50 CFR § 23.1 - 23.92 - Taking, Possession, transportation, Sale, Purchase, Barter, Exportation, and Importation of Wildlife and Plants - Convention on International Trade in Endangered species of Wild Fauna and Flora (CITES)

157 U.S. Fish and Wildlife Serv., Interior Pt. 23 of the proposed area of taking. Such re quests should include a statement of the facts and the source of such facts that in the Governor’s opinion justifies the request. After a decision by the Di rector, the Governor will be advised in writing concerning the request and a notice will be published in the FEDERAL REGISTER. [39 FR 1183, Jan. 4, 1974, as amended at 87 FR 885, Jan. 7, 2022. Redesignated 87 FR 885, Jan. 7, 2022] § 22.122 Conditions and limitations on taking under depredation control order. (a) Whenever the taking of golden ea gles without a permit is authorized for the seasonal protection of livestock, such birds may be taken by firearms, traps, or other suitable means except by poison or from aircraft. (b) Any person exercising any of the privileges granted by this subpart D must permit all reasonable times, in cluding during actual operations, any Service agent, or other game law en forcement officer free and unrestricted access over the premises on which such operations have been or are being con ducted; and shall furnish promptly to such officer whatever information he may require concerning such oper ations. (c) The authority to take golden ea gles under a depredations control order issued pursuant to this subpart D only authorizes the taking of golden eagles when necessary to seasonally protect domesticated flocks and herds, and all such birds taken must be reported and turned over to a local Bureau Agent. [39 FR 1183, Jan. 4, 1974, as amended at 87 FR 885, Jan. 7, 2022. Redesignated 87 FR 885, Jan. 7, 2022] PART 23—CONVENTION ON INTER NATIONAL TRADE IN ENDAN GERED SPECIES OF WILD FAUNA AND FLORA (CITES) Subpart A—Introduction Sec. 23.1 What are the purposes of these regula tions and CITES? 23.2 How do I decide if these regulations apply to my shipment or me? 23.3 What other wildlife and plant regula tions may apply? 23.4 What are Appendices I, II, and III? 23.5 How are the terms used in these regula tions defined? 23.6 What are the roles of the Management and Scientific Authorities? 23.7 What office do I contact for CITES in formation? 23.8 What are the information collection re quirements? 23.9 Incorporation by reference. 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, includ ing tourist souvenirs? 23.16 What are the U.S. CITES requirements for urine, feces, and synthetically de rived DNA? 23.17 What are the requirements for CITES specimens traded internationally by dip lomatic, 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 in-tran sit 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 re quired on a non-Party CITES document? 23.26 When is a U.S. or foreign CITES docu ment 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 docu ment? 23.33 How is the decision made to issue or deny a request for a U.S. CITES docu ment? 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 im port permit? 23.36 What are the requirements for an ex port permit? 23.37 What are the requirements for a re-ex port certificate? VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00167 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 158 50 CFR Ch. I (10–1–22 Edition) Pt. 23 23.38 What are the requirements for a cer tificate of origin? 23.39 What are the requirements for an in troduction-from-the-sea certificate? 23.40 What are the requirements for a cer tificate for artificially propagated plants? 23.41 What are the requirements for a bred in-captivity certificate? 23.42 What are the requirements for a plant hybrid? 23.43 What are the requirements for a wild life hybrid? 23.44 What are the requirements for trav eling internationally with my personally owned live wildlife? 23.45 What are the requirements for a pre Convention specimen? 23.46 What are the requirements for reg istering 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 propa gated for commercial purposes? 23.48 What are the requirements for a reg istered scientific institution? 23.49 What are the requirements for an exhi bition traveling internationally? 23.50 What are the requirements for a sam ple 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 replac ing a lost, damaged, stolen, or acciden tally destroyed CITES document? 23.53 What are the requirements for obtain ing 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 cap tivity? 23.64 What factors are considered in making a finding that a plant is artificially prop agated? 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 harvested in the United States? 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 per sonal sport-hunted trophies? 23.75 How can I trade internationally in vicuña (Vicugna vicugna)? 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 spe cies in Appendix I or II? 23.90 What are the criteria for listing spe cies 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. SOURCE: 72 FR 48448, Aug. 23, 2007, unless otherwise noted. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00168 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 159 U.S. Fish and Wildlife Serv., Interior § 23.4 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 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 irre placeable 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 wild life and plants is sustainable. (c) National legislation. We, the U.S. Fish and Wildlife Service (FWS), im plement CITES through the Endan gered Species Act (ESA). § 23.2 How do I decide if these regula tions apply to my shipment or me? If you are engaging in activities with specimens of CITES-listed species these regulations apply to you. [79 FR 30419, May 27, 2014] § 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 addi tional restrictions. Many CITES spe cies 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 (endan gered 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 per mit procedures in part 13 of this sub chapter. 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 in troduction 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 regu lated by the U.S. Department of Agri culture, Animal and Plant Health In spection Service (APHIS) and Depart ment of Homeland Security, U.S. Cus toms 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 pro tection and is subject to different re quirements. Parties regulate trade in specimens of Appendix-I, -II, and -III species and their parts, products, and derivatives through a system of per mits and certificates (CITES docu ments). 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 sur vival of the species. (a) Appendix I includes species threat ened with extinction that are or may be affected by trade. Trade in Appen dix-I specimens may take place only in exceptional circumstances. (b) Appendix II includes species that are not presently threatened with ex tinction, but may become so if their trade is not regulated. It also includes VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00169 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 160 50 CFR Ch. I (10–1–22 Edition) § 23.5 species that need to be regulated so that trade in certain other Appendix-I or -II species may be effectively con trolled; these species are most com monly listed due to their similarity of appearance to other related CITES spe cies. (c) Appendix III includes species list ed 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 con tained in part 10 of this subchapter, and unless the context otherwise re quires, 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 inter national 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 ex plains the listing (such as ‘‘p.e.’’ for possibly extinct). A substantive anno tation is an integral part of a species listing. It designates whether the list ing includes or excludes a geographi cally separate population, subspecies, species, group of species, or higher taxon, and the types of specimens in cluded in or excluded from the listing, such as certain parts, products, or de rivatives. A substantive annotation may designate export quotas adopted by the CoP. For species transferred from Appendix I to II subject to an an notation 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 Appendix-II listing an notation for the export of, or inter national trade in, live animals, means that the Management Authority of the importing country has certified, based on advice from the Scientific Author ity 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 pro vided before a CITES document is issued by the Management Authority of the exporting or re-exporting coun try. Artificially propagated means a cul tivated plant that meets the criteria in § 23.64. Assisted production means a plant specimen that does not fall within the definition of ‘‘artificially propagated’’ and the source of the specimen is con sidered not to be taken from the wild because it was propagated or planted in an environment with some level of human intervention for the purpose of plant production. ATA carnet means a type of inter national 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 commer cial 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 spec imen is noncommercial. 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 asex ual, but does not meet the bred-in-cap tivity criteria (see § 23.63). Certificate means a CITES document or CITES exemption document that identifies on its face the type of certifi cate it is, including re-export certifi cate, introduction-from-the-sea certifi cate, and certificate of origin. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00170 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 161 U.S. Fish and Wildlife Serv., Interior § 23.5 CITES document or CITES exemption document means any certificate, per mit, 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 inter national movement of CITES speci mens. Commercial means related to an activ ity, including actual or intended im port, export, re-export, sale, offer for sale, purchase, transfer, donation, ex change, or provision of a service, that is reasonably likely to result in eco nomic use, gain, or benefit, including, but not limited to, profit (whether in cash or in kind). Coral (dead) means pieces of stony coral that contain no living coral tis sue and in which the structure of the corallites (skeletons of the individual polyps) is still intact and the speci mens are therefore identifiable to the level of species or genus. See also § 23.23(c)(13). Coral fragments, including coral grav el and coral rubble, means loose pieces of broken finger-like stony coral be tween 2 and 30 mm measured in all di rections that contain no living coral tissue and are not identifiable to the level of genus (see § 23.92 for exemp tions). Coral (live) means pieces of stony coral that are alive and are therefore identifiable to the level of species or genus. See also § 23.23(c)(13). Coral rock means hard consolidated material greater than 30 mm measured in any direction that consists of pieces of stony coral that contain no living coral tissue and possibly also cemented sand, coralline algae, or other sedi mentary rocks. Coral rock includes live rock and substrate, which are terms for pieces of coral rock to which are at tached live specimens of other inverte brate species or coralline algae that are not listed in the CITES Appendices. See also § 23.23(c)(13). Coral sand means material that con sists entirely or in part of finely crushed stony coral no larger than 2 mm measured in all directions that contains no living coral tissue and is not identifiable to the level of genus (see § 23.92 for exemptions). Coral (stony) means any coral in the orders Helioporacea, Milleporina, Scleractinia, Stolonifera, and Stylasterina. Country of origin means the country where the wildlife or plant was taken from the wild or was born or propa gated in a controlled environment, ex cept 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 spec imen ceased to qualify for the exemp tion. Cultivar means a horticulturally de rived plant variety that: has been se lected for a particular character or combination of characters; is distinct, uniform, and stable in these char acters; and when propagated by appro priate means, retains these characters. The cultivar name and description must be formally published in order to be recognized under CITES. Cultivated means a plant grown or tended by humans for human use. A cultivated plant can be treated as arti ficially 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 ob tained 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 ma terial 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 re-export across jurisdictional or inter national boundaries for any purpose whether commercial or noncommer cial. In-transit shipment means the trans shipment of any wildlife or plant through an intermediary country when VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00171 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 162 50 CFR Ch. I (10–1–22 Edition) § 23.5 the specimen remains under customs control and either the shipment meets the requirements of § 23.22 or the sam ple collection covered by an ATA carnet meets the requirements of § 23.50. Introduction from the sea means trans portation into a country of specimens of any species that were taken in the marine environment not under the ju risdiction of any country, i.e., taken in those marine areas beyond the areas subject to the sovereignty or sovereign rights of a country consistent with international law, as reflected in the United Nations Convention on the Law of the Sea. ISO country code means the two-let ter country code developed by the International Organization for Stand ardization (ISO) to represent the name of a country and its subdivisions. Live rock see the definition for coral rock. Management Authority means a gov ernmental 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 Manage ment Authority, including the issuance of CITES documents on behalf of that country. Noncommercial means related to an activity that is not commercial. Non commercial includes, but is not limited to, personal use. Non-Party means a country that has not deposited an instrument of ratifi cation, acceptance, approval, or acces sion to CITES with the Depositary Government (Switzerland), or a coun try that was a Party but subsequently notified the Depositary Government of its denunciation of CITES and the de nunciation is in effect. Offspring of first generation (F1) means a wildlife specimen produced in a con trolled 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 en vironment 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 provi sions of CITES by depositing an instru ment of ratification, acceptance, ap proval, or accession with the Deposi tary 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 accom panying 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 ac tions taken that will be in the best in terest of the conservation of the spe cies 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 con trolled 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 de rivative made from such specimen. Primarily commercial purposes means an activity whose noncommercial as pects do not clearly predominate (see § 23.62). Propagule means a structure, such as a cutting, seed, or spore, which is capa ble of propagating a plant. Ranched wildlife means specimens of animals reared in a controlled environ ment that were taken from the wild as eggs or juveniles where they would oth erwise have had a very low probability of surviving to adulthood. See also § 23.34. Readily recognizable means any speci men that appears from a visual, phys ical, 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 de rivative is specifically exempt from the provisions of CITES or this part. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00172 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 163 U.S. Fish and Wildlife Serv., Interior ยง 23.6 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 ยง 23.21). Scientific Authority means a govern mental or independent scientific insti tution 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 des ignated by the Treaty to perform cer tain administrative functions (see ยง 23.84). Shipment means any CITES specimen in international trade whether for com mercial or noncommercial use, includ ing any personal item. Species means any species, subspecies, hybrid, variety, cultivar, color or mor phological variant, or geographically separate population of that species. Specimen means any wildlife or plant, whether live or dead. This term in cludes 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 bio logically viable levels for the long term. Such use involves a determina tion of the productive capacity of the species and its ecosystem to ensure that utilization does not exceed those capacities or the ability of the popu lation to reproduce, maintain itself, and perform its role or function in its ecosystem. Trade means the same as inter national trade. Transit see the definition for in-tran sit shipment. Traveling exhibition means a display of live or dead wildlife or plants for en tertainment, educational, cultural, or other display purposes that is tempo rarily moving internationally. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30419, May 27, 2014; 87 FR 10079, Feb. 23, 2022] ยง 23.6 What are the roles of the Man agement 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 Sci entific Authority and Management Au thority, which for purposes of this sec tion includes FWS Law Enforcement. When offices share activities, the Man agement Authority is responsible for dealing primarily with management and regulatory issues and the Sci entific Authority is responsible for dealing primarily with scientific issues. The offices do the following: Roles U.S. Sci entific Author ity U.S. Man age ment Author ity (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 sta tus of species to determine if a species listing or change in a listing is warranted. Interpret listings and re view 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00173 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 164 50 CFR Ch. I (10–1–22 Edition) § 23.7 Roles U.S. Sci entific Author ity U.S. Man age ment Author ity (e) Monitor trade in all CITES species and produce annual reports on CITES trade. x (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-ex port certificate presented for export or re-export of any CITES specimen. x (g) Produce periodic Article VIII, paragraph 7(b) reports on legislative, regulatory, and administrative meas ures 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 con servation 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 offi cials 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 [72 FR 48448, Aug. 23, 2007, as amended at 87 FR 10079, Feb. 23, 2022] § 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 pro cedures; lists of registered scientific institutions and op erations breeding Appendix-I wildlife for commercial pur poses; 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 Headquarters, MS: IA, 5275 Leesburg Pike, Falls Church, VA 22041–3803, Toll Free: (800) 358–2104/permit ques tions, Tel: (703) 358–2095/other questions, Fax: (703) 358– 2281/permits, Fax: (703) 358–2298/other issues, Email: managementauthority@fws.gov, Web site: 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 reso lutions (4) Names and addresses of other countries’ Scientific Au thority offices and scientists involved with CITES-related issues (5) Nomenclatural issues U.S. Scientific Authority, U.S. Fish and Wildlife Service Head quarters, MS: IA, 5275 Leesburg Pike, Falls Church, VA 22041–3803, Tel: (703) 358–1708, Fax: (703) 358–2276, Email: scientificauthority@fws.gov, Web site: 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 wild life documents Law Enforcement, U.S. Fish and Wildlife Service Head quarters, MS: OLE, 5275 Leesburg Pike, Falls Church, VA 22041–3803, Tel: (703) 358–1949, Fax: (703) 358–2271, Web site: http://www.fws.gov/le. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00174 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 165 U.S. Fish and Wildlife Serv., Interior § 23.9 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 the non-air transport 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, no tifications, 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 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 43966, July 29, 2014; 87 FR 10079, Feb. 23, 2022] § 23.8 What are the information collec tion requirements? The Office of Management and Budg et approved the information collection requirements for application forms and reports contained in this part and as signed OMB Control Number 1018–0093. We cannot collect or sponsor a collec tion of information and you are not re quired to provide information unless it displays a currently valid OMB control number. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.9 Incorporation by reference. Certain material is incorporated by reference into this part with the ap proval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at U.S. Fish and Wildlife Service, International Af fairs, Division of Management Author ity, 703–358–2104 and is available from the sources listed elsewhere in this sec tion. It is also available for inspection at the National Archives and Records Administration (NARA). For informa tion on the availability of this mate rial at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr locations.html. (a) International Air Transport Asso ciation (IATA), 800 Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, 1–800–716–6326, www.iata.org. (1) Live Animals Regulations (LAR) 48th edition, effective January 1, 2022, into §§ 23.23, 23.26, and 23.56. (2) Perishable Cargo Regulations (PCR) 21st edition, effective January 1, 2022, into §§ 23.23, 23.26, and 23.56. (b) CITES Secretariat: Palais des Na tions, Avenue de la Paix 8–14, 1211 Genève 10, Switzerland; telephone +41– (0)22–917–81–39/40; email info@cites.org, www.cites.org. (1) CITES Guidelines for the non-air transport of live wild animals and plants, effective January 2, 2017, into §§ 23.23, 23.26, and 23.56, available for downloading at (i) https://cites.org/eng/resources/trans port/index.php (ii) https://www.fws.gov/international/ travel-and-trade/live-animal-trans port.html VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00175 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 166 50 CFR Ch. I (10–1–22 Edition) § 23.13 (2) [Reserved] [87 FR 10079, Feb. 23, 2022] Subpart B—Prohibitions, Exemptions, and Requirements § 23.13 What is prohibited? Except as provided in § 23.92, it is un lawful for any person subject to the ju risdiction of the United States to con duct any of the following activities un less they meet the requirements of this part: (a) Import, export, re-export, or en gage in international trade with any specimen of a species listed in Appen dix I, II, or III of CITES. (b) Introduce from the sea any speci men 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, intro duced from the sea, or traded contrary to the provisions of CITES, the ESA, or this part. (d) Use any specimen of a species list ed in Appendix I, II, or III of CITES for any purpose contrary to what is al lowed under § 23.55. (e) Violate any other provisions of this part. (f) Attempt to commit, solicit an other to commit, or cause to be com mitted any of the activities described in paragraphs (a) through (e) of this section. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.14 [Reserved] § 23.15 How may I travel internation ally 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 per sonal and household effects. (b) Stricter national measures. The ex emption for personal and household ef fects does not apply if a country pro hibits or restricts the import, export, or re-export of the item. (1) You or your shipment must be ac companied 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 per sonal 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 ex emption 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 Quantity 1 Fishes (i) Acipenseriformes (sturgeon, in cluding paddlefish) Sturgeon caviar (see § 23.71) 125 gm Fishes (ii) Hippocampus spp. (seahorses) Dead specimens, parts, products (including manufactured items), and derivatives 4 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 1 To import, export, or re-export more than the quantity listed in the table, you must have a valid CITES document for the en tire quantity. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00176 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 167 U.S. Fish and Wildlife Serv., Interior § 23.16 (d) Personal effects. You do not need a CITES document to import, export, or re-export any legally acquired speci men 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 pro vided 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 speci men intended as a personal gift. (5) You are either wearing the speci men as clothing or an accessory or tak ing 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 speci men 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 fol lowing 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 house hold effects within 1 year of changing your residence from one country to an other. (4) The shipment, or shipments if you cannot move all of your household ef fects at one time, contains only speci mens purchased, inherited, or other wise 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 re import 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 re quirements 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 Af rican 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 doc uments to show that the ivory is pre Convention 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 docu ments: (i) U.S. CITES pre-Convention cer tificate. (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). [72 FR 48448, Aug. 23, 2007, as amended at 73 FR 40986, July 17, 2008] § 23.16 What are the U.S. CITES re quirements for urine, feces, and synthetically derived DNA? (a) CITES documents. We do not re quire 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 re quirements of this part. (b) Urine and feces. Except as pro vided in paragraph (a) of this section, we consider urine and feces to be wild life byproducts, rather than parts, products, or derivatives, and exempt VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00177 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 168 50 CFR Ch. I (10–1–22 Edition) § 23.17 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 regu lated by CITES and this part. (2) A DNA sample synthetically de rived 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 inter nationally by diplomatic, consular, military, and other persons exempt from customs duties or inspections? A specimen of a CITES species im ported, introduced from the sea, ex ported, or re-exported by a person re ceiving duty-free or inspection exemp tion privileges under customs laws must meet the requirements of CITES and the regulations in this part. § 23.18 What CITES documents are re quired to export Appendix-I wild life? Answer the questions in the fol lowing 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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00178 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 169 U.S. Fish and Wildlife Serv., Interior ยง 23.19 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] ยง 23.19 What CITES documents are re quired to export Appendix-I plants? Answer the questions in the fol lowing 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 ยง 23.20(d) for CITES exemption documents or ยง 23.92 for specimens that are exempt from the requirements of CITES and do not need CITES documents. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00179 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244 E R 27 M Y 14 .0 00 < /G P H > pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 170 50 CFR Ch. I (10–1–22 Edition) § 23.20 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014] § 23.20 What CITES documents are re quired for international trade? (a) Purpose. Articles III, IV, and V of the Treaty give the types of standard CITES documents that must accom pany an Appendix-I, -II, or -III speci men in international trade. Articles VII and XIV recognize some exemp tions and provide that a CITES docu ment must accompany most exempt specimens. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00180 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244 E R 27 M Y 14 .0 01 < /G P H > pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 171 U.S. Fish and Wildlife Serv., Interior § 23.20 (b) Stricter national measures. Before importing, introducing from the sea, exporting, or re-exporting a specimen, check with the Management Authori ties of all countries concerned to ob tain any documentation required under stricter national measures. (c) CITES documents. Except as pro vided 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 exemp tion 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 para graph (e) of this section. The first col umn in the following table alphabeti cally lists the type of specimen or ac tivity that may qualify for a CITES ex emption document. The last column in dicates the section of this part that contains information on the applica tion 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 com mercial 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 statement 1 23.23(f) (3) Bred-in-captivity wildlife (see para graph (d)(5) of this section for Appen dix-I wildlife bred in captivity for com mercial 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 trea ty, convention, or international agree ment 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 col lections 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 spe cies II Document required by applicable treaty, convention, or international agree ment, if appropriate 23.39(d) (11) Noncommercial loan, donation, or exchange of specimens between sci entific institutions registered with the CITES Secretariat I, II, or III A label indicating CITES and the reg istration codes of both institutions and, in the United States, a CITES certificate of scientific exchange that registers the institution 3 23.48 (12) Personally owned live wildlife for multiple cross-border movements I, II, or III CITES certificate of ownership2 23.44 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00181 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 172 50 CFR Ch. I (10–1–22 Edition) § 23.21 Type of specimen or activity Appendix CITES exemption document Section (13) Pre-Convention specimen I, II, or III CITES document indicating pre-Con vention status 1 23.45 (14) Sample collection covered by an ATA carnet I 4, II, or III CITES document indicating sample col lection 2 23.50 (15) Traveling exhibition I, II, or III CITES document indicating specimens qualify as pre-Convention, bred in captivity, or artificially propagated 2 23.49 1 Issued by the Management Authority in the exporting or re-exporting country. 2 Issued by the Management Authority in the owner’s country of usual residence. 3 Registration codes assigned by the Management Authorities in both exporting and importing countries. 4 Appendix-I species bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47). (e) Import permits, export permits, re export certificates, and certificates of ori gin. 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; certifi cate 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 certifi cates. 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 ex emption in paragraph (d)(10) of this section applies (see § 23.39). The export of a specimen that was previously in troduced from the sea will be treated as an export (see § 23.36 for export, § 23.36(e) and § 23.39(e) for export of ex empt specimens, or § 23.37 for re-ex port). Although an Appendix-III speci men does not require a CITES docu ment 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 coun try 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 certifi cate for all re-exports (§ 23.37). § 23.21 What happens if a country en ters 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 spe cies 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 fol lowing ways: (1) A Party must provide written no tification to the Depositary Govern ment (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 list ing when the country ratifies, accepts, approves, or accedes to CITES. (c) Requesting the United States take a reservation. You may submit informa tion relevant to the issue of whether the United States should take a res ervation on a species listing to the U.S. Management Authority. The request must be submitted within 30 calendar VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00182 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 173 U.S. Fish and Wildlife Serv., Interior § 23.22 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 Ap pendix 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 appro priate). The following table indicates when CITES documents must accom pany a shipment and which Appendix should appear on the face of the docu ment: 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 docu ment(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 Party 1 or non-Party and is in transit through a Party The shipment must be accompanied by a valid CITES docu ment(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 re serving Party 1 or non-Party and is not in transit through a Party No CITES document is required. 2 1 Both 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 coun tries that have taken reservations and the species involved. § 23.22 What are the requirements for in-transit 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 destina tion without the need for the inter mediary Party to issue CITES docu ments. To control any illegal trade, Parties are to inspect, to the extent possible under their national legisla tion, 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 in-tran sit shipment does not require a CITES document from an intermediary coun try, but must be accompanied by all of the following documents: (1) Unless the specimen qualifies for an exemption under § 23.92, a valid original CITES document, or a copy of the valid original CITES document, that designates the name of the im porter in the country of final destina tion and is issued by the Management Authority of the exporting or re-ex porting 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 per mit that designates the name of the importer in the country of final des tination, unless the CITES document in paragraph (b)(1) of this section is a CITES exemption document (see § 23.20(d)). (3) Transportation and routing docu ments that show the shipment has been consigned to the same importer and country of final destination as des ignated on the CITES document. (c) Shipment requirements. An in-tran sit 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 in transit shipment must not be sold, ma nipulated, or split unless authorized by VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00183 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 174 50 CFR Ch. I (10–1–22 Edition) § 23.23 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 speci men as listed in the Appendix as pro vided in § 23.21(d). (e) Specimen protected by other regula tions. 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 sub chapter and 216 of this title), or bald or golden eagle (part 22 of this sub chapter), 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 docu ments? (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 stand ardized 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 issued 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 cer tificate, letter, or any other form that clearly indicates the nature of the doc ument and includes the information in paragraphs (c) through (e) of this sec tion and the additional information in § 23.25. (c) Required information. Except for a phytosanitary certificate used as a CITES certificate for artificially prop agated plants in paragraph (f) of this section, or a customs declaration label used to identify specimens being moved between registered scientific institu tions (§ 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). Spe cific types of CITES documents must also contain the additional informa tion identified in paragraph (e) of this section. A CITES document is valid only when it contains the following in formation: 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). For products that contain or consist of more than one CITES species, the Appendix in which each species is listed must be indi cated on the CITES document. (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 docu ment 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 dif ferent 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 indi cate 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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00184 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 175 U.S. Fish and Wildlife Serv., Interior § 23.23 Required information Description (7) Humane transport of live specimens If the CITES document authorizes the export or re-export of live specimens, a statement that the document is valid only if the transport conditions comply with the International Air Trans port Association Live Animals Regulations (for animals) (incorporated by reference, see § 23.9) or the International Air Transport Association Perishable Cargo Regulations (for plants) (incorporated by reference, see § 23.9) or, in the case of non-air transport of species that may require transport conditions in addition to or different from the Live Animals Regu lations or the Perishable Cargo Regulations, the CITES Guidelines for the non-air transport of wild animals and plants (incorporated by reference, see § 23.9). A shipment containing live specimens must comply with the International Air Transport Association Live Animals Regulations (for animals) or the International Air Transport Association Perishable Cargo Regulations (for plants) or, in the case of non-air transport of species that may require trans port conditions in addition to or different from the Live Animals Regulations or the Perishable Cargo Regulations, the CITES Guidelines for the non-air transport of wild animals and plants. (8) Identification of the speci men 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 measure ment using the metric system. For products that contain or consist of more than one CITES species, the quantity of each species must be indicated on the CITES document. (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. For products that contain or consist of more than one CITES species, the scientific name of each species must be indicated on the CITES document. Scientific names must be in the 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 high er-taxon names in (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) If the species cannot be determined for worked specimens of black coral, specimens may be identified at the genus level. If the genus cannot be determined for worked specimens of black coral, the scientific name to be used is the order Antipatharia. Raw black coral and live black coral must be identified to the level of species. (C) 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 identifi able to genus is available from the CITES website or us (see § 23.7). (D) 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 com municated 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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00185 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 176 50 CFR Ch. I (10–1–22 Edition) § 23.23 Required information Description (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. (16) Signature An original handwritten signature or signature stamp 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 products that contain or consist of more than one CITES species, the source code of each species must be indicated on the CITES document. 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 certifi cate for artificially propagated plants, certificate for wildlife bred in captivity, certificate of ori gin, certificate of ownership, introduction-from-the-sea certificate, pre-Convention certificate, sample collection covered by an ATA carnet, scientific exchange certificate, or traveling-ex hibition 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 Except as provided for replacement (§ 23.52(f)) or retrospective (§ 23.53(f)) CITES documents, 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 descrip tion, 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 L ................ Law enforcement/judicial/forensic M ............... Medical research (including biomedical re search) Code Purpose of transaction N ............... Reintroduction or introduction into the wild P ................ Personal Q ............... Circus and traveling exhibition S ................ Scientific T ................ Commercial Z ................ Zoo (e) Additional required information. The following describes the additional infor mation 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 con tinuation pages of a CITES document) The page number, document number, and date of issue on each page of an annex that is at tached 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 at tached 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 ex port 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 reg istered commercial breeding operation or nursery for Ap pendix-I specimens (see § 23.46) The registration number of the operation or nursery assigned by the Secretariat, and if the ex porter is not the registered operation or nursery, the name of the registered operation or nursery. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00186 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 177 U.S. Fish and Wildlife Serv., Interior § 23.24 Type of document Additional required information (5) Export permit with a quota Number of specimens, such as 500/1,000, that were: (i) Exported thus far in the current 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. (7) Replacement CITES docu ment (see § 23.52) When a CITES document replaces an already issued CITES document that was lost, dam aged, 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 docu ments (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. (iv) For products that contain or consist of more than one CITES species, the information in paragraphs (e)(10)(i) through (iii) of this section for each species must be indicated on the CITES document. (11) Retrospective CITES doc ument (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 accom panied by a valid ATA carnet. (ii) The number of the accompanying ATA carnet recorded by the Management Authority, cus toms, 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 spe cies, or are hybrids of one or more Ap pendix-I species or taxa that are not annotated to treat hybrids as Appen dix-I specimens. (iii) The plants were artificially prop agated in the exporting country. (3) The certificate contains the fol lowing 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 au thorized in the shipment. (iii) A stamp, seal, or other specific indication stating that the specimen is artificially propagated (see § 23.64). [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 32677, June 6, 2014; 87 FR 10080, Feb. 23, 2022] § 23.24 What code is used to show the source of the specimen? The Management Authority must in dicate on the CITES document the source of the specimen using one of the following codes, except the code ‘‘O’’ for pre-Convention, which may be used in conjunction with another code: VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00187 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 178 50 CFR Ch. I (10–1–22 Edition) § 23.25 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 reg istered with the Secretariat or a commercial propagating operation that meets the requirements of § 23.47. D (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 (see § 23.5). (ii) Bred for commercial purposes, but the commercial breeding operation is not registered with the Secretariat. F (e) Confiscated or seized specimen (see § 23.78). I (f) Pre-Convention specimen (see § 23.45) (code may be used in conjunction with another code). O (g) Ranched wildlife (see § 23.5). 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 (j) Specimens taken in the marine environment not under the jurisdiction of any country (see § 23.39) X (k) Assisted production plant (see § 23.5) Y [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014; 87 FR 10080, Feb. 23, 2022] § 23.25 What additional information is required on a non-Party CITES doc ument? (a) Purpose. Under Article X of the Treaty, a Party may accept a CITES document issued by a competent au thority of a non-Party only if the docu ment substantially conforms to the re quirements of the Treaty. (b) Additional certifications. In addi tion to the information in § 23.23(c) through (e), a CITES document issued by a non-Party must contain the fol lowing 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 sur vival of the species. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00188 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 179 U.S. Fish and Wildlife Serv., Interior § 23.26 § 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 sepa rate original or a true copy of a CITES document must be issued before the import, introduction from the sea, ex port, or re-export occurs, and the docu ment 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 docu ment 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 cer tain timber species. (7) Fraudulent CITES docu ment or CITES document containing false information The CITES document is authentic and does not contain erroneous or misleading information. (8) Humane transport Live wildlife or plants were transported in compliance with the International Air Transport Asso ciation Live Animals Regulations (for animals) (incorporated by reference, see § 23.9) or the International Air Transport Association Perishable Cargo Regulations (for plants) (incor porated by reference, see § 23.9) or, in the case of non-air transport of species that may re quire transport conditions in addition to or different from the Live Animals Regulations or the Perishable Cargo Regulations, the CITES Guidelines for the non-air transport of live wild animals and plants (incorporated by reference, see § 23.9). (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 ex porter A CITES document is specific to the name on the face of the document and may not be trans ferred 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 Ap pendix-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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00189 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 180 50 CFR Ch. I (10–1–22 Edition) § 23.27 Key phrase Conditions for an acceptable CITES document (16) Registered commercial nursery for Appendix-I plants The operation is included in the Secretariat’s register. (17) Retrospective CITES doc uments 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 doc ument, including the units and species. A shipment cannot contain more or different speci mens 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 informa tion indicating that the species has been established in the wild in that country through acci dental 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 be fore 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 doc ument verification. (2) We have reasonable grounds to be lieve that a CITES document is not valid or authentic because the species is being traded in a manner detri mental to the survival of the species or in violation of foreign wildlife or plant laws, or any applicable Management or Scientific Authority finding has not been made. (3) The re-export certificate refers to an export permit that does not exist or is not valid. (4) The CITES document includes a species for which the Secretariat has published an annotated quota. (5) We have reasonable grounds to be lieve that the document is fraudulent, contains false information, or has un authorized changes. (6) We have reasonable grounds to be lieve that the specimen identified as bred in captivity or artificially propa gated is a wild specimen, was produced from illegally acquired parental stock, or otherwise does not qualify for these exemptions. (7) We know or have reasonable grounds to believe that an Appendix-I specimen was not bred at a facility reg istered with the CITES Secretariat and that the purpose of the import is com mercial. (8) The import of a specimen des ignated as bred in captivity or artifi cially propagated is from a non-Party. For an Appendix-I specimen, we must consult with the Secretariat. (9) For a retrospectively issued CITES document, both the importing and exporting or re-exporting coun tries’ Management Authorities have not agreed to the issuance of the docu ment. (10) For a replacement CITES docu ment, we need clarification of the rea son the document was issued. (11) The export permit or re-export certificate does not contain validation or certification by an inspecting offi cial at the time of export of the actual quantity exported or re-exported. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014; 87 FR 10080, Feb. 23, 2022] § 23.27 What CITES documents do I present at the port? (a) Purpose. Article VIII of the Treaty provides that Parties establish an in spection process that takes place at a port of exit and entry. Inspecting offi cials must verify that valid CITES doc uments accompany shipments and take enforcement action when shipments do not comply with the Convention. Arti cle VI, paragraph 6, of the Treaty re quires that the Management Authority of the importing country cancel and re tain the export permit or re-export cer tificate and any corresponding import permit presented. In the United States, for imports of CITES-listed plant speci mens, CITES inspecting officials cancel VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00190 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 181 U.S. Fish and Wildlife Serv., Interior ยง 23.27 and submit original CITES documents to the U.S. Management Authority. (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 exporting or re-exporting country inspect the ship ment and validate or certify the CITES document. The table in this paragraph (c) provides information on: (1) The types of original CITES docu ments 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 the inspecting official at the time of export or re-export. (3) When you need to surrender the original CITES document to the in specting official at the time of import or introduction from the sea. Type of CITES document Present original for ex port or re-export valida tion 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 Required 1 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 op eration, 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 1 Original must be available for inspection, but permit conditions will indicate whether an original or copy is to be validated. (d) Customs declaration labels. The cus toms declaration label used to identify specimens being moved between reg istered scientific institutions (ยง 23.48) must be affixed to the shipping con tainer. The label does not require ex port or re-export validation or certifi cation at the port. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00191 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 182 50 CFR Ch. I (10–1–22 Edition) § 23.32 Subpart C—Application Proce dures, Criteria, and Condi tions § 23.32 How do I apply for a U.S. CITES document? (a) To apply for a U.S. CITES docu ment, 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 infor mation needed to meet the require ments 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 sub chapter that apply to the type of per mit you are seeking before completing the application form. (f) We will review your application to assess whether it contains the informa tion needed to make the required find ings. (1) Based on available information, we will decide if any of the exemptions apply and what type of CITES docu ment you need. (2) If we need additional information, we will contact you. If you do not pro vide 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 ap plication. § 23.33 How is the decision made to issue or deny a request for a U.S. CITES document? (a) Upon receiving a complete appli cation, 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 trea ty, criteria in any other applicable parts. (2) The CITES issuance criteria pro vided 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 En forcement, will forward a copy of the application to the U.S. Scientific Au thority; State, tribal, or other Federal government agencies; or other applica ble experts. We may also query the Secretariat and foreign Management and Scientific Authorities for informa tion to use in making the required findings. (c) You must provide sufficient infor mation to satisfy us that all criteria specific to the proposed activity are met before we can issue a CITES docu ment. (d) We will base our decision on whether to issue or deny the applica tion on the best available information. § 23.34 What kinds of records may I use to show the origin of a speci men 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 speci men that will be covered by the CITES document. (1) You need to provide sufficient in formation 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 informa tion when the import, introduction from the sea, export, or re-export 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 pro vide in a permit application includes, but is not limited to, the following: VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00192 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 183 U.S. Fish and Wildlife Serv., Interior § 23.34 Source of specimen Types of records (1) Captive-bred or cultivated 1 (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 Sys tem (ISIS) record, veterinary certificate, or plant nursery li cense. (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 speci mens, and name and address of seller. (G) Marking system, if applicable. (H) Photographs or video of facility, including for wildlife any ac tivities 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) Grown from exempt plant material Records that document how you obtained the exempt plant material, including the name and address of the person from whom you re ceived 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 Ex portation 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) Ranched wildlife (i) Records, such as permits, licenses, and tags, that demonstrate that the specimen was legally removed from the wild under relevant Federal, tribal, State, or local wildlife conservation laws or regula tions: (A) If taken on private or tribal land, permission of the landowner if required under applicable law. (B) If taken in a national, State, or local park, refuge or other pro tected area, permission from the applicable agency, if required. (ii) Records that document the rearing of specimens at the facility: (A) Number of specimens (by sex and age- or size-class) at the facility. (B) How long the specimens were reared at the facility. (C) Signed and dated statement by the owner or manager of the facility that the specimens were reared at the facility in a con trolled environment. (D) Marking system, if applicable. (E) Photographs or video of the facility. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00193 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 184 50 CFR Ch. I (10–1–22 Edition) § 23.35 Source of specimen Types of records (7) 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-Conven tion, 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 pre-Convention specimens). (8) Unknown origin, for noncommercial purposes A complete description of the circumstances under which the speci men was acquired (where, when, and from whom the specimen was acquired), including efforts made to obtain information on the origin of the specimen. (9) 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 pro tected area, permission from the applicable agency, if required. 1 If the wildlife was born in captivity from an egg collected in the wild or from parents that mated or exchanged genetic material in the wild, see paragraphs (b)(6) and (b)(9) of this section. If the plant was propagated from a non-exempt propagule collected from a wild plant, see paragraph (b)(9) of this section. (c) If you intend to engage in inter national trade with a CITES specimen in the future, you should keep suffi cient records to establish your eligi bility 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] § 23.35 What are the requirements for an import permit? (a) Purpose. Article III(3) of the Trea ty 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. Man agement 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 para graph (c) apply to the issuance and ac ceptance of U.S. and foreign import permits. When applying for a U.S. im port permit, you must provide suffi cient information for us to find that your proposed activity meets all of the following criteria: VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00194 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 185 U.S. Fish and Wildlife Serv., Interior § 23.36 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 con ditions in § 23.56. (e) Prior issuance of an import permit. For Appendix-I specimens, the Manage ment Authority of the exporting coun try may: (1) Issue an export permit for live or dead specimens or a re-export certifi cate for live specimens only after the Management Authority of the import ing 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 import ing country that an import permit will be issued in an emergency situation where the life or health of the speci men 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 Appendix I, -II, or -III specimen. Article XIV sets out the conditions under which a Man agement Authority may issue a docu ment 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. Man agement Authority. Form 3–200–26 may also be submitted to FWS Law Enforce ment at certain ports or regional of fices: Type of application for an export permit Form no. (1) CITES: American Ginseng .............................................................................................................................................. 3–200–34 Appendix-I Plants Artificially Propagated for Commercial Purposes ................................................................. 3–200–33 Biological Specimens ......................................................................................................................................... 3–200–29 Captive-born Raptors ......................................................................................................................................... 3–200–25 Captive-born Wildlife (except raptors) ................................................................................................................ 3–200–24 Caviar/Live Eggs/Meat of Paddlefish or Sturgeon, From an Aquaculture Facility ............................................ 3–200–80 Caviar/Meat of Paddlefish or Sturgeon, Removed from the Wild ..................................................................... 3–200–76 Export of Skins of Bobcat, Canada Lynx, River Otter, Brown Bear, Gray Wolf, and American Alligator Taken under an Approved State or Tribal Program. 3–200–26 Master File for the Export of Live Animals Bred in Captivity ............................................................................ 3–200–85 Personal Pets, One-time Export ........................................................................................................................ 3–200–46 Plants ................................................................................................................................................................. 3–200–32 Registration of a Native Species Production Facility ......................................................................................... 3–200–75 Single-use Permits under a Master File or an Annual Program File ................................................................ 3–200–74 Trophies by Hunters or Taxidermists ................................................................................................................. 3–200–28 Wildlife, Removed from the Wild (Live Animals/Samples/Parts/Products) ........................................................ 3–200–27 (2) Endangered Species Act and CITES: ESA Plants ......................................................................................................................................................... 3–200–36 ESA Wildlife ....................................................................................................................................................... 3–200–37 (3) Marine Mammal Protection Act and CITES: Biological Samples ............................................................................................................................................. 3–200–29 Live Captive-held Marine Mammals ................................................................................................................... 3–200–53 Take from the Wild for Export ............................................................................................................................ 3–200–43 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00195 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 186 50 CFR Ch. I (10–1–22 Edition) § 23.36 (c) Criteria. The criteria in this para graph (c) apply to the issuance and ac ceptance of U.S. and foreign export per mits except as provided for certain ma rine specimens in paragraph (d) of this section. When applying for a U.S. per mit 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 Sec tion 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 Man agement Authority of the importing country has con firmed that it will be issued. Yes n/a n/a 23.35 (4) The scientific name of the species is the standard no menclature 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 ex port 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 reg istered 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, con vention, or international agreement that was in force at the time CITES en tered into force. When all of the fol lowing conditions are met, export of exempt Appendix-II marine wildlife or plants requires only that the shipment is accompanied by a document issued by the Management Authority of the exporting country indicating that the specimens were taken in accordance with the provisions of the other inter national treaty, convention, or agree ment: (1) The exporting country is a CITES Party and is a party to an inter national treaty, convention, or agree ment that affords protection to the species and was in force on July 1, 1975. (2) The ship that harvested the speci men is registered in the exporting country. (3) The specimen was taken within waters under the jurisdiction of the ex porting country or in the marine envi ronment not under the jurisdiction of any country. (4) The specimen was taken in ac cordance with the other international treaty, convention, or agreement, in cluding any quotas. (5) The shipment is accompanied by any official document required under the other international treaty, conven tion, or agreement or otherwise re quired by law. (e) Export of exempt specimens from the United States. To export a specimen ex empted under paragraph (d) of this sec tion, you must obtain a CITES docu ment from the U.S. Management Au thority that indicates the specimen was taken in accordance with the pro visions 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 exemp tion document under paragraph (e) of this section, complete the appropriate form for your activity and submit it to the U.S. Management Authority. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00196 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 187 U.S. Fish and Wildlife Serv., Interior § 23.37 (g) Criteria for certain exempt marine specimens. The criteria in this para graph (g) apply to the issuance and ac ceptance of U.S. and foreign export documents. To obtain a U.S. CITES document for export of specimens ex empted under paragraph (d) of this sec tion you must provide sufficient infor mation for us to find that your pro posed export meets all of the following issuance criteria: (1) The specimen was taken in ac cordance with the provisions of an ap plicable international treaty, conven tion, 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 speci men is registered in the exporting country. (4) The specimen was taken within waters under the jurisdiction of the ex porting country or in the marine envi ronment not under the jurisdiction of any country. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014] § 23.37 What are the requirements for a re-export 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 Ap pendix-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. Man agement 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 para graph (c) apply to the issuance and ac ceptance 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 fol lowing criteria: Criteria for a re-export certificate Appendix of the specimen Sec tion 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 no menclature 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 import ing country has confirmed that it will be issued. This cri terion 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00197 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 188 50 CFR Ch. I (10–1–22 Edition) § 23.38 Criteria for a re-export certificate Appendix of the specimen Sec tion 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 cer tificate of origin when the shipment is not from a country that listed the spe cies in Appendix III and is not a re-ex port. (b) U.S. application forms. For a cer tificate 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 para graph (c) apply to the issuance and ac ceptance of U.S. and foreign certifi cates of origin. When applying for a U.S. certificate, you must provide suf ficient 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 coun try that listed the species in Appendix III. In the case of a listing that is anno tated to cover only a certain popu lation, no CITES document is required if the listed population does not occur in the country of export. For U.S. ap plicants, 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 pre pared 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 certifi cate? (a) Purpose. Articles III(5), IV(6), and IV(7) of the Treaty set out the condi tions under which a Management Au thority 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 para graph (c) apply to the issuance and ac ceptance 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 Sec tion 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00198 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 189 U.S. Fish and Wildlife Serv., Interior § 23.40 Criteria for an introduction-from-the-sea certificate Appendix of the specimen Sec tion I II (6) Live wildlife or plants will be prepared and shipped so as to mini mize risk of injury, damage to health, or cruel treatment of the spec imen. Yes Yes 23.23 (d) Exemption. As allowed under Arti cle 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 docu ment when all of the following condi tions 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 speci men is registered in the United States. (3) The specimen was taken in ac cordance with the other international treaty, convention, or agreement, in cluding any quotas. (4) The shipment is accompanied by any official document required under the other international treaty, conven tion, or agreement or otherwise re quired by U.S. law. (e) Export of exempt specimens. To ex port a specimen exempted under para graph (d) of this section, you must ob tain a CITES document from the U.S. Management Authority that indicates the specimen was taken in accordance with the provisions of the other inter national treaty, convention, or agree ment 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 in troduced from the sea would be consid ered an export requiring a CITES docu ment (see § 23.20(f)). § 23.40 What are the requirements for a certificate for artificially propa gated plants? (a) Purpose. Article VII(5) of the Treaty grants an exemption to plants that are artificially propagated when a Management Authority issues a certifi cate. (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a certifi cate for artificially propagated Appen dix-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 sec tion, no CITES import permit is re quired. (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 para graph (d) apply to the issuance and ac ceptance of U.S. and foreign certifi cates. When applying for a U.S. certifi cate, you must provide sufficient infor mation for us to find that your pro posed activity meets all of the fol lowing criteria: Criteria for a certificate for artificially propagated plants Appendix of the specimen Sec tion I II III (1) The plant was artificially propagated. Yes Yes Yes 23.64 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00199 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 190 50 CFR Ch. I (10–1–22 Edition) § 23.41 Criteria for a certificate for artificially propagated plants Appendix of the specimen Sec tion I II III (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 treat hybrids as Appendix-I specimens and was propagated for commercial or noncommercial purposes. Yes n/a n/a (3) The scientific name of the species is the stand ard 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 addi tion to the conditions in § 23.56, you must meet all of the following condi tions: (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 or spore, except for plants grown from ex empt plant materials that qualify as artificially propagated. (2) You may not export an Appendix I species that was propagated for com mercial purposes under this certificate, except for hybrids of one or more Ap pendix-I species or taxa that are not annotated to treat hybrids as Appen dix-I specimens. (See § 23.47.) (3) You may export a native plant under this certificate only when spe cifically 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 identi fied the taxon in your application and we approved it on this certificate. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 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 Man agement Authority issues a certificate. (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a certifi cate for Appendix-I, -II, or -III wildlife that was bred in captivity: (1) The certificate and any subse quent re-export certificate must show the source code as ‘‘C’’ for bred in cap tivity. (2) For an Appendix-I specimen that satisfies the requirements of this sec tion, no CITES import permit is re quired. (c) U.S. application form. Complete Form 3–200–24, 3–200–80, or 3–200–85 and submit it to the U.S. Management Au thority. (d) Criteria. The criteria in this para graph (d) apply to the issuance and ac ceptance of U.S. and foreign certifi cates. When applying for a U.S. certifi cate, you must provide sufficient infor mation for us to find that your pro posed activity meets all of the fol lowing criteria: Criteria for a bred-in-captivity certificate Appendix of the specimen Sec tion 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00200 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 191 U.S. Fish and Wildlife Serv., Interior § 23.43 Criteria for a bred-in-captivity certificate Appendix of the specimen Sec tion I II III (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 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.42 What are the requirements for a plant hybrid? General provisions. Except as provided in § 23.92, the export, re-export, or im port of a plant hybrid of a CITES spe cies must be accompanied by a valid CITES document that shows the Ap pendix 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 para graph (a) of this section annotated to treat hybrids as Appen dix-I specimens? (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 propa gated 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 re strictive 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 Appen dices. (2) NO. The hybrid is not regulated by CITES. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 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 speci men must be accompanied by a valid CITES document. (c) CITES documents. All CITES docu ments 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, com plete the appropriate form for the pro posed activity (see §§ 23.18 through 23.20) and submit it to the U.S. Man agement Authority. (e) Criteria. For export of a hybrid that contains a CITES species in its re cent lineage, you must meet the re quirements of § 23.36. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00201 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 192 50 CFR Ch. I (10–1–22 Edition) § 23.44 (f) Exempt wildlife hybrids. The fol lowing provisions apply to import, ex port, or re-export of exempt wildlife hybrids: (1) A hybrid between a CITES species and a non-CITES species may be ex empt from CITES document require ments 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 hy brid 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 specimens in the previous four genera tions of its ancestry. If you are unable to clearly demonstrate this, you must obtain CITES documents. The informa tion you provide must clearly identify the specimen and demonstrate its re cent lineage. Such information may in clude, but is not limited to, the fol lowing: (i) Records that identify the name and address of the breeder and identify the specimen by birth or hatch date and by sex, band number, microchip number, or other mark. (ii) A certified pedigree issued by an internationally recognized association that contains scientific names of the animals in the specimen’s recent lin eage and clearly illustrates its genetic history. If the pedigree contains codes, you must provide a key or guide that explains the meaning of the codes. (3) Although a CITES document is not required for an exempt wildlife hy brid, you must follow the clearance re quirements for wildlife in part 14 of this subchapter, including the prior no tification requirements for live wild life. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.44 What are the requirements for traveling internationally with my personally owned live wildlife? (a) Purpose. A Management Author ity may use the exemption in Article VII(3) of the Treaty to issue a certifi cate of ownership that authorizes fre quent cross-border movements of per sonally owned live wildlife for personal use. (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a certifi cate of ownership for frequent inter national 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 resi dence. (2) Parties should treat the certifi cate like a passport for import to and export or re-export from each country and should not collect the original cer tificate at the border. (3) If offspring are born or an addi tional specimen is acquired while the owner is outside his or her country of primary residence, the owner must ob tain the appropriate CITES document for the export or re-export of the wild life, not a certificate of ownership, from the Management Authority of that country. (4) Upon returning home, the owner may apply for a certificate of owner ship for wildlife born or acquired over seas. (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 para graph (d) apply to the issuance and ac ceptance of U.S. and foreign certifi cates. When applying for a U.S. certifi cate, you must provide sufficient infor mation for us to find that your pro posed activity meets all of the fol lowing criteria: (1) The traveler owns the live wildlife and it will accompany the owner. (2) The cross-border movement will be frequent and for personal use, in cluding, but not limited to, companion ship or use in a noncommercial com petition 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). VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00202 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 193 U.S. Fish and Wildlife Serv., Interior § 23.46 (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 cor respond. (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 addi tion 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 ob tain a replacement certificate from the issuing Management Authority. (6) If you no longer own the live wild life, you must immediately return the original document to the issuing Man agement Authority and report on the disposition of the wildlife, such as death, sale, or transfer. (7) You must return the wildlife to the United States before the certificate expires. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30425, May 27, 2014] § 23.45 What are the requirements for a pre-Convention specimen? (a) Purpose. Article VII(2) of the Treaty exempts a pre-Convention spec imen from standard permitting re quirements in Articles III, IV, and V of the Treaty when the exporting or re exporting country is satisfied that the specimen was acquired before the pro visions of CITES applied to it and issues a CITES document to that ef fect. (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 pre-Convention exemption is allowed only if the importing country will ac cept a pre-Convention certificate. (2) The pre-Convention date is the date the species was first listed under CITES regardless of whether the spe cies 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 propa gated 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 para graph (d) apply to the issuance and ac ceptance of U.S. and foreign certifi cates. When applying for a U.S. certifi cate, you must provide sufficient infor mation 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 prod uct (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 pre pared 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 pre-Conven tion 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 speci mens? (a) Purpose. Article VII(4) of the Treaty provides that Appendix-I speci mens that are bred in captivity for commercial purposes shall be deemed to be listed in Appendix II. This means that an Appendix-I specimen origi nating from a commercial breeding op eration that is registered with the CITES Secretariat may be traded under an export permit or re-export VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00203 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 194 50 CFR Ch. I (10–1–22 Edition) § 23.46 certificate based on Appendix-II cri teria. 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 exemp tion 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 com mercial breeding operations for Appen dix-I wildlife: (1) If the Management Authority is satisfied that the operation in its coun try meets the conditions for registra tion 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 ex presses concern about the registration within 90 days from the date of the Secretariat’s notification, the Secre tariat will refer the application to the Animals Committee. The Committee has 60 days to respond to objections. The Secretariat will provide the rec ommendations of the Committee to the Management Authority of the Party that submitted the application and the Party that objected to the registration, and will allow a further 30 days for res olution of the identified problems. (4) If the objection is not withdrawn or the identified problems are not re solved within the 30-day period, the Secretariat will submit the application to the Standing Committee at its next regular meeting. The Standing Com mittee will determine whether the ob jection is justified and decide whether to accept the application. (5) When the Secretariat is satisfied that the operation meets the registra tion requirements, it will include the operation in its register. (6) Operations are assigned an identi fication number and listed in the offi cial register. Registration is not final until the Secretariat notifies all Par ties. (7) If a Party believes that a reg istered operation does not meet the bred-in-captivity requirements, it may, after consultation with the Secretariat and the Party concerned, propose to the Standing Committee that the oper ation be deleted from the register. At its following meeting, the Standing Committee will consider the concerns raised by the objecting Party, and any comments from the registering Party and the Secretariat, and determine whether the operation should be de leted from the register. Once an oper ation has been deleted, it must re apply and meet the registration re quirements to be reinstated. (8) The Management Authority, in collaboration with the Scientific Au thority, of a country where any reg istered operation is located must mon itor the operation to ensure that it continues to meet the registration re quirements. In the United States, we will monitor registered operations, in part, by requiring each operation to apply for renewal and demonstrate that it continues to qualify for reg istration at least once every 5 years. (See paragraphs (e)(4) and (f) of this section.) The Management Authority will advise the Secretariat of any major change in the nature of the oper ation or in the types of products being produced for export. (9) A Party may unilaterally request the removal of a registered operation within its jurisdiction by notifying the Secretariat. (10) An Appendix-I specimen may not be imported for purposes of estab lishing or augmenting a commercial breeding operation, unless the speci men is pre-Convention (see § 23.45) or was bred in captivity (see § 23.63). (c) U.S. application to register. Com plete Form 3–200–65 and submit it to the U.S. Management Authority. (d) Criteria. The criteria in this para graph (d) apply to the registration of U.S. and foreign commercial breeding operations for Appendix-I wildlife. For your breeding operation to be reg istered 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00204 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 195 U.S. Fish and Wildlife Serv., Interior § 23.46 Criteria for registering a commercial breeding operation for Appendix-I wildlife Section (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 na tive 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 accord ing 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 registra tion. In addition to the conditions in § 23.56, you must meet all of the fol lowing conditions: (1) You must uniquely mark all speci mens 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 com mercial captive-breeding operation) ex cept from breeding operations reg istered for that species. (3) You must allow our agents to enter the premises at any reasonable hour to inspect wildlife held or to in spect, audit, or copy applicable records. (4) Registrations will be valid for a period not to exceed 5 years. Reg istrants who wish to remain registered must request renewal before the end of the period of validity of the registra tion. (f) U.S. application to renew a registra tion. Requests for renewal of a registra tion should be submitted at least 3 months before the registration expires. Complete Form 3–200–65 and submit it to the U.S. Management Authority. (g) Criteria for renewal of U.S. registra tions. To renew your registration, you must provide sufficient information for us to find that your proposed activity continues to meet all of the criteria in paragraph (d) of this section. (h) U.S. and foreign general provisions for export of specimens that originated in a registered breeding operation. The fol lowing provisions apply to the issuance and acceptance of export permits for Appendix-I specimens bred at an oper ation registered with the CITES Secre tariat: (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 nec essary, 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 subse quent 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 reg istered breeding operation where the specimen originated. (3) No CITES import permit is re quired for a qualifying specimen. (i) U.S. application form. Complete the appropriate form (see § 23.36) and sub mit it to the U.S. Management Author ity. (j) Criteria. The criteria in this para graph (h) apply to the issuance and ac ceptance of U.S. and foreign export per mits. When applying for a U.S. permit, you must provide sufficient informa tion for us to find that your proposed activity meets all of the following cri teria: VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00205 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 196 50 CFR Ch. I (10–1–22 Edition) § 23.47 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 Secre tariat. 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 [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.47 What are the requirements for export of an Appendix-I plant artifi cially 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 Ap pendix-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 re-export certificate based on Ap pendix-II criteria. The specimen is still listed in Appendix I and is not eligible for any exemption granted to an Ap pendix-II species or taxon, including any exemption granted by an annota tion. This section does not apply to hy brids of one or more Appendix-I species or taxa that are not annotated to treat hybrids as Appendix-I specimens (see § 23.40). (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of export per mits for Appendix-I specimens artifi cially propagated for commercial pur poses: (1) An Appendix-I specimen may not be imported for purposes of estab lishing or augmenting a nursery or commercial propagating operation, un less 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 com mercial propagating operation that qualifies under paragraph (d) of this section, or to persons who have ac quired a specimen that originated at such a nursery or operation. No CITES import permit is required for a quali fying specimen. (3) The export permit, and any subse quent 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 Secre tariat, 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 ad ditional single-use permits under a master file or an annual export pro gram file). Complete Form 3–200–32 for one-time export. Submit the completed form to the U.S. Management Author ity. (d) Criteria. The criteria in this para graph (d) apply to the issuance and ac ceptance of U.S. and foreign export per mits. When applying for a U.S. permit, you must provide sufficient informa tion for us to find that your proposed activity meets all of the following cri teria: 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00206 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 197 U.S. Fish and Wildlife Serv., Interior § 23.48 Criteria for an export permit Section (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] [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.48 What are the requirements for a registered scientific institution? (a) Purpose. Article VII(6) of the Treaty grants an exemption that al lows international trade in certain specimens for noncommercial loan, do nation, 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 reg istered scientific institutions: (1) The receiving and sending sci entific 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-char acter code consisting of the ISO coun try code and a unique three-digit num ber. In the case of a non-Party, the Secretariat will ensure that the insti tution 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 insti tutions and provides that information to all Parties. (2) A registered scientific institution does not need separate CITES docu ments for the noncommercial loan, do nation, or exchange of preserved, fro zen, dried, or embedded museum speci mens, herbarium specimens, or live plant material with another registered institution. The shipment must have an external label that contains infor mation specified in paragraph (e)(5) of this section. (c) U.S. application to register as a sci entific institution. To register, complete Form 3–200–39 and submit it to the U.S. Management Authority. (d) Criteria. The criteria in this para graph (d) apply to the registration of U.S. and foreign institutions for sci entific exchange. To be issued a certifi cate of scientific exchange as a reg istered 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 cor responding 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 main tained 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 ar ranged in a way that ensures their ac cessibility to researchers. (7) Specimen labels, permanent cata logs, and other records are accurate. (8) Specimens are legally acquired and lawfully possessed under a coun try’s wildlife and plant laws. (9) Appendix-I specimens are perma nently and centrally housed under the direct control of the institution. (e) U.S. standard conditions. In addi tion to the conditions in § 23.56, any ac tivity conducted under a certificate of scientific exchange must meet all of the following conditions: (1) Both scientific institutions in volved in the exchange must be reg istered by the applicable Management Authorities (or the Secretariat in the case of a non-Party), and be included in VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00207 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 198 50 CFR Ch. I (10–1–22 Edition) § 23.49 the Secretariat’s register of scientific institutions. (2) An institution may send and re ceive only preserved, frozen, dried, or embedded museum specimens, her barium specimens, or live plant mate rials that have been permanently and accurately recorded by one of the insti tutions 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 sci entific exchange and their offspring only for scientific research or edu cational display at a scientific institu tion and may not use specimens for commercial purposes. (4) The institution must keep records to show that the specimens were le gally acquired. (5) A customs declaration label must be affixed to the outside of each ship ping container or package that con tains 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 insti tutions. (iv) The signature of a responsible of ficer of the sending registered sci entific institution. (v) The scientific institution codes of both registered scientific institutions involved in the loan, donation, or ex change. (6) A registered institution may de stroy samples during analysis, provided that a portion of the sample is main tained and permanently recorded at a registered scientific institution for fu ture scientific reference. § 23.49 What are the requirements for an exhibition traveling internation ally? (a) Purpose. Article VII(7) of the Treaty grants an exemption for speci mens that qualify as bred in captivity, artificially propagated, or pre-Conven tion and are part of a traveling exhi bition. (b) U.S. and foreign general provisions. The following general provisions apply to the issuance and acceptance of a cer tificate for live wildlife and plants, or their parts, products, or derivatives in an exhibition that travels internation ally: (1) The Management Authority in the country of the exhibitor’s primary place of business must have determined that the specimens are bred in cap tivity, artificially propagated, or pre Convention and issued a traveling-ex hibition certificate. (2) The certificate must indicate that the wildlife or plant is part of a trav eling 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 wild life and plants. (4) The certificate is not transferable. (5) Parties should treat the certifi cate like a passport for import and ex port or re-export from each country, and should not collect the original cer tificate at the border. (6) Parties should check specimens closely to determine that each speci men matches the certificate and ensure that each live specimen is being trans ported 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 spec imen is acquired while the traveling exhibition is in another country, the exhibitor must obtain the appropriate CITES document for the export or re export of the specimen from the Man agement Authority of that country. (8) Upon returning home, the exhibi tor may apply for a traveling-exhi bition certificate for wildlife born over seas 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 para graph (d) apply to the issuance and ac ceptance of U.S. and foreign certifi cates. When applying for a U.S. certifi cate, you must provide sufficient infor mation for us to find that your pro posed activity meets all of the fol lowing criteria: (1) The traveling exhibition makes multiple cross-border movements, and VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00208 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 199 U.S. Fish and Wildlife Serv., Interior § 23.50 will return to the country in which the exhibition is based before the certifi cate 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 certifi cate. (4) The specimen meets the criteria for a bred-in-captivity certificate, cer tificate 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 internation ally. (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 nec essary, 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 addi tion to the conditions in § 23.56, you must meet all of the following condi tions: (1) The certificate may be used by you, and you must not transfer or as sign 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 pur pose 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 cer tificate must be immediately returned to the U.S. Management Authority. (8) You must return the traveling ex hibition 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 speci mens through or within a Party coun try 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 de rivatives of Appendix-II or -III species, or Appendix-I species bred in captivity or artificially propagated for commer cial purposes, that will: (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 con trol. (3) Not be sold or otherwise trans ferred 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 docu ment that: (i) Clearly specifies that the docu ment was issued for a ‘‘sample collec tion.’’ (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 Au thority, it must be entered by a cus toms or other CITES enforcement offi cial responsible for the original en dorsement of the CITES document. (3) The name and address of the ex porter or re-exporter and importer must be identical, and the names of the VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00209 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 200 50 CFR Ch. I (10–1–22 Edition) § 23.51 countries to be visited must be indi cated 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 au thorized stamp and signature by a cus toms official. (6) The exporter or re-exporter must return the sample collection to the originating country prior to the expira tion of the CITES document. (7) Parties should check the CITES document and sample collection close ly at the time of first export or re-ex port and upon its return to ensure that the contents of the sample collection have not been changed. (8) For import into and export or re export from the United States, the shipment must comply with the re quirements 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 para graph (e) apply to the issuance and ac ceptance of U.S. and foreign docu ments. When applying for a U.S. docu ment, you must provide sufficient in formation for us to find that your pro posed activity meets all of the fol lowing 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 addi tion to the conditions in § 23.56, you must meet all of the following condi tions: (1) You must transport the sample collection only for temporary exhi bition or display purposes. (2) You must not transfer or assign the CITES document to another per son. (3) You must not sell, donate, or transfer specimens while traveling internationally. (4) You must present the CITES doc ument and the ATA carnet to the offi cial for validation at each border cross ing. (5) You must return the sample col lection 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 Au thority. (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 docu ment to the U.S. Management Author ity. § 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 speci mens 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 docu ments 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 fol lowing: (A) Biological samples. (B) Pre-Convention specimens. (C) Specimens that qualify as bred in captivity or artificially propagated. (D) Appendix-I specimens from reg istered commercial breeding oper ations. (E) Appendix-I plants artificially propagated for commercial purposes. (F) Other specimens that the Man agement Authority determines qualify for partially completed documents. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00210 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 201 U.S. Fish and Wildlife Serv., Interior § 23.52 (2) A Management Authority may register applicants for species that may be traded under partially com pleted documents. (3) Partially completed CITES docu ments require the permit holder to: (i) Enter specific information on the CITES document or its annex as condi tioned on the face of the CITES docu ment. (ii) Enter scientific names on the CITES document only if the Manage ment 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 infor mation entered is true and accurate. (4) CITES documents issued for bio logical 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 ac tivity (see §§ 23.18 through 23.20) and submit it to the U.S. Management Au thority. (d) Criteria. The criteria in this para graph (d) apply to the issuance and ac ceptance 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 appro priate CITES document and the fol lowing 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 addi tion 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 of the CITES document or in an annex to the document. (2) You may not alter or enter any in formation on the face of the CITES document or in an annex to the docu ment 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 spe cies authorized in block 5 or an equiva lent place, or in an attached annex of the CITES document. (4) You must sign the CITES docu ment 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 docu ment? (a) Purpose. A Management Author ity may issue a duplicate document, ei ther a copy of the original or a re issued original, when a CITES docu ment has been lost, damaged, stolen, or accidentally destroyed. These provi sions do not apply to a document that has expired or that requires amend ment. To renew a U.S. CITES docu ment, see part 13 of this subchapter. To amend a U.S. CITES document, see part 13 of this subchapter if the activ ity has not yet occurred or, if the ac tivity has already occurred, see § 23.53 of this part. (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a replace ment CITES document: (1) The permittee must notify the issuing Management Authority that the document was lost, damaged, sto len, or accidentally destroyed. (2) The issuing Management Author ity must be satisfied that the CITES document was lost, damaged, stolen, or accidentally destroyed. (3) The issuing Management Author ity should immediately inform the Management Authority in the country of destination and, for commercial shipments, the Secretariat. (4) If the replacement CITES docu ment 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 author ized to sign CITES documents for the issuing Management Authority, and give the reason for replacement. (5) If the replacement CITES docu ment is a newly issued original docu ment, it must indicate that it is a ‘‘re placement,’’ include the number and VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00211 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 202 50 CFR Ch. I (10–1–22 Edition) § 23.52 date of issuance of the document being replaced, and give the reason for re placement. (6) In the United States, you may not use an original single-use CITES docu ment issued under a CITES master file or CITES annual program as a replace ment document for a shipment that has already left the country. (c) U.S. application procedures. To apply for a replacement CITES docu ment, you must do all of the following: (1) Complete application Form 3–200– 66 and submit it to the U.S. Manage ment 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 Manage ment 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 docu ment 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 docu ment 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 para graph (d) apply to the issuance and ac ceptance of U.S. and foreign docu ments. (1) When applying for a U.S. replace ment document, you must provide suf ficient information for us to find that your proposed activity meets all of the following criteria: (i) The circumstances for the lost, damaged, stolen, or accidentally de stroyed CITES document are reason able. (ii) If the shipment has already been made, the wildlife or plant was legally exported or re-exported, and the Man agement Authority of the importing country has indicated it will accept the replacement CITES document. (iii) The specimens were presented to the appropriate official for inspection at the time of import and a request for a replacement CITES document was made at that time. (2) For acceptance of foreign CITES replacement documents in the United States, you must provide sufficient in formation for us to find that your pro posed activity meets all of the fol lowing criteria: (i) The specimens were presented to the appropriate official for inspection at the time of import and a request for a replacement CITES document was made at that time. (ii) The importer or the importer’s agent submitted a signed, dated, and notarized statement at the time of im port that describes the circumstances that resulted in the CITES document being lost, damaged, stolen, or acciden tally destroyed. (iii) The importer or the importer’s agent provided a copy of the original lost, stolen, or accidentally destroyed document at the time of import show ing that the document met the require ments in §§ 23.23, 23.24, and 23.25. (e) U.S. standard conditions. In addi tion to the conditions in § 23.56, the fol lowing 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 re-ex port that has not left the United States, follow the procedures in § 23.27. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00212 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 203 U.S. Fish and Wildlife Serv., Interior § 23.53 If the shipment has left the United States and is in a foreign country, sub mit the unvalidated replacement CITES document to the appropriate foreign authorities. We will not vali date the replacement CITES document for a shipment that has already been shipped to a foreign country. We do not require validation on replacement doc uments issued by foreign Management Authorities. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.53 What are the requirements for obtaining a retrospective CITES document? (a) Retrospective CITES documents may be issued and accepted in certain limited situations after an export or re-export has occurred, but before the shipment is cleared for import. When specific conditions are met, a retro spective CITES document may be issued to authorize trade that has taken place without a CITES document or to correct certain technical errors in a CITES document after the authorized activity has occurred. (b) U.S. and foreign general provisions. The following provisions apply to the issuance and acceptance of a retrospec tive CITES document: (1) A retrospective document may not be issued for Appendix-I specimens except for certain specimens for per sonal 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 oc curred. (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 tech nical error that was not prompted by the applicant. (ii) A newly issued CITES document where it can be shown that the appli cant was misinformed by CITES offi cials 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 cir cumstances and agreement between them that criteria in paragraph (d) of this section have been met. (5) The issuing Management Author ity must provide all of the following in formation on any retrospective CITES document: (i) A statement that it was issued retrospectively. (ii) A statement specifying the rea son for the issuance. (iii) In the case of a document issued for personal use, a condition restrict ing sale of the specimen within 6 months following the import of the specimen. (6) The issuing Management Author ity must send a copy of the retrospec tive CITES document to the Secre tariat. (7) In general, except when the ex porter or re-exporter and importer have demonstrated they were not re sponsible for the irregularities, any person who has been issued a CITES document in the past will not be eligi ble to receive a retrospective docu ment. (8) In the United States, you may not use a U.S. CITES document issued under a CITES master file or CITES annual program as a retrospective CITES document. (c) U.S. application. Complete applica tion Form 3–200–58 and submit it to the U.S. Management Authority. In addi tion, submit one of the following: (1) For a shipment that occurred under a document containing a tech nical error, the faulty CITES docu ment. (2) For a shipment that occurred without a CITES document, a com pleted application form for the type of activity you conducted (see §§ 23.18 through 23.20). (d) Criteria. The criteria in this para graph (d) apply to the issuance and ac ceptance of U.S. and foreign docu ments. When applying for a U.S. docu ment, you must provide sufficient in formation for us to find that your ac tivity meets all of the following cri teria: (1) The specimens were exported or re-exported without a CITES document VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00213 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 204 50 CFR Ch. I (10–1–22 Edition) § 23.54 or with a CITES document that con tained 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 im port of the specimens was otherwise in compliance with CITES and the rel evant national legislation of the coun tries involved. (4) The importing Management Au thority has agreed to accept the retro spectively issued CITES document. (5) The specimens must be Appendix II or -III wildlife or plants, except as provided in paragraph (d)(7) of this sec tion. (6) Except as provided in paragraph (d)(7) of this section, the exporter or re exporter and importer were not respon sible for the irregularities that oc curred and have demonstrated one of the following: (i) The Management Authority or of ficials designated to clear CITES ship ments 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 made a technical error when issuing the CITES document that was not prompt ed by information provided by the ap plicant. (7) In the case of specimens for per sonal 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 at tempt to deceive. The following speci mens for personal use may qualify for issuance of a retrospective document: (i) Personal or household effects as defined in § 23.5. (ii) Live Appendix-II or -III speci mens or live pre-Convention Appendix I specimens that you own for your per sonal use, accompanied you, and num ber 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 speci men 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 bag gage on the same plane, boat, car, or train as you. (C) The quantity is reasonably nec essary or appropriate for the nature of your trip or stay. (e) U.S. standard conditions. In addi tion to the conditions in § 23.56, the fol lowing condition applies: A CITES doc ument issued for a shipment that has already occurred does not require vali dation. (f) Validation. Submit the original unvalidated retrospective CITES docu ment to the appropriate foreign au thority. We will not validate the retro spective CITES document for a ship ment that has already been shipped to a foreign country, and we do not re quire validation on retrospective docu ments issued by foreign Management Authorities. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.54 How long is a U.S. or foreign CITES document valid? (a) Purpose. Article VI(2) of the Trea ty sets the time period within which an export permit is valid. Validity periods for other CITES documents are pre scribed in this section. (b) Period of validity. CITES docu ments 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, introduction from-the-sea certificate, and certifi cate 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00214 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 205 U.S. Fish and Wildlife Serv., Interior § 23.56 longer than 3 years from the issuance date. (c) Extension of validity. The validity of a CITES document may not be ex tended beyond the expiration date on the face of the document, except under limited circumstances for certain tim ber species as outlined in § 23.73. § 23.55 How may I use a CITES specimen after import into the United States? In addition to the provisions in § 23.3, you may only use CITES specimens after import into the United States for the following purposes: If the species is listed in Allowed use within the United States (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 without an annotation for noncommercial pur poses, or Appendix III, and threatened under the ESA, ex cept 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 only for noncommercial purposes (see § 23.5). Exception: If the specimen was lawfully imported, with no restrictions on its use after import, before the species was listed as de scribed in paragraphs (a), (b), or (c) of this section, you may continue to use the specimen as indicated for paragraphs (d), (e) and (f) of this section provided you can clearly dem onstrate (using written records or other documentary evi dence) that your specimen was imported prior to the CITES listing, with no restrictions on its use after import. If you are unable to clearly demonstrate that this exception applies, the specimen may be used only for noncommercial purposes. (d) Appendix I, and imported with a CITES exemption docu ment 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) Certificate for artificially propagated plants with a source code of ‘‘A’’ for artificially propagated hybrid specimens derived from one or more unannotated Ap pendix-I species or other taxa. (6) U.S.-issued traveling-exhibition certificate. (e) Appendix II, other than those in paragraphs (b) and (c) of this section. (f) Appendix III, other than those in paragraph (c) of this sec tion. The specimen may be used for any lawful purpose, except if the regulations in this part or other parts of this subchapter or a permit condition allowed the import only for noncommer cial purposes, then the import and subsequent use must be only for noncommercial purposes. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 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 provi sions 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 condi tions must comply with the Inter national Air Transport Association Live Animals Regulations (for animals) (in corporated by reference, see § 23.9) or the International Air Transport Associa tion Perishable Cargo Regulations (for plants) (incorporated by reference, see § 23.9) or, in the case of non-air trans port of species that may require trans port conditions in addition to or dif ferent from the Live Animals Regula tions or the Perishable Cargo Regula tions, the CITES Guidelines for the non air transport of live wild animals and plants (incorporated by reference, see § 23.9). (3) You must return the original CITES document to the issuing office if you do not use it, it expires, or you re quest renewal or amendment. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00215 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 206 50 CFR Ch. I (10–1–22 Edition) § 23.60 (4) When appropriate, a Management Authority may require that you iden tify 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 iden tification must be made in a way that the border official can verify that the specimen and CITES document cor respond. If a microchip is used, we may, if necessary, ask the importer, exporter, or re-exporter to have equip ment on hand to read the microchip at the time of import, export, or re-ex port. (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 docu ment 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014; 87 FR 10080, Feb. 23, 2022] 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 Au thority 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 docu ments. (b) Types of legal acquisition. Legal ac quisition refers to whether the speci men and its parental stock were: (1) Obtained in accordance with the provisions of national laws for the pro tection 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 inter nationally in accordance with the pro visions of CITES. (c) How we make our findings. We make a finding that a specimen was le gally acquired in the following way: (1) The applicant must provide suffi cient information (see § 23.34) for us to make a legal acquisition finding. (2) We make this finding after consid ering 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 ad ditional specific factors described in paragraphs (e) through (k) of this sec tion. (4) As necessary, we consult with for eign Management and Scientific Au thorities, 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 para graphs (e) through (k) of this section to assess the level of scrutiny and amount of information we need to make a find ing of legal acquisition. We give less scrutiny and require less-detailed in formation when there is a low risk that specimens to be exported or re-ex ported were not legally acquired, and give more scrutiny and require more detailed information when the pro posed activity poses greater risk. We consider the cumulative risks, recog nizing that each aspect of the inter national trade has a continuum of risk from high to low associated with it as follows: (1) Status of the species: From Appen dix I to Appendix III. (2) Origin of the specimen: From wild collected to born or propagated in a controlled environment to bred in cap tivity or artificially propagated. (3) Source of the propagule used to grow the plant: From documentation that the plant was grown from a non-ex empt seed or seedling to documenta tion 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 bor dering countries of Mexico or Canada to nonnative species from other coun tries. (5) Volume of illegal trade: From high to low occurrence of illegal trade. (6) Type of trade: From commercial to noncommercial. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00216 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 207 U.S. Fish and Wildlife Serv., Interior ยง 23.61 (7) Trade by range countries: From range countries that do not allow com mercial export, or allow only limited noncommercial export of the species, to range countries that allow commer cial export in high volumes. (8) Occurrence of the species in a con trolled environment in the United States: From uncommon to common in a con trolled environment in the United States. (9) Ability of the species to be bred or propagated readily in a controlled envi ronment: 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 propa gated. (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 parental stock was legally acquired. (f) Confiscated specimen. For a con fiscated Appendix-II or -III specimen, we consider whether information shows that the transfer of the confiscated specimen or its offspring met the con ditions of the remission decision, legal settlement, or disposal action after for feiture or abandonment. (g) Donated specimen of unknown ori gin. For an unsolicited specimen of un known origin donated to a public insti tution (see ยง 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 con servation 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 ex cept for shipping costs. (6) The institution has no history of receiving a series of rare and valuable specimens or a large quantity of wild life or plants of unknown origin. (h) Imported previously. For a speci men that was previously imported into the United States, we consider any re liable, 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 strict ly personal use. (2) The number of specimens is rea sonably appropriate for the nature of your export or re-export as personal use. (3) No persuasive evidence exists on illegal transactions involving the spec imen. (j) Sequential ownership. For a speci men 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 spe cies at that site, and, if necessary, whether permission of the appropriate management agency or landowner was obtained to collect the specimen. ยง 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 pro posed 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00217 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 208 50 CFR Ch. I (10–1–22 Edition) § 23.61 that would pose a net harm to the sta tus of the species in the wild. For Ap pendix-I species, it also includes use or removal from the wild that results in habitat loss or destruction, inter ference with recovery efforts for a spe cies, 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 infor mation demonstrates that the proposed activity represents sustainable use. (2) The removal of the animal or plant from the wild is part of a bio logically based sustainable-use man agement plan that is designed to elimi nate over-utilization 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 over-utili zation of the species, considering both domestic and international uses. (4) The proposed activity, including the methods used to acquire the speci men, 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 popu lation 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 fac tors in paragraph (c) of this section, we will consider whether the intended ex port of an Appendix-II species would cause a significant risk that the spe cies would qualify for inclusion in Ap pendix I. (e) Additional factors for Appendix-I species. In addition to the general fac tors in paragraph (c) of this section, we will consider whether the proposed ac tivity: (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 re covery of the species. (3) Would not stimulate additional trade in the species. If the proposed ac tivity does stimulate trade, we will consider whether the anticipated in crease in trade would lead to the de cline 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, in cluding trade demand, and other sci entific management information. We make a non-detriment finding in the following way: (1) We consult with the States, Tribes, other Federal agencies, sci entists, 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 spe cies. (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 infor mation is available or the factors above are not satisfactorily addressed, we take precautionary measures and would be unable to make the required finding of non-detriment. (g) Risk assessment. We review the sta tus 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 more detailed information for activities that pose a greater risk to a species in the wild. We consider the cu mulative risks, recognizing that each aspect of international trade has a con tinuum of risk (from high to low) asso ciated with it as follows: (1) Status of the species: From Appen dix I to Appendix II. (2) Origin of the specimen: From wild collected to born or propagated in a controlled environment to bred in cap tivity or artificially propagated. (3) Source of the propagule used to grow the plant: From documentation that the plant was grown from a non-ex empt seed or seedling to documenta tion 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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00218 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 209 U.S. Fish and Wildlife Serv., Interior § 23.62 (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 trans mission. (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 man agement basis of the quota together with the best available biological infor mation when we make our non-det riment finding. We will contact the Scientific and Management Authori ties of the exporting country for fur ther information if needed. § 23.62 What factors are considered in making a finding of not for pri marily commercial purposes? (a) Purpose. Under Article III(3(c)) and (5(c)) of the Treaty, an import per mit or an introduction-from-the-sea certificate for Appendix-I species can be issued only if the Management Au thority is satisfied that the specimen is not to be used for primarily commer cial purposes. Trade in Appendix-I spe cies 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 pri marily 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 suffi cient information to satisfy us that the intended use is not for primarily com mercial 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 im port or introduction from the sea to be for primarily commercial purposes. (5) While the nature of the trans action between the owner in the coun try of export and the recipient in the country of import or introduction from the sea may have some commercial as pects, 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 pur poses. (6) We will conduct an assessment of factors listed in paragraph (d) of this section. For activities involving an an ticipated measurable increase in rev enue and other economic value associ ated 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 associ ated with the import of an Appendix-I species must be used for conservation of that species. (c) Examples. The following are exam ples of types of transactions in which the noncommercial aspects of the in tended use of the specimen may pre dominate 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 in troduction from the sea could be found to be not for primarily commercial purposes. (1) Personal use. Import or introduc tion from the sea of an Appendix-I specimen for personal use generally is considered to be not for primarily com mercial purposes. An example is the import of a personal sport-hunted tro phy by the person who hunted the wild life for display in his or her own home. (2) Scientific purposes. The import or introduction from the sea of an Appen dix-I specimen by a scientist or sci entific 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00219 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 210 50 CFR Ch. I (10–1–22 Edition) § 23.62 by government agencies or nonprofit institutions for purposes of conserva tion, education, or training. For exam ple, 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 in troduction from the sea of an Appen dix-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 the im porter clearly shows that the sale of products is only incidental to public health research and not for the pri mary purpose of economic benefit or profit, then such an import or intro duction from the sea could be consid ered as scientific research under para graph (c)(2) of this section if the prin ciples of paragraph (b) of this section are met. (5) Captive-breeding or artificial propa gation programs. The import of an Ap pendix-I specimen for purposes of es tablishing a commercial operation for breeding or artificial propagation is considered to be for primarily commer cial purposes. As a general rule, import or introduction from the sea of an Ap pendix-I specimen for a captive-breed ing or artificial propagation program must have as a priority the long-term protection and recovery of the species in the wild. The captive-breeding or ar tificial propagation program must be part of a program aimed at the recov ery of the species in the wild and be un dertaken 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 oper ation plans to sell surplus specimens to help offset the costs of its program, im port or introduction from the sea would be allowed only if any profit would be used to support the captive breeding or artificial propagation pro gram to the benefit of the Appendix-I species, not for the personal economic benefit of a private individual or share holder. (6) Professional dealers. Import or in troduction from the sea by a profes sional dealer who states a general in tention to eventually sell the specimen or its offspring to an undetermined re cipient would be considered to be for primarily commercial purposes. How ever, 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 para graphs (c)(2), (3), and (5) of this section and where a binding contract, condi tioned on the issuing of permits, is in place. (d) Risk assessment. We review the fac tors listed in this paragraph (d) to as sess the level of scrutiny and amount of information we need to make a find ing of whether the intended use of the specimen is not for primarily commer cial 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 great er risk. We consider the cumulative risks, recognizing that each aspect of the international trade has a con tinuum of risk from high to low associ ated with it as follows: (1) Type of importer: From for-profit entity to private individual to non profit entity. (2) Ability of the proposed uses to gen erate revenue: From the ability to gen erate measurable increases in revenue or other economic value to no antici pated 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 com mon 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 an ticipated 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00220 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 211 U.S. Fish and Wildlife Serv., Interior § 23.64 United States. We consider net profit to include all funds or other valuable considerations (including enhanced value of common stock shares) re ceived or attained by you or those af filiated with you as a result of the im port or introduction from the sea, to the extent that such funds or other val uable considerations exceed the reason able expenses that are properly attrib utable 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 ap plicant to provide a detailed analysis of expected revenue (both direct and indirect) and expenses to show antici pated net profit, and a statement from a licensed, independent certified public accountant that the internal account ing system is sufficient to account for and track funds generated by the pro posed 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 wild life that was bred in captivity (see §§ 23.41 and 23.46). (b) Definitions. The following terms apply when determining whether speci mens 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 bound aries designed to prevent specimens, including eggs or gametes, from enter ing or leaving the controlled environ ment; 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 reproduc tion. (c) Bred-in-captivity criteria. For a specimen to qualify as bred in cap tivity, we must be satisfied that all the following criteria are met: (1) If reproduction is sexual, the spec imen was born to parents that either mated or transferred gametes in a con trolled environment. (2) If reproduction is asexual, the par ent 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 rel evant national laws. (ii) Was established in a manner not detrimental to the survival of the spe cies in the wild. (iii) Is maintained with only occa sional introduction of wild specimens as provided in paragraph (d) of this sec tion. (iv) Has consistently produced off spring of second or subsequent genera tions in a controlled environment, or is managed in a way that has been dem onstrated to be capable of reliably pro ducing second-generation offspring and has produced first-generation offspring. (d) Addition of wild specimens. A very limited number of wild specimens (in cluding eggs or gametes) may be intro duced into a breeding stock if all of the following conditions are met (for Ap pendix-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 in breeding, with the number of speci mens 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 ar tificially propagated? (a) Purpose. Article VII(4) and (5) of the Treaty provide exemptions that VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00221 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 212 50 CFR Ch. I (10–1–22 Edition) § 23.64 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 speci mens qualify as ‘‘artificially propa gated’’: (1) Controlled conditions means a non natural environment that is inten sively manipulated by human interven tion for the purpose of plant produc tion. General characteristics of con trolled 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 con trolled conditions that are used for re production. (c) Artificially propagated criteria. Ex cept 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, divi sion, callus tissue, other plant tissue, spore, or other propagule that either is exempt from the provisions of CITES or has been derived from cultivated pa rental stock. The cultivated parental stock must meet all of the following criteria: (1) Was established in accordance with the provisions of CITES and rel evant national laws. (2) Was established in a manner not detrimental to the survival of the spe cies in the wild. (3) Is maintained in sufficient quan tities for propagation so as to minimize or eliminate the need for augmentation from the wild, with such augmentation occurring only as an exception and lim ited to the amount necessary to main tain 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 ac cordance with paragraph (c) of this sec tion. A grafted specimen that consists of taxa from different Appendices is treated as a specimen of the taxon list ed 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 ob tained in a non-detrimental manner. (g) Exception for certain plant speci mens 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 pa rental stock for the taxon presents sig nificant difficulties because specimens take a long time to reach reproductive age. (2) The seeds or spores are collected from the wild and grown under con trolled conditions within a range coun try, 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 conserva tion of the species. (4) The Scientific Authority of the range country has determined that col lection of the seeds or spores was not detrimental to the survival of the spe cies 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 be limited 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 re duce or eliminate the need to collect seeds or spores from the wild. (iii) A portion of the plants produced must be used for replanting in the wild, VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00222 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 213 U.S. Fish and Wildlife Serv., Interior ยง 23.65 to enhance recovery of existing popu lations or to re-establish populations that have been extirpated. (5) Operations propagating Appendix I species for commercial purposes must be registered with the CITES Secre tariat in accordance with the Guide lines for the registration of nurseries exporting artificially propagated speci mens of Appendix-I species. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] ยง 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 per mit or introduction-from-the-sea cer tificate 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 receiv ing a specimen must be identified in an application and their facilities ap proved 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 suffi cient information for us to make a finding, including, but not limited to, a description of the facility, photo graphs, or construction plans, and re sumes of the recipient or staff who will care for the specimen. (3) We use the best available informa tion on the requirements of the species in making a decision and will consult with experts and other Federal and State agencies, as necessary and appro priate. (4) The degree of scrutiny that we give an application is based on the bio logical and husbandry or horticultural needs of the species. (c) Specific factors considered for wild life. In addition to the general provi sions in paragraph (e) of this section, we consider the following factors in evaluating suitable housing and care for wildlife: (1) Enclosures constructed and main tained so as to provide sufficient space to allow each animal to make normal postural and social adjustments with adequate freedom of movement. Inad equate space may be indicated by evi dence of malnutrition, poor condition, debility, stress, or abnormal behavior patterns. (2) Appropriate forms of environ mental enrichment, such as nesting material, perches, climbing apparatus, ground substrate, or other species-spe cific materials or objects. (3) If the wildlife is on public display, an off-exhibit area, consisting of indoor and outdoor accommodations, as ap propriate, 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 experi enced 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 provi sions 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 con ditions that will ensure proper growth. (2) Ability to provide appropriate cul ture, such as water, fertilizer, and pest and disease control. (3) Staff with experience with the im ported species or related species with similar horticultural requirements. (e) General factors considered for wild life and plants. In addition to the spe cific provisions in paragraphs (c) or (d) of this section, we will consider the fol lowing 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00223 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 214 50 CFR Ch. I (10–1–22 Edition) § 23.68 specimens of the same or different spe cies outside the facility. (2) Appropriate security to prevent theft of specimens and measures taken to rectify any previous theft or secu rity problem. (3) A reasonable survival rate of specimens of the same species or, alter natively, closely related species at the facility, mortalities for the previous 3 years, significant injuries to wildlife or damage to plants, occurrence of signifi cant disease outbreaks during the pre vious 3 years, and measures taken to prevent similar mortalities, injuries, damage, or diseases. Significant inju ries, damage, or disease outbreaks are those that are permanently debili tating or re-occurring. (4) Sufficient funding on a long-term basis to cover the cost of maintaining the facility and the specimens im ported. (f) Incomplete facilities or insufficient staff. For applications submitted to us before the facilities to hold the speci men are completed or the staff is iden tified or properly trained, we will: (1) Review all available information, including construction plans or in tended 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 gin seng (Panax quinquefolius), whether wild or artificially propagated, are in cluded in Appendix II. Cultivated American ginseng that does not meet the requirements of artificially propa gated will be considered wild for export and re-export purposes. The import, ex port, 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 speci mens 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 certifi cates. (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 infor mation for us to determine that its management program and harvest con trols are appropriate to ensure that ginseng harvested within its jurisdic tion is legally acquired and that export will not be detrimental to the survival of the species in the wild. For artifi cially propagated ginseng, a State or Tribe must provide sufficient informa tion for us to determine that ginseng grown within its jurisdiction meets the definition of artificially propagated and the State or Tribe must have pro cedures in place to minimize the risk that the roots of wild-collected plants would be claimed as artificially propa gated. (1) A State or Tribe seeking initial CITES export program approval for wild or artificially propagated Amer ican ginseng must submit the following information on the adoption and imple mentation of regulatory measures to the U.S. Management Authority: (i) Laws or regulations mandating li censing or registration of persons buy ing and selling ginseng in that State or on tribal lands. (ii) A requirement that ginseng deal ers maintain records and provide copies of those records to the appropriate State or tribal management agency upon request. Dealer records must con tain: the name and address of the gin seng seller, date of transaction, wheth er 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 identi fication numbers of the State or tribal VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00224 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 215 U.S. Fish and Wildlife Serv., Interior § 23.69 certificates used to ship ginseng from the State or Tribe of origin. (iii) A requirement that State or tribal personnel will inspect roots, en sure legal harvest, and have the ability to determine the age of roots of all wild-collected 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 trib al 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 trib al personnel will issue certificates for wild and artificially propagated gin seng. 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 dried or fresh (green) roots. (H) Weight of roots. (I) Statement of State or tribal certi fying official verifying that the gin seng 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 seek ing initial CITES export program ap proval 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 demo graphics; population models; or anal ysis of past harvest levels or indices of abundance independent of harvest in formation, such as field surveys. (ii) Historic, present, and potential distribution of wild ginseng on a coun ty-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 ex isting 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. Applica tion 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, com plete 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. (4) For information on issuance cri teria for CITES documents, see § 23.36 for export permits, § 23.37 for re-export 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 in formation 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 har vested in the United States? (a) U.S. and foreign general provisions. For purposes of this section, CITES furbearers means bobcat (Lynx rufus), river otter (Lontra canadensis), Canada lynx (Lynx canadensis), gray wolf (Canis lupus), and brown bear (Ursus arctos) harvested in the United States . These VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00225 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 216 50 CFR Ch. I (10–1–22 Edition) § 23.69 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 prod ucts must meet the requirements of this section and the other require ments of this part (see subparts B and C for prohibitions and application pro cedures). For specimens that were har vested 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 pro grams designed to monitor and protect CITES furbearers from over-harvest. When a State or Tribe with a manage ment program provides us with the necessary information, we make pro grammatic findings and have specific requirements that allow export under CITES. A State or Tribe must provide sufficient information for us to deter mine that its management program and harvest controls are appropriate to ensure that CITES furbearers har vested within its jurisdiction are le gally 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, ex cept 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 as sessment is based, such as an analysis of carcass demographics, population models, analysis of past harvest levels as a function of fur prices or trapper ef fort, or indices of abundance inde pendent of harvest information, such as scent station surveys, archer sur veys, camera traps, track or scat sur veys, or road kill counts. (ii) Current harvest control meas ures, including laws regulating harvest seasons and methods. (iii) Total allowable harvest of the species. (iv) Distribution of harvest. (v) Indication of how frequently har vest levels are evaluated. (vi) Tagging or marking require ments 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 exist ing 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 Octo ber 31 of each year that provides infor mation as to whether or not the popu lation 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. Ex cept as provided in paragraph (b)(4) of this section, a furbearer activity report should include, at a minimum, the fol lowing: (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 assess ment of the reason for the decline and any steps being taken to address it. (iii) Information on, and a copy of, any changes in laws or regulations af fecting these species. (iv) If available, copies of relevant re ports that the State or Tribe has pre pared during the year in question as part of its existing management pro grams for CITES furbearers. (4) When the U.S. Scientific Author ity has made a range-wide non-det riment finding for a species, the annual furbearer activity report from a State or Tribe with an approved export pro gram 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 VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00226 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 217 U.S. Fish and Wildlife Serv., Interior § 23.70 paragraph (b)(3)(iii) and (iv) of this sec tion. Range-wide non-detriment find ings will be re-evaluated at least every 5 years, or sooner if information indi cates that there has been a change in the status or management of the spe cies that might lead to different treat ment of the species. When a range-wide non-detriment finding is re-evaluated, States and Tribes with an approved ex port program for the species must sub mit information that allows us to de termine 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 perma nently 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 abbre viation for the State or Tribe of har vest, a standard species code assigned by the Management Authority, and a unique serial number. (3) Fur skins without a CITES tag permanently attached may not be ex ported or re-exported. If the CITES tag has been inadvertently removed, dam aged, or lost you may obtain a replace ment tag. 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 inadvertently re moved, damaged, or lost, you may con tact 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 replace ment tag. If the tag has been inadvert ently removed or damaged, you must give us the tag. If the tag is lost, 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 in clude only the US-CITES logo, FWS REPL, 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. Applica tion forms and a list of States and Tribes with approved furbearer pro grams can be obtained from our website or by contacting us (see § 23.7). (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 or to export products made from fur skins, complete Form 3–200–27 and sub mit it to the U.S. Management Author ity. (3) To re-export fur skins or products made from 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 cri teria for CITES documents, see § 23.36 for export permits and § 23.37 for re-ex port 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. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] § 23.70 How can I trade internationally in American alligator and other crocodilian skins, parts, and prod ucts? (a) U.S. and foreign general provisions. For the purposes of this section, croco dilian 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 re quirements 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 ex port program, see § 23.36 for export per mits and § 23.37 for re-export certifi cates. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00227 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 218 50 CFR Ch. I (10–1–22 Edition) § 23.70 (b) Definitions. Terms used in this section are defined as follows: (1) Crocodilian skins means whole or partial skins, flanks, chalecos, and bel lies (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 (includ ing 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 man agement and harvest programs de signed to monitor and protect Amer ican alligators from over-harvest. When a State or Tribe with a manage ment program provides us with the necessary information, we make pro grammatic findings and have specific requirements that allow export under CITES. A State or Tribe must provide sufficient information for us to deter mine 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 detri mental 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. Man agement 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, pop ulation models, analysis of past har vest levels as a function of skin prices or harvester effort, or indices of abun dance independent of harvest informa tion, such as nest surveys, spotlighting surveys, or nuisance complaints. (ii) Current harvest control meas ures, including laws regulating harvest seasons and methods. (iii) Total allowable harvest of the species. (iv) Distribution of harvest. (v) Indication of how frequently har vest levels are evaluated. (vi) Tagging or marking require ments for skins and parts. (vii) Habitat evaluation. (viii) Information on nuisance alli gator management programs. (ix) Information on alligator farming programs, including whether collecting and rearing of eggs or hatchlings is al lowed, what factors are used to set har vest levels, and whether any alligators are returned to the wild. (x) If available, copies of any alli gator management plans or other rel evant reports for American alligator that the State or Tribe has prepared as part of its existing management pro gram. (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 informa tion regarding harvests during the pre vious 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 fol lowing: (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 indi cation of whether the population is sta ble, increasing, or decreasing, and at what rate (if known). If population lev els are decreasing, activity reports should include the State or Tribe’s pro fessional 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 nui sance alligators, methods used to de termine harvest levels, demographics of the harvest, and methods used to de termine the total number and popu lation trends of alligators in the wild. (iv) For farmed alligators, informa tion on whether collecting and rearing of eggs or hatchlings is allowed, what factors are used to set harvest levels, and whether any alligators are re turned to the wild. (v) Information on, and a copy of, any changes in laws or regulations af fecting the American alligator. (vi) If available, copies of relevant re ports that the State or Tribe has pre pared during the reporting period as VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00228 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 219 U.S. Fish and Wildlife Serv., Interior § 23.70 part of its existing management pro gram 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 para graphs (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 sport-hunted trophy must be accom panied by the tag from the skin used to make the mount. (1) Except as provided for a replace ment tag in paragraph (d)(3)(ii) of this section, the tag must: (i) Be tamper-resistant, 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 stand ardized species code (available on our Web site; see § 23.7), and for specimens of species from populations that have been transferred from Appendix I to Appendix II for ranching, the year of skin production or harvest. For Amer ican alligator, the export tags include the US–CITES logo, an abbreviation for the State or Tribe of harvest, a stand ard species code (MIS = Alligator mississippiensis), the year of skin pro duction or harvest, and a unique serial number. (iii) If the year of skin production or harvest and serial number appear next to each other on a tag, the information should be separated by a hyphen. (2) Skins, flanks, and chalecos must be individually tagged. (3) Skins without a non-reusable tag permanently attached may not be ex ported or re-exported. To obtain a re placement tag, either from the State or Tribe of harvest (for American alli gator) or from us, you must provide in formation to show that the skin was le gally acquired. (i) In the United States, when an American alligator tag is inadvertently removed, damaged, or lost, 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 re placement tag. To obtain replacement tags for crocodilian skins other than American alligator in the United States, contact FWS Law Enforcement. If the tag has been inadvertently re moved or damaged, you must give us the tag. If the tag is lost, you must provide details concerning how the tag was lost. If we are satisfied that the skin was legally acquired, we will pro vide 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 skin 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 ori gin. 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 Amer ican 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-ex ported if packaged and marked or tagged in accordance with State or tribal laws as follows: (1) Meat from legally harvested and tagged alligators must be packed in permanently sealed containers and la beled as required by State or tribal laws or regulations. Bulk meat con tainers must be marked with any re quired State or tribal parts tag or bulk meat tag permanently attached and in dicating, at a minimum, State or Tribe of origin, year of take, species, original U.S. CITES tag number for the cor responding 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. (f) Tagging or labeling of crocodilian parts other than meat and skulls. You may import, export, or re-export croco dilian parts other than meat and skulls when the following conditions are met: (1) Parts must be packed in trans parent sealed containers. (2) Containers must be clearly marked with a non-reusable parts tag or label that includes all of the infor mation in paragraph (d)(1)(ii) of this VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00229 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 220 50 CFR Ch. I (10–1–22 Edition) § 23.71 section and a description of the con tents, the total weight (contents and container), and the number of the CITES document. (3) Tags are not required on croco dilian products. (4) Tags are not required on scientific specimens except as required in para graphs (d) and (e) of this section. (g) Documentation requirements. The CITES document or an annex attached to the document must contain all in formation that is given on the tag or label. (h) U.S. application process. Applica tion forms and a list of States and Tribes with approved American alli gator 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, except for products made from American alli gators, complete Form 3–200–26 and submit it to either FWS Law Enforce ment or the U.S. Management Author ity. (2) To export American alligator specimens that are not from an ap proved program or to export products made from American alligators,, com plete Form 3–200–27 and submit it to the U.S. Management Authority. (3) To re-export crocodilian speci mens, complete Form 3–200–73 and sub mit it to either FWS Law Enforcement or the U.S. Management Authority. (4) For information on issuance cri teria for CITES documents, see § 23.36 for export permits and § 23.37 for re-ex port certificates. (i) Conditions for import, export, or re export. Upon import, export, or re-ex port, each crocodilian specimen must meet the applicable tagging require ments in paragraphs (d), (e), and (f) of this section. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30427, May 27, 2014] § 23.71 How can I trade internationally in sturgeon caviar? (a) U.S. and foreign provisions. For the purposes of this section, sturgeon caviar or caviar means the processed roe of any species of sturgeon or paddlefish (order Acipenseriformes). It does not include sturgeon or paddlefish eggs contained in shampoos, cosmetics, lo tions, or other products for topical ap plication. The import, export, or re-ex port of sturgeon caviar must meet the requirements of this section and the other requirements of this part. The import, export, or re-export of Acipenseriformes specimens other than caviar must meet the other require ments of this part. See subparts B and C for prohibitions and application pro cedures. (b) Labeling. You may import, export, or re-export sturgeon caviar only if la bels 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 with out being damaged or transferred to another container. In the United States, the design of the label will be determined by the labeler in accord ance with the requirements of this sec tion. (ii) Primary container means any con tainer (tin, jar, pail or other recep tacle) in direct contact with the caviar. (iii) Secondary container means the re ceptacle 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 pri mary container. In the United States, this may be done by the person who harvested the roe. (v) Repackaging plant means a facility responsible for receiving and repack aging caviar into new primary con tainers. This includes any facility where caviar is removed from the con tainer in which it was received and placed in a different container. (vi) Lot identification number means a number that corresponds to informa tion related to the caviar tracking sys tem used by the processing plant or re packaging plant. (2) The caviar-processing plant in the country of origin must affix a non-re usable label on the primary container that includes all of the following infor mation: (i) Standardized species code; for hy brids, the species code for the male is followed by the code for the female and VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00230 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 221 U.S. Fish and Wildlife Serv., Interior § 23.72 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 coun try of origin. (iv) Year of harvest. This is either the calendar year in which caviar was harvested or, for caviar imported from shared stocks subject to quotas, the quota year in which it was harvested. (v) Processing plant code and lot identification number. (3) If caviar is repackaged before ex port 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 re packaging plant code, which incor porates the two-letter ISO code for the repackaging country if different from the country of origin. (iii) Lot identification number or, for caviar that is being re-exported, the CITES document number under which it was imported may be used in place of the lot identification number. (4) The exact quantity of caviar must be indicated on any secondary con tainer along with a description of the contents in accordance with inter national customs regulations. (c) Documentation requirements. Unless the sturgeon caviar qualifies as a per sonal or household effect under § 23.15, the CITES document or an annex at tached to the document must contain all information that is given on the label. The exact quantity of each spe cies of caviar must be indicated on the CITES document. (d) Export quotas. Commercial ship ments of sturgeon caviar from stocks shared between different countries may be imported only if all of the following conditions have been met: (1) The relevant countries have estab lished annual export quotas for the shared stocks that were derived from catch quotas agreed among the coun tries. The quotas are based on an ap propriate regional conservation strat egy and monitoring regime and are not detrimental to the survival of the spe cies in the wild. (2) The quotas have been commu nicated to the CITES Secretariat and the Secretariat has communicated the annual export quotas to CITES Parties. (3) The caviar is exported during the quota year (March 1 – last day of Feb ruary) in which it was harvested and processed. (e) Re-exports. Any re-export of stur geon caviar must occur within 18 months from the date of issuance of the original export permit. (f) Pre-Convention. Sturgeon caviar may not be imported, exported, or re exported under a pre-Convention cer tificate. (g) Mixed caviar. Caviar that consists 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, com plete Form 3–200–76 or Form 3–200–80 and submit it to the U.S. Management Authority. For re-export, complete Form 3–200–73 and submit it either to FWS Law Enforcement or the U.S. Management Authority. (i) CITES register of exporters and of processing and repackaging plants. The CITES Secretariat maintains a ‘‘Reg ister of licensed exporters and of proc essing and repackaging plants for specimens of sturgeon and paddlefish species’’ on its Web site. If you hold a current import-export license issued by FWS Law Enforcement and wish to be added to the CITES register, you may submit your contact information and processing or repackaging plant codes to the U.S. Management Authority for submission to the CITES Secretariat. [72 FR 48448, Aug. 23, 2007, as amended at 73 FR 40986, July 17, 2008; 79 fr 30428, May 27, 2014] § 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-ex port of CITES plant specimens must meet the other requirements of this VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00231 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 222 50 CFR Ch. I (10–1–22 Edition) § 23.73 part (see subparts B and C for prohibi tions and application procedures). (b) Seeds. International shipments of seeds of any species listed in Appendix I, except for seeds of certain artifi cially 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 ship ments of CITES seeds that are artifi cially propagated also must be accom panied by a valid CITES document. (c) A plant propagated from exempt plant material. A plant grown from ex empt 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 propa gated provided they are grown under controlled conditions. (3) To export plants grown from ex empt 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 threat en the survival of CITES plant species, and that protection of Appendix-I spe cies in situ is considered a national and international obligation. (ii) Established salvaged specimens in cultivation after concerted attempts have failed to ensure that the environ mental 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 detri mental 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-ex port of timber species listed under CITES must meet the other require ments of this part (see subparts B and C for prohibitions and application pro cedures). (b) Definitions. The following defini tions apply to parts, products, and de rivatives that appear in the annota tions 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 proc essing, notably into sawn wood, pulp wood, or veneer sheets. (2) Sawn wood means wood simply sawn lengthwise or produced by a pro file-chipping process. Sawn wood nor mally 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, ve neer furniture, veneer containers, or similar products. (4) Plywood means wood material con sisting 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, ve neer sheets, and plywood: VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00232 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 223 U.S. Fish and Wildlife Serv., Interior § 23.74 (1) Change in destination. When a ship ment of timber destined for one coun try is redirected to another, the Man agement Authority in the country of import may change the name and ad dress 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 re export. (ii) The number of the bill of lading for the shipment is on the CITES docu ment, and the bill of lading is pre sented at the time of import. (iii) The import takes place before the CITES document expires, and the period of validity has not been ex tended. (iv) The Management Authority of the importing country includes the fol lowing statement in block 5, or an equivalent place, of the CITES docu ment: ‘‘Import into [name of country] permitted in accordance with [cite the appropriate section number from the current permit and certificate resolu tion] on [date].’’ The modification is certified with an official stamp and sig nature. (v) The Management Authority sends a copy of the amended CITES docu ment to the country of export or re-ex port and the Secretariat. (2) Extension of CITES document valid ity. A Management Authority in the country of import may extend the va lidity of an export permit or re-export certificate beyond the normal max imum 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 ex ceed 6 months from the date of expira tion 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 expira tion 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 ex tension and before the amended CITES document expires. (v) The Management Authority sends a copy of the amended CITES docu ment to the country of export or re-ex port 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 pro hibitions and application procedures). (b) Sport-hunted trophy means a whole dead animal or a readily recognizable part or derivative of an animal specifi cally identified on accompanying CITES documents that meets the fol lowing criteria: (1) Is raw, processed, or manufac tured; (2) Was legally obtained by the hun ter through hunting for his or her per sonal use; (3) Is being imported, exported, or re exported by or on behalf of the hunter as part of the transfer from its country of origin ultimately to the hunter’s country of usual residence; and (4) Includes worked, manufactured, or handicraft items made from the sport-hunted animal only when: (i) Such items are contained in the same shipment as raw or tanned parts of the sport-hunted animal and are for the personal use of the hunter; (ii) The quantity of such items is no more than could reasonably be ex pected given the number of animals taken by the hunter as shown on the li cense or other documentation of the authorized hunt accompanying the shipment; and (iii) The accompanying CITES docu ments (export document and, if appro priate, import permit) contain a com plete itemization and description of all items included in the shipment. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00233 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 224 50 CFR Ch. I (10–1–22 Edition) § 23.75 (c) Use after import. You may use your sport-hunted trophy after import into the United States as provided in § 23.55. (d) Quantity. The following provisions apply to the issuance and acceptance of U.S. and foreign documents for sport hunted trophies originating from a population for which the Conference of the Parties has established an export quota. The number of trophies that one hunter may import in any calendar year for the following species is: (1) No more than two leopard (Panthera pardus) trophies. (2) No more than one markhor (Capra falconeri) trophy. (3) No more than one black rhinoc eros (Diceros bicornis) trophy. (e) Marking or tagging. (1) The fol lowing provisions apply to the issuance and acceptance of U.S. and foreign doc uments for sport-hunted trophies origi nating from a population for which the Conference of the Parties has estab lished an export quota. Each trophy imported, exported, or re-exported must be marked or tagged in the fol lowing manner: (i) Leopard and markhor: Each raw or tanned skin must have a self-locking tag inserted through the skin and per manently 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. (iii) Crocodilians: See marking re quirements in § 23.70. (iv) 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. (2) African elephant (Loxodonta africana). The following provisions apply to the issuance and acceptance of U.S. and foreign documents for sport hunted trophies of African elephant. The trophy ivory must be legibly marked by means of punch-dies, indel ible ink, or other form of permanent marking, under a marking and reg istration system established by the country of origin, with the following formula: The country of origin rep resented by the corresponding two-let ter ISO country code; the last two dig its of the year in which the elephant was harvested for export; the serial number for the year in question; and the weight of the ivory in kilograms. The mark must be highlighted with a flash of color and placed on the lip mark area. The lip mark area is the area of a whole African elephant tusk where the tusk emerges from the skull and which is usually denoted by a prominent ring of staining on the tusk in its natural state. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30428, May 27, 2014] § 23.75 How can I trade internationally in vicuña (Vicugna vicugna)? (a) U.S. and foreign general provisions. The import, export, or re-export of specimens of vicuña must meet the re quirements of this section and the other requirements of this part (see subparts B and C of this part for prohi bitions and application procedures). Certain populations of vicuña are listed in Appendix II for the exclusive pur pose of allowing international trade in wool sheared from live vicuñas, cloth made from such wool, and products manufactured from such wool or cloth. All other specimens of vicuña are deemed to be specimens of a species in cluded in Appendix I. (b) Vicuña Convention means the Convenio para la Conservación y Manejo de la Vicuña, of which vicuña range countries are signatories. (c) Vicuña logotype means the logo type adopted by the vicuña range coun tries under the Vicuña Convention. (d) Country of origin for the purposes of the vicuña label means the name of the country where the vicuña wool in the cloth or product originated. (e) Wool sheared from live vicuñas, cloth from such wool, and products manu factured from such wool or cloth may be imported from Appendix-II populations VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00234 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 225 U.S. Fish and Wildlife Serv., Interior § 23.79 only when they meet the labeling re quirements in paragraph (f) of this sec tion. (f) Labeling requirements. Except for cloth containing CITES pre-Conven tion wool of vicuña, you may import, export, or re-export vicuña cloth only when the reverse side of the cloth bears the vicuña logotype and the selvages bear the words ‘‘VICUÑA—COUNTRY OF ORIGIN’’. Specimens of other prod ucts manufactured from vicuña wool or cloth must bear a label that has the vicuña logotype and the designation ‘‘VICUÑA—COUNTRY OF ORIGIN— ARTESANIA’’. Each specimen must bear such a label. For import into the United States of raw wool sheared from live vicuña, see the labeling require ments in 50 CFR 17.40(m). [79 FR 30428, May 27, 2014] 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 speci mens. Under some conditions, eutha nasia or destruction may be necessary. (1) We use a plant rescue center pro gram 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 con sider the quantity, protection level, and husbandry needs of the wildlife. (c) Re-export. We may issue a re-ex port 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 res cue 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 ap propriate manner that benefits enforce ment and administration of the Con vention. (d) Consultation process. FWS and APHIS may consult with the Manage ment Authority in the country of ex port or re-export and other relevant governmental and nongovernmental experts before making a decision on the disposal of confiscated live speci mens that have been forfeited or aban doned 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 pre vent 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, zoolog ical 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 ex port has requested their return. The U.S. Government will then coordinate the plants’ return to the country of ex port. (4) Willing to accept and maintain a plant shipment as a unit until it has received authorization from us to in corporate the shipment into its perma nent collection or transfer a portion of it to another participating institution. (c) Participation. Institutions wishing to participate in the Plant Rescue Cen ter Program should contact the U.S. Management Authority (see § 23.7). VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00235 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 226 50 CFR Ch. I (10–1–22 Edition) § 23.84 They must provide a brief description of the greenhouse or display facilities, the 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 Secre tariat 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 Appen dices. (3) Undertaking scientific and tech nical 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 im plementation of the Convention. (5) Bringing to the attention of the Parties matters relevant to the Con vention. (6) Periodically publishing and dis tributing to the Parties current edi tions of the Appendices as well as in formation on the identification of specimens of species listed in the Ap pendices. (7) Preparing annual reports to the Parties on its work and on the imple mentation of the Convention. (8) Making recommendations for the implementation of the aims and provi sions of the Convention, including the exchange of scientific and technical in formation. (9) Performing other functions en trusted to it by the Parties. (b) Committees. The Parties have es tablished three committees to provide administrative and technical support to the Parties and to the Secretariat. The CoP may charge any of these com mittees with tasks. (1) The Standing Committee steers the work and performance of the Con vention between CoPs. (i) This committee oversees develop ment and execution of the Secretar iat’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 re spective geographic regions at the CoP. (2) The Animals Committee and the Plants Committee provide advice and guidance to the CoP, the other com mittees, working groups, and the Sec retariat on all matters relevant to international trade in species included in the Appendices. (i) These committees also develop and maintain a standardized list of spe cies names; provide assistance with re gard to identification of species listed in the Appendices; cooperate with the Secretariat to assist Scientific Au thorities; compile and evaluate data on Appendix-II species that are considered significantly affected by trade; periodi cally review the status of wildlife and plant species listed in the Appendices; advise range countries on management techniques when requested; draft reso lutions 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 indi viduals, who are elected by their re spective geographic regions at the CoP. (iii) The CoP appoints a specialist in zoological nomenclature to the Ani mals Committee and a specialist in bo tanical nomenclature to the Plants Committee. These specialists are ex officio and non-voting, and are respon sible for developing or identifying standard nomenclature references for wildlife and plant taxa and making rec ommendations on nomenclature to Parties, the CoP, other committees, working groups, and the Secretariat. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30429, May 27, 2014] VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00236 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 227 U.S. Fish and Wildlife Serv., Interior § 23.87 § 23.85 What is a meeting of the Con ference of the Parties (CoP)? (a) Purpose. Article XI of the Treaty provides general guidelines for meet ings of the countries that have ratified, accepted, approved, or acceded to CITES. The Parties currently meet for 2 weeks every 3 years. At these meet ings, the Parties consider amendments to the Appendices and resolutions and decisions to improve the implementa tion 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 wild life 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. Non-Party countries may participate, but may not vote. Organizations tech nically qualified in protection, con servation, 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 ap proval 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 ob server. § 23.86 How can I obtain information on a CoP? As we receive information on an up coming CoP from the CITES Secre tariat, we will notify the public either through published notices in the FED ERAL 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 in formation 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 de velop documents and negotiating positions for a CoP? (a) In developing documents and ne gotiating positions for a CoP, we: (1) Will provide for at least one pub lic meeting. (2) Consult with appropriate Federal, State, and tribal agencies; foreign gov ernmental agencies; scientists; experts; and others. (3) Seek public comment through published FEDERAL REGISTER notices or postings on our website that: (i) Solicit recommendations on po tential proposals to amend the Appen dices, draft resolutions, and other doc uments 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 Appen dices proposed for the CoP, a summary of our proposed negotiating positions on these items, and the reasons for our proposed positions. (4) Consider comments received in re sponse to notices or postings provided in paragraph (a)(3) of this section. (b) We submit the following docu ments to the Secretariat for consider ation at the CoP: (1) Draft resolutions and other docu ments at least 150 days before the CoP. (2) Proposals to amend the Appen dices 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 sus pend any of these procedures if they would interfere with the timely or ap propriate development of documents for submission to the CoP and U.S. ne gotiating positions. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00237 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 228 50 CFR Ch. I (10–1–22 Edition) § 23.88 (d) We may receive additional infor mation 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 spe cies. § 23.88 What are the resolutions and decisions of the CoP? (a) Purpose. Under Article XI of the Treaty, the Parties agree to resolu tions and decisions that clarify and in terpret the Convention to improve its effectiveness. Resolutions are gen erally intended to provide long-stand ing guidance, whereas decisions typi cally contain instructions to a specific committee, Parties, or the Secretariat. Decisions are often intended to be im plemented by a specific date, and then they expire. (b) Effective date. A resolution or de cision 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 reso lution 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 Fed eral agencies, and the general public. (2) Utilize the best available biologi cal 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 Ap pendix I if it is or may be affected by trade and meets, or is likely to meet, at least one biological criterion for Ap pendix 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 popu lation size in the wild. (2) Factors to be considered include, but are not limited to, population and range fragmentation; habitat avail ability or quality; area of distribution; taxon-specific vulnerabilities due to life history, behavior, or other intrin sic factors, such as migration; popu lation structure and niche require ments; threats from extrinsic factors such as the form of exploitation, intro duced 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 spe cies 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 ac tual or potential threats to that spe cies. These criteria are: (1) It is known, or can be inferred or projected, that the regulation of trade is necessary to avoid the species be coming eligible for inclusion in Appen dix 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 fac tors. 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 re semble specimens of a species listed in Appendix II due to criteria in para graph (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. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00238 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 229 U.S. Fish and Wildlife Serv., Interior § 23.90 (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 spe cies is achieved. (e) Other issues. We will evaluate any potential changes to the Appendices, taking into consideration other issues, including but not limited to, split-list ing, annotation, listings of higher taxa and hybrids, and specific listing issues related to plants and commercially ex ploited 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 spe cific and accurate as to the parts and derivatives to be included in the list ing; ensure that any proposed annota tion is consistent with existing annota tions; state the criteria against which the proposal is to be judged; and pro vide a justification for the basis on which the species meets the relevant criteria. (2) The proposal must be in a pre scribed format. Contact the U.S. Sci entific 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 re quest 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 regula tions to prevent or restrict exploi tation 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. (4) The listing Party must inform the Management Authorities of other range countries, the known major im porting 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 in clude only specific parts, products, de rivatives, or life stages, as long as the Secretariat is notified of the annota tion. (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 com ments 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 no tify 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 list ing criteria in paragraph (c) of this sec tion. We will remove a species from Ap pendix 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 in volve fewer than 5 shipments per year or fewer than 100 individual animals or plants. (2) Legal and illegal trade in the spe cies, including international trade or interstate commerce, is determined not to be a concern. VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00239 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R 230 50 CFR Ch. I (10–1–22 Edition) § 23.91 (g) Transferring a species from Appen dix III to Appendix I or II. If, after moni toring 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 Appen dix 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 ac cordance with the provisions of Arti cles XV and XVI of the Treaty. This list is maintained by the CITES Secre tariat based on decisions of the Par ties. 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, un less otherwise specified in the proposal. (2) Appendix-I and -II species listings adopted between CoPs by postal proce dures are effective 120 days after the Secretariat has communicated com ments 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 Sec retariat has communicated such list ings to the Parties. A listing Party may withdraw a species from the list at any time by notifying the Secre tariat. The withdrawal is effective 30 days after the Secretariat has commu nicated the withdrawal to the Parties. § 23.92 Are any wildlife or plants, and their parts, products, or deriva tives, exempt? (a) All living or dead wildlife and plants in Appendix I, II, and III and all their readily recognizable parts, prod ucts, and derivatives must meet the re quirements of CITES and this part, ex cept as indicated in paragraphs (b) and (c) of this section. (b) The following are exempt from the requirements of CITES. You may be required to demonstrate that your specimen qualifies as exempt under this section. For specimens that are ex empt from CITES requirements, you must still follow the clearance require ments for wildlife in part 14 of this sub chapter 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, prod uct, 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. Specimens of an Ap pendix-II or -III plant taxon with an annotation that specifically excludes hybrids. (c) The following are exempt from CITES document requirements when certain criteria are met. (1) Plant hybrids. Seeds and pollen (in cluding 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 treat hybrids as Appendix-I speci mens. (2) Flasked seedlings of Appendix-I or chids. Flasked seedlings of an Appen dix-I orchid species that qualify as ar tificially propagated (see § 23.64). (3) Marine specimens listed in Appendix II that are protected under another trea ty, convention, or international agreement which was in force on July 1, 1975 as pro vided in § 23.39(d). (4) Coral sand and coral fragments as defined in § 23.5. (5) Personal and household effects as provided in § 23.15. (6) Urine, feces, and synthetically de rived DNA as provided in § 23.16. (7) Certain wildlife hybrids as provided in § 23.43. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30429, May 27, 2014] VerDate Sep<11>2014 17:11 Jun 01, 2023 Jkt 256244 PO 00000 Frm 00240 Fmt 8010 Sfmt 8010 Y:\SGML\256244.XXX 256244pp ar ke r on D S K 6V X H R 33 P R O D w ith C F R