CITES Permits and 

Certificates

U.S. Fish & Wildlife Service

What is CITES and how does it apply to 

me? 

The Convention on International Trade in 

Endangered Species of Wild Fauna and 

Flora (CITES) protects many species 

of animals and plants to ensure that 

commercial demand does not threaten 

their survival in the wild. It regulates 

trade in listed species and hybrids, 

including parts and products, through 

a system of permits. The Division of 

Management Authority processes 

applications for CITES permits for 

the United States. Under CITES, a 

species is listed at one of three levels of 

protection, which have different permit 

requirements.

 Appendix I includes species presently 

threatened with extinction that are 

or may be affected by trade. CITES 

directs its most stringent controls at 

activities involving these species. 

 Appendix II includes species that 

are not presently threatened with 

extinction but may become so if not 

regulated. 

 Appendix III includes species listed by 

a range country to obtain international 

cooperation in controlling trade. 

What CITES documents are required?

 Import

The import of Appendix-I specimens 

requires both import and export 

permits. An import permit may be 

granted when the purpose of the 

import will not be detrimental to the 

species’ survival, is not primarily 

commercial, and the importer is 

suitably equipped to house and care 

for live animals and plants. 

No import permit is required for 

Appendix-II or -III specimens, or 

for specimens that quality for other 

certificates (see below). 

 Export

The export of Appendix-I and -II 

specimens requires an export permit. 

Such a permit may be granted when 

the export will not be detrimental to 

the species’ survival and specimens 

were legally acquired. 

For Appendix-III species originating 

from the country that listed it, an 

export permit is required. An export 

permit may be granted when the 

Management Authority determines 

that the specimens were not obtained 

in contravention of that country’s 

laws for the protection of animals and 

plants.

 Re-export 

A re-export certificate is required for 

the export of CITES-listed specimens 

that were previously imported, 

including items subsequently 

converted to manufactured goods. 

A certificate may be issued when 

evidence of legal import has been 

provided. If you were the original 

importer of the wildlife or plant, you 

need to provide a copy of the canceled 

CITES permit that accompanied the 

shipment into the United States and, 

for animal specimens, the cleared 

Declaration for Importation (Form 

3-177) for that shipment. If you were 

not the importer, you must provide 

copies of the importer’s documents, 

as well as documents that show you 

purchased the wildlife or plant from 

the original importer, or a record of 

sequential transactions.

 Introduction from the Sea 

An introduction from the sea 

certificate is required for the import of 

Appendix-I or -II specimens taken on 

the high seas outside of any country’s 

jurisdiction. 

 Pre-Convention Certificate

If a specimen was obtained prior 

to the CITES listing date of that 

species—collected from the wild or 

held in captivity—it may be granted 

a pre-Convention certificate that will 

allow for the specimen to be exported. 

For Appendix-I specimens, no CITES 

import permit is required. 

 Bred-in-captivity Certificate or 

Certificate for Artificially Propagated 

Plants

If a species meets the criteria for bredin-captivity or artificially propagated 

as outlined in CITES resolutions, 

the exporting country may issue 

Hawksbill Turtle, CITES Appendix I

Matthew Kenwrick, CC BY-ND-NC 2.0

Grey Parrot, CITES Appendix II

USFWS
an exemption certificate (bred-incaptivity facts sheet is available). For 

Appendix-I specimens, no CITES 

import permit is required.

 Scientific Exchange Certificate: 

Scientific institutions are eligible 

for this certificate, which authorizes 

import and export of museum and 

herbarium specimens. Such specimens 

must be shipped as non-commercial 

loans, donations, or exchanges among 

scientific institutions registered with 

CITES.

 Certificate of Origin:

For Appendix-III specimens that 

originated from a country other 

than the listing country, a certificate 

of origin is needed to export the 

specimen. A certificate can be issued 

if the specimen was legally obtained 

within the exporting country.

What about shipping live animals and 

plants?

Permits for the shipment of CITES-listed 

live animals or plants may be issued only 

when the applicant demonstrates that 

the specimen will be humanely shipped. 

Live animal shipments must meet the 

International Air Transport Association 

(IATA) Live Animals Regulations or 

the CITES guidelines for transport. In 

addition, the import of live mammals and 

birds must meet the humane shipment 

regulations in 50 CFR Part 14.

What exceptions are there to permit 

requirements?

 In-transit Shipments: 

Under CITES, a shipment transiting 

a country must be accompanied by 

a CITES permit from the exporting 

country to its final destination. The 

shipment must remain under Customs 

bond. Check with other countries 

involved in the shipment to meet their 

requirements.

 Shipments within the United States: 

CITES imposes no controls on 

shipments between States or U.S. 

territories, including the District of 

Columbia, Guam, Commonwealth of 

Puerto Rico, Commonwealth of the 

Northern Mariana Islands, U.S. Virgin 

Islands, and American Samoa.

 Personal or Household Effects: 

The United States recognizes the 

CITES personal and household effects 

exemption for wildlife and plants, or 

their parts and products, when the 

import or export is part of a household 

move or accompanying the owner and 

intended for personal use (does not 

include specimens mailed or shipped 

separately). This applies only under 

the following conditions:

 Appendix-II and -III specimens 

may be imported and exported without 

CITES documents, provided the 

foreign country does not require a 

CITES permit.

 Appendix-I specimens may be 

exported by a U.S. resident without 

CITES documents, provided the 

foreign country does not require a 

CITES permit. Appendix-I specimens 

acquired abroad by individuals outside 

their country of usual residence may 

not be imported into the United States 

without CITES permits.

What foreign documentation might I need 

from a country that is not a member of 

CITES?

If you are importing CITES-listed 

wildlife or plants, or their parts and 

products, from a country that is not a 

Party (member) to CITES, you must 

obtain documents that contain all the 

information normally required by 

CITES. 

How do I apply for a CITES permit or 

certificate? 

1. Complete a standard application form 

(3-200) and submit it with a processing 

fee to the Division of Management 

Authority. Allow at least 60 days for 

review. 

2. Contact your State wildlife or plant 

conservation agency and the CITES 

Management Authority of the foreign 

importing or exporting country to 

determine any additional requirements. 

(Visit the CITES Secretariat’s website at 

www.cites.org.)

3. Some CITES-listed species are 

also protected by other U.S. laws with 

more stringent permit requirements, 

i.e., Endangered Species Act, Marine 

Mammal Protection Act, and Wild Bird 

Conservation Act. 

American Ginseng, CITES Appendix II

Gary Kauffman/U.S. Forest Service

U.S. Fish & Wildlife Service

International Affairs

4401 N. Fairfax Drive, Room 212

Arlington, VA 22203

703/358-2104 or 800/358-2104

e-mail: managementauthority@fws.gov

http://www.fws.gov/international 

 

December 2012

Like us on Facebook

USFWS_International Affairs

@USFWSInternatl