of import, export, or re-export. 

(9) Management Authority The complete name and address of the issuing Management Authority as included in the CITES directory, 

which is available from the CITES website or us (see § 23.7). 

(10) Name and address The complete name and address, including country, of the exporter and importer. 

(11) Purpose of transaction The purpose of the transaction identified either through a written description of the purpose of the transaction or by using one of the codes given in paragraph (d) of this section. The code is determined by the 

issuing Management Authority through information submitted with an application. This is not required for 

a certificate of origin. 

(12) Quantity The quantity of specimens authorized in the shipment and, if appropriate, the unit of measurement using 

the metric system: 

(i) The unit of measurement should be appropriate to the type of specimen and agree with the Guidelines 

for the preparation and submission of CITES annual reports available from the CITES website or us (see 

§ 23.7). General descriptions such as ‘‘one case’’ or ‘‘one batch’’ are not acceptable. 

(ii) Weight should be in kilograms. If weight is used, net weight (weight of the specimen alone) must be 

stated, not gross weight that includes the weight of the container or packaging. 

(iii) Volume should be in cubic meters for logs and sawn wood and either square meters or cubic meters 

for veneer and plywood. 

(iv) For re-export, if the type of good has not changed since being imported, the same unit of measurement as on the export permit must be used, except to change to units that are to be used in the CITES 

annual report. 

(13) Scientific name The scientific name of the species, including the subspecies when needed to determine the level of protection of the specimen under CITES, using standard nomenclature as it appears in the CITES Appendices 

or the references adopted by the CoP. A list of current references is available from the CITES website 

or us (see § 23.7). A CITES document may contain higher-taxon names in lieu of the species name only 

under one of the following circumstances: 

(i) The CoP has agreed that the use of a higher-taxon name is acceptable for use on CITES documents. 

(A) If the genus cannot be readily determined for coral rock, the scientific name to be used is the 

order Scleractinia. 

(B) Live and dead coral must be identified to the level of species except where the CoP has agreed 

that identification to genus is acceptable. A current list of coral taxa identifiable to genus is available 

from the CITES website or us (see § 23.7). 

(C) Re-export of worked skins or pieces of Tupinambis species that were imported before August 1, 

2000, may indicate Tupinambis spp. 

(ii) The issuing Party can show the use of a higher-taxon name is well justified and has communicated the 

justification to the Secretariat. 

(iii) The item is a pre-Convention manufactured product containing a specimen that cannot be identified to 

the species level. 

(14) Seal or stamp The embossed seal or ink stamp of the issuing Management Authority. 

(15) Security stamp If a Party uses a security stamp, the stamp must be canceled by an authorized signature and a stamp or 

seal, preferably embossed. The number of the stamp must also be recorded on the CITES document. 


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Required information Description 

(16) Signature An original handwritten signature of a person authorized to sign CITES documents for the issuing Management Authority. The signature must be on file with the Secretariat. 

(17) Signature name The name of the person who signed the CITES document. 

(18) Source The source of the specimen. For re-export, unless there is information to indicate otherwise, the source 

code on the CITES document used for import of the specimen must be used. See § 23.24 for a list of 

codes. 

(19) Treaty name Either the full name or acronym of the Treaty, or the CITES logo. 

(20) Type of CITES document The type of CITES document (import, export, re-export, or other): 

(i) If marked ‘‘other,’’ the CITES document must indicate the type of document, such as certificate for artificially propagated plants, certificate for wildlife bred in captivity, certificate of origin, certificate of ownership, introduction-from-the-sea certificate, pre-Convention certificate, sample collection covered by an 

ATA carnet, scientific exchange certificate, or traveling-exhibition certificate. 

(ii) If multiple types are authorized on one CITES document, the type that applies to each specimen must 

be clearly indicated. 

(21) Validation or certification The actual quantity of specimens exported or re-exported: 

(i) Using the same units of measurement as those on the CITES document. 

(ii) Validated or certified by the stamp or seal and signature of the inspecting authority at the time of export 

or re-export. 

(d) Purpose of transaction. If the purpose is not identified by a written description, the CITES document must 

contain one of the following codes: 

Code Purpose of transaction 

B ........... Breeding in captivity or artificial 

propagation 

E ........... Education 

G .......... Botanical garden 

H .......... Hunting trophy 

Code Purpose of transaction 

L ........... Law enforcement/judicial/forensic 

M .......... Medical research (including biomedical research) 

N .......... Reintroduction or introduction into 

the wild 

Code Purpose of transaction 

P ........... Personal 

Q .......... Circus and traveling exhibition 

S ........... Scientific 

T ........... Commercial 

Z ........... Zoo 

(e) Additional required information. The following describes the additional information that is required for specific 

types of documents (listed alphabetically): 

Type of document Additional required information 

(1) Annex (such as an attached inventory, conditions, or continuation pages of a CITES document) The page number, document number, and date of issue on each page of an annex that is attached as an 

integral part of a CITES document. An authorized signature and ink stamp or seal, preferably embossed, 

of the Management Authority issuing the CITES document must also be included on each page of the 

annex. The CITES document must indicate an attached annex and the total number of pages. 

(2) Certificate of origin (see §

23.38) 

A statement that the specimen originated in the country that issued the certificate. 

(3) Copy when used in place of the 

original CITES document 

(i) Information required in paragraph (e)(7) of this section when the document authorizes export or re-export. 

(ii) A statement by the Management Authority on the face of the document authorizing the use of a copy 

when the document authorizes import. 

(4) Export permit for a registered 

commercial breeding operation or 

nursery for Appendix-I specimens 

(see § 23.46) 

The registration number of the operation or nursery assigned by the Secretariat, and if the exporter is not 

the registered operation or nursery, the name of the registered operation or nursery. 

(5) Export permit with a quota Number of specimens, such as 500/1,000, that were: 

(i) Exported thus far in the current calendar year, including those covered by the current permit (such as 

500), and 

(ii) Included in the current annual quota (such as 1,000). 

(6) Import permit (Appendix-I specimen) (see § 23.35) A certification that the specimen will not be used for primarily commercial purposes and, for a live specimen, that the recipient has suitable facilities and expertise to house and care for it. 


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Type of document Additional required information 

(7) Replacement CITES document 

(see § 23.52) 

When a CITES document replaces an already issued CITES document that was lost, damaged, stolen, or 

accidentally destroyed: 

(i) If a newly issued CITES document, indication it is a ‘‘replacement,’’ the number and date of issuance of 

the CITES document that was replaced, and reason for replacement. 

(ii) If a copy of the original CITES document, indication it is a ‘‘replacement’’ and a ‘‘true copy of the original,’’ a new original signature of a person authorized to sign CITES documents for the issuing Management Authority, the date signed, and reason for replacement. 

(8) Partially completed documents 

(see § 23.51) 

(i) A list of the blocks that must be completed by the permit holder. 

(ii) If the list includes scientific names, an inventory of approved species must be included on the face of 

the CITES document or in an attached annex. 

(iii) A signature of the permit holder, which acts as a certification that the information entered is true and 

accurate. 

(9) Pre-Convention document (see 

§ 23.45) 

(i) An indication on the face of the CITES document that the specimen is pre-Convention. 

(ii) A date that shows the specimen was acquired before the date the Convention first applied to it. 

(10) Re-export certificate (see §

23.37) 

(i) The country of origin, the export permit number, and the date of issue. 

(ii) If previously re-exported, the country of last re-export, the re-export certificate number, and the date of 

issue. 

(iii) If all or part of this information is not known, a justification must be given. 

(11) Retrospective CITES document (see § 23.53) A clear statement that the CITES document is issued retrospectively and the reason for issuance. 

(12) Sample collection covered by 

an ATA carnet (see § 23.50) 

(i) A statement that the document covers a sample collection and is invalid unless accompanied by a valid 

ATA carnet. 

(ii) The number of the accompanying ATA carnet recorded by the Management Authority, customs, or 

other responsible CITES inspecting official. 

(f) Phytosanitary certificate. A Party 

may use a phytosanitary certificate as a 

CITES document under the following 

conditions: 

(1) The Party has provided copies of 

the certificate, stamps, and seals to the 

Secretariat. 

(2) The certificate is used only when 

all the following conditions are met: 

(i) The plants are being exported, not 

re-exported. 

(ii) The plants are Appendix-II 

species, or are hybrids of one or more 

Appendix-I species or taxa that are not 

annotated to include hybrids. 

(iii) The plants were artificially 

propagated in the exporting country. 

(3) The certificate contains the 

following information: 

(i) The scientific name of the species, 

including the subspecies when needed 

to determine the level of protection of 

the specimen under CITES, using 

standard nomenclature as it appears in 

the CITES Appendices or the references 

adopted by the CoP. 

(ii) The type (such as live plant or 

bulb) and quantity of the specimens 

authorized in the shipment. 

(iii) A stamp, seal, or other specific 

indication stating that the specimen is 

artificially propagated (see § 23.64). 

§ 23.24 What code is used to show the 

source of the specimen? 

The Management Authority must 

indicate on the CITES document the 

source of the specimen using one of the 

following codes, except the code ‘‘O’’

for pre-Convention, which should be 

used in conjunction with another code: 

Source of specimen Code 

(a) Artificially propagated plant (see § 23.40): 

(1) An Appendix-II or -III artificially propagated specimen. 

(2) An Appendix-I plant specimen artificially propagated for noncommercial purposes or certain Appendix-I hybrids (see §

23.42) propagated for commercial purposes. 

A 

(b) Bred-in-captivity wildlife (see § 23.41): 

(1) An Appendix-II or -III specimen bred in captivity. (See paragraph (d)(1) of this section for wildlife that does not qualify as 

bred in captivity.) 

(2) An Appendix-I specimen bred for noncommercial purposes. (See paragraph (c)(1) of this section for an Appendix-I specimen bred for commercial purposes.) 

C 

(c) Bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47): 

(1) An Appendix-I wildlife specimen bred in captivity for commercial purposes at an operation registered with the Secretariat. 

(2) An Appendix-I plant specimen artificially propagated for commercial purposes at a nursery that is registered with the Secretariat or a commercial propagating operation that meets the requirements of § 23.47. 

D 


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Source of specimen Code 

(d) Captive-bred wildlife (§ 23.36): 

(1) An Appendix-II or -III wildlife species that is captive-bred. 

(2) An Appendix-I wildlife species that is one of the following: 

(i) Captive-bred. 

(ii) Bred for commercial purposes, but the commercial breeding operation is not registered with the Secretariat. 

(iii) Bred for noncommercial purposes, but the facility does not meet the definition in § 23.5 because it is not involved in a 

cooperative conservation program. 

F 

(e) Confiscated or seized specimen (see § 23.78). I 

(f) Pre-Convention specimen (see § 23.45) (code to be used in conjunction with another code). O 

(g) Ranched wildlife (wildlife that originated from a ranching operation). R 

(h) Source unknown (must be justified on the face of the CITES document). U 

(i) Specimen taken from the wild: 

(1) For wildlife, this includes a specimen born in captivity from an egg collected from the wild or from wildlife that mated or exchanged genetic material in the wild. 

(2) For a plant, it includes a specimen propagated from a propagule collected from a wild plant, except as provided in § 23.64. 

W 

§ 23.25 What additional information is 

required on a non-Party CITES document? 

(a) Purpose. Under Article X of the 

Treaty, a Party may accept a CITES 

document issued by a competent 

authority of a non-Party only if the 

document substantially conforms to the 

requirements of the Treaty. 

(b) Additional certifications. In 

addition to the information in § 23.23(c) 

through (e), a CITES document issued 

by a non-Party must contain the 

following certifications on the face of 

the document: 

Activity by a non-Party Certification 

(1) Export (i) For Appendix-I and -II specimens, the Scientific Authority has advised that the export will not be detrimental to the survival of the species. 

(ii) The Management Authority is satisfied that the specimen was legally acquired. 

(2) Import For Appendix-I specimens, the import will be for purposes that are not detrimental to the survival of the 

species. 

§ 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) or when a shipment is in 

transit (see § 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 through 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 for certain timber 

species. 


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Key phrase Conditions for an acceptable CITES document 

(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 CITES’ Guidelines for transport and preparation 

for shipment of live wild animals and plantsor, in the case of air transport of wildlife, the International Air 

Transport Association Live Animals Regulations. (See § 23.23(c)(7).) 

(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. 

(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) We have reasonable grounds to 

believe that the document is fraudulent, 

contains false information, or has 

unauthorized changes. 

(5) 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. 

(6) The import of a specimen 

designated as bred in captivity or 

artificially propagated is from a nonParty. For an Appendix-I specimen, we 

must consult with the Secretariat. 

(7) 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. 

(8) For a replacement CITES 

document, we need clarification of the 

reason the document was issued. 

§ 23.27 What CITES documents do I 

present at the port? 

(a) Purpose. Article VIII of the Treaty 

provides that Parties establish an 

inspection process that takes place at a 

port of exit and entry. Inspecting 

officials must verify that valid CITES 

documents accompany shipments and 

take enforcement action when 

shipments do not comply with the 

Convention. 

(b) U.S. port requirements. In the 

United States, you must follow the 

clearance requirements for wildlife in 

part 14 of this subchapter and for plants 

in part 24 of this subchapter and 7 CFR 

parts 319, 352, and 355, and the specific 

requirement in paragraphs (c) and (d) of 

this section. 

(c) General validation or certification 

process. Officials in each country 

inspect the shipment and validate or 

certify the CITES document. The table 

in this paragraph (c) provides 

information on: 

(1) The types of original CITES 

documents you must present to be 

validated or certified by the inspecting 

official to export or re-export from a 

country. 

(2) When you need to surrender a 

copy of the original CITES document to 


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the inspecting official at the time of 

export or re-export. 

(3) When you need to surrender the 

original CITES document to the 

inspecting official at the time of import 

or introduction from the sea. 

Type of CITES document 

Present original for export 

or re-export validation or 

certification 

Surrender copy upon 

export or re-export 

Surrender original upon 

import or introductionfrom 

the sea 

Bred-in-captivity certificate Required Required Required 

Certificate for artificially propagated plants Required Required Required 

Certificate of origin Required Required Required 

Certificate of ownership Required Required Not required; submit copy 

Export permit Required Required Required 

Import permit Not required Required Required 

Introduction-from-the-sea certificate Not applicable Not applicable Required 

Multiple-use document Required1 Required Not required; submit copy 

Phytosanitary certificate Required Required Not required; submit copy 

Pre-Convention document Required Required Required 

Re-export certificate Required Required Required 

Registered Appendix-I commercial breeding operation, 

export permit 

Required Required Required 

Registered Appendix-I nursery, export permit Required Required Required 

Replacement document where a shipment has been 

made and is in a foreign country 

Not required Not required Required 

Replacement document where a shipment has not left 

the United States 

Required Required Required 

Retrospective document Not required Not required Required 

Sample collection covered by an ATA carnet, CITES 

document 

Required Required Not required; submit copy 

Traveling-exhibition certificate Required Required Not required; submit copy 

1Original must be available for inspection, but permit conditions will indicate whether an original or copy is to be validated. 

(d) Customs declaration labels. The 

customs declaration label used to 

identify specimens being moved 

between registered scientific institutions 

(§ 23.48) must be affixed to the shipping 

container. The label does not require 

export or re-export validation or 

certification at the port. 

Subpart C—Application Procedures, 

Criteria, and Conditions 

§ 23.32 How do I apply for a U.S. CITES 

document? 

(a) To apply for a U.S. CITES 

document, you must complete a 

standard application form and submit it 

to the appropriate office shown on the 

top of the form. 

(b) To determine the type of CITES 

document needed for your shipment, go 

to §§ 23.18 through 23.20 for further 

guidance. 

(c) If a species is also regulated under 

another part of this subchapter (such as 

endangered or threatened species, see §

23.3), the requirements of all parts must 

be met. You may submit a single 

application that contains all the 

information needed to meet the 

requirements of CITES and other 

applicable parts. 

(d) You must also follow the general 

permit procedures in part 13 of this 

subchapter. 

(e) You should review the criteria in 

all applicable regulations in this 

subchapter that apply to the type of 

permit you are seeking before 

completing the application form. 

(f) We will review your application to 

assess whether it contains the 

information needed to make the 

required findings. 

(1) Based on available information, we 

will decide if any of the exemptions 

apply and what type of CITES document 

you need. 

(2) If we need additional information, 

we will contact you. If you do not 

provide the information within 45 

calendar days, we will abandon your 

application. If your application is 

abandoned and you wish to apply for a 

permit at a later time, you must submit 

a new application. 

§ 23.33 How is the decision made to issue 

or deny a request for a U.S. CITES 

document? 

(a) Upon receiving a complete 

application, we will decide whether to 

issue a CITES document by considering: 

(1) The general criteria in § 13.21(b) 

of this subchapter and, if the species is 

protected under a separate law or treaty, 

criteria in any other applicable parts. 

(2) The CITES issuance criteria 

provided in this subpart (see subpart D 

of this part for factors we consider in 

making certain findings). 

(b) As needed, the U.S. Management 

Authority, including FWS Law 

Enforcement, will forward a copy of the 

application to the U.S. Scientific 


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Authority; State, tribal, or other Federal 

government agencies; or other 

applicable experts. We may also query 

the Secretariat and foreign Management 

and Scientific Authorities for 

information to use in making the 

required findings. 

(c) You must provide sufficient 

information to satisfy us that all criteria 

specific to the proposed activity are met 

before we can issue a CITES document. 

(d) We will base our decision on 

whether to issue or deny the application 

on the best available information. 

§ 23.34 What kinds of records may I use to 

show the origin of a specimen when I apply 

for a U.S. CITES document? 

(a) When you apply for a U.S. CITES 

document, you will be asked to provide 

information on the origin of the 

specimen that will be covered by the 

CITES document. 

(1) You need to provide sufficient 

information for us to determine if the 

issuance criteria in this part are met (see 

the sections in this subpart for each type 

of CITES document). 

(2) We require less detailed 

information when the import, 

introduction from the sea, export, or reexport poses a low risk to a species in 

the wild and more detailed information 

when the proposed activity poses 

greater risk to a species in the wild (see 

Subpart D of this part for factors we 

consider in making certain findings). 

(b) Information you may want to 

provide in a permit application 

includes, but is not limited to, the 

following: 

Source of specimen Types of records 

(1) Captive-bred or cultivated1 (i) Records that identify the breeder or propagator of the specimens that have been identified by 

birth, hatch, or propagation date and for wildlife by sex, size, band number, or other mark, or for 

plants by size or other identifying feature: 

(A) Signed and dated statement by the breeder or propagator that the specimen was bred or 

propagated under controlled conditions. 

(B) Name and address of the breeder or propagator as shown by documents such as an International Species Information System (ISIS) record, veterinary certificate, or plant nursery license. 

(ii) Records that document the breeding or propagating of specimens at the facility: 

(A) Number of wildlife (by sex and age- or size-class) or plants at the facility. 

(B) How long the facility has been breeding or propagating the species. 

(C) Annual production and mortalities. 

(D) Number of specimens sold or transferred annually. 

(E) Number of specimens added from other sources annually. 

(F) Transaction records with the date, species, quantity of specimens, and name and address 

of seller. 

(G) Marking system, if applicable. 

(H) Photographs or video of facility, including for wildlife any activities during nesting and production and rearing of young, and for plants, different stages of growth. 

(2) Confiscated or seized Copy of remission decision, legal settlement, or disposal action after forfeiture or abandonment, 

which demonstrates the applicant’s legal possession. 

(3) Exempt plant material Records that document how you obtained the exempt plant material, including the name and address of the person from whom you received the plant material. 

(4) Imported previously (i) A copy of the cancelled CITES document that accompanied the shipment into the United States. 

(ii) For wildlife, copies of cleared Declarations for Importation or Exportation of Fish or Wildlife (Form 

3–177) associated with each specimen. 

(5) Pre-Convention Records that show the specimen was acquired before the date the provisions of the Convention first 

applied to it, such as: 

(i) Receipt or invoice. 

(ii) Catalog, inventory list, photograph, or art book. 

(iii) Statement from a qualified appraiser attesting to the age of a manufactured product. 

(iv) CBP (formerly U.S. Customs Service) import documents. 

(v) Phytosanitary certificate. 

(vi) Veterinary document or breeding or propagation logs. 

(6) Sequential ownership or purchase (i) Records that specifically identify the specimen, give the name and address of the owner, and 

show the specimen’s origin (pre-Convention, previously imported, wild-collected, or born or propagated in a controlled environment in the United States). 

(ii) Records that document the history of all transfers in ownership (generally not required for preConvention specimens). 

(7) Unknown origin, for noncommercial 

purposes 

A complete description of the circumstances under which the specimen was acquired (where, when, 

and from whom the specimen was acquired), including efforts made to obtain information on the 

origin of the specimen. 


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Source of specimen Types of records 

(8) Wild-collected Records, such as permits, licenses, and tags, that demonstrate the specimen or the parental stock 

was legally removed from the wild under relevant foreign, Federal, tribal, State, or local wildlife or 

plant conservation laws or regulations: 

(i) If taken on private or tribal land, permission of the landowner if required under applicable 

law. 

(ii) If taken in a national, State, or local park, refuge, or other protected area, permission from 

the applicable agency, if required. 

1 If the wildlife was born in captivity from an egg collected from the wild or from parents that mated or exchanged genetic material in the wild, 

or the plant was propagated from a non-exempt propagule collected from a wild plant, see paragraph (b)(8) of this section. 

(c) If you intend to engage in 

international trade with a CITES 

specimen in the future, you should keep 

sufficient records to establish your 

eligibility for a CITES document for as 

long as you possess the specimen, and 

if you sell, donate, or transfer ownership 

of the specimen, you should provide 

such records on the origin of the 

specimen to the new owner. 

§ 23.35 What are the requirements for an 

import permit? 

(a) Purpose. Article III(3) of the Treaty 

sets out the conditions under which a 

Management Authority can issue an 

import permit. 

(b) U.S. application forms. Complete 

the appropriate form for the proposed 

activity and submit it to the U.S. 

Management Authority: 

Type of application for an import permit for an Appendix-I specimen Form no. 

(1) CITES: 

Southern African Leopard, African Elephant, and Namibian Southern White Rhinoceros Sport-hunted Trophies 

Appendix-I Plants 

Appendix-I Wildlife 

Appendix-I Biological Samples 

3–200–19 

3–200–35 

3–200–37 

3–200–29 

(2) Endangered Species Act and CITES: 

ESA Plants 

ESA Sport-hunted Trophies 

ESA Wildlife 

3–200–36 

3–200–20 

3–200–37 

(3) Marine Mammal Protection Act and CITES: 

Marine Mammals 3–200–43 

(4) Wild Bird Conservation Act and CITES: 

Personal Pet Bird 

Under an Approved Cooperative Breeding Program 

Scientific Research or Zoological Breeding/Display 

3–200–46 

3–200–48 

3–200–47 

(c) Criteria. The criteria in this 

paragraph (c) apply to the issuance and 

acceptance of U.S. and foreign import 

permits. When applying for a U.S. 

import permit, you must provide 

sufficient information for us to find that 

your proposed activity meets all of the 

following criteria: 

Criteria for an import permit for an Appendix-I specimen Section 

(1) The proposed import would be for purposes that are not detrimental to the survival of the species. 23.61 

(2) The specimen will not be used for primarily commercial purposes. 23.62 

(3) The recipients are suitably equipped to house and care for any live wildlife or plant to be imported. 23.65 

(4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the 

CoP. 

23.23 

(d) U.S. standard conditions. You 

must meet all of the provisions on use 

after import in § 23.55 and the standard 

conditions in § 23.56. 

(e) Prior issuance of an import permit. 

For Appendix-I specimens, the 

Management Authority of the exporting 

country may: 

(1) Issue an export permit for live or 

dead specimens or a re-export certificate 

for live specimens only after the 

Management Authority of the importing 

country has either issued an import 

permit or confirmed in writing that an 

import permit will be issued. 

(2) Accept oral confirmation from the 

Management Authority of the importing 

country that an import permit will be 

issued in an emergency situation where 

the life or health of the specimen is 

threatened and no means of written 

communication is possible. 

(3) Issue a re-export certificate for a 

dead specimen without confirmation 

that the import permit has been issued. 

§ 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 AppendixI, -II, or -III specimen. Article XIV sets 

out the conditions under which a 


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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 

Appendix-I Plants Artificially Propagated for Commercial Purposes 

Biological Specimens 

Captive-born Raptors 

Captive-born Wildlife (except raptors) 

Caviar/Meat of Paddlefish or Sturgeon, Removed from the Wild 

Export of Skins/Products of Bobcat, Canada Lynx, River Otter, Brown Bear, Gray Wolf, and American Alligator Taken under 

an Approved State or Tribal Program 

Personal Pets, One-time Export 

Plants 

Registration of a Native Species Production Facility 

Single-use Permits under a Master File or an Annual Program File 

Trophies by Taxidermists 

Wildlife, Removed from the Wild 

3–200–34 

3–200–33 

3–200–29 

3–200–25 

3–200–24 

3–200–76 

3–200–26 

3–200–46 

3–200–32 

3–200–75 

3–200–74 

3–200–28 

3–200–27 

(2) Endangered Species Act and CITES: 

ESA Plants 

ESA Wildlife 

3–200–36 

3–200–37 

(3) Marine Mammal Protection Act and CITES: 

Biological Samples 

Live Captive-held Marine Mammals 

Take from the Wild for Export 

3–200–29 

3–200–53 

3–200–43 

(c) Criteria. The criteria in this 

paragraph (c) apply to the issuance and 

acceptance of U.S. and foreign export 

permits except as provided for certain 

marine specimens in paragraph (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 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 


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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) 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) 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) 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) 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). 

(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. 

§ 23.37 What are the requirements for a reexport certificate? 

(a) Purposes. Articles III, IV, and V of 

the Treaty set out the conditions under 

which a Management Authority may 

issue a re-export certificate for an 

Appendix-I, -II, or -III specimen. 

(b) U.S. application forms. Complete 

the appropriate form for the proposed 

activity and submit it to the U.S. 

Management Authority. Form 3–200–73 

may also be submitted to Law 

Enforcement at certain ports or regional 

offices: 

Type of application for a re-export certificate Form no. 

(1) CITES: 

Biological Specimens 

Plants 

Single-use Permits under a Master File or an Annual Program File 

Trophies by Taxidermists 

Wildlife 

3–200–29 

3–200–32 

3–200–74 

3–200–28 

3–200–73 

(2) Endangered Species Act and CITES: 

ESA Plants 

ESA Wildlife 

3–200–36 

3–200–37 

(3) Marine Mammal Protection Act and CITES: 

Biological Samples 

Live Captive-held Marine Mammals 

3–200–29 

3–200–53 

(c) Criteria. The criteria in this 

paragraph (c) apply to the issuance and 

acceptance of U.S. and foreign re-export 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

Criteria for a re-export certificate 

Appendix of the specimen Section I II III 

(1) The wildlife or plant was legally acquired. Yes Yes Yes 23.60 

(2) 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 

(3) For a live specimen, an import permit has already been 

issued or the Management Authority of the importing country 

has confirmed that it will be issued. This criterion does not 

apply to a specimen with the source code ‘‘D.’’

Yes n/a n/a 23.35 

(4) 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 


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Criteria for a re-export certificate 

Appendix of the specimen Section I II III 

(5) For re-export of a confiscated specimen, the proposed re-export would not be detrimental to the survival of the species. Yes Yes n/a 23.61 

(6) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the re-export is 

for noncommercial purposes. 

Yes n/a n/a –

§ 23.38 What are the requirements for a 

certificate of origin? 

(a) Purpose. Article V(3) of the Treaty 

requires that a shipment of Appendix-III 

specimens be accompanied by a 

certificate of origin when the shipment 

is not from a country that listed the 

species in Appendix III and is not a reexport. 

(b) U.S. application forms. For a 

certificate of origin, complete one of the 

following forms and submit it to the 

U.S. Management Authority: 

(1) Form 3–200–27 for wildlife 

removed from the wild. 

(2) Form 3–200–24 for captive-born 

wildlife. 

(3) Form 3–200–32 for plants. 

(c) Criteria. The criteria in this 

paragraph (c) apply to the issuance and 

acceptance of U.S. and foreign 

certificates of origin. When applying for 

a U.S. certificate, you must provide 

sufficient information for us to find that 

your proposed activity meets all of the 

following criteria: 

(1) The specimen originated in the 

country of export, which is not a 

country that listed the species in 

Appendix III. In the case of a listing that 

is annotated to cover only a certain 

population, no CITES document is 

required if the listed population does 

not occur in the country of export. For 

U.S. applicants, the country of origin 

must be the United States. 

(2) The scientific name of the species 

is the standard nomenclature in the 

CITES Appendices or the references 

adopted by the CoP (see § 23.23). 

(3) 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 (see § 23.23). 

§ 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) 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) 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) 

through (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)). 


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§ 23.40 What are the requirements for a 

certificate for artificially propagated plants? 

(a) Purpose. Article VII(5) of the 

Treaty grants an exemption to plants 

that are artificially propagated when a 

Management Authority issues a 

certificate. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

a certificate for artificially propagated 

Appendix-I, -II, or -III plants: 

(1) The certificate for artificially 

propagated plants and any subsequent 

re-export certificate must show the 

source code as ‘‘A’’ for artificially 

propagated. 

(2) For an Appendix-I specimen that 

satisfies the requirements of this 

section, no CITES import permit is 

required. 

(c) U.S. application form. Complete 

Form 3–200–33 and submit it to the U.S. 

Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

Criteria for a certificate for artificially propagated plants 

Appendix of the 

specimen Section 

I II III 

(1) The plant was artificially propagated. Yes Yes Yes 23.64 

(2) The plant specimen is one of the following: 

(i) Was propagated for noncommercial purposes. 

(ii) Is part of a traveling exhibition. 

(iii) Is a hybrid of one or more Appendix-I species or 

taxa that is not annotated to include hybrids in the 

listing and was propagated for commercial or noncommercial purposes. 

Yes n/a n/a 

(3) 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 

(4) The live plant 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 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

you must meet all of the following 

conditions: 

(1) You may not export or re-export a 

plant (including its parts, products, or 

derivatives) under this certificate if the 

plant was removed from the wild or 

grown directly from a wild seed, except 

for plants grown from exempt plant 

materials that qualify as artificially 

propagated. 

(2) You may not export an AppendixI species that was propagated for 

commercial purposes under this 

certificate, except for hybrids of one or 

more Appendix-I species or taxa that are 

not annotated to include hybrids in the 

listing. 

(3) You may export a native plant 

under this certificate only when 

specifically approved for export and 

listed on the certificate, inventory sheet, 

or an approved species list. 

(4) You may export a specimen under 

a higher-taxon name only if you 

identified the taxon in your application 

and we approved it on this certificate. 

§ 23.41 What are the requirements for a 

bred-in-captivity certificate? 

(a) Purpose. Article VII(5) of the 

Treaty grants an exemption to wildlife 

that is bred in captivity when a 

Management Authority issues a 

certificate. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

a certificate for Appendix-I, -II, or -III 

wildlife that was bred in captivity: 

(1) The certificate and any subsequent 

re-export certificate must show the 

source code as ‘‘C’’ for bred in captivity. 

(2) For an Appendix-I specimen that 

satisfies the requirements of this 

section, no CITES import permit is 

required. 

(c) U.S. application form. Complete 

Form 3–200–24 and submit it to the U.S. 

Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

Criteria for a bred-in-captivity certificate 

Appendix of the 

specimen Section 

I II III 

(1) The wildlife was bred in captivity. Yes Yes Yes 23.63 

(2) The wildlife specimen was bred for noncommercial purposes or is part of a traveling exhibition. Yes n/a n/a 23.5 

(3) 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 

(4) Live wildlife 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 


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§ 23.42 What are the requirements for a 

plant hybrid? 

General provisions. Except as 

provided in § 23.92, the export, reexport, or import of a plant hybrid of a 

CITES species must be accompanied by 

a valid CITES document that shows the 

Appendix of the specimen as follows: 

Question on a plant hybrid Answer and status of specimen 

(a) Is the specimen an artificially propagated hybrid of one or more Appendix-I species or taxa? (1) YES. Continue to paragraph (b) of this section. 

(2) NO. Continue to paragraph (c) of this section. 

(b) Is one or more of the Appendix-I species or taxa in paragraph (a) of 

this section annotated to include hybrids? 

(1) YES. The hybrid is listed in Appendix I. 

(2) NO. The hybrid is listed in Appendix I, but may be granted a certificate for artificially propagated plants even if propagated for commercial purposes. 

(c) Is the specimen a hybrid that includes two or more CITES species 

or taxa in its lineage? 

(1) YES. Consider the specimen to be listed in the more restrictive Appendix, with Appendix I being the most restrictive and Appendix III 

the least. 

(2) NO. Continue to paragraph (d) of this section. 

(d) Is the specimen a hybrid that includes one CITES species or taxon 

in its lineage? 

(1) YES. Consider the specimen to be listed in the Appendix in which 

the species or taxon is listed in the CITES Appendices. 

(2) NO. The hybrid is not regulated by CITES. 

§ 23.43 What are the requirements for a 

wildlife hybrid? 

(a) Definition. For the purposes of this 

section, recent lineage means the last 

four generations of a specimen’s 

ancestry (direct line of descent). 

(b) U.S. and foreign general 

provisions. Except as provided in 

paragraph (f) of this section, the import, 

export, or re-export of a hybrid CITES 

wildlife specimen must be accompanied 

by a valid CITES document. 

(c) CITES documents. All CITES 

documents must show the wildlife 

hybrid listed in the following Appendix: 

If at least one specimen in the recent lineage is listed in: Then the specimen is 

listed in: 

(1) Appendix I Appendix I 

(2) Appendix II, and an Appendix-I species is not included in the recent lineage Appendix II 

(3) Appendix III, and an Appendix-I or -II species is not included in the recent lineage Appendix III 

(d) U.S. application for wildlife 

hybrid. To apply for a CITES document, 

complete the appropriate form for the 

proposed activity (see §§ 23.18 through 

23.20) and submit it to the U.S. 

Management Authority. 

(e) Criteria. For export of a hybrid that 

contains a CITES species in its recent 

lineage, you must meet the requirements 

of § 23.36. 

(f) Exempt wildlife hybrids. The 

following provisions apply to import, 

export, or re-export of exempt wildlife 

hybrids: 

(1) A hybrid between a CITES species 

and a non-CITES species may be exempt 

from CITES document requirements if 

there are no purebred CITES species in 

the previous four generations of the 

specimen’s ancestry (direct line of 

descent). Under this section, a hybrid 

between two CITES species is not 

exempt. 

(2) For import, export, or re-export of 

an exempt wildlife hybrid without 

CITES documents, you must provide 

information at the time of import or 

export to clearly demonstrate that your 

specimen has no purebred CITES 

species in the previous four generations 

of its ancestry. Although a CITES 

document is not required, you must 

follow the clearance requirements for 

wildlife in part 14 of this subchapter, 

including the prior notification 

requirements for live wildlife. 

§ 23.44 What are the requirements to travel 

internationally with my personally owned 

live wildlife? 

(a) Purpose. A Management Authority 

may use the exemption in Article VII(3) 

of the Treaty to issue a certificate of 

ownership that authorizes frequent 

cross-border movements of personally 

owned live wildlife for personal use. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

a certificate of ownership for frequent 

international travel with live wildlife for 

personal use: 

(1) The certificate must be obtained 

from the Management Authority in the 

country of the owner’s primary 

residence. 

(2) Parties should treat the certificate 

like a passport for import to and export 

or re-export from each country and 

should not collect the original certificate 

at the border. 

(3) If offspring are born or an 

additional specimen is acquired while 

the owner is outside his or her country 

of primary residence, the owner must 

obtain the appropriate CITES document 

for the export or re-export of the 

wildlife, not a certificate of ownership, 

from the Management Authority of that 

country. 

(4) Upon returning home, the owner 

may apply for a certificate of ownership 

for wildlife born or acquired overseas. 

(c) U.S. application form. Complete 

Form 3–200–64 and submit it to the U.S. 

Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

(1) The traveler owns the live wildlife 

and it will accompany the owner. 


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(2) The cross-border movement will 

be frequent and for personal use, 

including, but not limited to, 

companionship or use in a 

noncommercial competition such as 

falconry. 

(3) To apply for a U.S. certificate, the 

owner resides in the United States. 

(4) The wildlife was legally acquired 

(see § 23.60). 

(5) The owner does not intend to sell, 

donate, or transfer the wildlife while 

traveling internationally. 

(6) The scientific name of the species 

is the standard nomenclature in the 

CITES Appendices or the references 

adopted by the CoP (see § 23.23). 

(7) The Management Authority of the 

country of import has agreed to the 

cross-border movement. 

(8) The wildlife is securely marked or 

uniquely identified in such a manner 

that the border official can verify that 

the specimen and CITES document 

correspond. 

(9) The wildlife is transported and 

cared for in a way that minimizes risk 

of injury, damage to health, or cruel 

treatment of the specimen (see § 23.23). 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, all 

of the following conditions must be met: 

(1) You must accompany the wildlife 

during any cross-border movement. 

(2) You must transport the wildlife for 

personal use only. 

(3) You must not sell, donate, or 

transfer the specimen while traveling 

internationally. 

(4) You must present the certificate to 

the official for validation at each border 

crossing. 

(5) If the certificate is lost, stolen, or 

accidentally destroyed, you must obtain 

a replacement certificate from the 

issuing Management Authority. 

(6) If you no longer own the live 

wildlife, you must immediately return 

the original document to the issuing 

Management Authority and report on 

the disposition of the wildlife, such as 

death, sale, or transfer. 

§ 23.45 What are the requirements for a 

pre-Convention specimen? 

(a) Purpose. Article VII(2) of the 

Treaty exempts a pre-Convention 

specimen from standard permitting 

requirements in Articles III, IV, and V of 

the Treaty when the exporting or reexporting country is satisfied that the 

specimen was acquired before the 

provisions of CITES applied to it and 

issues a CITES document to that effect. 

(b) U.S. and foreign general 

provisions. The following general 

provisions apply to the issuance and 

acceptance of pre-Convention 

documents: 

(1) Trade in a specimen under the preConvention exemption is allowed only 

if the importing country will accept a 

pre-Convention certificate. 

(2) The pre-Convention date is the 

date the species was first listed under 

CITES regardless of whether the species 

has subsequently been transferred from 

one Appendix to another. 

(3) For a pre-Convention Appendix-I 

specimen, no CITES import permit is 

required. 

(4) The pre-Convention exemption 

does not apply to offspring or cell lines 

of any wildlife or plant born or 

propagated after the date the species 

was first listed under CITES. 

(c) U.S. application form. Complete 

Form 3–200–23 (wildlife) or Form 3–

200–32 (plants) and submit it to the U.S. 

Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that the 

specimen meets all of the following 

criteria: 

(1) The specimen was removed from 

the wild or born or propagated in a 

controlled environment before the date 

CITES first applied to it, or is a product 

(including a manufactured item) or 

derivative made from such specimen. 

(2) The scientific name of the species 

is the standard nomenclature in the 

CITES Appendices or the references 

adopted by the CoP (see § 23.23). 

(3) 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. 

(4) For the re-export of a preConvention specimen previously 

imported under a CITES document, the 

wildlife or plant was legally imported. 

§ 23.46 What are the requirements for 

registering a commercial breeding 

operation for Appendix-I wildlife and 

commercially exporting specimens? 

(a) Purpose. Article VII(4) of the 

Treaty provides that Appendix-I 

specimens that are bred in captivity for 

commercial purposes shall be deemed 

to be listed in Appendix II. This means 

that an Appendix-I specimen originating 

from a commercial breeding operation 

that is registered with the CITES 

Secretariat may be traded under an 

export permit or re-export certificate 

based on Appendix-II criteria. The 

specimen is still listed in Appendix I 

and is not eligible for any exemption 

granted to an Appendix-II species or 

taxon, including any exemption granted 

by an annotation (see § 23.92). 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the registration of U.S. and 

foreign commercial breeding operations 

for Appendix-I wildlife: 

(1) If the Management Authority is 

satisfied that the operation in its 

country meets the conditions for 

registration in paragraph (d) of this 

section, it will send the request to 

register a breeding operation to the 

Secretariat. 

(2) The Secretariat will verify that the 

application is complete and notify the 

Parties of the request. 

(3) If any Party objects to or expresses 

concern about the registration within 90 

days from the date of the Secretariat’s 

notification, the Secretariat will refer 

the application to the Animals 

Committee. The Committee has 60 days 

to respond to objections. The Secretariat 

will provide the recommendations of 

the Committee to the Management 

Authority of the Party that submitted 

the application and the Party that 

objected to the registration, and will 

facilitate a dialogue for resolution of the 

identified problems within 60 days. 

(4) If the objection is not withdrawn 

or the identified problems are not 

resolved, approval of the registration 

will require a two-thirds majority vote 

by the Parties at the next CoP or by a 

postal vote. 

(5) If other operations have already 

been registered for the species, the 

Secretariat may send the request to 

appropriate experts for advice only if 

significant new information is available 

or if there are other reasons for concern. 

(6) If the Secretariat is not satisfied 

that the operation meets the conditions 

for registration, it will provide the 

Management Authority that submitted 

the registration request with a full 

explanation of the reasons for rejection 

and indicate the specific conditions that 

must be met before the registration can 

be resubmitted for further consideration. 

(7) When the Secretariat is satisfied 

that the operation meets the registration 

requirements, it will include the 

operation in its register. 

(8) Operations are assigned an 

identification number and listed in the 

official register. Registration is not final 

until the Secretariat notifies all Parties. 

(9) If a Party believes that a registered 

operation does not meet the bred-incaptivity requirements, it may, after 

consultation with the Secretariat and 

the Party concerned, propose that the 

CoP delete the operation from the 

register by a two-thirds vote of the 

Parties. Once an operation has been 

deleted, it must re-apply and meet the 

registration requirements to be 

reinstated. 

(10) The Management Authority, in 

collaboration with the Scientific 


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Authority, of a country where any 

registered operation is located must 

monitor the operation to ensure that it 

continues to meet the registration 

requirements. The Management 

Authority will advise the Secretariat of 

any major change in the nature of the 

operation or in the types of products 

being produced for export, and the 

Animals Committee will review the 

operation to determine whether it 

should remain registered. 

(11) A Party may unilaterally request 

the removal of a registered operation 

within its jurisdiction by notifying the 

Secretariat. 

(12) An Appendix-I specimen may not 

be imported for purposes of establishing 

or augmenting a commercial breeding 

operation, unless the specimen is preConvention (see § 23.45) or was bred at 

a commercialbreeding operation that is 

registered with the CITES Secretariat as 

provided in this section. 

(c) U.S. application to register. 

Complete Form 3–200–65 and submit it 

to the U.S. Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the registration of 

U.S. and foreign commercial breeding 

operations for Appendix-I wildlife. For 

your breeding operation to be registered 

in the United States, you must provide 

sufficient information for us to find that 

your proposed activity meets all of the 

following criteria: 

Criteria for registering a commercial breeding operation for Appendix-I wildlife Section 

(1) The operation breeds wildlife for commercial purposes. 23.5 

(2) The parental stock was legally acquired. 23.60 

(3) The wildlife meets bred-in-captivity criteria. 23.63 

(4) Where the establishment of a breeding operation involves the removal of animals from the wild (allowable only under exceptional circumstances and only for native species), the operation must demonstrate to the satisfaction of the Management Authority, on advice of the Scientific Authority and of the Secretariat, that the removal is or was not detrimental to the conservation of 

the species. 

–

(5) The potential escape of specimens or pathogens from the facility does not pose a risk to the ecosystem and native species. –

(6) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the 

CoP. 

23.23 

(7) The breeding operation will make a continuing, meaningful contribution to the conservation of the species according to the conservation needs of the species. –

(8) The operation will be carried out at all stages in a humane (non-cruel) manner. –

(e) Standard conditions of the 

registration. In addition to the 

conditions in § 23.56, you must meet all 

of the following conditions: 

(1) You must uniquely mark all 

specimens from the breeding operation 

in the manner proposed at the time of 

registration. Birds may be marked with 

closed bands, although other methods 

may be used. 

(2) You may not import Appendix-I 

specimens for primarily commercial 

purposes (such as to establish a 

commercial captive-breeding operation) 

except from breeding operations 

registered for that species. 

(3) You must provide information to 

the Management Authority each year on 

the year’s production and your current 

breeding stock. You may provide the 

information by mail, fax, or e-mail. 

(4) You must allow our agents to enter 

the premises at any reasonable hour to 

inspect wildlife held or to inspect, 

audit, or copy applicable records. 

(f) U.S. and foreign general provisions 

for export of specimens that originated 

in a registered breeding operation. The 

following provisions apply to the 

issuance and acceptance of export 

permits for Appendix-I specimens bred 

at an operation registered with the 

CITES Secretariat: 

(1) An export permit may be issued to 

the registered operation or to persons 

who have purchased a specimen that 

originated at the registered operation if 

the specimen has the unique mark 

applied by the operation. If a microchip 

is used, we may, if necessary, ask the 

importer, exporter, or re-exporter to 

have equipment on hand to read the 

microchip at the time of import, export, 

or re-export. 

(2) The export permit, and any 

subsequent re-export certificate, must 

show the specimen as listed in 

Appendix I and the source code as ‘‘D,’’

and give the identification number of 

the registered breeding operation where 

the specimen originated. 

(3) No CITES import permit is 

required for a qualifying specimen. 

(g) U.S. application form. Complete 

Form 3–200–24 and submit it to the U.S. 

Management Authority. 

(h) Criteria. The criteria in this 

paragraph (h) apply to the issuance and 

acceptance of U.S. and foreign export 

permits. When applying for a U.S. 

permit, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

Criteria for an export permit Section 

(1) The specimen was bred at a commercial operation for Appendix-I wildlife that is registered with the CITES Secretariat. 23.46 

(2) The proposed export would not be detrimental to the survival of the species. 23.61 

(3) Live wildlife will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen. 23.23 


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§ 23.47 What are the requirements for 

export of an Appendix-I plant artificially 

propagated for commercial purposes? 

(a) Purpose. Article VII(4) of the 

Treaty provides that Appendix-I plants 

artificially propagated for commercial 

purposes shall be deemed to be listed in 

Appendix II. This means that an 

Appendix-I specimen originating from a 

commercial nursery that is registered 

with the CITES Secretariat or that meets 

the requirements of this section may be 

traded under an export permit or reexport certificate based on Appendix-II 

criteria. The specimen is still listed in 

Appendix I and is not eligible for any 

exemption granted to an Appendix-II 

species or taxon, including any 

exemption granted by an annotation. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

export permits for Appendix-I 

specimens artificially propagated for 

commercial purposes: 

(1) An Appendix-I specimen may not 

be imported for purposes of establishing 

or augmenting a nursery or commercial 

propagating operation, unless the 

specimen is pre-Convention (see §

23.45) or was propagated at a nursery 

that is registered with the CITES 

Secretariat or a commercial propagating 

operation that qualifies under paragraph 

(d) of this section, and the CITES 

document indicates the source code as 

‘‘D.’’

(2) An export permit may be issued to 

a CITES-registered nursery, to a 

commercial propagating operation that 

qualifies under paragraph (d) of this 

section, or to persons who have 

acquired a specimen that originated at 

such a nursery or operation. No CITES 

import permit is required for a 

qualifying specimen. 

(3) The export permit, and any 

subsequent re-export certificate, must 

show the specimen as listed in 

Appendix I and the source code as ‘‘D,’’

and if from a nursery registered with the 

Secretariat, give the identification 

number of the registered nursery where 

the specimen originated. 

(c) U.S. application form. Complete 

Form 3–200–33 or Form 3–200–74 (for 

additional single-use permits under a 

master file or an annual export program 

file). Complete Form 3–200–32 for onetime export. Submit the completed form 

to the U.S. Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign export 

permits. When applying for a U.S. 

permit, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

Criteria for an export permit Section 

(1) The specimen was propagated for commercial purposes. 23.5 

(2) The parental stock was legally acquired. 23.60 

(3) The proposed export would not be detrimental to the survival of the species. 23.61 

(4) The plant was artificially propagated. 23.64 

(5) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the 

CoP. 

23.23 

(6) The live plant will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen. 23.23 

(e) Nursery registration. [Reserved] 

§ 23.48 What are the requirements for a 

registered scientific institution? 

(a) Purpose. Article VII(6) of the 

Treaty grants an exemption that allows 

international trade in certain specimens 

for noncommercial loan, donation, or 

exchange between registered scientific 

institutions. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the registration of scientific 

institutions and acceptance of 

shipments from registered scientific 

institutions: 

(1) The receiving and sending 

scientific institutions must be registered 

with the Management Authority in their 

country. Scientists who wish to use this 

exemption must be affiliated with a 

registered scientific institution. 

(i) When a Management Authority is 

satisfied that a scientific institution has 

met the criteria for registration, it will 

assign the institution a five-character 

code consisting of the ISO country code 

and a unique three-digit number. In the 

case of a non-Party, the Secretariat will 

ensure that the institution meets the 

standards and assign it a unique code. 

(ii) The Management Authority must 

communicate the name, address, and 

assigned code to the Secretariat, which 

maintains a register of scientific 

institutions and provides that 

information to all Parties. 

(2) A registered scientific institution 

does not need separate CITES 

documents for the noncommercial loan, 

donation, or exchange of preserved, 

frozen, dried, or embedded museum 

specimens, herbarium specimens, or 

live plant material with another 

registered institution. The shipment 

must have an external label that 

contains information specified in 

paragraph (e)(5) of this section. 

(c) U.S. application to register as a 

scientific institution. To register, 

complete Form 3–200–39 and submit it 

to the U.S. Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the registration of 

U.S. and foreign institutions for 

scientific exchange. To be issued a 

certificate of scientific exchange as a 

registered U.S. scientific institution, you 

must provide sufficient information for 

us to find that your institution meets all 

of the following criteria: 

(1) Collections of wildlife or plant 

specimens are permanently housed and 

professionally curated, and 

corresponding records are kept. 

(2) Specimens are accessible to all 

qualified users, including those from 

other institutions. 

(3) Specimens are properly 

accessioned in a permanent catalog. 

(4) Records are permanently 

maintained for loans and transfers to 

and from other institutions. 

(5) Specimens are acquired primarily 

for research that is to be reported in 

scientific publications, and CITES 

specimens are not used for commercial 

purposes or as decorations. 

(6) Collections are prepared and 

arranged in a way that ensures their 

accessibility to researchers. 

(7) Specimen labels, permanent 

catalogs, and other records are accurate. 

(8) Specimens are legally acquired 

and lawfully possessed under a 

country’s wildlife and plant laws. 


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(9) Appendix-I specimens are 

permanently and centrally housed 

under the direct control of the 

institution. 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

any activity conducted under a 

certificate of scientific exchange must 

meet all of the following conditions: 

(1) Both scientific institutions 

involved in the exchange must be 

registered by the applicable 

Management Authorities (or the 

Secretariat in the case of a non-Party), 

and be included in the Secretariat’s 

register of scientific institutions. 

(2) An institution may send and 

receive only preserved, frozen, dried, or 

embedded museum specimens, 

herbarium specimens, or live plant 

materials that have been permanently 

and accurately recorded by one of the 

institutions involved in the exchange 

and that are traded as a noncommercial 

loan, donation, or exchange. 

(3) An institution may use specimens 

acquired under a certificate of 

scientificexchange and their offspring 

only for scientific research or 

educational display at a scientific 

institution and may not use specimens 

for commercial purposes. 

(4) The institution must keep records 

to show that the specimens were legally 

acquired. 

(5) A customs declaration label must 

be affixed to the outside of each 

shipping container or package that 

contains all of the following: 

(i) The acronym ‘‘CITES.’’

(ii) A description of the contents 

(such as ‘‘herbarium specimens’’). 

(iii) The names and addresses of the 

sending and receiving registered 

institutions. 

(iv) The signature of a responsible 

officer of the sending registered 

scientific institution. 

(v) The scientific institution codes of 

both registered scientific institutions 

involved in the loan, donation, or 

exchange. 

(6) A registered institution may 

destroy samples during analysis, 

provided that a portion of the sample is 

maintained and permanently recorded 

at a registered scientific institution for 

future scientific reference. 

§ 23.49 What are the requirements for an 

exhibition traveling internationally? 

(a) Purpose. Article VII(7) of the 

Treaty grants an exemption for 

specimens that qualify as bred in 

captivity, artificially propagated, or preConvention and are part of a traveling 

exhibition. 

(b) U.S. and foreign general 

provisions. The following general 

provisions apply to the issuance and 

acceptance of a certificate for live 

wildlife and plants, or their parts, 

products, or derivatives in an exhibition 

that travels internationally: 

(1) The Management Authority in the 

country of the exhibitor’s primary place 

of business must have determined that 

the specimens are bred in captivity, 

artificially propagated, or preConvention and issued a travelingexhibition certificate. 

(2) The certificate must indicate that 

the wildlife or plant is part of a traveling 

exhibition. 

(3) A separate certificate must be 

issued for each live wildlife specimen; 

a CITES document may be issued for 

more than one specimen for a traveling 

exhibition of live plants and dead parts, 

products, or derivatives of wildlife and 

plants. 

(4) The certificate is not transferable. 

(5) Parties should treat the certificate 

like a passport for import and export or 

re-export from each country, and should 

not collect the original certificate at the 

border. 

(6) Parties should check specimens 

closely to determine that each specimen 

matches the certificate and ensure that 

each live specimen is being transported 

and cared for in a manner that 

minimizes the risk of injury, damage to 

health, or cruel treatment of the 

specimen. 

(7) If offspring are born or a new 

specimen is acquired while the traveling 

exhibition is in another country, the 

exhibitor must obtain the appropriate 

CITES document for the export or reexport of the specimen from the 

Management Authority of that country. 

(8) Upon returning home, the 

exhibitor may apply for a travelingexhibition certificate for wildlife born 

overseas or for wildlife or plants 

acquired overseas. 

(c) U.S. application form. Complete 

Form 3–200–30 for wildlife and Form 

3–200–32 for plants, and submit it to the 

U.S. Management Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

certificates. When applying for a U.S. 

certificate, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

(1) The traveling exhibition makes 

multiple cross-border movements, and 

will return to the country in which the 

exhibition is based before the certificate 

expires. 

(2) The cross-border movement must 

be for exhibition, and not for breeding, 

propagating, or activities other than 

exhibition. 

(3) The traveling exhibition is based 

in the country that issued the certificate. 

(4) The specimen meets the criteria 

for a bred-in-captivity certificate, 

certificate for artificially propagated 

plants, or pre-Convention certificate. 

(5) The exhibitor does not intend to 

sell or otherwise transfer the wildlife or 

plant while traveling internationally. 

(6) The wildlife or plant is securely 

marked or identified in such a way that 

border officials can verify that the 

certificate and specimen correspond. If 

a microchip is used, we may, if 

necessary, ask the importer, exporter, or 

re-exporter to have equipment on hand 

to read the microchip at the time of 

import, export, or re-export. 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

you must meet all of the following 

conditions: 

(1) The certificate may be used by 

you, and you must not transfer or assign 

it to another person or traveling 

exhibition. 

(2) You must transport the specimen 

internationally only for exhibition, not 

for breeding, propagating, or activities 

other than exhibition. 

(3) You must present the certificate to 

the official for validation at each border 

crossing. 

(4)For live plants, the quantity of 

plants must be reasonable for the 

purpose of the traveling exhibition. 

(5) You must not sell or otherwise 

transfer the specimen, or any offspring 

born to such specimen, while traveling 

internationally. 

(6) If the certificate is lost, stolen, or 

accidentally destroyed, you may obtain 

a replacement certificate only from the 

U.S. Management Authority. 

(7) If you no longer own the wildlife 

or plants, or no longer plan to travel as 

a traveling exhibition, the original 

certificate must be immediately 

returned to the U.S. Management 

Authority. 

(8) You must return the traveling 

exhibition to the United States before 

the certificate expires. 

§ 23.50 What are the requirements for a 

sample collection covered by an ATA 

carnet? 

(a) Purpose. Article VII(1) of the 

Treaty allows for the transit of 

specimens through or within a Party 

country while the specimens remain 

under customs control. 

(b) Definition. For purposes of this 

section, sample collection means a set of 

legally acquired parts, products, or 

derivatives of Appendix-II or -III 

species, or Appendix-I species bred in 

captivity or artificially propagated for 

commercial purposes, that will: 


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(1) Cross international borders only 

for temporary exhibition or display 

purposes and return to the originating 

country. 

(2) Be accompanied by a valid ATA 

carnet and remain under customs 

control. 

(3) Not be sold or otherwise 

transferred while traveling 

internationally. 

(c) U.S. and foreign general 

provisions. The following general 

provisions apply to the issuance and 

acceptance of a CITES document for the 

movement of sample collections: 

(1) The Management Authority in the 

country where the sample collection 

originated must issue a CITES document 

that: 

(i) Clearly specifies that the document 

was issued for a ‘‘sample collection.’’

(ii) Includes the condition in block 5, 

or an equivalent place, of the document 

that it is valid only if the shipment is 

accompanied by a valid ATA carnet and 

that the specimens must not be sold, 

donated, or otherwise transferred while 

outside the originating country. 

(2) The number of the accompanying 

ATA carnet must be recorded on the 

CITES document, and if this number is 

not recorded by the Management 

Authority, it must be entered by a 

customs or other CITES enforcement 

official responsible for the original 

endorsement of the CITES document. 

(3) The name and address of the 

exporter or re-exporter and importer 

must be identical, and the names of the 

countries to be visited must be indicated 

in block 5 or an equivalent place. 

(4) The date of validity must not be 

later than that of the ATA carnet and the 

period of validity must not exceed 6 

months from the date of issuance. 

(5) At each border crossing, Parties 

must verify the presence of the CITES 

document, but allow it to remain with 

the shipment, and ensure that the ATA 

carnet is properly endorsed with an 

authorized stamp and signature by a 

customs official. 

(6) The exporter or re-exporter must 

return the sample collection to the 

originating country prior to the 

expiration of the CITES document. 

(7) Parties should check the CITES 

document and sample collection closely 

at the time of first export or re-export 

and upon its return to ensure that the 

contents of the sample collection have 

not been changed. 

(8) For import into and export or reexport from the United States, the 

shipment must comply with the 

requirements for wildlife in part 14 of 

this subchapter and for plants in part 24 

of this subchapter and 7 CFR parts 319, 

352, and 355. 

(d) U.S. application form. Complete 

Form 3–200–29 for wildlife and Form 

3–200–32 for plants, and submit it to the 

U.S. Management Authority. 

(e) Criteria. The criteria in this 

paragraph (e) apply to the issuance and 

acceptance of U.S. and foreign 

documents. When applying for a U.S. 

document, you must provide sufficient 

information for us to find that your 

proposed activity meets all of the 

following criteria: 

(1) The specimens meet the definition 

of a sample collection as provided in 

paragraph (b) of this section. 

(2) The wildlife or plant specimens 

must be securely marked or identified in 

such a way that border officials can 

verify that the CITES document, ATA 

carnet, and specimens correspond. 

(f) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

you must meet all of the following 

conditions: 

(1) You must transport the sample 

collection only for temporary exhibition 

or display purposes. 

(2) You must not transfer or assign the 

CITES document toanother person. 

(3) You must not sell, donate, or 

transfer specimens while traveling 

internationally. 

(4) You must present the CITES 

document and the ATA carnet to the 

official for validation at each border 

crossing. 

(5) You must return the sample 

collection to the United States prior to 

the expiration of the CITES document. 

(6) If the CITES document is lost, 

stolen, or accidentally destroyed, you 

may obtain a replacement certificate 

only from the U.S. Management 

Authority. 

(7) If you no longer own the sample 

collection, or no longer plan to travel 

with the sample collection, you must 

immediately return the original 

document to the U.S. Management 

Authority. 

§ 23.51 What are the requirements for 

issuing a partially completed CITES 

document? 

(a) Purpose. Under Article VIII(3), 

Parties are to ensure that CITES 

specimens are traded with a minimum 

of delay. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

partially completed CITES documents. 

(1) A Management Authority may 

issue partially completed CITES 

documents only when: 

(i) The permitted trade will have a 

negligible impact or no impact on the 

conservation of the species. 

(ii) All provisions of CITES have been 

met. 

(iii) The specimens are one of the 

following: 

(A) Biological samples. 

(B) Pre-Convention specimens. 

(C) Specimens that qualify as bred in 

captivity or artificially propagated. 

(D) Appendix-I specimens from 

registered commercial breeding 

operations. 

(E) Appendix-I plants artificially 

propagated for commercial purposes. 

(F) Other specimens that the 

Management Authority determines 

qualify for partially completed 

documents. 

(2) A Management Authority may 

register applicants for species that may 

be traded under partially completed 

documents. 

(3) Partially completed CITES 

documents require the permit holder to: 

(i) Enter specific information on the 

CITES document or its annex as 

conditioned on the face of the CITES 

document. 

(ii) Enter scientific names on the 

CITES document only if the 

Management Authority included an 

inventory of approved species on the 

face of the CITES document or an 

attached annex. 

(iii) Sign the CITES document, which 

acts as a certification that the 

information entered is true and 

accurate. 

(4) CITES documents issued for 

biological samples may be validated at 

the time of issuance provided that upon 

export the container is labeled with the 

CITES document number and indicates 

it contains CITES biological samples. 

(c) U.S. application form. Complete 

the appropriate form for the proposed 

activity (see §§ 23.18 through 23.20) and 

submit it to the U.S. Management 

Authority. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign CITES 

documents. When applying for a U.S. 

CITES document, you must provide 

sufficient information for us to find that 

your proposed activity meets the criteria 

in subpart C for the appropriate CITES 

document and the following criteria: 

(1) The use of partially completed 

documents benefits both the permit 

holder and the issuing Management 

Authority. 

(2) The proposed activity will have a 

negligible impact or no impact upon the 

conservation of the species. 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56 

and any standard conditions in this part 

that apply to the specific CITES 

document, the following conditions 

must be met: 

(1) You must enter the information 

specified in block 5, either on the face 


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of the CITES document or in an annex 

to the document. 

(2) You may not alter or enter any 

information on the face of the CITES 

document or in an annex to the 

document that is not authorized in 

block 5 or an equivalent place. 

(3) If you are authorized to enter a 

scientific name, it must be for a species 

authorized in block 5 or an equivalent 

place, or in an attached annex of the 

CITES document. 

(4) You must sign the CITES 

document to certify that all information 

entered by you is true and correct. 

§ 23.52 What are the requirements for 

replacing a lost, damaged, stolen, or 

accidentally destroyed CITES document? 

(a) Purpose. A Management Authority 

may issue a duplicate document, either 

a copy of the original or a re-issued 

original, when a CITES document has 

been lost, damaged, stolen, or 

accidentally destroyed. These 

provisions do not apply to a document 

that has expired or that requires 

amendment. To amend or renew a 

CITES document, see part 13 of this 

subchapter. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

a replacement CITES document: 

(1) The permittee must notify the 

issuing Management Authority that the 

document was lost, damaged, stolen, or 

accidentally destroyed. 

(2) The issuing Management 

Authority must be satisfied that the 

CITES document was lost, damaged, 

stolen, or accidentally destroyed. 

(3) The issuing Management 

Authority should immediately inform 

the Management Authority in the 

country of destination and, for 

commercial shipments, the Secretariat. 

(4) If the replacement CITES 

document is a copy, it must indicate 

that it is a ‘‘replacement’’ and a ‘‘true 

copy of the original,’’ contain a new 

dated original signature of a person 

authorized to sign CITES documents for 

the issuing Management Authority, and 

give the reason for replacement. 

(5) If the replacement CITES 

document is a newly issued original 

document, it must indicate that it is a 

‘‘replacement,’’ include the number and 

date of issuance of the document being 

replaced, and give the reason for 

replacement. 

(c) U.S. application procedures. To 

apply for a replacement CITES 

document, you must do all of the 

following: 

(1) Complete application Form 3–

200–66 and submit it to the U.S. 

Management Authority. 

(2) Consult the list to find the types 

of information you need to provide 

(more than one circumstance may apply 

to you): 

If Then 

(i) The shipment has already occurred Provide copies of: 

(A) Any correspondence you have had with the shipper or importing country’s Management Authority 

concerning the shipment. 

(B) For wildlife, the validated CITES document and cleared Declaration for Importation or Exportation 

of Fish or Wildlife (Form 3–177). 

(C) For plants, the validated CITES document. 

(ii) The original CITES document 

no longer exists 

Submit a signed, dated, and notarized statement that: 

(A) Provides the CITES document number and describes the circumstances that resulted in the loss 

or destruction of the original CITES document. 

(B) States whether the shipment has already occurred. 

(C) Requests a replacement U.S. CITES document. 

(iii) An original CITES document 

exists but has been damaged 

Submit the original damaged CITES document and a signed, dated, and notarized statement that: 

(A) Describes the circumstances that resulted in the CITES document being damaged. 

(B) States whether the shipment has already occurred. 

(C) Requests a replacement U.S. CITES document. 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S and foreign 

documents. When applying for a U.S. 

replacement document, you must 

provide sufficient information for us to 

find that your proposed activity meets 

all of the following criteria: 

(1) The circumstances for the lost, 

damaged, stolen, or accidentally 

destroyed CITES document are 

reasonable. 

(2) If the shipment has already been 

made, the wildlife or plant was legally 

exported or re-exported, and the 

Management Authority of the importing 

country has indicated it will accept the 

replacement CITES document. 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

the following conditions apply: 

(1) If the original CITES document is 

found, you must return it to the U.S. 

Management Authority. 

(2) A CITES document issued for a 

shipment that has already occurred does 

not require validation. 

(f) Validation. For an export or reexport that has not left the United 

States, follow the procedures in § 23.27. 

If the shipment has left the United 

States and is in a foreign country, 

submit the unvalidated replacement 

CITES document to the appropriate 

foreign authorities. We will not validate 

the replacement CITES document for a 

shipment that has already been shipped 

to a foreign country. We do not require 

validation on replacement documents 

issued by foreign Management 

Authorities. 

§ 23.53 What are the requirements for 

obtaining a retrospective CITES document? 

(a) Purpose. Retrospective CITES 

documents may be issued and accepted 

in certain limited situations to authorize 

an export or re-export after that activity 

has occurred, but before the shipment is 

cleared for import. 

(b) U.S. and foreign general 

provisions. The following provisions 

apply to the issuance and acceptance of 

a retrospective CITES document: 

(1) A retrospective document may not 

be issued for Appendix-I specimens 

except for certain specimens for 

personal use as specified in paragraph 

(d)(7) of this section. 

(2) The exporter or re-exporter must 

notify the Management Authority in the 

exporting or re-exporting country of the 

irregularities that have occurred. 

(3) A retrospective document may be 

one of the following: 

(i) An amended CITES document 

where it can be shown that the issuing 

Management Authority made a 

technical error that was not prompted 

by the applicant. 

(ii) A newly issued CITES document 

where it can be shown that the 


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applicant was misinformed by CITES 

officials or the circumstances in (d)(7) of 

this section apply and a shipment has 

occurred without a document. 

(4) Retrospective documents can only 

be issued after consultation between the 

Management Authorities in both the 

exporting or re-exporting country and 

the importing country, including a 

thorough investigation of circumstances 

and agreement between them that 

criteria in paragraph (d) of this section 

have been met. 

(5) The issuing Management 

Authority must provide all of the 

following information on any 

retrospective CITES document: 

(i) A statement that it was issued 

retrospectively. 

(ii) A statement specifying the reason 

for the issuance. 

(iii) In the case of a document issued 

for personal use, a condition restricting 

sale of the specimen within 6 months 

following the import of the specimen. 

(6) The issuing Management 

Authority must send a copy of the 

retrospective CITES document to the 

Secretariat. 

(7) In general, except when the 

exporter or re-exporter and importer 

have demonstrated they were not 

responsible for the irregularities, any 

person who has been issued a CITES 

document in the past will not be eligible 

to receive a retrospective document. 

(c) U.S. application. Complete 

application Form 3–200–58 and submit 

it to the U.S. Management Authority. In 

addition, submit one of the following: 

(1) For a shipment that occurred 

under a document containing a 

technical error, the faulty CITES 

document. 

(2) For a shipment that occurred 

without a CITES document, a completed 

application form for the type of activity 

you conducted (see §§ 23.18 through 

23.20). 

(d) Criteria. The criteria in this 

paragraph (d) apply to the issuance and 

acceptance of U.S. and foreign 

documents. When applying for a U.S. 

document, you must provide sufficient 

information for us to find that your 

activity meets all of the following 

criteria: 

(1) The specimens were exported or 

re-exported without a CITES document 

or with a CITES document that 

contained technical errors as provided 

in paragraph (d)(6)(ii) of this section. 

(2) The specimens were presented to 

the appropriate official for inspection at 

the time of import and a request for a 

retrospective CITES document was 

made at that time. 

(3) The export or re-export and import 

of the specimens was otherwise in 

compliance with CITES and the relevant 

national legislation of the countries 

involved. 

(4) The importing Management 

Authority has agreed to accept the 

retrospectively issued CITES document. 

(5) The specimens must be AppendixII or -III wildlife or plants, except as 

provided in paragraph (d)(7) of this 

section. 

(6) Except as provided in paragraph 

(d)(7) of this section, the exporter or reexporter and importer were not 

responsible for the irregularities that 

occurred and have demonstrated one of 

the following: 

(i) The ManagementAuthority or 

officials designated to clear CITES 

shipments misinformed the exporter or 

re-exporter or the importer about the 

CITES requirements. In the United 

States, this would be an employee of the 

FWS (for any species) or APHIS or CBP 

(for plants). 

(ii) The Management Authority 

unintentionally made a technical error 

that was not prompted by information 

provided by the applicant when issuing 

the CITES document. 

(7) In the case of specimens for 

personal use, you must either show that 

you qualify under paragraph (d)(6) of 

this section, or that a genuine error was 

made and that there was no attempt to 

deceive. The following specimens for 

personal use may qualify for issuance of 

a retrospective document: 

(i) Personal or household effects. 

(ii) Live Appendix-II or -III specimens 

or live pre-Convention Appendix-I 

specimens that you own for your 

personal use, accompanied you, and 

number no more than two. 

(iii) Parts, products, or derivatives of 

an Appendix-I species that qualify as 

pre-Convention when the following 

conditions are met: 

(A) You own and possess the 

specimen for personal use. 

(B) You either wore the specimen as 

clothing or an accessory or took it as 

part of your personal baggage, which 

was carried by you or checked as 

baggage on the same plane, boat, car, or 

train as you. 

(C) The quantity is reasonably 

necessary or appropriate for the nature 

of your trip or stay. 

(e) U.S. standard conditions. In 

addition to the conditions in § 23.56, 

the following condition applies: A 

CITES document issued for a shipment 

that has already occurred does not 

require validation. 

(f) Validation. Submit the original 

unvalidated retrospective CITES 

document to the appropriate foreign 

authority. We will not validate the 

retrospective CITES document for a 

shipment that has already been shipped 

to a foreign country, and we do not 

require validation on retrospective 

documents issued by foreign 

Management Authorities. 

§ 23.54 How long is a U.S. or foreign 

CITES document valid? 

(a) Purpose. Article VI(2) of the Treaty 

sets the time period within which an 

export permit is valid. Validity periods 

for other CITES documents are 

prescribed in this section. 

(b) Period of validity. CITES 

documents are valid only if presented 

for import or introduction from the sea 

within the period of validity (before 

midnight on the expiration date) noted 

on the face of the document. 

(1) An export permit and re-export 

certificate will be valid for no longer 

than 6 months from the issuance date. 

(2) An import permit, introductionfrom-the-sea certificate, and certificate 

of origin will be valid for no longer than 

12 months from the issuance date. 

(3) A traveling-exhibition certificate 

and certificate of ownership will be 

valid for no longer than 3 years from the 

issuance date. 

(4) Other CITES documents will state 

the period of their validity, but no U.S. 

CITES document will be valid for longer 

than 3 years from the issuance date. 

(c) Extension of validity. The validity 

of a CITES document may not be 

extended beyond the expiration date on 

the face of the document, except under 

limited circumstances for certain timber 

species as outlined in § 23.73. 

§ 23.55 How may I use a CITES specimen 

after import into the United States? 

You may use CITES specimens after 

import into the United States for the 

following purposes: 


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If the species is listed in Allowed use after import 

(a) Appendix I, except for specimens imported with a CITES exemption 

document listed in paragraph (d) of this section. 

(b) Appendix II with an annotation for noncommercial purposes where 

other specimens of that species are treated as if listed in Appendix I. 

(c) Appendix II and threatened under the ESA, except as provided in a 

special rule in §§ 17.40 through 17.48 or under a permit granted 

under §§ 17.32 or 17.52. 

The specimen may be used, including a transfer, donation, or exchange, only for noncommercial purposes. 

(d) Appendix I, and imported with a CITES exemption document as follows: 

(1) U.S-issued certificate for personally owned wildlife. 

(2) Pre-Convention certificate. 

(3) Export permit or re-export certificate for wildlife from a registered commercial breeding operation. 

(4) Export permit or re-export certificate for a plant from a registered nursery or under a permit with a source code of ‘‘D.’’

(5) U.S.-issued traveling-exhibition certificate. 

(e) Appendix II, other than those in paragraphs (b) and (c) of this section. 

(f) Appendix III. 

The specimen may be used for any purpose, except if the regulations 

in this part or other parts of this subchapter or a permit condition allowed the import only for noncommercial purposes, then the import 

and subsequent use must be only for noncommercial purposes. 

§ 23.56 What U.S. CITES document 

conditions do I need to follow? 

(a) General conditions. The following 

general conditions apply to all U.S. 

CITES documents: 

(1) You must comply with the 

provisions of part 13 of this subchapter 

as conditions of the document, as well 

as other applicable regulations in this 

subchapter, including, but not limited 

to, any that require permits. You must 

comply with all applicable local, State, 

Federal, tribal, and foreign wildlife or 

plant conservation laws. 

(2) For export and re-export of live 

wildlife and plants, transport conditions 

must comply with CITES’Guidelines for 

transport and preparation for shipment 

of live wild animals and plantsor, in the 

case of air transport of live wildlife, 

with International Air Transport 

Association Live Animals Regulations. 

(3) You must return the original 

CITES document to the issuing office if 

you do not use it, it expires, or you 

request renewal or amendment. 

(4) When appropriate, a Management 

Authority may require that you identify 

Appendix-II and -III wildlife or plants 

with a mark. All live Appendix-I 

wildlife must be securely marked or 

uniquely identified. Such mark or 

identification must be made in a way 

that the border official can verify that 

the specimen and CITES document 

correspond. If a microchip is used, we 

may, if necessary, ask the importer, 

exporter, or re-exporter to have 

equipment on hand to read the 

microchip at the time of import, export, 

or re-export. 

(b) Standard conditions. You must 

comply with the standard conditions 

provided in this part for specific types 

of CITES documents. 

(c) Special conditions. We may place 

special conditions on a CITES document 

based on the needs of the species or the 

proposed activity. You must comply 

with any special conditions contained 

in or attached to a CITES document. 

Subpart D—Factors Considered in 

Making Certain Findings 

§ 23.60 What factors are considered in 

making a legal acquisition finding? 

(a) Purpose. Articles III, IV, and V of 

the Treaty require a Management 

Authority to make a legal acquisition 

finding before issuing export permits 

and re-export certificates. The Parties 

have agreed that a legal acquisition 

finding must also be made before 

issuing certain CITES exemption 

documents. 

(b) Types of legal acquisition. Legal 

acquisition refers to whether the 

specimen and its parental stock were: 

(1) Obtained in accordance with the 

provisions of national laws for the 

protection of wildlife and plants. In the 

United States, these laws include all 

applicable local, State, Federal, tribal, 

and foreign laws; and 

(2) If previously traded, traded 

internationally in accordance with the 

provisions of CITES. 

(c) How we make our findings. We 

make a finding that a specimen was 

legally acquired in the following way: 

(1) The applicant must provide 

sufficient information (see § 23.34) for 

us to make a legal acquisition finding. 

(2) We make this finding after 

considering all available information. 

(3) The amount of information we 

need to make the finding is based on our 

review of general factors described in 

paragraph (d) of this section and 

additional specific factors described in 

paragraphs (e) through (k) of this 

section. 

(4) As necessary, we consult with 

foreign Management and Scientific 

Authorities, the CITES Secretariat, State 

conservation agencies, Tribes, FWS Law 

Enforcement, APHIS or CBP, and other 

appropriate experts. 

(d) Risk assessment. We review the 

general factors listed in this paragraph 

and additional specific factors in 

paragraphs (e) through (k) of this section 

to assess the level of scrutiny and 

amount of information we need to make 

a finding of legal acquisition. We give 

less scrutiny and require less-detailed 

information when there is a low risk 

that specimens to be exported or reexported were not legally acquired, and 

give more scrutiny and require more 

detailed information when the proposed 

activity poses greater risk. We consider 

the cumulative risks, recognizing that 

each aspect of the international trade 

has a continuum of risk from high to 

low associated with it as follows: 

(1) Status of the species: From 

Appendix I to Appendix III. 

(2) Origin of the specimen: From wildcollected to born or propagated in a 

controlled environment to bred in 

captivity or artificially propagated. 

(3) Source of the propagule used to 

grow the plant: From documentation 

that the plant was grown from a nonexempt seed or seedling to 

documentation that the plant was grown 

from an exempt seed or seedling. 

(4) Origin of the species: From species 

native to the United States or its 

bordering countries of Mexico or 

Canada to nonnative species from other 

countries. 

(5) Volume of illegal trade: From high 

to low occurrence of illegal trade. 


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(6) Type of trade: From commercial to 

noncommercial. 

(7) Trade by range countries: From 

range countries that do not allow 

commercial export, or allow only 

limited noncommercial export of the 

species, to range countries that allow 

commercial export in high volumes. 

(8) Occurrence of the species in a 

controlled environment in the United 

States: From uncommon to common in 

a controlled environment in the United 

States. 

(9) Ability of the species to be bred or 

propagated readily in a controlled 

environment: From no documentation 

that the species can be bred or 

propagated readily in a controlled 

environment to widely accepted 

information that the species is 

commonly bred or propagated. 

(10) Genetic status of the specimen: 

From a purebred species to a hybrid. 

(e) Captive-bred wildlife or a 

cultivated plant. For a specimen that is 

captive-bred or cultivated, we may 

consider whether the parentalstock was 

legally acquired. 

(f) Confiscated specimen. For a 

confiscated Appendix-II or -III 

specimen, we consider whether 

information shows that the transfer of 

the confiscated specimen or its offspring 

met the conditions of the remission 

decision, legal settlement, or disposal 

action after forfeiture or abandonment. 

(g) Donated specimen of unknown 

origin. For an unsolicited specimen of 

unknown origin donated to a public 

institution (see § 10.12 of this 

subchapter), we consider whether: 

(1) The public institution follows 

standard recordkeeping practices and 

has made reasonable efforts to obtain 

supporting information on the origin of 

the specimen. 

(2) The public institution provides 

sufficient information to show it made 

a reasonable effort to find a suitable 

recipient in the United States. 

(3) The export will provide a 

conservation benefit to the species. 

(4) No persuasive information exists 

on illegal transactions involving the 

specimen. 

(5) The export is noncommercial, with 

no money or barter exchanged except 

for shipping costs. 

(6) The institution has no history of 

receiving a series of rare and valuable 

specimens or a large quantity of wildlife 

or plants of unknown origin. 

(h) Imported previously. For a 

specimen that was previously imported 

into the United States, we consider any 

reliable, relevant information we receive 

concerning the validity of a CITES 

document, regardless of whether the 

shipment was cleared by FWS, APHIS, 

or CBP. 

(i) Personal use. For a wildlife or 

plant specimen that is being exported or 

re-exported for personal use by the 

applicant, we consider whether: 

(1) The specimen was acquired in the 

United States and possessed for strictly 

personal use. 

(2) The number of specimens is 

reasonably appropriate for the nature of 

your export or re-export as personal use. 

(3) No persuasive evidence exists on 

illegal transactions involving the 

specimen. 

(j) Sequential ownership. For a 

specimen that was previously possessed 

by someone other than the applicant, we 

may consider the history of ownership 

for a specimen and its parental stock, 

breeding stock, or cultivated parental 

stock. 

(k) Wild-collected in the United 

States. For a specimen collected from 

the wild in the United States, we 

consider the site where the specimen 

was collected, whether the species is 

known to occur at that site, the 

abundance of the species at that site, 

and, if necessary, whether permission of 

the appropriate management agency or 

landowner was obtained to collect the 

specimen. 

§ 23.61 What factors are considered in 

making a non-detriment finding? 

(a) Purpose. Articles III and IV of the 

Treaty require that, before we issue a 

CITES document, we find that a 

proposed export or introduction from 

the sea of Appendix-I or -II specimens 

is not detrimental to the survival of the 

species and that a proposed import of an 

Appendix-I specimen is for purposes 

that would not be detrimental to the 

survival of the species. 

(b) Types of detriment. Detrimental 

activities, depending on the species, 

could include, among other things, 

unsustainable use and any activities that 

would pose a net harm to the status of 

the species in the wild. For AppendixI species, it also includes use or removal 

from the wild that results in habitat loss 

or destruction, interference with 

recovery efforts for a species, or 

stimulation of further trade. 

(c) General factors. The applicant 

must provide sufficient information for 

us to make a finding of non-detriment. 

In addition to factors in paragraphs (d) 

and (e) of this section, we will consider 

whether: 

(1) Biological and management 

information demonstrates that the 

proposed activity represents sustainable 

use. 

(2) The removal of the animal or plant 

from the wild is part of a biologically 

based sustainable-use management plan 

that is designed to eliminate overutilization of the species. 

(3) If no sustainable-use management 

plan has been established, the removal 

of the animal or plant from the wild 

would not contribute to the overutilization of the species, considering 

both domestic and international uses. 

(4) The proposed activity, including 

the methods used to acquire the 

specimen, would pose no net harm to 

the status of the species in the wild. 

(5) The proposed activity would not 

lead to long-term declines that would 

place the viability of the affected 

population in question. 

(6) The proposed activity would not 

lead to significant habitat or range loss 

or restriction. 

(d) Additional factor for Appendix-II 

species. In addition to the general 

factors in paragraph (c) of this section, 

we will consider whether the intended 

export of an Appendix-II species would 

cause a significant risk that the species 

would qualify for inclusion in 

Appendix I. 

(e) Additional factors for Appendix-I 

species. In addition to the general 

factors in paragraph (c) of this section, 

we will consider whether the proposed 

activity: 

(1) Would not cause an increased risk 

of extinction for either the species as a 

whole or the population from which the 

specimen was obtained. 

(2) Would not interfere with the 

recovery of the species. 

(3) Would not stimulate additional 

trade in the species. If the proposed 

activity does stimulate trade, we will 

consider whether the anticipated 

increase in trade would lead to the 

decline of the species. 

(f) How we make our findings. We 

base the non-detriment finding on the 

best available biological information. 

We also consider trade information, 

including trade demand, and other 

scientific management information. We 

make a non-detriment finding in the 

following way: 

(1) We consult with the States, Tribes, 

other Federal agencies, scientists, other 

experts, and the range countries of the 

species. 

(2) We consult with the Secretariat 

and other Parties to monitor the level of 

trade that is occurring in the species. 

(3) Based on the factors in paragraphs 

(c) through (e) of this section, we 

evaluate the biological impact of the 

proposed activity. 

(4) In cases where insufficient 

information is available or the factors 

above are not satisfactorily addressed, 

we take precautionary measures and 


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would be unable to make the required 

finding of non-detriment. 

(g) Risk assessment. We review the 

status of the species in the wild and the 

degree of risk the proposed activity 

poses to the species to determine the 

level of scrutiny needed to make a 

finding. We give greater scrutiny and 

require moredetailed information for 

activities that pose a greater risk to a 

species in the wild. We consider the 

cumulative risks, recognizing that each 

aspect of international trade has a 

continuum of risk (from high to low) 

associated with it as follows: 

(1) Status of the species: From 

Appendix I to Appendix II. 

(2) Origin of the specimen: From wildcollected to born or propagated in a 

controlled environment to bred in 

captivity or artificially propagated. 

(3) Source of the propagule used to 

grow the plant: From documentation 

that the plant was grown from a nonexempt seed or seedling to 

documentation that the plant was grown 

from an exempt seed or seedling. 

(4) Origin of the species: From native 

species to nonnative species. 

(5) Volume of legal trade: From high 

to low occurrence of legal trade. 

(6) Volume of illegal trade: From high 

to low occurrence of illegal trade. 

(7) Type of trade: From commercial to 

noncommercial. 

(8) Genetic status of the specimen: 

From a purebred species to a hybrid. 

(9) Risk of disease transmission: From 

high to limited risk of disease 

transmission. 

(10) Basis for listing: From listed 

under Article II(1) or II(2)(a) of the 

Treaty to listed under Article II(2)(b). 

(h) Quotas for Appendix-I species. 

When an export quota has been set by 

the CoP for an Appendix-I species, we 

will consider the scientific and 

management basis of the quota together 

with the best available biological 

information when we make our nondetriment finding. We will contact the 

Scientific and Management Authorities 

of the exporting country for further 

information if needed. 

§ 23.62 What factors are considered in 

making a finding of not for primarily 

commercial purposes? 

(a) Purpose. Under Article III(3(c)) 

and (5(c)) of the Treaty, an import 

permit or an introduction-from-the-sea 

certificate for Appendix-I species can be 

issued only if the Management 

Authority is satisfied that the specimen 

is not to be used for primarily 

commercial purposes. Trade in 

Appendix-I species must be subject to 

particularly strict regulation and 

authorized only in exceptional 

circumstances. 

(b) How we make our findings. We 

must find that the intended use of the 

Appendix-I specimen is not for 

primarily commercial purposes before 

we can issue a CITES document. 

(1) We will make this decision on a 

case-by-case basis considering all 

available information. 

(2) The applicant must provide 

sufficient information to satisfy us that 

the intended use is not for primarily 

commercial purposes. 

(3) The definitions of ‘‘commercial’’

and ‘‘primarily commercial purposes’’

in § 23.5 apply. 

(4) We will look at all aspects of the 

intended use of the specimen. If the 

noncommercial aspects do not clearly 

predominate, we will consider the 

import or introduction from the sea to 

be for primarily commercial purposes. 

(5) While the nature of the transaction 

between the owner in the country of 

export and the recipient in the country 

of import or introduction from the sea 

may have some commercial aspects, 

such as the exchange of money to cover 

the costs of shipment and care of 

specimens during transport, it is the 

intended use of the specimen, including 

the purpose of the export, that must not 

be for primarily commercial purposes. 

(6) We will conduct an assessment of 

factors listed in paragraph (d) of this 

section. For activities involving an 

anticipated measurable increase in 

revenue and other economic value 

associated with the intended use, we 

will conduct an analysis as described in 

paragraph (e) of this section. 

(7) All net profits generated in the 

United States from activities associated 

with the import of an Appendix-I 

species must be used for conservation of 

that species. 

(c) Examples. The following are 

examples of types of transactions in 

which the noncommercial aspects of the 

intended use of the specimen may 

predominate depending on the facts of 

each situation. The discussions of each 

example provide further guidance in 

assessing the actual degree of 

commerciality on a case-by-case basis. 

These examples outline circumstances 

commonly encountered and do not 

cover all situations where import or 

introduction from the sea could be 

found to be not for primarily 

commercial purposes. 

(1) Personal use. Import or 

introduction from the sea of an 

Appendix-I specimen for personal use 

generally is considered to be not for 

primarily commercial purposes. An 

example is the import of a personal 

sport-hunted trophy by the person who 

hunted the wildlife for display in his or 

her own home. 

(2) Scientific purposes. The import or 

introduction from the sea of an 

Appendix-I specimen by a scientist or 

scientific institution may be permitted 

in situations where resale, commercial 

exchange, or exhibit of the specimen for 

economic benefit is not the primary 

intended use. 

(3) Conservation, education, or 

training. Generally an Appendix-I 

specimen may be imported or 

introduced from the sea by government 

agencies or nonprofit institutions for 

purposes of conservation, education, or 

training. For example, a specimen could 

be imported or introduced from the sea 

primarily to train customs staff in 

effective CITES control, such as for 

identification of certain types of 

specimens. 

(4) Biomedical industry. Import or 

introduction from the sea of an 

Appendix-I specimen by an institution 

or company in the biomedical industry 

is initially presumed to be commercial 

since specimens are typically imported 

or introduced from the sea to develop 

and sell products that promote public 

health for profit. However, if 

theimporter clearly shows that the sale 

of products is only incidental to public 

health research and not for the primary 

purpose of economic benefit or profit, 

then such an import or introduction 

from the sea could be considered as 

scientific research under paragraph 

(c)(2) of this section if the principles of 

paragraph (b) of this section are met. 

(5) Captive-breeding or artificial 

propagation programs. The import of an 

Appendix-I specimen for purposes of 

establishing a commercial operation for 

breeding or artificial propagation is 

considered to be for primarily 

commercial purposes. As a general rule, 

import or introduction from the sea of 

an Appendix-I specimen for a captivebreeding or artificial propagation 

program must have as a priority the 

long-term protection and recovery of the 

species in the wild. The captivebreeding or artificial propagation 

program must be part of a program 

aimed at the recovery of the species in 

the wild and be undertaken with the 

support of a country within the species’

native range. Any profit gained must be 

used to support this recovery program. 

If a captive-breeding or artificial 

propagation operation plans to sell 

surplus specimens to help offset the 

costs of its program, import or 

introduction from the sea would be 

allowed only if any profit would be 

used to support the captive-breeding or 

artificial propagation program to the 

benefit of the Appendix-I species, not 

for the personal economic benefit of a 

private individual or share-holder. 


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(6) Professional dealers. Import or 

introduction from the sea by a 

professional dealer who states a general 

intention to eventually sell the 

specimen or its offspring to an 

undetermined recipient would be 

considered to be for primarily 

commercial purposes. However, import 

or introduction from the sea through a 

professional dealer by a qualified 

applicant may be acceptable if the 

ultimate intended use would be for one 

of the purposes set out in paragraphs 

(c)(2), (3), and (5) of this section and 

where a binding contract, conditioned 

on the issuing of permits, is in place. 

(d) Risk assessment. We review the 

factors listed in this paragraph (d) to 

assess the level of scrutiny and amount 

of information we need to make a 

finding of whether the intended use of 

the specimen is not for primarily 

commercial purposes. We give less 

scrutiny and require less detailed 

information when the import or 

introduction from the sea poses a low 

risk of being primarily commercial, and 

give more scrutiny and require more 

detailed information when the proposed 

activity poses greater risk. We consider 

the cumulative risks, recognizing that 

each aspect of the international trade 

has a continuum of risk from high to 

low associated with it as follows: 

(1) Type of importer: From for-profit 

entity to private individual to nonprofit 

entity. 

(2) Ability of the proposed uses to 

generate revenue: From the ability to 

generate measurable increases in 

revenue or other economic value to no 

anticipated increases in revenue or 

other economic value. 

(3) Appeal of the species: From high 

public appeal to low public appeal. 

(4) Occurrence of the species in the 

United States: From uncommon to 

common in a controlled environment in 

the United States. 

(5) Intended use of offspring: From 

commercial to noncommercial. 

(e) Analysis of anticipated revenues 

and other economic value. We will 

analyze revenues and other economic 

value anticipated to result from the use 

of the specimen for activities with a 

high risk of being primarily commercial. 

(1) We will examine the proposed use 

of any net profits generated in the 

United States. We consider net profit to 

include all funds or other valuable 

considerations (including enhanced 

value of common stock shares) received 

or attained by you or those affiliated 

with you as a result of the import or 

introduction from the sea, to the extent 

thatsuch funds or other valuable 

considerations exceed the reasonable 

expenses that are properly attributable 

to the proposed activity. 

(2) We will consider any conservation 

project to be funded and, if the species 

was or is to be taken from the wild, how 

the project benefits the species in its 

native range, including agreements, 

timeframes for accomplishing tasks, and 

anticipated benefits to the species. 

(3) We will consider any plans to 

monitor a proposed conservation 

project, including expenditure of funds 

or completion of tasks. 

(4) In rare cases involving unusually 

high net profits, we will require the 

applicant to provide a detailed analysis 

of expected revenue (both direct and 

indirect) and expenses to show 

anticipated net profit, and a statement 

from a licensed, independent certified 

public accountant that the internal 

accounting system is sufficient to 

account for and track funds generated 

by the proposed activities. 

§ 23.63 What factors are considered in 

making a finding that an animal is bred in 

captivity? 

(a) Purpose. Article VII(4) and (5) of 

the Treaty provide exemptions that 

allow for the special treatment of 

wildlife that was bred in captivity (see 

§§ 23.41 and 23.46). 

(b) Definitions. The following terms 

apply when determining whether 

specimens qualify as ‘‘bred in 

captivity’’: 

(1) A controlled environment means 

one that is actively manipulated for the 

purpose of producing specimens of a 

particular species; that has boundaries 

designed to prevent specimens, 

including eggs or gametes, from entering 

or leaving the controlled environment; 

and has general characteristics that may 

include artificial housing, waste 

removal, provision of veterinary care, 

protection from predators, and 

artificially supplied food. 

(2) Breeding stock means an ensemble 

of captive wildlife used for 

reproduction. 

(c) Bred-in-captivity criteria. For a 

specimen to qualify as bred in captivity, 

we must be satisfied that all the 

following criteria are met: 

(1) If reproduction is sexual, the 

specimen was born to parents that either 

mated or transferred gametes in a 

controlled environment. 

(2) If reproduction is asexual, the 

parent was in a controlled environment 

when development of the offspring 

began. 

(3) The breeding stock meets all of the 

following criteria: 

(i) Was established in accordance 

with the provisions of CITES and 

relevant national laws. 

(ii) Was established in a manner not 

detrimental to the survival of the 

species in the wild. 

(iii) Is maintained with only 

occasional introduction of wild 

specimens as provided in paragraph (d) 

of this section. 

(iv) Has consistently produced 

offspring of second or subsequent 

generations in a controlled 

environment, or is managed in a way 

that has been demonstrated to be 

capable of reliably producing secondgeneration offspring and has produced 

first-generation offspring. 

(d) Addition of wild specimens. A 

very limited number of wild specimens 

(including eggs or gametes) may be 

introduced into a breeding stock if all of 

the following conditions are met (for 

Appendix-I specimens see also §

23.46(b)(12)): 

(1) The specimens were acquired in 

accordance with the provisions of 

CITES and relevant national laws. 

(2) The specimens were acquired in a 

manner not detrimental to the survival 

of the species in the wild. 

(3) The specimens were added either 

to prevent or alleviate deleterious 

inbreeding, with the number of 

specimens added as determined by the 

need for new genetic material, or to 

dispose of confiscated animals. 

§ 23.64 What factors are considered in 

making a finding that a plant is artificially 

propagated? 

(a) Purpose. Article VII(4) and (5) of 

the Treaty provide exemptions that 

allow for special treatment of plants that 

were artificially propagated (see §§

23.40 and 23.47). 

(b) Definitions. The following terms 

apply when determining whether 

specimens qualify as ‘‘artificially 

propagated’’: 

(1) Controlled conditions means a 

nonnatural environment that is 

intensively manipulated by human 

intervention for the purpose of plant 

production. General characteristics of 

controlled conditions may include, but 

are not limited to, tillage, fertilization, 

weed and pest control, irrigation, or 

nursery operations such as potting, 

bedding, or protection from weather. 

(2) Cultivated parental stock means 

the ensemble of plants grown under 

controlled conditions that are used for 

reproduction. 

(c) Artificially propagated criteria. 

Except as provided in paragraphs (f) and 

(g) of this section, for a plant specimen 

to qualify as artificially propagated, we 

must be satisfied that the plant 

specimen was grown under controlled 

conditions from a seed, cutting, 

division, callus tissue, other plant 


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tissue, spore, or other propagule that 

either is exempt from the provisions of 

CITES or has been derived from 

cultivated parental stock. The cultivated 

parental stock must meet all of the 

following criteria: 

(1) Was established in accordance 

with the provisions of CITES and 

relevant national laws. 

(2) Was established in a manner not 

detrimental to the survival of the 

species in the wild. 

(3) Is maintained in sufficient 

quantities for propagation so as to 

minimize or eliminate the need for 

augmentation from the wild, with such 

augmentation occurring only as an 

exception and limited to the amount 

necessary to maintain the vigor and 

productivity of the cultivated parental 

stock. 

(d) Cutting or division. A plant grown 

from a cutting or division is considered 

to be artificially propagated only if the 

traded specimen does not contain any 

material collected from the wild. 

(e) Grafted plant. A grafted plant is 

artificially propagated only when both 

the rootstock and the material grafted to 

it have been taken from specimens that 

were artificially propagated in 

accordance with paragraph (c) of this 

section. A grafted specimen that 

consists of taxa from different 

Appendices is treated as a specimen of 

the taxon listed in the more restrictive 

Appendix. 

(f) Timber. Timber taken from trees 

planted and grown in a monospecific 

plantation is considered artificially 

propagated if the seeds or other 

propagules from which the trees are 

grown were legally acquired and 

obtained in a non-detrimental manner. 

(g) Exception for certain plant 

specimens grown from wild-collected 

seeds or spores. Plant specimens grown 

from wild-collected seeds or spores may 

be considered artificially propagated 

only when all of the following 

conditions have been met: 

(1) Establishment of a cultivated 

parental stock for the taxon presents 

significant difficulties because 

specimens take a long time to reach 

reproductive age. 

(2) The seeds or spores are collected 

from the wild and grown under 

controlled conditions within a range 

country, which must also be the country 

of origin of the seeds or spores. 

(3) The Management Authority of the 

range country has determined that the 

collection of seeds or spores was legal 

and consistent with relevant national 

laws for the protection and conservation 

of the species. 

(4) The Scientific Authority of the 

range country has determined that 

collection of the seeds or spores was not 

detrimental to the survival of the 

species in the wild, and allowing trade 

in such specimens has a positive effect 

on the conservation of wild populations. 

In making these determinations, all of 

the following conditions must be met: 

(i) The collection of seeds or spores 

for this purpose must belimited in such 

a manner as to allow regeneration of the 

wild population. 

(ii) A portion of the plants produced 

must be used to establish plantations to 

serve as cultivated parental stock in the 

future and become an additional source 

of seeds or spores and thus reduce or 

eliminate the need to collect seeds from 

the wild. 

(iii) A portion of the plants produced 

must be used for replanting in the wild, 

to enhance recovery of existing 

populations or to re-establish 

populations that have been extirpated. 

(5) Operations propagating AppendixI species for commercial purposes must 

be registered with the CITES Secretariat 

in accordance with the Guidelines for 

the registration of nurseries exporting 

artificially propagated specimens of 

Appendix-I species. 

§ 23.65 What factors are considered in 

making a finding that an applicant is 

suitably equipped to house and care for a 

live specimen? 

(a) Purpose. Under Article III(3)(b) 

and (5)(b) of the Treaty, an import 

permit or introduction-from-the-sea 

certificate for live Appendix-I 

specimens can be issued only if we are 

satisfied that the recipients are suitably 

equipped to house and care for them. 

(b) General principles. We will follow 

these general principles in making a 

decision on whether an applicant has 

facilities that would provide proper 

housing to maintain the specimens for 

the intended purpose and the expertise 

to provide proper care and husbandry or 

horticultural practices. 

(1) All persons who would be 

receiving a specimen must be identified 

in an application and their facilities 

approved by us, including persons who 

are likely to receive a specimen within 

1 year after it arrives in the United 

States. 

(2) The applicant must provide 

sufficient information for us to make a 

finding, including, but not limited to, a 

description of the facility, photographs, 

or construction plans, and resumes of 

the recipient or staff who will care for 

the specimen. 

(3) We use the best available 

information on the requirements of the 

species in making a decision and will 

consult with experts and other Federal 

and State agencies, as necessary and 

appropriate. 

(4) The degree of scrutiny that we give 

an application is based on the biological 

and husbandry or horticultural needs of 

the species. 

(c) Specific factors considered for 

wildlife. In addition to the general 

provisions in paragraph (e) of this 

section, we consider the following 

factors in evaluating suitable housing 

and care for wildlife: 

(1) Enclosures constructed and 

maintained so as to provide sufficient 

space to allow each animal to make 

normal postural and social adjustments 

with adequate freedom of movement. 

Inadequate space may be indicated by 

evidence of malnutrition, poor 

condition, debility, stress, or abnormal 

behavior patterns. 

(2) Appropriate forms of 

environmental enrichment, such as 

nesting material, perches, climbing 

apparatus, ground substrate, or other 

species-specific materials or objects. 

(3) If the wildlife is on public display, 

an off-exhibit area, consisting of indoor 

and outdoor accommodations, as 

appropriate, that can house the wildlife 

on a long-term basis if necessary. 

(4) Provision of water and nutritious 

food of a nature and in a way that are 

appropriate for the species. 

(5) Staff who are trained and 

experienced in providing proper daily 

care and maintenance for the species 

being imported or introduced from the 

sea, or for a closely related species. 

(6) Readily available veterinary care 

or veterinary staff experienced with the 

species or a closely related species, 

including emergency care. 

(d) Specific factors considered for 

plants. In addition to the general 

provisions in paragraph (e) of the 

section, we consider the following 

factors in evaluating suitable housing 

and care for plants: 

(1) Sufficient space, appropriate 

lighting, and other environmental 

conditions that will ensure proper 

growth. 

(2) Ability to provide appropriate 

culture, such as water, fertilizer, and 

pest and disease control. 

(3) Staff with experience with the 

imported species or related species with 

similar horticultural requirements. 

(e) General factors considered for 

wildlife and plants. In addition to the 

specific provisions in paragraphs (c) or 

(d) of this section, we will consider the 

following factors in evaluating suitable 

housing and care for wildlife and plants: 

(1) Adequate enclosures or holding 

areas to prevent escape or unplanned 

exchange of genetic material with 

specimens of the same or different 

species outside the facility. 


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(2) Appropriate security to prevent 

theft of specimens and measures taken 

to rectify any previous theft or security 

problem. 

(3) A reasonable survival rate of 

specimens of the same species or, 

alternatively, closely related species 

atthe facility, mortalities for the 

previous 3 years, significant injuries to 

wildlife or damage to plants, occurrence 

of significant disease outbreaks during 

the previous 3 years, and measures 

taken to prevent similar mortalities, 

injuries, damage, or diseases. Significant 

injuries, damage, or disease outbreaks 

are those that are permanently 

debilitating or re-occurring. 

(4) Sufficient funding on a long-term 

basis to cover the cost of maintaining 

the facility and the specimens imported. 

(f) Incomplete facilities or insufficient 

staff. For applications submitted to us 

before the facilities to hold the 

specimen are completed or the staff is 

identified or properly trained, we will: 

(1) Review all available information, 

including construction plans or 

intended staffing, and make a finding 

based on this information. 

(2) Place a condition on any permit 

that the import cannot occur until the 

facility has been completed or the staff 

hired and trained, and approved by us. 

Subpart E—International Trade in 

Certain Specimens 

§ 23.68 How can I trade internationally in 

roots of American ginseng? 

(a) U.S. and foreign general 

provisions. Whole plants and roots 

(whole, sliced, and parts, excluding 

manufactured parts, products, and 

derivatives, such as powders, pills, 

extracts, tonics, teas, and confectionery) 

of American ginseng (Panax 

quinquefolius), whether wild or 

artificially propagated, are included in 

Appendix II. Cultivated American 

ginseng that does not meet the 

requirements of artificially propagated 

will be considered wild for export and 

re-export purposes. The import, export, 

or re-export of ginseng roots must meet 

the requirements of this section and 

other requirements of this part (see 

subparts B and C for prohibitions and 

application procedures). For specimens 

that were harvested from a State or 

Tribe without an approved CITES 

export program, see § 23.36 for export 

permits and § 23.37 for re-export 

certificates. 

(b) Export approval of State and tribal 

programs. States and Tribes set up and 

maintain ginseng management and 

harvest programs designed to monitor 

and protect American ginseng from 

over-harvest. When a State or Tribe with 

a management program provides us 

with the necessary information, we 

make programmatic findings and have 

specific requirements that allow export 

under CITES. For wild ginseng, a State 

or Tribe must provide sufficient 

information for us to determine that its 

management program and harvest 

controls are appropriate to ensure that 

ginseng harvested within its jurisdiction 

is legally acquired and that export will 

not be detrimental to the survival of the 

species in the wild. For artificially 

propagated ginseng, a State or Tribe 

must provide sufficient information for 

us to determine that ginseng grown 

within its jurisdiction meets the 

definition of artificially propagated and 

the State or Tribe must have procedures 

in place to minimize the risk that the 

roots of wild-collected plants would be 

claimed as artificially propagated. 

(1) A State or Tribe seeking initial 

CITES export program approval for wild 

or artificially propagated American 

ginseng must submit the following 

information on the adoption and 

implementation of regulatory measures 

to the U.S. Management Authority: 

(i) Laws or regulations mandating 

licensing or registration of persons 

buying and selling ginseng in that State 

or on tribal lands. 

(ii) A requirement that ginseng dealers 

maintain records and provide copies of 

those records to the appropriate State or 

tribal management agency upon request. 

Dealer records must contain: the name 

and address of the ginseng seller, date 

of transaction, whether the ginseng is 

wild or artificially propagated and dried 

or green at time of transaction, weight 

of roots, State or Tribe of origin of roots, 

and identification numbers of the State 

or tribal certificates used to ship ginseng 

from the State or Tribe of origin. 

(iii) A requirement that State or tribal 

personnel will inspect roots, ensure 

legal harvest, and have the ability to 

determine the age of roots of all wildcollected ginseng harvested in the State 

or on tribal lands. State or tribal 

personnel may accept a declaration 

statement by the licensed or registered 

dealer or grower that the ginseng roots 

are artificially propagated. 

(iv) A requirement that State or tribal 

personnel will weigh ginseng roots 

unsold by March 31 of the year after 

harvest and give a weight receipt to the 

owner of the roots. Future export 

certification of this stock must be issued 

against the weight receipt. 

(v) A requirement that State or tribal 

personnel will issue certificates for wild 

and artificially propagated ginseng. 

These certificates must contain at a 

minimum: 

(A) State of origin. 

(B) Serial number of certificate. 

(C) Dealer’s State or tribal license or 

registration number. 

(D) Dealer’s shipment number for that 

harvest season. 

(E) Year of harvest of ginseng being 

certified. 

(F) Designation as wild or artificially 

propagated. 

(G) Designation as driedor fresh 

(green) roots. 

(H) Weight of roots. 

(I) Statement of State or tribal 

certifying official verifying that the 

ginseng was obtained in that State or on 

those tribal lands in accordance with all 

relevant laws for that harvest year. 

(J) Name and title of State or tribal 

certifying official. 

(2) In addition, a State or Tribe 

seeking initial CITES export program 

approval for wild American ginseng 

must submit the following information 

to the U.S. Management Authority: 

(i) An assessment of the condition of 

the population and trends, including a 

description of the types of information 

on which the assessment is based, such 

as an analysis of population 

demographics; population models; or 

analysis of past harvest levels or indices 

of abundance independent of harvest 

information, such as field surveys. 

(ii) Historic, present, and potential 

distribution of wild ginseng on a 

county-by-county basis. 

(iii) Phenology of ginseng, including 

flowering and fruiting periods. 

(iv) Habitat evaluation. 

(v) If available, copies of any ginseng 

management or monitoring plans or 

other relevant reports that the State or 

Tribe has prepared as part of its existing 

management program. 

(3) A State or Tribe with an approved 

CITES export program must complete 

Form 3–200–61 and submit it to the U.S. 

Management Authority by May 31 of 

each year to provide information on the 

previous harvest season. 

(c) U.S. application process. 

Application forms and a list of States 

and Tribes with approved ginseng 

programs can be obtained from our 

website or by contacting us (see § 23.7). 

(1) To export wild or artificially 

propagated ginseng harvested under an 

approved State or tribal program, 

complete Form 3–200–34 or Form 3- 

200-74 for additional single-use permits 

under an annual program file. 

(2) To export wild ginseng harvested 

from a State or Tribe that does not have 

an approved program, complete Form 

3–200–32. To export artificially 

propagated ginseng from a State or Tribe 

that does not have an approved 

program, complete Form 3–200–33. 

(3) To re-export ginseng, complete 

Form 3–200–32. 


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(4) For information on issuance 

criteria for CITES documents, see §

23.36 for export permits, § 23.37 for reexport certificates, and § 23.40 for 

certificates for artificially propagated 

plants. 

(d) Conditions for export. Upon 

export, roots must be accompanied by a 

State or tribal certificate containing the 

information specified in paragraph 

(b)(1)(v) of this section. 

§ 23.69 How can I trade internationally in 

fur skins and fur skin products of bobcat, 

river otter, Canada lynx, gray wolf, and 

brown bear? 

(a) U.S. and foreign general 

provisions. For purposes of this section, 

CITES furbearers means bobcat (Lynx 

rufus), river otter (Lontra canadensis), 

and Canada lynx (Lynx canadensis), and 

the Alaskan populations of gray wolf 

(Canis lupus), and brown bear (Ursus 

arctos). These species are included in 

Appendix II based on Article II(2)(b) of 

the Treaty (see § 23.89). The import, 

export, or re-export of fur skins and fur 

skin products must meet the 

requirements of this section and the 

other requirements of this part (see 

subparts B and C for prohibitions and 

application procedures). For specimens 

that were harvested from a State or 

Tribe without an approved CITES 

export program, see § 23.36 for export 

permits and §23.37 for re-export 

certificates. 

(b) Export approval of State and tribal 

programs. States and Tribes set up and 

maintain management and harvest 

programs designed to monitor and 

protect CITES furbearers from overharvest. When a State or Tribe with a 

management program provides us with 

the necessary information, we make 

programmatic findings and have 

specific requirements that allow export 

under CITES. A State or Tribe must 

provide sufficient information for us to 

determine that its management program 

and harvest controls are appropriate to 

ensure that CITES furbearers harvested 

within its jurisdiction are legally 

acquired and that export will not be 

detrimental to the survival of the 

species in the wild. 

(1) A State or Tribe seeking initial 

CITES export program approval must 

submit the following information to the 

U.S. Management Authority, except as 

provided in paragraph (b)(2) of this 

section: 

(i) An assessment of the condition of 

the population and a description of the 

types of information on which the 

assessment is based, such as an analysis 

of carcass demographics, population 

models, analysis of past harvest levels 

as a function of fur prices or trapper 

effort, or indices of abundance 

independent of harvest information, 

such as scent station surveys, archer 

surveys, camera traps, track or scat 

surveys, or road kill counts. 

(ii) Current harvest control measures, 

including laws regulating harvest 

seasons and methods. 

(iii) Total allowable harvest of the 

species. 

(iv) Distribution of harvest. 

(v) Indication of how frequently 

harvest levels are evaluated. 

(vi) Tagging or marking requirements 

for fur skins. 

(vii) Habitat evaluation. 

(viii) If available, copies of any 

furbearer management plans or other 

relevant reports that the State or Tribe 

has prepared as part of its existing 

management program. 

(2) If the U.S. Scientific Authority has 

made a range-wide non-detriment 

finding for a species, a State or Tribe 

seeking initial approval for a CITES 

export program for that species need 

only submit the information in (b)(1)(ii) 

and (vi) of this section. 

(3) A State or Tribe with an approved 

CITES export program must submit a 

CITES furbearer activity report to the 

U.S. Management Authority by October 

31 of each year that provides 

information as to whether or not the 

population status or management of the 

species has changed within the State or 

tribal lands. This report may reference 

information provided in previous years 

if the information has not changed. 

Except as provided in paragraph (b)(4) 

of this section, a furbearer activity 

report should include, at a minimum, 

the following: 

(i) For each species, the number of 

specimens taken and the number of 

animals tagged, if different. 

(ii) An assessment of the condition of 

the population, including trends, and a 

description of the types of information 

on which the assessment is based. If 

population levels are decreasing, the 

activity report should include the State 

or Tribe’s professional assessment of the 

reason for the decline and any steps 

being taken to address it. 

(iii) Information on, and a copy of, 

any changesin laws or regulations 

affecting these species. 

(iv) If available, copies of relevant 

reports that the State or Tribe has 

prepared during the year in question as 

part of its existing management 

programs for CITES furbearers. 

(4) When the U.S. Scientific Authority 

has made a range-wide non-detriment 

finding for a species, the annual 

furbearer activity report from a State or 

Tribe with an approved export program 

for that species should include, at a 

minimum, a statement indicating 

whether or not the status of the species 

has changed and the information in 

paragraph (b)(3)(iii) and (iv) of this 

section. Range-wide non-detriment 

findings will be re-evaluated at least 

every 5 years, or sooner if information 

indicates that there has been a change 

in the status or management of the 

species that might lead to different 

treatment of the species. When a rangewide non-detriment finding is reevaluated, States and Tribes with an 

approved export program for the species 

must submit information that allows us 

to determine whether our finding 

remains valid. 

(c) CITES tags. Unless an alternative 

method has been approved, each CITES 

fur skin to be exported or re-exported 

must have a U.S. CITES tag permanently 

attached. 

(1) The tag must be inserted through 

the skin and permanently locked in 

place using the locking mechanism of 

the tag. 

(2) The legend on the CITES tag must 

include the US-CITES logo, an 

abbreviation for the State or Tribe of 

harvest, a standard species code 

assigned by the Management Authority, 

and a unique serial number. 

(3) Fur skins with broken, cut, or 

missing tags may not be exported. 

Replacement tags must be obtained 

before the furs are presented for export 

or re-export. To obtain a replacement 

tag, either from the State or Tribe that 

issued the original tag or from us, you 

must provide information to show that 

the fur was legally acquired. 

(i) When a tag is broken, cut, or 

missing, you may contact the State or 

Tribe of harvest for a replacement tag. 

If the State or Tribe cannot replace it, 

you may apply to FWS Law 

Enforcement for a replacement tag. If the 

tag is broken or cut, you must give us 

the tag. If the tag is missing, you must 

provide details concerning how the tag 

was lost. If we are satisfied that the fur 

was legally acquired, we will provide a 

CITES replacement tag. 

(ii) A replacement tag must meet all 

of the requirements in paragraph (c) of 

this section, except the legend will 

include only the US-CITES logo, FWSREPL, and a unique serial number. 

(4) Tags are not required on fur skin 

products. 

(d) Documentation requirements. The 

U.S. CITES export permit or an annex 

attached to the permit must contain all 

information that is given on the tag. 

(e) U.S. application process. 

Application forms and a list of States 

and Tribes with approved furbearer 

programs can be obtained from our 

website or by contacting us (see § 23.7). 


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(1) To export fur skins taken under an 

approved State or tribal program, 

complete Form 3–200–26 and submit it 

to either FWS Law Enforcement or the 

U.S. Management Authority. 

(2) To export fur skins that were not 

harvested under an approved program, 

complete Form 3–200–27 and submit it 

to the U.S. Management Authority. 

(3) To re-export fur skins, complete 

Form 3-200-73 and submit it either to 

FWS Law Enforcement or the U.S. 

Management Authority. 

(4) For information on issuance 

criteria for CITES documents, see §

23.36 for export permits and § 23.37 for 

re-export certificates. 

(f) Conditions for export. Upon export, 

each fur skin, other than a fur skin 

product, must be clearly identified in 

accordance with paragraph (c) of this 

section. 

§ 23.70 How can I trade internationally in 

American alligator and other crocodilian 

skins, parts, and products? 

(a) U.S. and foreign general 

provisions. For the purposes of this 

section, crocodilian means all species of 

alligator, caiman, crocodile, and gavial 

of the order Crocodylia. The import, 

export, or re-export of any crocodilian 

skins, parts, or products must meet the 

requirements of this section and the 

other requirements of this part (see 

subparts B and C for prohibitions and 

application procedures). For American 

alligator (Alligator mississippiensis) 

specimens harvested from a State or 

Tribe without an approved CITES 

export program, see § 23.36 for export 

permits and §23.37 for re-export 

certificates. 

(b) Definitions. Terms used in this 

section are defined as follows: 

(1) Crocodilian skins means whole or 

partial skins, flanks, chalecos, and 

bellies (including those that are salted, 

crusted, tanned, partially tanned, or 

otherwise processed), including skins of 

sport-hunted trophies. 

(2) Crocodilian parts means body 

parts with or without skin attached 

(including tails, throats, feet, meat, 

skulls, and other parts) and small cut 

skin pieces. 

(c) Export approval of State and tribal 

programs for American alligator. States 

and Tribes set up and maintain 

management and harvest programs 

designed to monitor and protect 

American alligators from over-harvest. 

When a State or Tribe with a 

management program provides us with 

the necessary information, we make 

programmatic findings and have 

specific requirements that allow export 

under CITES. A State or Tribe must 

provide sufficient information for us to 

determine that its management program 

and harvest controls are appropriate to 

ensure that alligators harvested within 

its jurisdiction are legally acquired and 

that the export will not be detrimental 

to the survival of the species in the 

wild. 

(1) A State or Tribe seeking initial 

CITES export program approval must 

submit the following to the U.S. 

Management Authority: 

(i) An assessment of the condition of 

the wild population and a description of 

the types of information on which the 

assessment is based, such as an analysis 

of carcass demographics, population 

models, analysis of past harvest levels 

as a function of skin prices or harvester 

effort, or indices of abundance 

independent of harvest information, 

such as nest surveys, spotlighting 

surveys, or nuisance complaints. 

(ii) Current harvest control measures, 

including laws regulating harvest 

seasons and methods. 

(iii) Total allowable harvest of the 

species. 

(iv) Distribution of harvest. 

(v) Indication of how frequently 

harvest levels are evaluated. 

(vi) Tagging or marking requirements 

for skins and parts. 

(vii) Habitat evaluation. 

(viii) Information on nuisance 

alligator management programs. 

(ix) Information on alligator farming 

programs, including whether collecting 

and rearing of eggs or hatchlings is 

allowed, what factors are used to set 

harvest levels, and whether any 

alligators are returned to the wild. 

(x) If available, copies of any alligator 

management plans or other relevant 

reports for American alligator that the 

State or Tribe has prepared as part of its 

existing management program. 

(2) A State or Tribe with an approved 

CITES export program must submit an 

American alligator activity report to the 

U.S. Management Authority by July 1 of 

each year to provide information 

regarding harvests during the previous 

year. This report may reference 

information provided in previous years 

if the information has not changed. An 

American alligator activity report, at a 

minimum, should include the 

following: 

(i) The total number of skins from 

wild or farmed alligators that were 

tagged by the State or Tribe. 

(ii) An assessment of the status of the 

alligator population with an indication 

of whether the population is stable, 

increasing, or decreasing, and at what 

rate (if known). If population levels are 

decreasing,activity reports should 

include the State or Tribe’s professional 

assessment of the reason for the decline 

and any steps being taken to address it. 

(iii) For wild alligators, information 

on harvest, including harvest of 

nuisance alligators, methods used to 

determine harvest levels, demographics 

of the harvest, and methods used to 

determine the total number and 

population trends of alligators in the 

wild. 

(iv) For farmed alligators, information 

on whether collecting and rearing of 

eggs or hatchlings is allowed, what 

factors are used to set harvest levels, 

and whether any alligators are returned 

to the wild. 

(v) Information on, and a copy of, any 

changes in laws or regulations affecting 

the American alligator. 

(vi) If available, copies of relevant 

reports that the State or Tribe has 

prepared during the reporting period as 

part of its existing management program 

for the American alligator. 

(3) We provide CITES export tags to 

States and Tribes with approved CITES 

export programs. American alligator 

skins and parts must meet the marking 

and tagging requirements of paragraphs 

(d), (e), and (f) of this section. 

(d) Tagging of crocodilian skins. You 

may import, export, or re-export any 

crocodilian skin only if a non-reusable 

tag is inserted though the skin and 

locked in place using the locking 

mechanism of the tag. A mounted sporthunted trophy must be accompanied by 

the tag from the skin used to make the 

mount. 

(1) Except as provided for a 

replacement tag in paragraph (d)(3)(ii) of 

this section, the tag must: 

(i) Be self-locking, heat resistant, and 

inert to chemical and mechanical 

processes. 

(ii) Be permanently stamped with the 

two-letter ISO code for the country of 

origin, a unique serial number, a 

standardized species code (available on 

our website; see § 23.7), and the year of 

production or harvest. For American 

alligator, the export tags include the USCITES logo, an abbreviation for the State 

or Tribe of harvest, a standard species 

code (MIS = Alligator mississippiensis), 

the year of taking, and a unique serial 

number. 

(iii) If the year of production or 

harvest and serial number appear next 

to each other on a tag, the information 

should be separated by a hyphen. 

(2) Skins and flanks must be 

individually tagged, and chalecos must 

have a tag attached to each flank. 

(3) Skins with broken, cut, or missing 

tags may not be exported. Replacement 

tags must be obtained before the skins 

are presented for import, export, or reexport. To obtain a replacement tag, 


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either from the State or Tribe of harvest 

(for American alligator) or from us, you 

must provide information to show that 

the skin was legally acquired. 

(i) In the United States, when an 

American alligator tag is broken, cut, or 

missing, you may contact the State or 

Tribe of harvest for a replacement tag. 

If the State or Tribe cannot replace it, 

you may apply to FWS Law 

Enforcement for a replacement tag. To 

obtain replacement tags for crocodilian 

skins other than American alligator in 

the United States, contact FWS Law 

Enforcement. If the tag is broken or cut, 

you must give us the tag. If the tag is 

missing, you must provide details 

concerning how the tag was lost. If we 

are satisfied that the skin was legally 

acquired, we will provide a CITES 

replacement tag. 

(ii) A replacement tag must meet all 

of the requirements in paragraph (d)(1) 

of this section except that the species 

code and year of production or harvest 

will not be required, and for re-exports 

the country of re-export must be shown 

in place of the country of origin. In the 

United States, the legend will include 

the US-CITES logo, FWS-REPL, and a 

unique serial number. 

(e) Meat and skulls. Except for 

American alligator, you may import, 

export, or re-export crocodilian meat 

and skulls without tags or markings. 

American alligator meat and skulls may 

be imported, exported, or re-exported if 

packaged and marked or tagged in 

accordance withState or tribal laws as 

follows: 

(1) Meat from legally harvested and 

tagged alligators must be packed in 

permanently sealed containers and 

labeled as required by State or tribal 

laws or regulations. Bulk meat 

containers must be marked with any 

required State or tribal parts tag or bulk 

meat tag permanently attached and 

indicating, at a minimum, State or Tribe 

of origin, year of take, species, original 

U.S. CITES tag number for the 

corresponding skin, weight of meat in 

the container, and identification of 

State-licensed processor or packer. 

(2) Each American alligator skull must 

be marked as required by State or tribal 

law or regulation. This marking must 

include, at a minimum, reference to the 

corresponding U.S. CITES tag number 

on the skin. 

(f) Tagging or labeling of crocodilian 

parts other than meat and skulls. You 

may import, export, or re-export 

crocodilian parts other than meat and 

skulls when the following conditions 

are met: 

(1) Parts must be packed in 

transparent sealed containers. 

(2) Containers must be clearly marked 

with a non-reusable parts tag or label 

that includes all of the information in 

paragraph (d)(1)(ii) of this section and a 

description of the contents, the total 

weight (contents and container), and the 

number of the CITES document. 

(3) Tags are not required on 

crocodilian products. 

(4) Tags are not required on scientific 

specimens except as required in 

paragraphs (d) and (e) of this section. 

(g) Documentation requirements. The 

CITES document or an annex attached 

to the document must contain all 

information that is given on the tag or 

label. 

(h) U.S. application process. 

Application forms and a list of States 

and Tribes with approved American 

alligator programs can be obtained from 

our website or by contacting us (see §

23.7). 

(1) To export American alligator 

specimens taken under an approved 

State or tribal program, complete Form 

3–200–26 and submit it to either FWS 

Law Enforcement or the U.S. 

Management Authority. 

(2) To export American alligator 

specimens that are not from an 

approved program, complete Form 3–

200–27 and submit it to the U.S. 

Management Authority. 

(3) For information on issuance 

criteria for CITES documents, see §

23.36 for export permits and § 23.37 for 

re-export certificates. 

(i) Conditions for import, export, or 

re-export. Upon import, export, or reexport, each crocodilian specimen must 

meet the applicable tagging 

requirements in paragraphs (d), (e), and 

(f) of this section. 

§ 23.71 How can I trade internationally in 

sturgeon caviar? 

(a) U.S. and foreign general 

provisions. For the purposes of this 

section, sturgeon caviar means the 

processed roe of any species of sturgeon, 

including paddlefish (Order 

Acipenseriformes). The import, export, 

or re-export of sturgeon caviar must 

meet the requirements of this section 

and the other requirements of this part 

(see subparts B and C for prohibitions 

and application procedures). 

(b) Labeling. You may import, export, 

or re-export sturgeon caviar only if 

labels are affixed to containers prior to 

export or re-export in accordance with 

this paragraph. 

(1) The following definitions apply to 

caviar labeling: 

(i) Non-reusable label means any label 

or mark that cannot be removed without 

being damaged or transferred to another 

container. 

(ii) Primary container means any 

container in direct contact with the 

caviar. 

(iii) Secondary container means the 

receptacle into which primary 

containers are placed. 

(iv) Processing plant means a facility 

in the country of origin responsible for 

the first packaging of caviar into a 

primary container. 

(v) Repackaging plant means a facility 

responsible for receiving and 

repackaging caviar into new primary 

containers. 

(vi) Lot identification number means 

a number that corresponds to 

information related to the caviar 

tracking system used by the processing 

plant or repackaging plant. 

(2) The caviar-processing plant in the 

country of origin must affix a nonreusable label on the primary container 

that includes all of the following 

information: 

(i) Standardized species code; for 

hybrids, the species code for the male is 

followed by the code for the female and 

the codes are separated by an ‘‘x’’ (codes 

are available on our website; see § 23.7). 

(ii) Source code. 

(iii) Two-letter ISO code of the 

country of origin. 

(iv) Year of harvest. 

(v) Processing plant code and lot 

identification number. 

(3) If caviar is repackaged before 

export or re-export, the repackaging 

plant must affix a non-reusable label to 

the primary container that includes all 

of the following information: 

(i) The standardized species code, 

source code, and two-letter ISO code of 

the country of origin. 

(ii) Year of repackaging and the 

repackaging plant code, which 

incorporates the two-letter ISO code for 

the repackaging country if different from 

the country of origin. 

(iii) Lot identification number or 

CITES document number. 

(4) The exact quantity of caviar must 

be indicated on any secondary container 

along with a description of the contents 

in accordance with international 

customs regulations. 

(c) Documentation requirements. 

Unless the sturgeon caviar qualifies as a 

personal or household effect under §

23.15, the CITES document or an annex 

attached to the document must contain 

all information that is given on the 

label. The exact quantity of each species 

of caviar must be indicated on the 

CITES document. 

(d) Export quotas. Commercial 

shipments of sturgeon caviar from 

stocks shared between different 

countries may be imported only if all of 

the following conditions have been met: 


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(1) The relevant countries have 

established annual export quotas for the 

shared stocks that were derived from 

catch quotas agreed among the countries 

and based on an appropriate regional 

conservation strategy and monitoring 

regime. 

(2) The quotas have been 

communicated to the CITES Secretariat 

and the Secretariat has confirmed that 

the quotas have been agreed by all 

relevant countries. 

(3) The CITES Secretariat has 

communicated these annual quotas to 

CITES Parties. 

(4) The caviar is exported during the 

calendar year in which it was harvested 

and processed. 

(e) Re-exports. Any re-export of 

sturgeon caviar must occur within 18 

months from thedate of issuance of the 

original export permit. 

(f) Pre-Convention. Sturgeon caviar 

may not be imported, exported, or reexported under a pre-Convention 

certificate. 

(g) Mixed caviar. Caviar and caviar 

products that consist of roe from more 

than one species may only be imported 

into or exported from the United States 

if the exact quantity of roe from each 

species is known and is indicated on the 

CITES document. 

(h) U.S. application forms. 

Application forms can be obtained from 

our website or by contacting us (see §

23.7). For CITES document 

requirements, see § 23.36 for export 

permits and § 23.37 for re-export 

certificates. For export, complete Form 

3–200–76 and submit it to the U.S. 

Management Authority. For re-export, 

complete Form 3–200–73 and submit it 

to FWS Law Enforcement. 

§ 23.72 How can I trade internationally in 

plants? 

(a) U.S. and foreign general 

provisions: In addition to the 

requirements of this section, the import, 

export, or re-export of CITES plant 

specimens must meet the other 

requirements of this part (see subparts B 

and C for prohibitions and application 

procedures). 

(b) Seeds. International shipments of 

seeds of any species listed in Appendix 

I, except for seeds of certain artificially 

propagated hybrids (see § 23.92), or 

seeds of species listed in Appendix II or 

III with an annotation that includes 

seeds, must be accompanied by a valid 

CITES document. International 

shipments of CITES seeds that are 

artificially propagated also must be 

accompanied by a valid CITES 

document. 

(c) A plant propagated from exempt 

plant material. A plant grown from 

exempt plant material is regulated by 

CITES. 

(1) The proposed shipment of the 

specimen is treated as an export even if 

the exempt plant material from which it 

was derived was previously imported. 

The country of origin is the country in 

which the specimen ceased to qualify 

for the exemption. 

(2) Plants grown from exempt plant 

material qualify as artificially 

propagated provided they are grown 

under controlled conditions. 

(3) To export plants grown from 

exempt plant material under controlled 

conditions, complete Form 3–200–33 for 

a certificate for artificially propagated 

plants. 

(d) Salvaged plants. 

(1) For purposes of this section, 

salvaged plant means a plant taken from 

the wild as a result of some 

environmental modification in a 

country where a Party has done all of 

the following: 

(i) Ensured that the environmental 

modification program does not threaten 

the survival of CITES plant species, and 

that protection of Appendix-I species in 

situ is considered a national and 

international obligation. 

(ii) Established salvaged specimens in 

cultivation after concerted attempts 

have failed to ensure that the 

environmental modification program 

would not put at risk wild populations 

of CITES species. 

(2) International trade in salvaged 

Appendix-I plants, and Appendix-II 

plants whose entry into trade might 

otherwise have been considered 

detrimental to the survival of the 

species in the wild, may be permitted 

only when all the following conditions 

are met: 

(i) Such trade would clearly benefit 

the survival of the species in the wild 

or in cultivation. 

(ii) Import is for the purposes of care 

and propagation. 

(iii) Import is by a bona fide botanic 

garden or scientific institution. 

(iv) Any salvaged Appendix-I plant 

will not be sold or used to establish a 

commercial operation for artificial 

propagation after import. 

§ 23.73 How can I trade internationally in 

timber? 

(a) U.S. and foreign general 

provisions: In addition to the 

requirements of this section, the import, 

export, or re-export of timber species 

listed under CITES must meet the other 

requirements of this part (see subparts B 

and C for prohibitions and application 

procedures). 

(b) Definitions. The following 

definitions apply to parts, products, and 

derivatives that appear in the 

annotations to certain timber species in 

the CITES Appendices. These 

definitions are based on the tariff 

classifications of the Harmonized 

System of the World Customs 

Organization. 

(1) Logs means all wood in the rough, 

whether or not stripped of bark or 

sapwood, or roughly squared for 

processing, notably into sawn wood, 

pulpwood, or veneer sheets. 

(2) Sawn wood means wood simply 

sawn lengthwise or produced by a 

profile-chipping process. Sawn wood 

normally exceeds 6 mm in thickness. 

(3) Veneer sheets means thin layers or 

sheets of wood of uniform thickness, 

usually 6 mm or less, usually peeled or 

sliced, for use in making plywood, 

veneer furniture, veneer containers, or 

similar products. 

(4) Plywood means wood material 

consisting of three or more sheets of 

wood glued and pressed one on the 

other and generally disposed so that the 

grains of successive layers are at an 

angle. 

(c) The following exceptions apply to 

Appendix-II or -III timber species that 

have a substantive annotation that 

designates either logs, sawn wood, and 

veneer sheets, or logs, sawn wood, 

veneer sheets, and plywood: 

(1) Change in destination. When a 

shipment of timber destined for one 

country is redirected to another, the 

Management Authority in the country of 

import may change the name and 

address of the importer indicated on the 

CITES document under the following 

conditions: 

(i) The quantity imported is the same 

as the quantity certified by a stamp or 

seal and authorized signature of the 

Management Authority on the CITES 

document at the time of export or reexport. 

(ii) The number of the bill of lading 

for the shipment is on the CITES 

document, and the bill of lading is 

presented at the time of import. 

(iii) The import takes place before the 

CITES document expires, and the period 

of validity has not been extended. 

(iv) The Management Authority of the 

importing country includes the 

following statement in block 5, or an 

equivalent place, of the CITES 

document: ‘‘Import into [name of 

country] permitted in accordance with 

[cite the appropriate section number 

from the current permit and certificate 

resolution] on [date].’’ The modification 

is certified with an official stamp and 

signature. 

(v) The Management Authority sends 

a copy of the amended CITES document 


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to the country of export or re-export and 

the Secretariat. 

(2) Extension of CITES document 

validity. A Management Authority in 

the country of import may extend the 

validity of an export permit or re-export 

certificate beyond the normal maximum 

of 6 months after the date of issue under 

the following conditions: 

(i) The shipment has arrived in the 

port of final destination before the 

CITES document expires, is being held 

in customs bond, and is not considered 

imported. 

(ii) The time extension does not 

exceed 6 months from the date of 

expiration of the CITES document and 

no previous extension has been issued. 

(iii) The Management Authority has 

included in block 5, or an equivalent 

place, of the CITES document the date 

of arrival and the new date of expiration 

on the document, and certified the 

modification with an official stamp and 

signature. 

(iv) The shipment is imported into the 

country from the port where the 

Management Authority issued the 

extension and before the amended 

CITES document expires. 

(v) The Management Authority sends 

a copy of the amended CITES document 

to the country of export or re-export and 

to the Secretariat. 

§ 23.74 How can I trade internationally in 

personal sport-hunted trophies? 

(a) U.S. and foreign general 

provisions. Except as provided for 

personal and household effects in §

23.15, the import, export, or re-export of 

sport-hunted trophies of species listed 

under CITES must meet the 

requirements of this section and the 

other requirements of this part (see 

subparts B and C for prohibitions and 

application procedures). 

(b) Sport-hunted trophy means raw or 

tanned parts of a specimen that was 

taken by a hunter, who is also the 

importer, exporter, or re-exporter, 

during a sport hunt for personal use. It 

may include the bones, claws, hair, 

head, hide, hooves, horns, meat, skull, 

teeth, tusks, or any taxidermied part, 

including, but not limited to, a rug or 

taxidermied head, shoulder, or full 

mount. It does not include articles made 

from a trophy, such as worked, 

manufactured, or handicraft items for 

use as clothing, curios, ornamentation, 

jewelry, or other utilitarian items. 

(c) Use after import. You may use 

your sport-hunted trophy after import 

into the United States as provided in §

23.55. 

(d) Quantity and tagging. The 

following provisions apply to the 

issuance and acceptance of U.S. and 

foreign CITES documents: 

(1) The number of trophies that one 

hunter may import in any calendar year 

for the following species is: 

(i) No more than two leopard 

(Panthera pardus) trophies. 

(ii) No more than one markhor (Capra 

falconeri) trophy. 

(iii) No more than one black 

rhinoceros (Diceros bicornis) trophy. 

(2) Each trophy imported, exported, or 

re-exported must be marked or tagged in 

the following manner: 

(i) Leopard and markhor: Each raw or 

tanned skin must have a self-locking tag 

inserted through the skin and 

permanently locked in place using the 

locking mechanism of the tag. The tag 

must indicate the country of origin, the 

number of the specimen in relation to 

the annual quota, and the calendar year 

in which the specimen was taken in the 

wild. A mounted sport-hunted trophy 

must be accompanied by the tag from 

the skin used to make the mount. 

(ii) Black rhinoceros: Parts of the 

trophy, including, but not limited to, 

skin, skull, or horns, whether mounted 

or loose, should be individually marked 

with reference to the country of origin, 

species, the number of the specimen in 

relation to the annual quota, and the 

year of export. 

(3) The export permit or re-export 

certificate or an annex attached to the 

permit or certificate must contain all the 

information that is given on the tag. 

Subpart F—Disposal of Confiscated 

Wildlife and Plants 

§ 23.78 What happens to confiscated 

wildlife and plants? 

(a) Purpose. Article VIII of the Treaty 

provides for confiscation or return to the 

country of export of specimens that are 

traded in violation of CITES. 

(b) Disposal options. Part 12 of this 

subchapter provides the options we 

have for disposing of forfeited and 

abandoned live and dead wildlife and 

plants. These include maintenance in 

captivity either in the United States or 

in the country of export, return to the 

wild under limited circumstances, and 

sale of certain Appendix-II or -III 

specimens. Under some conditions, 

euthanasia or destruction may be 

necessary. 

(1) We use a plant rescue center 

program to dispose of confiscated live 

plants. Participants in this program may 

also assist APHIS, CBP, and FWS Law 

Enforcement in holding seized 

specimens as evidence pending any 

legal decisions. 

(2) We dispose of confiscated live 

wildlife on a case-by-case basis at the 

time of seizure and forfeiture, and 

consider the quantity, protection level, 

and husbandry needs of the wildlife. 

(c) Re-export. We may issue a reexport certificate for a CITES specimen 

that was forfeited or abandoned when 

the certificate indicates the specimen 

was confiscated and when the re-export 

meets one of the following purposes: 

(1) For any CITES species, the return 

of a live specimen to the Management 

Authority of the country of export, 

placement of a live specimen in a rescue 

center, or use of the specimen for law 

enforcement, judicial, or forensic 

purposes. 

(2) For an Appendix-II or -III species, 

the disposal of the specimen in an 

appropriate manner that benefits 

enforcement and administration of the 

Convention. 

(d) Consultation process. FWS and 

APHIS may consult with the 

Management Authority in the country of 

export or re-export and other relevant 

governmental and nongovernmental 

experts before making a decision on the 

disposal of confiscated live specimens 

that have been forfeited or abandoned to 

the FWS, APHIS, or CBP. 

§ 23.79 How may I participate in the Plant 

Rescue Center Program? 

(a) Purpose. We have established the 

Plant Rescue Center Program to place 

confiscated live plants quickly to 

prevent physical damage to the plants. 

(b) Criteria. Institutions interested in 

participating in this program must be: 

(1) Nonprofit, open to the public, and 

have the expertise and facilities to care 

for confiscated exotic plant specimens. 

A participating institution may be a 

botanical garden, arboretum, zoological 

park, research institution, or other 

qualifying institution. 

(2) Willing to transfer confiscated 

plants from the port where they were 

confiscated to their facilities at their 

own expense. 

(3) Willing to return the plants to the 

U.S. Government if the country of 

export has requested their return. The 

U.S. Government will then coordinate 

the plants’ return to the country of 

export. 

(4) Willing to accept and maintain a 

plant shipment as a unit until it has 

received authorization from us to 

incorporate the shipment into its 

permanent collection or transfer a 

portion of it to another participating 

institution. 

(c) Participation. Institutions wishing 

to participate in the Plant Rescue Center 

Program should contact the U.S. 

Management Authority (see § 23.7). 

They must provide a brief description of 

the greenhouse or display facilities, the 


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names and telephone numbers of any 

individuals authorized to accept plants 

on behalf of the institution, and the 

mailing address where the plants should 

be sent. In addition, interested 

institutions must indicate if they are 

limited with regard to the type of plants 

they are able to maintain or the 

quantities of plants they can handle at 

one time. 

Subpart G—CITES Administration 

§ 23.84 What are the roles of the 

Secretariat and the committees? 

(a) Secretariat. The Secretariat is 

headed by the Secretary-General. Its 

functions are listed in Article XII of the 

Treaty and include: 

(1) Arranging and staffing meetings of 

the Parties. 

(2) Performing functions as requested 

in relation to listings in the Appendices. 

(3) Undertaking scientific and 

technical studies, as authorized by the 

CoP, to contribute to implementation of 

the Convention. 

(4) Studying reports of the Parties and 

requesting additional information as 

appropriate to ensure effective 

implementation of the Convention. 

(5) Bringing to the attention of the 

Parties matters relevant to the 

Convention. 

(6) Periodically publishing and 

distributing to the Parties current 

editions of the Appendices as well as 

information on the identification of 

specimens of species listed in the 

Appendices. 

(7) Preparing annual reports to the 

Parties on its work and on the 

implementation of the Convention. 

(8) Making recommendations for the 

implementation of the aims and 

provisions of the Convention, including 

the exchange of scientific and technical 

information. 

(9) Performing other functions 

entrusted to it by the Parties. 

(b) Committees. The Parties have 

established four committees to provide 

administrative and technical support to 

the Parties and to the Secretariat. The 

CoP may charge any of these committees 

with tasks. 

(1) The Standing Committee steers the 

work and performance of the 

Convention between CoPs. 

(i) This committee oversees 

development and execution of the 

Secretariat’s budget, advises other 

committees, appoints working groups, 

and carries out activities on behalf of 

the Parties between CoPs. 

(ii) Regional representatives are 

countries that are elected by their 

respective geographic regions at the 

CoP. 

(2) The Animals Committee and the 

Plants Committee provide advice and 

guidance to the CoP, the other 

committees, working groups, and the 

Secretariat on all matters relevant to 

international trade in species included 

in the Appendices. 

(i) These committees also assist the 

Nomenclature Committee in the 

development and maintenance of a 

standardized list of species names; 

provide assistance with regard to 

identification of species listed in the 

Appendices; cooperate with the 

Secretariat to assist Scientific 

Authorities; compile and evaluate data 

on Appendix-II species that are 

considered significantly affected by 

trade; periodically review the status of 

wildlife and plant species listed in the 

Appendices; advise range countries on 

management techniques when 

requested; draft resolutions on wildlife 

and plant matters for consideration by 

the Parties; deal with issues related to 

the transport of live specimens; and 

report to the CoP and the Standing 

Committee. 

(ii) Regional representatives are 

individuals, who are elected by their 

respective geographic regions at the 

CoP. 

(3) The Nomenclature Committee is 

responsible for developing or 

identifying standard nomenclature 

references for wildlife and plant taxa 

and making recommendations on 

nomenclature to Parties, the CoP, other 

committees, working groups, and the 

Secretariat. The Nomenclature 

Committee is made up of one zoologist 

and one botanist, who are appointed by 

the CoP. 

§ 23.85 What is a meeting of the 

Conference of the Parties (CoP)? 

(a) Purpose. Article XI of the Treaty 

provides general guidelines for meetings 

of the countries that have ratified, 

accepted, approved, or acceded to 

CITES. The Parties currently meet for 2 

weeks every 3 years. At these meetings, 

the Parties consider amendments to the 

Appendices and resolutions and 

decisions to improve the 

implementation of CITES. The Parties 

adopt amendments to the lists of species 

in Appendix I and II and resolutions by 

a two-thirds majority of Parties present 

and voting. The Secretariat or any Party 

may also submit reports on wildlife and 

plant trade for consideration. 

(b) CoP locations and dates. At a CoP, 

Parties interested in hosting the next 

meeting notify the Secretariat. The 

Parties vote to select the location of the 

next CoP. Once a country has been 

chosen, it works with the Secretariat to 

set the date and specific venue. The 

Secretariat then notifies the Parties of 

the date for the next CoP. 

(c) Attendance at a CoP. All Parties 

may participate and vote at a CoP. NonParty countries may participate, but may 

not vote. Organizations technically 

qualified in protection, conservation, or 

management of wildlife or plants may 

participate in a CoP as observers if they 

are approved, but they are not eligible 

to vote. 

(1) International organizations must 

apply to the CITES Secretariat for 

approval to attend a CoP as an observer. 

(2) National organizations must apply 

to the Management Authority of the 

country where they are located for 

approval to attend a CoP as an observer. 

§ 23.86 How can I obtain information on a 

CoP? 

As we receive information on an 

upcoming CoP from the CITES 

Secretariat, we will notify the public 

either through published notices in the 

Federal Register or postings on our 

website (see § 23.7). We will provide: 

(a) A summary of the information we 

have received with an invitation for the 

public to comment and provide 

information on the agenda, proposed 

amendments to the Appendices, and 

proposed resolutions that they believe 

the United States should submit for 

consideration at the CoP. 

(b) Information on times, dates, and 

locations of public meetings. 

(c) Information on how international 

and national organizations may apply to 

participate as observers. 

§ 23.87 How does the United States 

develop documents and negotiating 

positions for a CoP? 

(a) In developing documents and 

negotiating positions for a CoP, we: 

(1) Will provide for at least one public 

meeting. 

(2) Consult with appropriate Federal, 

State, and tribal agencies; foreign 

governmental agencies; scientists; 

experts; and others. 

(3) Seek public comment through 

published Federal Register notices or 

postings on our website that: 

(i) Solicit recommendations on 

potential proposals to amend the 

Appendices, draft resolutions, and other 

documents for U.S. submission to the 

CoP. 

(ii) Announce proposals to amend the 

Appendices, draft resolutions, and other 

documents that the United States is 

considering submitting to the CoP. 

(iii) Provide the CoP agenda and a list 

of the amendments to the Appendices 

proposed for the CoP, a summary of our 

proposed negotiating positions on these 

items, and the reasons for our proposed 

positions. 


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(4) Consider comments received in 

response to notices or postings provided 

in paragraph (a)(3) of this section. 

(b) We submit the following 

documents to the Secretariat for 

consideration at the CoP: 

(1) Draft resolutions and other 

documents at least 150 days before the 

CoP. 

(2) Proposals to amend the 

Appendices at least 150 days before the 

CoP if we have consulted all range 

countries, or 330 days before the CoP if 

we have not consulted the range 

countries. For the latter, the additional 

time allows for the range countries to be 

consulted through the Secretariat. 

(c) The Director may modify or 

suspend any of these procedures if they 

would interfere with the timely or 

appropriate development of documents 

for submission to the CoP and U.S. 

negotiating positions. 

(d) We may receive additional 

information at a CoP or circumstances 

may develop that have an impact on our 

tentative negotiating positions. As a 

result, the U.S. representatives to a CoP 

may find it necessary to modify, reverse, 

or otherwise change any of those 

positions when to do so would be in the 

best interests of the United States or the 

conservation of the species. 

§ 23.88 What are the resolutions and 

decisions of the CoP? 

(a) Purpose. Under Article XI of the 

Treaty, the Parties agree to resolutions 

and decisions that clarify and interpret 

the Convention to improve its 

effectiveness. Resolutions are generally 

intended to provide long-standing 

guidance, whereas decisions typically 

contain instructions to a specific 

committee, Parties, or the Secretariat. 

Decisions are often intended to be 

implemented by a specific date, and 

then they expire. 

(b) Effective date. A resolution or 

decision adopted by the Parties becomes 

effective 90 days after the last day of the 

meeting at which it was adopted, unless 

otherwise specified in the resolution or 

decision. 

Subpart H—Lists of Species 

§ 23.89 What are the criteria for listing 

species in Appendix I or II? 

(a) Purpose. Article XV of the Treaty 

sets out the procedures for amending 

CITES Appendices I and II. A species 

must meet trade and biological criteria 

listed in the CITES resolution for 

amendment of Appendices I and II. 

When determining whether a species 

qualifies for inclusion in or removal 

from Appendix I or II, or transfer from 

one Appendix to another, we will: 

(1) Consult with States, Tribes, range 

countries, relevant experts, other 

Federal agencies, and the general 

public. 

(2) Utilize the best available biological 

information. 

(3) Evaluate that information against 

the criteria in paragraphs (b) through (f) 

of this section. 

(b) Listing a species in Appendix I. 

Any species qualifies for inclusion in 

Appendix I if it is or may be affected by 

trade and meets, or is likely to meet, at 

least one biological criterion for 

Appendix I. 

(1) These criteria are: 

(i) The size of the wild population is 

small. 

(ii) Area of distribution is restricted. 

(iii) There is an observed, inferred, or 

projected marked decline in the 

population size in the wild. 

(2) Factors to be considered include, 

but are not limited to, population and 

range fragmentation; habitat availability 

or quality; area of distribution; taxonspecific vulnerabilities due to life 

history, behavior, or other intrinsic 

factors, such as migration; population 

structure and niche requirements; 

threats from extrinsic factors such as the 

form of exploitation, introduced species, 

habitat degradation and destruction, and 

stochastic events; or decreases in 

recruitment. 

(c) Listing a species in Appendix II 

due to actual or potential threats. Any 

species qualifies for inclusion in 

Appendix II if it is or may be affected 

by trade and meets at least one of the 

criteria for listing in Appendix II based 

on actual or potential threats to that 

species. These criteria are: 

(1) It is known, or can be inferred or 

projected, that the regulation of trade is 

necessary to avoid the species becoming 

eligible for inclusion in Appendix I in 

the near future. 

(2) It is known, or can be inferred or 

projected, that the regulation of trade in 

the species is required to ensure that the 

harvest of specimens from the wild is 

not reducing the wild population to a 

level at which its survival might be 

threatened by continued harvest or 

other influences. 

(d) Listing a species in Appendix II 

due to similarity of appearance or other 

factors. Any species qualifies for 

inclusion in Appendix II if it meets 

either of the criteria for listing in 

Appendix II due to similarity of 

appearance or other factors. These 

criteria are: 

(1) The specimens of the species in 

the form in which they are traded 

resemble specimens of a species listed 

in Appendix II due to criteria in 

paragraph (c) of this section or in 

Appendix I, such that enforcement 

officers who encounter specimens of 

such similar CITES species are unlikely 

to be able to distinguish between them. 

(2) There are compelling reasons other 

than those in paragraph (d)(1) of this 

section to ensure that effective control 

of trade in currently listed species is 

achieved. 

(e) Other issues. We will evaluate any 

potential changes to the Appendices, 

taking into consideration other issues, 

including but not limited to, splitlisting, annotation, listings of higher 

taxa and hybrids, and specific listing 

issues related to plants and 

commercially exploited aquatic species. 

(f) Precautionary measures. We will 

evaluate any potential transfers from 

Appendix I to II or removal of species 

from the Appendices in the context of 

precautionary measures. 

(g) Proposal. If a Party determines that 

a taxon qualifies for inclusion in or 

removal from Appendix I or II, or 

transfer from one Appendix to another, 

a proposal may be submitted to the 

Secretariat for consideration by the CoP. 

(1) The proposal should indicate the 

intent of the specific action (such as 

inclusion in Appendix I or II); be 

specific and accurate as to the parts and 

derivatives to be included in the listing; 

ensure that any proposed annotation is 

consistent with existing annotations; 

state the criteria against which the 

proposal is to be judged; and provide a 

justification for the basis on which the 

species meets the relevant criteria. 

(2) The proposal must be in a 

prescribed format. Contact the U.S. 

Scientific Authority for a copy (see §

23.7). 

§ 23.90 What are the criteria for listing 

species in Appendix III? 

(a) Purpose. Article XVI of the Treaty 

sets out the procedures for amending 

Appendix III. 

(b) General procedure. A Party may 

unilaterally, at any time, submit a 

request to list a species in Appendix III 

to the CITES Secretariat. The listing will 

become effective 90 days after the 

Secretariat notifies the Parties of the 

request. 

(c) Criteria for listing. For a Party to 

list a species in Appendix III, all of the 

following criteria must be met: 

(1) The species must be native to the 

country listing the species. 

(2) The species must be protected 

under that country’s laws or regulations 

to prevent or restrict exploitation and 

control trade, and the laws or 

regulations are being implemented. 

(3) The species is in international 

trade, and there are indications that the 

cooperation of other Parties would help 

to control illegal trade. 


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(4) The listing Party must inform the 

Management Authorities of other range 

countries, the known major importing 

countries, the Secretariat, and the 

Animals Committee or the Plants 

Committee that it is considering the 

listing and seek their opinions on the 

potential effects of the listing. 

(d) Annotation. The listing Party may 

annotate the Appendix-III listing to 

include only specific parts, products, 

derivatives, or life stages, as long as the 

Secretariat is notified of the annotation. 

(e) U.S. procedure. The procedure to 

list a species native to the United States 

in Appendix III is as follows: 

(1) We will consult with and solicit 

comments from all States and Tribes 

where the species occurs and all other 

range countries. 

(2) We will publish a proposed rule in 

the Federal Register to solicit comments 

from the public. 

(3) If after evaluating the comments 

received and available information we 

determine the species should be listed 

in Appendix III, we will publish a final 

rule in the Federal Register and notify 

the Secretariat of the listing. 

(f) Removing a species from Appendix 

III. We will monitor the international 

trade in Appendix-III species listed by 

us and periodically evaluate whether 

each species continues to meet the 

listing criteria in paragraph (c) of this 

section. We will remove a species from 

Appendix III provided all of the 

following criteria are met: 

(1) International trade in the species 

is very limited. As a general guide, we 

will consider removal when exports 

involve fewer than 5 shipments per year 

or fewer than 100 individual animals or 

plants. 

(2) Legal and illegal trade in the 

species, including international trade or 

interstate commerce, is determined not 

to be a concern. 

(g) Transferring a species from 

Appendix III to Appendix I or II. If, after 

monitoring the trade and evaluating the 

status of an Appendix-III species we 

listed, we determine that the species 

meets the criteria in § 23.89(b) through 

(d) of this section for listing in 

Appendix I or II, we will consider 

whether to submit a proposal to amend 

the listing at the next CoP. 

§ 23.91 How do I find out if a species is 

listed? 

(a) CITES list. The official CITES list 

includes species of wildlife and plants 

placed in Appendix I, II, and III in 

accordance with the provisions of 

Articles XV and XVI of the Treaty. This 

list is maintained by the CITES 

Secretariat based on decisions of the 

Parties. You may access the official list 

from the CITES website (see § 23.7). 

(b) Effective date. Amendments to the 

CITES list are effective as follows: 

(1) Appendix-I and -II species listings 

adopted at the CoP are effective 90 days 

after the last day of the CoP, unless 

otherwise specified in the proposal. 

(2) Appendix-I and -II species listings 

adopted between CoPs by postal 

procedures are effective 120 days after 

the Secretariat has communicated 

comments and recommendations on the 

listing to the Parties if the Secretariat 

does not receive an objection to the 

proposed amendment from a Party. 

(3) Appendix-III species listings are 

effective 90 days after the date the 

Secretariat has communicated such 

listings to the Parties. A listing Party 

may withdraw a species from the list at 

any time by notifying the Secretariat. 

The withdrawal is effective 30 days after 

the Secretariat has communicated the 

withdrawal to the Parties. 

§ 23.92 Are any wildlife or plants, and their 

parts, products, or derivatives, exempt? 

(a) All living or dead wildlife and 

plants in Appendix I, II, and III and all 

their readily recognizable parts, 

products, and derivatives must meet the 

requirements of CITES and this part, 

except as indicated in paragraph (b) of 

this section. 

(b) The following are exempt from the 

requirements of CITES and do not need 

CITES documents. You may be required 

to demonstrate that your specimen 

qualifies as exempt under this section. 

For specimens that are exempt from 

CITES requirements, you must still 

follow the clearance requirements for 

wildlife in part 14 of this subchapter 

and for plants in part 24 of this 

subchapter and 7 CFR parts 319, 352, 

and 355. 

(1) Appendix-III wildlife and 

Appendix-II or -III plants. 

(i) Where an annotation designates 

what is excluded from CITES 

requirements, any part, product, or 

derivative that is specifically excluded. 

(ii) Where an annotation designates 

what is covered by the Treaty, all parts, 

products, or derivatives that are not 

designated. 

(2) Plant hybrids. 

(i) Seeds and pollen (including 

pollinia), cut flowers, and flasked 

seedlings or tissue cultures of hybrids 

that qualify as artificially propagated 

(see § 23.64) and that were produced 

from one or more Appendix-I species or 

taxa that are not annotated to 

specifically include hybrids in the 

CITES list. 

(ii) Specimens of an Appendix-II or 

-III plant taxon with an annotation that 

specifically excludes hybrids. 

(3) Flasked seedlings of Appendix-I 

orchids. Flasked seedlings of an 

Appendix-I orchid species that qualify 

as artificially propagated (see § 23.64). 

(4) Marine specimens listed in 

Appendix II that are protected under 

another treaty, convention, or 

international agreement which was in 

force on July 1, 1975 as provided in §

23.39(d). 

(5) Coral sand and coral fragments as 

defined in § 23.5. 

(6) Personal and household effects as 

provided in § 23.15. 

(7) Urine, feces, and synthetically 

derived DNA as provided in § 23.16. 

(8) Certain wildlife hybrids as 

provided in § 23.43. 

Dated: May 17, 2007. 

Todd Willens, 

Acting Assistant Secretary for Fish and 

Wildlife and Parks. 

[FR Doc. 07–3960; Filed 8–22–07; 8:45 am] 

BILLING CODE 4310–55–S 


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