50 CFR Ch. I (10–1–20 Edition) § 23.71

Pt. 23 50 CFR Ch. I (10–1–20 Edition)

(c) The authority to take golden ea- 23.25 What additional information is re- gles under a depredations control order quired on a non-Party CITES document? issued pursuant to this subpart D only 23.26 When is a U.S. or foreign CITES docu- authorizes the taking of golden eagles ment valid? 23.27 What CITES documents do I present at when necessary to seasonally protect the port? domesticated flocks and herds, and all such birds taken must be reported and Subpart C—Application Procedures, turned over to a local Bureau Agent. Criteria, and Conditions 23.32 How do I apply for a U.S. CITES docu- PART 23—CONVENTION ON INTER- ment? NATIONAL TRADE IN ENDAN- 23.33 How is the decision made to issue or GERED SPECIES OF WILD FAUNA deny a request for a U.S. CITES docu- AND FLORA (CITES) ment? 23.34 What kinds of records may I use to Subpart A—Introduction show the origin of a specimen when I apply for a U.S. CITES document? Sec. 23.35 What are the requirements for an im- 23.1 What are the purposes of these regula- port permit? tions and CITES? 23.36 What are the requirements for an ex- 23.2 How do I decide if these regulations port permit? apply to my shipment or me? 23.37 What are the requirements for a re-ex- 23.3 What other wildlife and plant regula- port certificate? tions may apply? 23.38 What are the requirements for a cer- 23.4 What are Appendices I, II, and III? tificate of origin? 23.5 How are the terms used in these regula- 23.39 What are the requirements for an in- tions defined? troduction-from-the-sea certificate? 23.6 What are the roles of the Management 23.40 What are the requirements for a cer- and Scientific Authorities? tificate for artificially propagated 23.7 What office do I contact for CITES in- plants? formation? 23.41 What are the requirements for a bred- 23.8 What are the information collection re- in-captivity certificate? quirements? 23.42 What are the requirements for a plant 23.9 Incorporation by reference. hybrid? 23.43 What are the requirements for a wild- Subpart B—Prohibitions, Exemptions, and life hybrid? Requirements 23.44 What are the requirements for traveling internationally with my personally 23.13 What is prohibited? owned live wildlife? 23.14 [Reserved] 23.45 What are the requirements for a pre- 23.15 How may I travel internationally with Convention specimen? my personal or household effects, includ- 23.46 What are the requirements for reg- ing tourist souvenirs? istering a commercial breeding operation 23.16 What are the U.S. CITES requirements for Appendix-I wildlife and commercially for urine, feces, and synthetically de- exporting specimens? rived DNA? 23.47 What are the requirements for export 23.17 What are the requirements for CITES of an Appendix-I plant artificially propa- specimens traded internationally by dip- gated for commercial purposes? lomatic, consular, military, and other 23.48 What are the requirements for a reg- persons exempt from customs duties or istered scientific institution? inspections? 23.49 What are the requirements for an exhi- 23.18 What CITES documents are required bition traveling internationally? to export Appendix-I wildlife? 23.50 What are the requirements for a sam- 23.19 What CITES documents are required ple collection covered by an ATA carnet? to export Appendix-I plants? 23.51 What are the requirements for issuing 23.20 What CITES documents are required a partially completed CITES document? for international trade? 23.52 What are the requirements for replac- 23.21 What happens if a country enters a ing a lost, damaged, stolen, or acciden- reservation for a species? tally destroyed CITES document? 23.22 What are the requirements for in-tran- 23.53 What are the requirements for obtain- sit shipments? ing a retrospective CITES document? 23.23 What information is required on U.S. 23.54 How long is a U.S. or foreign CITES and foreign CITES documents? document valid? 23.24 What code is used to show the source 23.55 How may I use a CITES specimen after of the specimen? import into the United States?

154

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00164 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.1

23.56 What U.S. CITES document conditions 23.88 What are the resolutions and decisions do I need to follow? of the CoP?

Subpart D—Factors Considered in Making Subpart H—Lists of Species Certain Findings 23.89 What are the criteria for listing spe- 23.60 What factors are considered in making cies in Appendix I or II? a legal acquisition finding? 23.90 What are the criteria for listing spe- 23.61 What factors are considered in making cies in Appendix III? a non-detriment finding? 23.91 How do I find out if a species is listed? 23.62 What factors are considered in making 23.92 Are any wildlife or plants, and their a finding of not for primarily commercial parts, products, or derivatives, exempt? purposes? AUTHORITY: Convention on International 23.63 What factors are considered in making Trade in Endangered Species of Wild Fauna a finding that an animal is bred in cap- and Flora (March 3, 1973), 27 U.S.T. 1087; and tivity? Endangered Species Act of 1973, as amended, 23.64 What factors are considered in making 16 U.S.C. 1531 et seq. a finding that a plant is artificially propagated? SOURCE: 72 FR 48448, Aug. 23, 2007, unless 23.65 What factors are considered in making otherwise noted. a finding that an applicant is suitably equipped to house and care for a live Subpart A—Introduction specimen? § 23.1 What are the purposes of these Subpart E—International Trade in Certain regulations and CITES? Specimens (a) Treaty. The regulations in this 23.68 How can I trade internationally in part implement the Convention on roots of American ginseng? International Trade in Endangered 23.69 How can I trade internationally in fur Species of Wild Fauna and Flora, also skins and fur skin products of bobcat, known as CITES, the Convention, the river otter, Canada lynx, gray wolf, and Treaty, or the Washington Convention, brown bear harvested in the United TIAS (Treaties and Other International States? Acts Series) 8249. 23.70 How can I trade internationally in (b) Purpose. The aim of CITES is to American alligator and other crocodilian skins, parts, and products? regulate international trade in wildlife 23.71 How can I trade internationally in and plants, including parts, products, sturgeon caviar? and derivatives, to ensure it is legal 23.72 How can I trade internationally in and does not threaten the survival of plants? species in the wild. Parties, recognize 23.73 How can I trade internationally in that: timber? (1) Wildlife and plants are an irre- 23.74 How can I trade internationally in per- placeable part of the natural systems sonal sport-hunted trophies? of the earth and must be protected for 23.75 How can I trade internationally in vicun˜ a (Vicugna vicugna)? this and future generations. (2) The value of wildlife and plants is Subpart F—Disposal of Confiscated Wildlife ever-growing from the viewpoints of and Plants aesthetics, science, culture, recreation, and economics. 23.78 What happens to confiscated wildlife (3) Although countries should be the and plants? best protectors of their own wildlife 23.79 How may I participate in the Plant and plants, international cooperation Rescue Center Program? is essential to protect wildlife and Subpart G—CITES Administration plant species from over-exploitation through international trade. 23.84 What are the roles of the Secretariat (4) It is urgent that countries take and the committees? appropriate measures to prevent illegal 23.85 What is a meeting of the Conference of trade and ensure that any use of wild- the Parties (CoP)? life and plants is sustainable. 23.86 How can I obtain information on a CoP? (c) National legislation. We, the U.S. 23.87 How does the United States develop Fish and Wildlife Service (FWS), im- documents and negotiating positions for plement CITES through the Endan- a CoP? gered Species Act (ESA).

155

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00165 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.2 50 CFR Ch. I (10–1–20 Edition)

§ 23.2 How do I decide if these regula- species and their parts, products, and tions apply to my shipment or me? derivatives through a system of per- If you are engaging in activities with mits and certificates (CITES docu- specimens of CITES-listed species ments). Such documents enable Parties these regulations apply to you. to monitor the effects of the volume and type of trade to ensure trade is [79 FR 30419, May 27, 2014] legal and not detrimental to the survival of the species. § 23.3 What other wildlife and plant regulations may apply? (a) Appendix I includes species threatened with extinction that are or may (a) You may need to comply with be affected by trade. Trade in Appen- other regulations in this subchapter dix-I specimens may take place only in that require a permit or have addi- exceptional circumstances. tional restrictions. Many CITES spe- (b) Appendix II includes species that cies are also covered by one or more are not presently threatened with ex- parts of this subchapter or title and tinction, but may become so if their have additional requirements: trade is not regulated. It also includes (1) Part 15 (exotic birds). species that need to be regulated so (2) Part 16 (injurious wildlife). that trade in certain other Appendix-I (3) Parts 17 of this subchapter and or -II species may be effectively con- 222, 223, and 224 of this title (endan- trolled; these species are most com- gered and threatened species). monly listed due to their similarity of (4) Parts 18 of this subchapter and 216 appearance to other related CITES spe- of this title (marine mammals). (5) Part 20 (migratory bird hunting). cies. (6) Part 21 (migratory birds). (c) Appendix III includes species list- (7) Part 22 (bald and golden eagles). ed unilaterally by a range country to (b) If you are applying for a permit, obtain international cooperation in you must comply with the general per- controlling trade. mit procedures in part 13 of this sub- § 23.5 How are the terms used in these chapter. Definitions and a list of birds regulations defined? protected under the Migratory Bird Treaty Act can be found in part 10 of In addition to the definitions con- this subchapter. tained in part 10 of this subchapter, (c) If you are importing (including in- and unless the context otherwise re- troduction from the sea), exporting, or quires, in this part: re-exporting wildlife or plants, you Affected by trade means that either a must comply with the regulations in species is known to be in trade and the part 14 of this subchapter for wildlife trade has or may have a detrimental or part 24 of this subchapter for plants. impact on the status of the species, or Activities with plants are also regu- a species is suspected to be in trade or lated by the U.S. Department of Agri- there is demonstrable potential inter- culture, Animal and Plant Health In- national demand for the species that spection Service (APHIS) and Depart- may be detrimental to the survival of ment of Homeland Security, U.S. Cus- the species in the wild. toms and Border Protection (CBP), in 7 Annotation means an official footnote CFR parts 319, 355, and 356. to the listing of a species in the CITES (d) You may also need to comply Appendices. A reference annotation with other Federal, State, tribal, or provides information that further ex- local requirements. plains the listing (such as ‘‘p.e.’’ for possibly extinct). A substantive anno- § 23.4 What are Appendices I, II, and tation is an integral part of a species III? listing. It designates whether the list- Species are listed by the Parties in ing includes or excludes a geographi- one of three Appendices to the Treaty cally separate population, subspecies, (see subpart H of this part), each of species, group of species, or higher which provides a different level of pro- taxon, and the types of specimens in- tection and is subject to different re- cluded in or excluded from the listing, quirements. Parties regulate trade in such as certain parts, products, or de- specimens of Appendix-I, -II, and -III rivatives. A substantive annotation

156

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00166 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.5

may designate export quotas adopted Certificate means a CITES document by the CoP. For species transferred or CITES exemption document that from Appendix I to II subject to an an- identifies on its face the type of certifi- notation relating to specified types of cate it is, including re-export certifi- specimens, other types of specimens cate, introduction-from-the-sea certifi- that are not specifically included in cate, and certificate of origin. the annotation are treated as if they CITES document or CITES exemption are Appendix-I specimens. document means any certificate, per- Appropriate and acceptable destination, mit, or other document issued by a when used in an Appendix-II listing an- Management Authority of a Party or a notation for the export of, or inter- competent authority of a non-Party national trade in, live animals, means whose name and address is on file with that the Management Authority of the the Secretariat to authorize the inter- importing country has certified, based national movement of CITES speci- on advice from the Scientific Author- mens. ity of that country, that the proposed Commercial means related to an activ- recipient is suitably equipped to house ity, including actual or intended im- and care for the animal (see criteria in port, export, re-export, sale, offer for § 23.65). Such certification must be pro- sale, purchase, transfer, donation, ex- vided before a CITES document is change, or provision of a service, that issued by the Management Authority is reasonably likely to result in eco- of the exporting or re-exporting coun- nomic use, gain, or benefit, including, try. but not limited to, profit (whether in Artificially propagated means a cul- cash or in kind). tivated plant that meets the criteria in Coral (dead) means pieces of stony § 23.64. coral that contain no living coral tis- ATA carnet means a type of inter- sue and in which the structure of the national customs document (see corallites (skeletons of the individual § 23.50). ATA is a combination of the polyps) is still intact and the speci- French and English words ‘‘Admission mens are therefore identifiable to the Temporaire/Temporary Admission.’’ level of species or genus. See also Bred for commercial purposes means § 23.23(c)(13). any specimen of an Appendix-I wildlife Coral fragments, including coral grav- species bred in captivity for commer- el and coral rubble, means loose pieces cial purposes. Any Appendix-I specimen of broken finger-like stony coral be- that does not meet the definition of tween 2 and 30 mm measured in all di- ‘‘bred for noncommercial purposes’’ is rections that contain no living coral considered to be bred for commercial tissue and are not identifiable to the purposes. level of genus (see § 23.92 for exemp- Bred for noncommercial purposes tions). means any specimen of an Appendix-I Coral (live) means pieces of stony wildlife species bred in captivity for coral that are alive and are therefore noncommercial purposes, where each identifiable to the level of species or donation, exchange, or loan of the spec- genus. See also § 23.23(c)(13). imen is noncommercial. Coral rock means hard consolidated Bred in captivity means wildlife that material greater than 30 mm measured is captive-bred and meets the criteria in any direction that consists of pieces in § 23.63. of stony coral that contain no living Captive-bred means wildlife that is coral tissue and possibly also cemented the offspring (first (F1) or subsequent sand, coralline algae, or other sedi- generations) of parents that either mentary rocks. Coral rock includes live mated or otherwise transferred egg and rock and substrate, which are terms for sperm under controlled conditions if pieces of coral rock to which are at- reproduction is sexual, or of a parent tached live specimens of other inverte- that was maintained under controlled brate species or coralline algae that conditions when development of the are not listed in the CITES Appendices. offspring began if reproduction is asex- See also § 23.23(c)(13). ual, but does not meet the bred-in-cap- Coral sand means material that con- tivity criteria (see § 23.63). sists entirely or in part of finely

157

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00167 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.5 50 CFR Ch. I (10–1–20 Edition)

crushed stony coral no larger than 2 whether commercial or noncommer- mm measured in all directions that cial. contains no living coral tissue and is In-transit shipment means the trans- not identifiable to the level of genus shipment of any wildlife or plant (see § 23.92 for exemptions). through an intermediary country when Coral (stony) means any coral in the the specimen remains under customs orders Helioporacea, Milleporina, control and either the shipment meets Scleractinia, Stolonifera, and the requirements of § 23.22 or the sam- Stylasterina. ple collection covered by an ATA Country of origin means the country carnet meets the requirements of where the wildlife or plant was taken § 23.50. from the wild or was born or propa- Introduction from the sea means trans- gated in a controlled environment, exportation into a country of specimens cept in the case of a plant specimen of any species that were taken in the that qualified for an exemption under the provisions of CITES, the country of marine environment not under the ju- origin is the country in which the spec- risdiction of any country, i.e., taken in imen ceased to qualify for the exemp- those marine areas beyond the areas tion. subject to the sovereignty or sovereign Cultivar means a horticulturally de- rights of a country consistent with rived plant variety that: has been se- international law, as reflected in the lected for a particular character or United Nations Convention on the Law combination of characters; is distinct, of the Sea. uniform, and stable in these char- ISO country code means the two-let- acters; and when propagated by appro- ter country code developed by the priate means, retains these characters. International Organization for Stand- The cultivar name and description ardization (ISO) to represent the name must be formally published in order to of a country and its subdivisions. be recognized under CITES. Live rock see the definition for coral Cultivated means a plant grown or rock. tended by humans for human use. A Management Authority means a gov- cultivated plant can be treated as arti- ernmental agency officially designated ficially propagated under CITES only if by, and under the supervision of, either it meets the criteria in § 23.64. a Party to implement CITES, or a non- Export means to send, ship, or carry a Party to serve in the role of a Manage- specimen out of a country (for export ment Authority, including the issuance from the United States, see part 14 of of CITES documents on behalf of that this subchapter). country. Flasked means plant material ob- Noncommercial means related to an tained in vitro, in solid or liquid media, activity that is not commercial. Non- transported in sterile containers. commercial includes, but is not limited Household effect means a dead wildlife to, personal use. or plant specimen that is part of a Non-Party means a country that has household move and meets the criteria in § 23.15. not deposited an instrument of ratifi- Hybrid means any wildlife or plant cation, acceptance, approval, or acces- that results from a cross of genetic ma- sion to CITES with the Depositary terial between two separate taxa when Government (Switzerland), or a coun- one or both are listed in Appendix I, II, try that was a Party but subsequently or III. See § 23.42 for plant hybrids and notified the Depositary Government of § 23.43 for wildlife hybrids. its denunciation of CITES and the de- Import means to bring, ship, or carry nunciation is in effect. a specimen into a country (for import Offspring of first generation (F1) means into the United States, see part 14 of a wildlife specimen produced in a con- this subchapter). trolled environment from parents at International trade means the import, least one of which was conceived in or introduction from the sea, export, or taken from the wild. re-export across jurisdictional or inter- Offspring of second generation (F2) or national boundaries for any purpose subsequent generations means a wildlife

158

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00168 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.5

specimen produced in a controlled en- packaging, mark, or label; or any other vironment from parents that were also circumstances to be a part, product, or produced in a controlled environment. derivative of any CITES wildlife or Parental stock means the original plant, unless such part, product, or de- breeding or propagating specimens that rivative is specifically exempt from the produced the subsequent generations of provisions of CITES or this part. captive or cultivated specimens. Re-export means to send, ship, or Party means a country that has given carry out of a country any specimen its consent to be bound by the provi- previously imported into that country, sions of CITES by depositing an instru- whether or not the specimen has been ment of ratification, acceptance, ap- altered since import. proval, or accession with the Deposi- Reservation means the action taken tary Government (Switzerland), and for by a Party to inform the Secretariat which such consent is in effect. that it is not bound by the effect of a Permit means a CITES document that specific listing (see § 23.21). identifies on its face import permit or Scientific Authority means a govern- export permit. mental or independent scientific insti- Personal effect means a dead wildlife tution or entity officially designated or plant specimen, including a tourist by either a Party to implement CITES, souvenir, that is worn as clothing or or a non-Party to serve the role of a accessories or is contained in accom- Scientific Authority, including making panying baggage and meets the criteria scientific findings. in § 23.15. Secretariat means the entity des- Personal use means use that is not ignated by the Treaty to perform cer- commercial and is for an individual’s tain administrative functions (see own consumption or enjoyment. § 23.84). Precautionary measures means the ac- Shipment means any CITES specimen tions taken that will be in the best in- in international trade whether for com- terest of the conservation of the spe- mercial or noncommercial use, includ- cies when there is uncertainty about ing any personal item. the status of a species or the impact of trade on the conservation of a species. Species means any species, subspecies, hybrid, variety, cultivar, color or mor- Pre-Convention means a specimen that was acquired (removed from the phological variant, or geographically wild or born or propagated in a con- separate population of that species. trolled environment) before the date Specimen means any wildlife or plant, the provisions of the Convention first whether live or dead. This term in- applied to the species and that meets cludes any readily recognizable part, the criteria in § 23.45, and any product product, or derivative unless otherwise (including a manufactured item) or de- annotated in the Appendices. rivative made from such specimen. Sustainable use means the use of a Primarily commercial purposes means species in a manner and at a level that an activity whose noncommercial as- maintains wild populations at bio- pects do not clearly predominate (see logically viable levels for the long § 23.62). term. Such use involves a determina- Propagule means a structure, such as tion of the productive capacity of the a cutting, seed, or spore, which is capa- species and its ecosystem to ensure ble of propagating a plant. that utilization does not exceed those Ranched wildlife means specimens of capacities or the ability of the popu- animals reared in a controlled environ- lation to reproduce, maintain itself, ment that were taken from the wild as and perform its role or function in its eggs or juveniles where they would oth- ecosystem. erwise have had a very low probability Trade means the same as inter- of surviving to adulthood. See also national trade. § 23.34. Transit see the definition for in-tran- Readily recognizable means any speci- sit shipment. men that appears from a visual, phys- Traveling exhibition means a display ical, scientific, or forensic examination of live or dead wildlife or plants for en- or test; an accompanying document, tertainment, educational, cultural, or

159

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00169 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.6 50 CFR Ch. I (10–1–20 Edition)

other display purposes that is tempo- must be sent to the Secretariat to be rarily moving internationally. included in the Directory. In the [72 FR 48448, Aug. 23, 2007, as amended at 79 United States, different offices within FR 30419, May 27, 2014] the FWS have been designated the Sci- entific Authority and Management Au- § 23.6 What are the roles of the Man- thority, which for purposes of this sec- agement and Scientific Authorities? tion includes FWS Law Enforcement. Under Article IX of the Treaty, each When offices share activities, the Man- Party must designate a Management agement Authority is responsible for and Scientific Authority to implement dealing primarily with management CITES for that country. If a non-Party and regulatory issues and the Sci- wants to trade with a Party, it must entific Authority is responsible for also designate such Authorities. The dealing primarily with scientific names and addresses of these offices issues. The offices do the following:

U.S. U.S. Man- Sci- age- Roles entific ment Author- Author- ity ity

(a) Provide scientific advice and recommendations, including advice on biological findings for applications x for certain CITES documents, registrations, and export program approvals. Evaluate the conservation status of species to determine if a species listing or change in a listing is warranted. Interpret listings and review nomenclatural issues.

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

(d) Ensure that export of Appendix-II specimens is at a level that maintains a species throughout its range x 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.

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

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

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

(i) Communicate with the scientific community, the public, and media about CITES issues. Conduct public x x meetings and publish notices to gather input from the public on the administration of CITES and the conservation and trade status of domestic and foreign species traded internationally.

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

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

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

§ 23.7 What office do I contact for CITES information? Contact the following offices to receive information about CITES:

160

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00170 Fmt 8010 Sfmt 8016 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.8

Type of information Office to contact

(a) CITES administrative and management issues: U.S. Management Authority, U.S. Fish and Wildlife Service (1) CITES documents, including application forms and pro- Headquarters, MS: IA, 5275 Leesburg Pike, Falls Church, cedures; lists of registered scientific institutions and op- VA 22041–3803, Toll Free: (800) 358–2104/permit ques- erations breeding Appendix-I wildlife for commercial pur- tions, Tel: (703) 358–2095/other questions, Fax: (703) 358– poses; and reservations 2281/permits, Fax: (703) 358–2298/other issues, Email: (2) Information on the CoP [email protected], Web site: http:// (3) List of CITES species www.fws.gov/international and http://www.fws.gov/permits. (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

(b) Scientific issues: U.S. Scientific Authority, U.S. Fish and Wildlife Service Head- (1) Animals and Plants Committees documents and issues quarters, MS: IA, 5275 Leesburg Pike, Falls Church, VA (2) Findings of non-detriment and suitability of facilities, 22041–3803, Tel: (703) 358–1708, Fax: (703) 358–2276, and other scientific findings Email: [email protected], Web site: http:// (3) Listing of species in the Appendices and relevant reso- www.fws.gov/international. lutions (4) Names and addresses of other countries’ Scientific Au- thority offices and scientists involved with CITES-related issues (5) Nomenclatural issues

(c) Wildlife clearance procedures: Law Enforcement, U.S. Fish and Wildlife Service Head- (1) CITES replacement tags quarters, MS: OLE, 5275 Leesburg Pike, Falls Church, VA (2) Information about wildlife port office locations 22041–3803, Tel: (703) 358–1949, Fax: (703) 358–2271, (3) Information bulletins Web site: http://www.fws.gov/le. (4) Inspection and clearance of wildlife shipments involving import, introduction from the sea, export, and re-export, and filing a Declaration of Importation or Exportation of Fish or Wildlife (Form 3–177) (5) Validation, certification, or cancellation of CITES wildlife documents

(d) APHIS plant clearance procedures: U.S. Department of Agriculture APHIS/PPQ, 4700 River Road, (1) Information about plant port office locations Riverdale, Maryland 20737–1236, Toll Free: (877) 770-5990/ (2) Inspection and clearance of plant shipments involving: permit questions, Tel: (301) 734-8891/other CITES issues, (i) Import and introduction from the sea of living plants Fax: (301) 734-5786/permit questions, Fax: (301) 734-5276/ (ii) Export and re-export of living and nonliving plants other CITES issues, Website: http://www.aphis.usda.gov/ (3) Validation or cancellation of CITES plant documents for plantlhealth the type of shipments listed in paragraph (d)(2) of this section

(e) CBP plant clearance procedures: Department of Homeland Security, U.S. Customs and Border (1) Inspection and clearance of plant shipments involving: Protection, Office of Field Operations, Agriculture Programs (i) Import and introduction from the sea of nonliving and Liaison, 1300 Pennsylvania Avenue, NW, Room 2.5 B, plants Washington, DC 20229, Tel: (202) 344-3298, Fax: (202) (ii) Import of living plants from Canada at designated 344-1442 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

(f) General information on CITES: CITES Secretariat, Website: http://www.cites.org (1) CITES export quota information (2) CITES’Guidelines for transport and preparation for shipment of live wild animals and plants (3) Information about the Secretariat (4) Names and addresses of other countries’ Management and Scientific Authority offices (5) Official documents, including resolutions, decisions, notifications, CoP documents, and committee documents (6) Official list of CITES species and species database (7) Text of the Convention

[72 FR 48448, Aug. 23, 2007, as amended at 79 § 23.8 What are the information collec- FR 30420, May 27, 2014; 79 FR 43966, July 29, tion requirements? 2014] The Office of Management and Budg- et approved the information collection requirements for application forms and

161

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00171 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.9 50 CFR Ch. I (10–1–20 Edition)

reports contained in this part and as- (c) Possess any specimen of a species signed OMB Control Number 1018–0093. listed in Appendix I, II, or III of CITES We cannot collect or sponsor a collec- imported, exported, re-exported, intro- tion of information and you are not re- duced from the sea, or traded contrary quired to provide information unless it to the provisions of CITES, the ESA, or displays a currently valid OMB control this part. number. (d) Use any specimen of a species list- [72 FR 48448, Aug. 23, 2007, as amended at 79 ed in Appendix I, II, or III of CITES for FR 30420, May 27, 2014] any purpose contrary to what is allowed under § 23.55. § 23.9 Incorporation by reference. (e) Violate any other provisions of (a) Certain material is incorporated this part. by reference into this part with the ap- (f) Attempt to commit, solicit an- proval of the Director of the Federal other to commit, or cause to be com- Register in accordance with 5 U.S.C. mitted any of the activities described 552(a) and 1 CFR part 51. You may in- in paragraphs (a) through (e) of this spect copies at the U.S. Management section. Authority, U.S. Fish and Wildlife Serv- [72 FR 48448, Aug. 23, 2007, as amended at 79 ice Headquarters, MS. IA, 5275 Lees- FR 30420, May 27, 2014] burg Pike, Falls Church, VA 22041–3803, or at the National Archives and § 23.14 [Reserved] Records Administration (NARA). For information on the availability of this § 23.15 How may I travel internation- material at NARA, call 202–741–6030, or ally with my personal or household go to: http://www.archives.gov/fed- effects, including tourist souvenirs? erallregister/ (a) Purpose. Article VII(3) of the codeloflfederallregulations/ Treaty recognizes a limited exemption ibrllocations.html. for the international movement of per- (b) International Air Transport Asso- sonal and household effects. ciation (IATA), 800 Place Victoria, P.O. (b) Stricter national measures. The ex- Box 113, Montreal, Quebec, Canada H4Z emption for personal and household ef- 1M1, 1–800–716–6326, http://www.iata.org. fects does not apply if a country pro- (1) Live Animals Regulations (LAR) hibits or restricts the import, export, 40th edition, effective October 1, 2013, or re-export of the item. into §§ 23.23, 23.26, and 23.56. (1) You or your shipment must be ac- (2) Perishable Cargo Regulations companied by any document required (PCR) 13th edition, effective July 1, by a country under its stricter national 2013, into §§ 23.23, 23.26, and 23.56. measures. [79 FR 30420, May 27, 2014, as amended at 79 (2) In the United States, you must FR 43967, July 29, 2014] obtain any permission needed under other regulations in this subchapter Subpart B—Prohibitions, (see § 23.3). Exemptions, and Requirements (c) Required CITES documents. You must obtain a CITES document for per- § 23.13 What is prohibited? sonal or household effects and meet the Except as provided in § 23.92, it is un- requirements of this part if one of the lawful for any person subject to the ju- following applies: risdiction of the United States to con- (1) The Management Authority of the duct any of the following activities un- importing, exporting, or re-exporting less they meet the requirements of this country requires a CITES document. part: (2) You or your shipment does not (a) Import, export, re-export, or en- meet all of the conditions for an ex- gage in international trade with any emption as provided in paragraphs (d) specimen of a species listed in Appen- through (f) of this section. dix I, II, or III of CITES. (3) The personal or household effect (b) Introduce from the sea any speci- for the following species exceeds the men of a species listed in Appendix I or quantity indicated in paragraphs II of CITES. (c)(3)(i) through (vi) in the table below:

162

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00172 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.15

Major group Species (Appendix II only) Type of specimen Quantity 1

Fishes (i) Acipenseriformes (sturgeon, in- Sturgeon caviar (see § 23.71) 125 gm cluding paddlefish)

Fishes (ii) Hippocampus spp. (seahorses) Dead specimens, parts, products 4 (including manufactured items), and derivatives

Reptiles (iii) Crocodylia (alligators, Dead specimens, parts, products 4 caimans, crocodiles, gavial) (including manufactured items), and derivatives

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

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

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.

(d) Personal effects. You do not need a (2) You own the specimen and are CITES document to import, export, or moving it for personal use. re-export any legally acquired speci- (3) You import or export your house- men of a CITES species to or from the hold effects within 1 year of changing United States if all of the following your residence from one country to an- conditions are met: other. (1) No live wildlife or plant (including (4) The shipment, or shipments if you eggs or non-exempt seeds) is included. cannot move all of your household ef- (2) No specimen from an Appendix-I species is included, except for certain fects at one time, contains only speci- worked African elephant ivory as pro- mens purchased, inherited, or other- vided in paragraph (f) of this section. wise acquired before you changed your (3) The specimen and quantity of residence. specimens are reasonably necessary or (f) African elephant worked ivory. You appropriate for the nature of your trip may export or re-export from the or stay and, if the type of specimen is United States worked African elephant one listed in paragraph (c)(3) of this (Loxodonta africana) ivory and then re- section, the quantity does not exceed import it without a CITES document if the quantity given in the table. all of the following conditions are met: (4) You own and possess the specimen (1) The worked ivory is a personal or for personal use, including any speci- household effect that meets the re- men intended as a personal gift. quirements of paragraphs (c) through (5) You are either wearing the speci- (e) of this section and you are a U.S. men as clothing or an accessory or tak- resident who owned the worked ivory ing it as part of your personal baggage, before leaving the United States and which is being carried by you or intend to bring the item back to the checked as baggage on the same plane, United States. boat, vehicle, or train as you. (2) The ivory is pre-Convention (see (6) The specimen was not mailed or § 23.45). (The African elephant was first shipped separately. (e) Household effects. You do not need listed in CITES on February 26, 1976.) a CITES document to import, export, (3) You may not sell or transfer the or re-export any legally acquired speci- ivory while outside the United States. men of a CITES species that is part of (4) The ivory is substantially worked a shipment of your household effects and is not raw. Raw ivory means an Af- when moving your residence to or from rican elephant tusk, or any piece of the United States, if all of the fol- tusk, the surface of which, polished or lowing conditions are met: unpolished, is unaltered or minimally (1) The provisions of paragraphs (d)(1) carved, including ivory mounted on a through (3) of this section are met. stand or part of a trophy.

163

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00173 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.16 50 CFR Ch. I (10–1–20 Edition)

(5) When you return, you are able to them from the requirements of CITES provide records, receipts, or other doc- and this part. uments to show that the ivory is pre- (c) DNA. We differentiate between Convention and that you owned and DNA directly extracted from blood and registered it before you left the United tissue and DNA synthetically derived States. To register such an item you as follows: must obtain one of the following docu- (1) A DNA sample directly derived ments: from wildlife or plant tissue is regu- (i) U.S. CITES pre-Convention cer- lated by CITES and this part. tificate. (2) A DNA sample synthetically de- (ii) FWS Declaration of Importation rived that does not contain any part of or Exportation of Fish or Wildlife the original template is exempt from (Form 3–177). the requirements of CITES and this (iii) Customs and Border Protection part. Certificate of Registration for Personal Effects Taken Abroad (Form 4457). § 23.17 What are the requirements for CITES specimens traded inter- [72 FR 48448, Aug. 23, 2007, as amended at 73 nationally by diplomatic, consular, FR 40986, July 17, 2008] military, and other persons exempt from customs duties or inspections? § 23.16 What are the U.S. CITES re- A specimen of a CITES species im- quirements for urine, feces, and synthetically derived DNA? ported, introduced from the sea, exported, or re-exported by a person re- (a) CITES documents. We do not receiving duty-free or inspection exemp- quire CITES documents to trade in tion privileges under customs laws urine, feces, or synthetically derived must meet the requirements of CITES DNA. and the regulations in this part. (1) You must obtain any collection permit and CITES document required § 23.18 What CITES documents are re- by the foreign country. quired to export Appendix-I wild- (2) If the foreign country requires life? you to have a U.S. CITES document for Answer the questions in the fol- these kinds of samples, you must apply lowing decision tree to find the section for a CITES document and meet the re- in this part that applies to the type of quirements of this part. CITES document you need to export (b) Urine and feces. Except as pro- Appendix-I wildlife. See § 23.20(d) for vided in paragraph (a) of this section, CITES exemption documents or § 23.92 we consider urine and feces to be wild- for specimens that are exempt from the life byproducts, rather than parts, requirements of CITES and do not need products, or derivatives, and exempt CITES documents.

164

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00174 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.19

[72 FR 48448, Aug. 23, 2007, as amended at 79 in this part that applies to the type of FR 30420, May 27, 2014] CITES document you need to export Appendix-I plants. See § 23.20(d) for § 23.19 What CITES documents are re- CITES exemption documents or § 23.92 quired to export Appendix-I plants? for specimens that are exempt from the Answer the questions in the fol- requirements of CITES and do not need lowing decision tree to find the section CITES documents.

165

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00175 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 ER27MY14.000 § 23.20 50 CFR Ch. I (10–1–20 Edition)

[72 FR 48448, Aug. 23, 2007, as amended at 79 pany an Appendix-I, -II, or -III speci- FR 30420, May 27, 2014] men in international trade. Articles VII and XIV recognize some exemp- § 23.20 What CITES documents are required for international trade? tions and provide that a CITES document must accompany most exempt (a) Purpose. Articles III, IV, and V of specimens. the Treaty give the types of standard CITES documents that must accom-

166

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00176 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 ER27MY14.001 U.S. Fish and Wildlife Serv., Interior § 23.20

(b) Stricter national measures. Before with an exempt specimen (other than importing, introducing from the sea, specimens exempted under § 23.92). If exporting, or re-exporting a specimen, one of the exemptions does not apply check with the Management Authori- to the specimen, you must obtain a ties of all countries concerned to ob- CITES document as provided in para- tain any documentation required under graph (e) of this section. The first col- stricter national measures. umn in the following table alphabeti- (c) CITES documents. Except as pro- cally lists the type of specimen or ac- vided in the regulations in this part, tivity that may qualify for a CITES ex- you must have a valid CITES document emption document. The last column in- to engage in international trade in any dicates the section of this part that CITES specimen. (d) CITES exemption documents. The contains information on the applica- following table lists the CITES exemption procedures, provisions, criteria, tion document that you must obtain and conditions specific to each CITES before conducting a proposed activity exemption document, as follows:

Type of specimen or activity Appendix CITES exemption document Section

(1) Artificially propagated plant (see I, II, or III CITES document with source code ‘‘A’’1 23.40 paragraph (d)(4) of this section for an Appendix-I plant propagated for commercial purposes)

(2) Artificially propagated plant from a II or III Phytosanitary certificate with CITES 23.23(f) country that has provided copies of the statement 1 certificates, stamps, and seals to the Secretariat

(3) Bred-in-captivity wildlife (see para- I, II, or III CITES document with source code ‘‘C’’1 23.41 graph (d)(5) of this section for Appen- dix-I wildlife bred in captivity for commercial purposes)

(4) Commercially propagated Appendix-I I CITES document with source code ‘‘D’’1 23.47 plant

(5) Commercially bred Appendix-I wildlife I CITES document with source code ‘‘D’’1 23.46 from a breeding operation registered with the CITES Secretariat

(6) Export of certain marine specimens II CITES document indicating that the 23.36(e) protected under a pre-existing treaty, specimen was taken in accordance 23.39(e) convention, or international agreement with provisions of the applicable trea- for that species ty, convention, or international agreement

(7) Hybrid plants I, II, or III CITES document unless the specimen 23.42 qualifies as an exempt plant hybrid

(8) Hybrid wildlife I, II, or III CITES document unless the specimen 23.43 qualifies as an exempt wildlife hybrid

(9) In-transit shipment (see paragraph I, II, or III CITES document designating importer 23.22 (d)(14) of this section for sample col- and country of final destination lections covered by an ATA carnet)

(10) Introduction from the sea under a II Document required by applicable treaty, 23.39(d) pre-existing treaty, convention, or convention, or international agree- international agreement for that spe- ment, if appropriate cies

(11) Noncommercial loan, donation, or I, II, or III A label indicating CITES and the reg- 23.48 exchange of specimens between sci- istration codes of both institutions entific institutions registered with the and, in the United States, a CITES CITES Secretariat certificate of scientific exchange that registers the institution 3

(12) Personally owned live wildlife for I, II, or III CITES certificate of ownership2 23.44 multiple cross-border movements

167

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00177 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.21 50 CFR Ch. I (10–1–20 Edition)

Type of specimen or activity Appendix CITES exemption document Section

(13) Pre-Convention specimen I, II, or III CITES document indicating pre-Con- 23.45 vention status 1

(14) Sample collection covered by an I 4, II, or III CITES document indicating sample col- 23.50 ATA carnet lection 2

(15) Traveling exhibition I, II, or III CITES document indicating specimens 23.49 qualify as pre-Convention, bred in captivity, or artificially propagated 2 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- applies, you must obtain the following export certificates, and certificates of ori- CITES documents before conducting gin. Unless one of the exemptions under the proposed activity: paragraph (d) of this section or § 23.92

Appendix Type of CITES document(s) required

I Import permit (§ 23.35) and either an export permit (§ 23.36) or re-export certificate (§ 23.37)

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

III Export permit (§ 23.36) if the specimen originated in a country that listed the species; certificate of origin (§ 23.38) if the specimen originated in a country other than the listing country, unless the listing annotation indicates otherwise; or re-export certificate for all re-exports (§ 23.37)

(f) Introduction-from-the-sea certifi- § 23.21 What happens if a country en- cates. For introduction from the sea of ters a reservation for a species? Appendix-I or Appendix-II specimens, (a) Purpose. CITES is not subject to you must obtain an introduction-from- general reservations. Articles XV, XVI, the-sea certificate before conducting and XXIII of the Treaty allow a Party the proposed activity, unless the ex- to enter a specific reservation on a spe- emption in paragraph (d)(10) of this cies listed in Appendix I, II, or III, or section applies (see § 23.39). The export on parts, products, or derivatives of a of a specimen that was previously in- species listed in Appendix III. troduced from the sea will be treated (b) General provision. A Party can as an export (see § 23.36 for export, enter a reservation in one of the fol- § 23.36(e) and § 23.39(e) for export of ex- lowing ways: empt specimens, or § 23.37 for re-ex- (1) A Party must provide written no- port). Although an Appendix-III speci- tification to the Depositary Govern- men does not require a CITES document (Switzerland) on a specific new or ment to be introduced from the sea, amended listing in the Appendices the subsequent international trade of within 90 days after the CoP that the specimen would be considered an adopted the listing, or at any time for export. For export of an Appendix-III Appendix-III species. specimen that was introduced from the (2) A country must provide written notification on a specific species list- sea you must obtain an export permit ing when the country ratifies, accepts, (§ 23.36) if the export is from the coun- approves, or accedes to CITES. try that listed the species in Appendix (c) Requesting the United States take a III, a certificate of origin (§ 23.38) if the reservation. You may submit informa- export is from a country other than the tion relevant to the issue of whether listing country, or a re-export certifi- the United States should take a res- cate for all re-exports (§ 23.37). ervation on a species listing to the U.S. Management Authority. The request must be submitted within 30 calendar

168

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00178 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.22

days after the last day of the CoP as if it were a non-Party for trade in where a new or amended listing of a the species concerned (including parts, species in Appendix I or II occurs, or at products, and derivatives, as appro- any time for a species (or its parts, priate). The following table indicates products, or derivatives) listed in Ap- when CITES documents must accom- pendix III. pany a shipment and which Appendix (d) Required CITES documents. Except should appear on the face of the docu- as provided in paragraph (d)(2) of this ment: section, Parties treat a reserving Party

If Then

(1) The shipment is between a Party and a reserving Party, or The shipment must be accompanied by a valid CITES docu- the shipment is from a non-Party to a reserving Party and is ment(s) (see § 23.26) that indicates the CITES Appendix in in transit through a Party which the species is listed.

(2) The shipment is from a reserving Party to another reserving The shipment must be accompanied by a valid CITES docu- Party 1 or non-Party and is in transit through a Party 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- No CITES document is required. 2 serving Party 1 or non-Party and is not in transit through a Party 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. tion and is issued by the Management You may consult the CITES website or Authority of the exporting or re-ex- contact us (see § 23.7) for a list of coun- porting country. A copy of a CITES tries that have taken reservations and document is subject to verification. the species involved. (2) For shipment of an Appendix-I specimen, a copy of a valid import per- § 23.22 What are the requirements for mit that designates the name of the in-transit shipments? importer in the country of final des- (a) Purpose. Article VII(1) of the tination, unless the CITES document Treaty allows for a shipment to transit in paragraph (b)(1) of this section is a an intermediary country that is a CITES exemption document (see Party before reaching its final destina- § 23.20(d)). tion without the need for the inter- (3) Transportation and routing docu- mediary Party to issue CITES documents that show the shipment has been ments. To control any illegal trade, consigned to the same importer and Parties are to inspect, to the extent country of final destination as des- possible under their national legisla- ignated on the CITES document. tion, specimens in transit through (c) Shipment requirements. An in-tran- their territory to verify the presence of sit shipment, including items in an on- valid documentation. See § 23.50 for in- board store, must meet the following: transit shipment of sample collections (1) When in an intermediary country, covered by an ATA carnet. an in-transit shipment must stay only (b) Document requirements. An in-tran- for the time needed to immediately sit shipment does not require a CITES transfer the specimen to the mode of document from an intermediary coun- transport used to continue to the final try, but must be accompanied by all of destination and remain under customs the following documents: control. Other than during immediate (1) Unless the specimen qualifies for transfer, the specimen may not be an exemption under § 23.92, a valid stored in a duty-free, bonded, or other original CITES document, or a copy of kind of warehouse or a free trade zone. the valid original CITES document, (2) At any time during transit, an in- that designates the name of the im- transit shipment must not be sold, ma- porter in the country of final destina- nipulated, or split unless authorized by

169

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00179 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.23 50 CFR Ch. I (10–1–20 Edition)

the Management Authority of the under Article VII, must contain stand- intermediary country for inspection or ardized information to allow a Party to enforcement purposes. verify that the specimen being shipped (d) Reserving Party or non-Party. All is the one listed on the document and the requirements of this section apply that the trade is consistent with the to shipments to or from a reserving provisions of the Treaty. Party or non-Party that are being (b) CITES form. A CITES document transshipped through a Party. The issued by a Party must be issued in one CITES document must treat the speci- or more of the three working languages men as listed in the Appendix as pro- of CITES (English, Spanish, or French). vided in § 23.21(d). A CITES document from a non-Party (e) Specimen protected by other regula- may be in the form of a permit or cer- tions. Shipment of a specimen that is tificate, letter, or any other form that also listed as a migratory bird (part 10 clearly indicates the nature of the doc- of this subchapter), injurious wildlife ument and includes the information in (part 16 of this subchapter), endangered paragraphs (c) through (e) of this sec- or threatened species (parts 17 of this tion and the additional information in subchapter and 222–224 of this title), § 23.25. marine mammal (parts 18 of this subchapter and 216 of this title), or bald or (c) Required information. Except for a golden eagle (part 22 of this sub- phytosanitary certificate used as a chapter), and is moving through the CITES certificate for artificially prop- United States is considered an import, agated plants in paragraph (f) of this and cannot be treated as an in-transit section, or a customs declaration label shipment (see § 23.3). used to identify specimens being moved between registered scientific institu- § 23.23 What information is required tions (§ 23.48(e)(5)), a CITES document on U.S. and foreign CITES docu- issued by a Party or non-Party must ments? contain the information set out in this (a) Purpose. Article VI of the Treaty paragraph (listed alphabetically). Spe- provides standard information that cific types of CITES documents must must be on a permit and certificate also contain the additional informa- issued under Articles III, IV, and V. To tion identified in paragraph (e) of this identify a false or invalid document, section. A CITES document is valid any CITES document, including a only when it contains the following in- CITES exemption document issued 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 indicated 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 As applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or air waybill flight number number or (ii) in accompanying baggage, the flight number, as recorded on the CITES document by the inspecting official at the port, if known at the time of validation or certification.

(4) Dates Date of issue and date of expiration (‘‘valid until’’ date on the standardized CITES form), which is midnight of the date on the CITES document. See § 23.54 for the length of validity for different types of CITES documents.

(5) Description of the specimen A complete description of the specimen, including whether live or the type of goods. The sex and age of a live specimen should be recorded, if possible. Such information must be in English, Spanish, or French on a CITES document from a Party. If a code is used to indicate the type of specimen, it must agree with the Guidelines for preparation and submission of CITES annual reports available from the CITES website or us (see § 23.7).

(6) Document number A unique control number. We use a unique 12-character number. The first two characters are the last two digits of the year of issuance, the next two are the two-letter ISO country code, followed by a six-digit serial number, and two digits or letters used for national informational purposes.

170

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00180 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.23

Required information Description

(7) Humane transport of live If the CITES document authorizes the export or re-export of live specimens, a statement that specimens the document is valid only if the transport conditions comply with the International Air Trans- port Association Live Animals Regulations or the International Air Transport Association Per- ishable Cargo Regulations (incorporated by reference, see § 23.9). A shipment containing live animals must comply with the requirements of the Live Animals Regulations (LAR). A shipment containing live plants must comply with the requirements for plants in the Perish- able Cargo Regulations (PCR).

(8) Identification of the speci- Any unique identification number or mark (such as a tag, band, ring, microchip, label, or serial men number), including any mark required under these regulations or a CITES listing annotation. For a microchip, the microchip code, trademark of the transponder manufacturer and, where possible, the location of the microchip in the specimen. If a microchip is used, we may, if necessary, ask the importer, exporter, or re-exporter to have equipment on hand to read the microchip at the time of import, export, or re-export.

(9) Management Authority The complete name and address of the issuing Management Authority as included in the CITES directory, which is available from the CITES website or us (see § 23.7).

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

(11) Purpose of transaction The purpose of the transaction identified either through a written description of the purpose of the transaction or by using one of the codes given in paragraph (d) of this section. The code is determined by the issuing Management Authority through information submitted with an application. This is not required for a certificate of origin.

(12) Quantity The quantity of specimens authorized in the shipment and, if appropriate, the unit of measurement using the metric system. 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 higher-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 identifiable 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 communicated the justification to the Secretariat. (iii) The item is a pre-Convention manufactured product containing a specimen that cannot be identified to the species level.

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

(15) Security stamp If a Party uses a security stamp, the stamp must be canceled by an authorized signature and a stamp or seal, preferably embossed. The number of the stamp must also be recorded on the CITES document.

171

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00181 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.23 50 CFR Ch. I (10–1–20 Edition)

Required information Description

(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 certificate for artificially propagated plants, certificate for wildlife bred in captivity, certificate of origin, certificate of ownership, introduction-from-the-sea certificate, pre-Convention certificate, sample collection covered by an ATA carnet, scientific exchange certificate, or traveling-exhibition certificate. (ii) If multiple types are authorized on one CITES document, the type that applies to each specimen must be clearly indicated.

(21) Validation or certification 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 description, the CITES document must contain one of the following codes:

Code Purpose of transaction Code Purpose of transaction

B ...... Breeding in captivity or artificial propagation N ...... Reintroduction or introduction into the wild E ...... Education P ...... Personal G ...... Botanical garden Q ...... Circus and traveling exhibition H ...... Hunting trophy S ...... Scientific L ...... Law enforcement/judicial/forensic T ...... Commercial M ...... Medical research (including biomedical re- Z ...... Zoo search)

(e) Additional required information. The following describes the additional information that is required for specific types of documents (listed alphabetically):

Type of document Additional required information

(1) Annex (such as an attached The page number, document number, and date of issue on each page of an annex that is at- inventory, conditions, or con- tached as an integral part of a CITES document. An authorized signature and ink stamp or tinuation pages of a CITES seal, preferably embossed, of the Management Authority issuing the CITES document must document) also be included on each page of the annex. The CITES document must indicate an attached annex and the total number of pages.

(2) Certificate of origin (see A statement that the specimen originated in the country that issued the certificate. § 23.38)

(3) Copy when used in place of (i) Information required in paragraph (e)(7) of this section when the document authorizes ex- the original CITES document 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- The registration number of the operation or nursery assigned by the Secretariat, and if the ex- istered commercial breeding porter is not the registered operation or nursery, the name of the registered operation or operation or nursery for Ap- nursery. pendix-I specimens (see § 23.46)

(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).

172

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00182 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.24

Type of document Additional required information

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

(7) Replacement CITES docu- When a CITES document replaces an already issued CITES document that was lost, dam- ment (see § 23.52) 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- (i) A list of the blocks that must be completed by the permit holder. ments (see § 23.51) (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 (i) An indication on the face of the CITES document that the specimen is pre-Convention. (see § 23.45) (ii) A date that shows the specimen was acquired before the date the Convention first applied to it.

(10) Re-export certificate (see (i) The country of origin, the export permit number, and the date of issue. § 23.37) (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- A clear statement that the CITES document is issued retrospectively and the reason for ument (see § 23.53) issuance.

(12) Sample collection covered (i) A statement that the document covers a sample collection and is invalid unless accom- by an ATA carnet (see panied by a valid ATA carnet. § 23.50) (ii) The number of the accompanying ATA carnet recorded by the Management Authority, customs, or other responsible CITES inspecting official.

(f) Phytosanitary certificate. A Party the specimen under CITES, using may use a phytosanitary certificate as standard nomenclature as it appears in a CITES document under the following the CITES Appendices or the references conditions: adopted by the CoP. (1) The Party has provided copies of (ii) The type (such as live plant or the certificate, stamps, and seals to the bulb) and quantity of the specimens au- Secretariat. thorized in the shipment. (2) The certificate is used only when (iii) A stamp, seal, or other specific all the following conditions are met: indication stating that the specimen is (i) The plants are being exported, not artificially propagated (see § 23.64). re-exported. (ii) The plants are Appendix-II spe- [72 FR 48448, Aug. 23, 2007, as amended at 79 cies, or are hybrids of one or more Ap- FR 30420, May 27, 2014; 79 FR 32677, June 6, pendix-I species or taxa that are not 2014] annotated to treat hybrids as Appen- dix-I specimens. § 23.24 What code is used to show the source of the specimen? (iii) The plants were artificially propagated in the exporting country. The Management Authority must in- (3) The certificate contains the fol- dicate on the CITES document the lowing information: source of the specimen using one of the (i) The scientific name of the species, following codes, except the code ‘‘O’’ including the subspecies when needed for pre-Convention, which may be used to determine the level of protection of in conjunction with another code:

173

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00183 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.25 50 CFR Ch. I (10–1–20 Edition)

Source of specimen Code

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

(b) Bred-in-captivity wildlife (see § 23.41): C (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) Bred in captivity or artificially propagated for commercial purposes (see §§ 23.46 and 23.47): D (1) An Appendix-I wildlife specimen bred in captivity for commercial purposes at an operation registered with the Secretariat. (2) An Appendix-I plant specimen artificially propagated for commercial purposes at a nursery that is registered with the Secretariat or a commercial propagating operation that meets the requirements of § 23.47.

(d) Captive-bred wildlife (§ 23.36): F (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.

(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: W (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.

[72 FR 48448, Aug. 23, 2007, as amended at 79 thority of a non-Party only if the docu- FR 30423, May 27, 2014] ment substantially conforms to the requirements of the Treaty. § 23.25 What additional information is (b) Additional certifications. In addi- required on a non-Party CITES doc- tion to the information in § 23.23(c) ument? through (e), a CITES document issued (a) Purpose. Under Article X of the by a non-Party must contain the fol- Treaty, a Party may accept a CITES lowing certifications on the face of the document issued by a competent au- document:

Activity by a non-Party Certification

(1) Export (i) For Appendix-I and -II specimens, the Scientific Authority has advised that the export will not be detrimental to the survival of the species. (ii) The Management Authority is satisfied that the specimen was legally acquired.

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

§ 23.26 When is a U.S. or foreign CITES (b) Original CITES documents. A sepa- document valid? rate original or a true copy of a CITES (a) Purpose. Article VIII of the Treaty document must be issued before the provides that Parties take appropriate import, introduction from the sea, ex- measures to enforce the Convention to port, or re-export occurs, and the docu- prevent illegal trafficking in wildlife ment must accompany each shipment. and plants. No copy may be used in place of an

174

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00184 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.26

original except as provided in for import, introduction from the sea, § 23.23(e)(3) or when a shipment is in export, or re-export only if the docu- transit (see § 23.22). Fax or electronic ment meets the requirements of this copies are not acceptable. section, §§ 23.23 through 23.25, and the (c) Acceptance of CITES documents. We following conditions: will accept a CITES document as valid

Key phrase Conditions for an acceptable CITES document

(1) Altered or modified CITES The CITES document has not been altered (including by rubbing or scratching out), added to, document or modified in any way unless the change is validated on the document by the stamp and authorized signature of the issuing Management Authority, or if the document was issued as a partially completed document, the Management Authority lists on the face of the document which blocks must be completed by the permit holder.

(2) Annual reports The Party issuing the CITES document has submitted annual reports and is not subject to any action under Article VIII paragraph 7(a) that would not allow trade in CITES species.

(3) CITES document U.S. and foreign CITES documents must meet the general provisions and criteria in subparts C and E.

(4) Conditions All conditions on the CITES document are met.

(5) Convention implementation The Party issuing the CITES document is not subject to any action under Article VIII or Article XIII paragraph 3 that would not allow trade in the species.

(6) Extension of validity The validity of a CITES document may not be extended except as provided in § 23.73 for certain timber species.

(7) Fraudulent CITES docu- The CITES document is authentic and does not contain erroneous or misleading information. ment or CITES document containing false information

(8) Humane transport Live wildlife or plants were transported in compliance with the International Air Transport Asso- ciation Live Animals Regulations (for animals) or the International Air Transport Association Perishable Cargo Regulations (for 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 The CITES document was issued by a Party or non-Party that has designated a Management Scientific Authority Authority and Scientific Authority and has provided information on these authorities to the Secretariat.

(11) Name of importer and ex- A CITES document is specific to the name on the face of the document and may not be trans- porter 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 (i) The operation is included in the Secretariat’s register. breeding operation for Ap- (ii) Each specimen is specifically marked, and the mark is described on the CITES document. pendix-I wildlife

(16) Registered commercial The operation is included in the Secretariat’s register. nursery for Appendix-I plants

(17) Retrospective CITES doc- A CITES document was not issued retrospectively except as provided in § 23.53. uments

(18) Shipment contents The contents of the shipment match the description of specimens provided on the CITES document, including the units and species. A shipment cannot contain more or different specimens or species than certified or validated on the CITES document at the time of export or re-export; the quantity of specimens validated or certified may be less, but not more, than the quantity stated at the time of issuance.

175

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00185 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.27 50 CFR Ch. I (10–1–20 Edition)

Key phrase Conditions for an acceptable CITES document

(19) Wild-collected specimen A wild-collected specimen (indicated on the CITES document with a source code of ‘‘W’’) is not coming from a country that is outside the range of the species, unless we have information indicating that the species has been established in the wild in that country through acci- dental introduction or other means.

(d) Verification of a CITES document. not agreed to the issuance of the docu- We may request verification of a ment. CITES document from the Secretariat (10) For a replacement CITES docu- or a foreign Management Authority be- ment, we need clarification of the rea- fore deciding whether to accept it son the document was issued. under some circumstances, including, (11) The export permit or re-export but not limited to, the following: certificate does not contain validation (1) We receive reliable information or certification by an inspecting offi- that indicates the need for CITES doc- cial at the time of export of the actual ument verification. quantity exported or re-exported. (2) We have reasonable grounds to be- [72 FR 48448, Aug. 23, 2007, as amended at 79 lieve that a CITES document is not FR 30423, May 27, 2014] valid or authentic because the species is being traded in a manner detri- § 23.27 What CITES documents do I mental to the survival of the species or present at the port? in violation of foreign wildlife or plant (a) Purpose. Article VIII of the Treaty laws, or any applicable Management or provides that Parties establish an in- Scientific Authority finding has not spection process that takes place at a been made. port of exit and entry. Inspecting offi- (3) The re-export certificate refers to cials must verify that valid CITES doc- an export permit that does not exist or uments accompany shipments and take is not valid. enforcement action when shipments do (4) The CITES document includes a not comply with the Convention. Arti- species for which the Secretariat has cle VI, paragraph 6, of the Treaty re- published an annotated quota. quires that the Management Authority (5) We have reasonable grounds to be- of the importing country cancel and re- lieve that the document is fraudulent, tain the export permit or re-export cer- contains false information, or has un- tificate and any corresponding import authorized changes. permit presented. In the United States, (6) We have reasonable grounds to be- for imports of CITES-listed plant speci- lieve that the specimen identified as mens, CITES inspecting officials cancel bred in captivity or artificially propa- and submit original CITES documents gated is a wild specimen, was produced to the U.S. Management Authority. from illegally acquired parental stock, (b) U.S. port requirements. In the or otherwise does not qualify for these United States, you must follow the exemptions. clearance requirements for wildlife in (7) We know or have reasonable part 14 of this subchapter and for grounds to believe that an Appendix-I plants in part 24 of this subchapter and specimen was not bred at a facility reg- 7 CFR parts 319, 352, and 355, and the istered with the CITES Secretariat and specific requirement in paragraphs (c) that the purpose of the import is com- and (d) of this section. mercial. (c) General validation or certification (8) The import of a specimen des- process. Officials in each exporting or ignated as bred in captivity or artifi- re-exporting country inspect the ship- cially propagated is from a non-Party. ment and validate or certify the CITES For an Appendix-I specimen, we must document. The table in this paragraph consult with the Secretariat. (c) provides information on: (9) For a retrospectively issued (1) The types of original CITES docu- CITES document, both the importing ments you must present to be validated and exporting or re-exporting coun- or certified by the inspecting official to tries’ Management Authorities have export or re-export from a country.

176

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00186 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.32

(2) When you need to surrender a (3) When you need to surrender the copy of the original CITES document original CITES document to the in- to the inspecting official at the time of specting official at the time of import export or re-export. or introduction from the sea.

Present original for ex- Surrender original upon Type of CITES document port or re-export valida- Surrender copy upon import or tion or certification export or re-export 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- Required Required Required eration, export permit

Registered Appendix-I nursery, export permit Required Required Required

Replacement document where a shipment has Not required Not required Required been made and is in a foreign country

Replacement document where a shipment has Required Required Required not left the United States

Retrospective document Not required Not required Required

Sample collection covered by an ATA carnet, Required Required Not required; submit CITES document 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- Subpart C—Application Proce- toms declaration label used to identify dures, Criteria, and Condi- specimens being moved between reg- tions istered scientific institutions (§ 23.48) must be affixed to the shipping con- § 23.32 How do I apply for a U.S. tainer. The label does not require ex- CITES document? port or re-export validation or certifi- (a) To apply for a U.S. CITES docu- cation at the port. ment, you must complete a standard [72 FR 48448, Aug. 23, 2007, as amended at 79 application form and submit it to the FR 30424, May 27, 2014] 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.

177

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00187 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.33 50 CFR Ch. I (10–1–20 Edition)

(c) If a species is also regulated under this part for factors we consider in another part of this subchapter (such making certain findings). as endangered or threatened species, (b) As needed, the U.S. Management see § 23.3), the requirements of all parts Authority, including FWS Law En- must be met. You may submit a single forcement, will forward a copy of the application that contains all the infor- application to the U.S. Scientific Au- mation needed to meet the require- thority; State, tribal, or other Federal ments of CITES and other applicable government agencies; or other applica- parts. ble experts. We may also query the (d) You must also follow the general Secretariat and foreign Management permit procedures in part 13 of this and Scientific Authorities for informa- subchapter. tion to use in making the required (e) You should review the criteria in findings. all applicable regulations in this sub- (c) You must provide sufficient infor- chapter that apply to the type of per- mation to satisfy us that all criteria mit you are seeking before completing specific to the proposed activity are the application form. met before we can issue a CITES docu- (f) We will review your application to ment. assess whether it contains the informa- (d) We will base our decision on tion needed to make the required find- whether to issue or deny the applica- ings. tion on the best available information. (1) Based on available information, § 23.34 What kinds of records may I we will decide if any of the exemptions use to show the origin of a speci- apply and what type of CITES docu- men when I apply for a U.S. CITES ment you need. document? (2) If we need additional information, (a) When you apply for a U.S. CITES we will contact you. If you do not pro- document, you will be asked to provide vide the information within 45 calendar information on the origin of the speci- days, we will abandon your application. men that will be covered by the CITES If your application is abandoned and document. you wish to apply for a permit at a (1) You need to provide sufficient in- later time, you must submit a new ap- formation for us to determine if the plication. issuance criteria in this part are met (see the sections in this subpart for § 23.33 How is the decision made to each type of CITES document). issue or deny a request for a U.S. CITES document? (2) We require less detailed information when the import, introduction (a) Upon receiving a complete appli- from the sea, export, or re-export poses cation, we will decide whether to issue a low risk to a species in the wild and a CITES document by considering: more detailed information when the (1) The general criteria in § 13.21(b) of proposed activity poses greater risk to this subchapter and, if the species is a species in the wild (see Subpart D of protected under a separate law or trea- this part for factors we consider in ty, criteria in any other applicable making certain findings). parts. (b) Information you may want to pro- (2) The CITES issuance criteria provide in a permit application includes, vided in this subpart (see subpart D of but is not limited to, the following:

178

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00188 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 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 license. (ii) Records that document the breeding or propagating of specimens at the facility: (A) Number of wildlife (by sex and age- or size-class) or plants at the facility. (B) How long the facility has been breeding or propagating the species. (C) Annual production and mortalities. (D) Number of specimens sold or transferred annually. (E) Number of specimens added from other sources annually. (F) Transaction records with the date, species, quantity of specimens, and name and address of seller. (G) Marking system, if applicable. (H) Photographs or video of facility, including for wildlife any activities during nesting and production and rearing of young, and for plants, different stages of growth.

(2) Confiscated or seized Copy of remission decision, legal settlement, or disposal action after forfeiture or abandonment, which demonstrates the applicant’s legal possession.

(3) 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 received the plant material.

(4) Imported previously (i) A copy of the cancelled CITES document that accompanied the shipment into the United States. (ii) For wildlife, copies of cleared Declarations for Importation or 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 regulations: (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 protected 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 controlled environment. (D) Marking system, if applicable. (E) Photographs or video of the facility.

179

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00189 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.35 50 CFR Ch. I (10–1–20 Edition)

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 specimen 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 protected 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- § 23.35 What are the requirements for national trade with a CITES specimen an import permit? in the future, you should keep suffi- (a) Purpose. Article III(3) of the Trea- cient records to establish your eligi- ty sets out the conditions under which bility for a CITES document for as long as you possess the specimen, and if you a Management Authority can issue an sell, donate, or transfer ownership of import permit. the specimen, you should provide such (b) U.S. application forms. Complete records on the origin of the specimen the appropriate form for the proposed to the new owner. activity and submit it to the U.S. Man- agement Authority: [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014]

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 3–200–19 Trophies Appendix-I Plants 3–200–35 Appendix-I Wildlife 3–200–37 Appendix-I Biological Samples 3–200–29

(2) Endangered Species Act and CITES: ESA Plants 3–200–36 ESA Sport-hunted Trophies 3–200–20 ESA Wildlife 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 3–200–46 Under an Approved Cooperative Breeding Program 3–200–48 Scientific Research or Zoological Breeding/Display 3–200–47

(c) Criteria. The criteria in this para- cient information for us to find that graph (c) apply to the issuance and ac- your proposed activity meets all of the ceptance of U.S. and foreign import following criteria: permits. When applying for a U.S. import permit, you must provide suffi-

180

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00190 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 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 23.23 adopted by the CoP.

(d) U.S. standard conditions. You must (3) Issue a re-export certificate for a meet all of the provisions on use after dead specimen without confirmation import in § 23.55 and the standard con- that the import permit has been issued. ditions in § 23.56. (e) Prior issuance of an import permit. § 23.36 What are the requirements for an export permit? For Appendix-I specimens, the Manage- ment Authority of the exporting coun- (a) Purposes. Articles III, IV, and V of try may: the Treaty set out the conditions under which a Management Authority may (1) Issue an export permit for live or issue an export permit for an Appendix- dead specimens or a re-export certifi- I, -II, or -III specimen. Article XIV sets cate for live specimens only after the out the conditions under which a Man- Management Authority of the import- agement Authority may issue a docu- ing country has either issued an import ment for export of certain Appendix-II permit or confirmed in writing that an marine specimens protected under a import permit will be issued. pre-existing treaty, convention, or (2) Accept oral confirmation from the international agreement. Management Authority of the import- (b) U.S. application forms. Complete ing country that an import permit will the appropriate form for the proposed be issued in an emergency situation activity and submit it to the U.S. Man- where the life or health of the speci- agement Authority. Form 3–200–26 may men is threatened and no means of also be submitted to FWS Law Enforce- written communication is possible. ment at certain ports or regional offices:

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 3–200–26 Taken under an Approved State or Tribal Program. 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

181

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00191 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.36 50 CFR Ch. I (10–1–20 Edition)

(c) Criteria. The criteria in this para- section. When applying for a U.S. per- graph (c) apply to the issuance and ac- mit or certificate, you must provide ceptance of U.S. and foreign export per- sufficient information for us to find mits except as provided for certain ma- that your proposed activity meets all rine specimens in paragraph (d) of this of the following criteria:

Appendix of the specimen Criteria for an export permit Sec- I II III tion

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

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

(3) An import permit has already been issued or the Man- Yes n/a n/a 23.35 agement Authority of the importing country has confirmed that it will be issued.

(4) The scientific name of the species is the standard no- Yes Yes Yes 23.23 menclature in the CITES Appendices or the references adopted by the CoP.

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

(6) The specimen originated in a country that listed the n/a n/a Yes 23.20 species.

(7) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the ex- Yes n/a n/a – 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 registered with the Secretariat.)

(d) Export of certain exempt marine ronment not under the jurisdiction of specimens. Article XIV(4) and (5) of the any country. Treaty provide a limited exemption for (4) The specimen was taken in ac- Appendix-II marine species that are cordance with the other international protected under another treaty, con- treaty, convention, or agreement, in- vention, or international agreement cluding any quotas. that was in force at the time CITES en- (5) The shipment is accompanied by tered into force. When all of the fol- any official document required under lowing conditions are met, export of the other international treaty, conven- exempt Appendix-II marine wildlife or plants requires only that the shipment tion, or agreement or otherwise re- is accompanied by a document issued quired by law. by the Management Authority of the (e) Export of exempt specimens from the exporting country indicating that the United States. To export a specimen ex- specimens were taken in accordance empted under paragraph (d) of this sec- with the provisions of the other inter- tion, you must obtain a CITES docu- national treaty, convention, or agreement from the U.S. Management Au- ment: thority that indicates the specimen (1) The exporting country is a CITES was taken in accordance with the pro- Party and is a party to an inter- visions of another international treaty, national treaty, convention, or agree- convention, or agreement that was in ment that affords protection to the force on July 1, 1975. species and was in force on July 1, 1975. (f) U.S. application for export of exempt (2) The ship that harvested the speci- specimens. To apply for a CITES exemp- men is registered in the exporting tion document under paragraph (e) of country. this section, complete the appropriate (3) The specimen was taken within form for your activity and submit it to waters under the jurisdiction of the ex- the U.S. Management Authority. porting country or in the marine envi-

182

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00192 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.37

(g) Criteria for certain exempt marine (4) The specimen was taken within specimens. The criteria in this para- waters under the jurisdiction of the ex- graph (g) apply to the issuance and ac- porting country or in the marine envi- ceptance of U.S. and foreign export ronment not under the jurisdiction of documents. To obtain a U.S. CITES any country. document for export of specimens exempted under paragraph (d) of this sec- [72 FR 48448, Aug. 23, 2007, as amended at 79 tion you must provide sufficient infor- FR 30424, May 27, 2014] mation for us to find that your proposed export meets all of the following § 23.37 What are the requirements for issuance criteria: a re-export certificate? (1) The specimen was taken in ac- (a) Purposes. Articles III, IV, and V of cordance with the provisions of an ap- the Treaty set out the conditions under plicable international treaty, conven- which a Management Authority may tion, or agreement that was in force on issue a re-export certificate for an Ap- July 1, 1975. pendix-I, -II, or -III specimen. (2) The scientific name of the CITES (b) U.S. application forms. Complete species is in the standard nomenclature the appropriate form for the proposed in the CITES Appendices or references activity and submit it to the U.S. Man- adopted by the CoP (see § 23.23). agement Authority. Form 3–200–73 may (3) The ship that harvested the speci- also be submitted to Law Enforcement men is registered in the exporting country. at certain ports or regional offices:

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

(1) CITES: Biological Specimens 3–200–29 Plants 3–200–32 Single-use Permits under a Master File or an Annual Program File 3–200–74 Trophies by Taxidermists 3–200–28 Wildlife 3–200–73

(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

(c) Criteria. The criteria in this para- certificate, you must provide sufficient graph (c) apply to the issuance and ac- information for us to find that your ceptance of U.S. and foreign re-export proposed activity meets all of the fol- certificates. When applying for a U.S. lowing criteria:

Appendix of the specimen Criteria for a re-export certificate Sec- I II III tion

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

(2) The scientific name of the species is the standard no- Yes Yes Yes 23.23 menclature in the CITES Appendices or the references adopted by the CoP.

(3) For a live specimen, an import permit has already Yes n/a n/a 23.35 been issued or the Management Authority of the importing country has confirmed that it will be issued. This criterion does not apply to a specimen with the source code ‘‘D.’’

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

183

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00193 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.38 50 CFR Ch. I (10–1–20 Edition)

Appendix of the specimen Criteria for a re-export certificate Sec- I II III tion

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

(6) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the re- Yes n/a n/a – export is for noncommercial purposes.

§ 23.38 What are the requirements for if the listed population does not occur a certificate of origin? in the country of export. For U.S. ap- (a) Purpose. Article V(3) of the Treaty plicants, the country of origin must be requires that a shipment of Appendix- the United States. III specimens be accompanied by a cer- (2) The scientific name of the species tificate of origin when the shipment is is the standard nomenclature in the not from a country that listed the spe- CITES Appendices or the references cies in Appendix III and is not a re-ex- adopted by the CoP (see § 23.23). port. (3) Live wildlife or plants will be pre- (b) U.S. application forms. For a cer- pared and shipped so as to minimize tificate of origin, complete one of the risk of injury, damage to health, or following forms and submit it to the cruel treatment of the specimen (see U.S. Management Authority: § 23.23). (1) Form 3–200–27 for wildlife removed from the wild. § 23.39 What are the requirements for (2) Form 3–200–24 for captive-born an introduction-from-the-sea certifi- wildlife. cate? (3) Form 3–200–32 for plants. (a) Purpose. Articles III(5), IV(6), and (c) Criteria. The criteria in this para- IV(7) of the Treaty set out the condi- graph (c) apply to the issuance and ac- tions under which a Management Au- ceptance of U.S. and foreign certifi- thority may issue an introduction- cates of origin. When applying for a U.S. certificate, you must provide suf- from-the-sea certificate. ficient information for us to find that (b) U.S. application form. Complete your proposed activity meets all of the Form 3–200–31 and submit it to the U.S. following criteria: Management Authority. (1) The specimen originated in the (c) Criteria. The criteria in this para- country of export, which is not a coun- graph (c) apply to the issuance and ac- try that listed the species in Appendix ceptance of U.S. certificates. You must III. In the case of a listing that is anno- provide sufficient information for us to tated to cover only a certain popu- find that your proposed activity meets lation, no CITES document is required all of the following criteria:

Appendix of the specimen Sec- Criteria for an introduction-from-the-sea certificate tion I II

(1) The specimen was taken in the marine environment not under the Yes Yes – jurisdiction of any country.

(2) The proposed introduction from the sea would not be detrimental Yes Yes 23.61 to the survival of the species.

(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 Yes n/a 23.65 wildlife or plants.

(5) The scientific name of the species is the standard nomenclature in Yes Yes 23.23 the CITES Appendices or the references adopted by the CoP.

184

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00194 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.40

Appendix of the specimen Sec- Criteria for an introduction-from-the-sea certificate tion I II

(6) Live wildlife or plants will be prepared and shipped so as to mini- Yes Yes 23.23 mize risk of injury, damage to health, or cruel treatment of the specimen.

(d) Exemption. As allowed under Arti- However, the subsequent international cle XIV(4) and (5) of the Treaty, you trade of an Appendix-III specimen in- may directly introduce into the United troduced from the sea would be consid- States any Appendix-II wildlife or ered an export requiring a CITES docu- plant taken in the marine environment ment (see § 23.20(f)). that is not under the jurisdiction of any country without a CITES docu- § 23.40 What are the requirements for ment when all of the following condi- a certificate for artificially propa- tions are met: gated plants? (1) The United States is a party to an (a) Purpose. Article VII(5) of the international treaty, convention, or Treaty grants an exemption to plants agreement that affords protection to that are artificially propagated when a the species and was in force on July 1, Management Authority issues a certifi- 1975. cate. (2) The ship that harvested the speci- (b) U.S. and foreign general provisions. men is registered in the United States. The following provisions apply to the (3) The specimen was taken in ac- issuance and acceptance of a certifi- cordance with the other international cate for artificially propagated Appen- treaty, convention, or agreement, in- dix-I, -II, or -III plants: cluding any quotas. (1) The certificate for artificially (4) The shipment is accompanied by propagated plants and any subsequent any official document required under re-export certificate must show the the other international treaty, conven- source code as ‘‘A’’ for artificially tion, or agreement or otherwise re- propagated. quired by U.S. law. (2) For an Appendix-I specimen that (e) Export of exempt specimens. To ex- satisfies the requirements of this sec- port a specimen exempted under para- tion, no CITES import permit is re- graph (d) of this section, you must ob- quired. tain a CITES document from the U.S. (c) U.S. application form. Complete Management Authority that indicates Form 3–200–33 and submit it to the U.S. the specimen was taken in accordance Management Authority. with the provisions of the other inter- (d) Criteria. The criteria in this para- national treaty, convention, or agree- graph (d) apply to the issuance and ac- ment that was in force on July 1, 1975. ceptance of U.S. and foreign certifi- See requirements in § 23.36 (e) through cates. When applying for a U.S. certifi- (g). cate, you must provide sufficient infor- (f) Appendix III. Appendix-III species mation for us to find that your pro- introduced from the sea do not require posed activity meets all of the fol- introduction-from-the-sea certificates. lowing criteria:

Appendix of the Criteria for a certificate for artificially propagated specimen Sec- plants tion I II III

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

185

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00195 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.41 50 CFR Ch. I (10–1–20 Edition)

Appendix of the Criteria for a certificate for artificially propagated specimen Sec- plants tion I II III

(2) The plant specimen is one of the following: Yes n/a n/a (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.

(3) The scientific name of the species is the stand- Yes Yes Yes 23.23 ard nomenclature in the CITES Appendices or the references adopted by the CoP.

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

(e) U.S. standard conditions. In addi- § 23.41 What are the requirements for tion to the conditions in § 23.56, you a bred-in-captivity certificate? must meet all of the following condi- (a) Purpose. Article VII(5) of the tions: Treaty grants an exemption to wildlife (1) You may not export or re-export a that is bred in captivity when a Man- plant (including its parts, products, or agement Authority issues a certificate. derivatives) under this certificate if (b) U.S. and foreign general provisions. the plant was removed from the wild or The following provisions apply to the grown directly from a wild seed or issuance and acceptance of a certifi- spore, except for plants grown from ex- cate for Appendix-I, -II, or -III wildlife empt plant materials that qualify as that was bred in captivity: artificially propagated. (1) The certificate and any subse- (2) You may not export an Appendix- quent re-export certificate must show I species that was propagated for com- the source code as ‘‘C’’ for bred in cap- mercial purposes under this certificate, tivity. except for hybrids of one or more Ap- (2) For an Appendix-I specimen that pendix-I species or taxa that are not satisfies the requirements of this sec- annotated to treat hybrids as Appen- tion, no CITES import permit is re- dix-I specimens. (See § 23.47.) quired. (3) You may export a native plant (c) U.S. application form. Complete under this certificate only when spe- Form 3–200–24, 3–200–80, or 3–200–85 and cifically approved for export and listed submit it to the U.S. Management Au- on the certificate, inventory sheet, or thority. an approved species list. (d) Criteria. The criteria in this paragraph (d) apply to the issuance and ac- (4) You may export a specimen under ceptance of U.S. and foreign certifi- a higher-taxon name only if you identi- cates. When applying for a U.S. certifi- fied the taxon in your application and cate, you must provide sufficient infor- we approved it on this certificate. mation for us to find that your pro- [72 FR 48448, Aug. 23, 2007, as amended at 79 posed activity meets all of the fol- FR 30425, May 27, 2014] lowing criteria:

Appendix of the specimen Sec- Criteria for a bred-in-captivity certificate 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 Yes n/a n/a 23.5 is part of a traveling exhibition.

186

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00196 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.43

Appendix of the specimen Sec- Criteria for a bred-in-captivity certificate tion I II III

(3) The scientific name of the species is the standard nomenclature Yes Yes Yes 23.23 in the CITES Appendices or the references adopted by the CoP.

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

[72 FR 48448, Aug. 23, 2007, as amended at 79 port of a plant hybrid of a CITES spe- FR 30425, May 27, 2014] cies must be accompanied by a valid CITES document that shows the Ap- § 23.42 What are the requirements for a plant hybrid? pendix of the specimen as follows: General provisions. Except as provided in § 23.92, the export, re-export, or im-

Question on a plant hybrid Answer and status of specimen

(a) Is the specimen an artificially propagated hybrid of one or (1) YES. Continue to paragraph (b) of this section. more Appendix-I species or taxa? (2) NO. Continue to paragraph (c) of this section.

(b) Is one or more of the Appendix-I species or taxa in para- (1) YES. The hybrid is listed in Appendix I. graph (a) of this section annotated to treat hybrids as Appen- (2) NO. The hybrid is listed in Appendix I, but may be granted dix-I specimens? a certificate for artificially propagated plants even if propagated for commercial purposes.

(c) Is the specimen a hybrid that includes two or more CITES (1) YES. Consider the specimen to be listed in the more re- species or taxa in its lineage? 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 (1) YES. Consider the specimen to be listed in the Appendix in or taxon in its lineage? 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 (b) U.S. and foreign general provisions. FR 30425, May 27, 2014] Except as provided in paragraph (f) of this section, the import, export, or re- § 23.43 What are the requirements for export of a hybrid CITES wildlife speci- a wildlife hybrid? men must be accompanied by a valid (a) Definition. For the purposes of CITES document. this section, recent lineage means the (c) CITES documents. All CITES docu- last four generations of a specimen’s ments must show the wildlife hybrid ancestry (direct line of descent). listed in the following Appendix:

Then the specimen is If at least one specimen in the recent lineage is listed in: 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. (e) Criteria. For export of a hybrid To apply for a CITES document, com- that contains a CITES species in its re- plete the appropriate form for the pro- cent lineage, you must meet the re- posed activity (see §§ 23.18 through quirements of § 23.36. 23.20) and submit it to the U.S. Man- agement Authority.

187

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00197 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.44 50 CFR Ch. I (10–1–20 Edition)

(f) Exempt wildlife hybrids. The fol- sonally owned live wildlife for personal lowing provisions apply to import, ex- use. port, or re-export of exempt wildlife (b) U.S. and foreign general provisions. hybrids: The following provisions apply to the (1) A hybrid between a CITES species issuance and acceptance of a certifi- and a non-CITES species may be ex- cate of ownership for frequent inter- empt from CITES document require- national travel with live wildlife for ments if there are no purebred CITES personal use: species in the previous four generations (1) The certificate must be obtained of the specimen’s ancestry (direct line from the Management Authority in the of descent). Under this section, a hy- country of the owner’s primary resi- brid between two CITES species is not dence. exempt. (2) Parties should treat the certifi- (2) For import, export, or re-export of cate like a passport for import to and an exempt wildlife hybrid without export or re-export from each country CITES documents, you must provide and should not collect the original cer- information at the time of import or tificate at the border. export to clearly demonstrate that (3) If offspring are born or an addi- your specimen has no purebred CITES tional specimen is acquired while the specimens in the previous four genera- owner is outside his or her country of tions of its ancestry. If you are unable primary residence, the owner must ob- to clearly demonstrate this, you must tain the appropriate CITES document obtain CITES documents. The informa- for the export or re-export of the wild- tion you provide must clearly identify life, not a certificate of ownership, the specimen and demonstrate its re- from the Management Authority of cent lineage. Such information may in- that country. clude, but is not limited to, the fol- (4) Upon returning home, the owner lowing: may apply for a certificate of owner- (i) Records that identify the name ship for wildlife born or acquired over- and address of the breeder and identify seas. the specimen by birth or hatch date (c) U.S. application form. Complete and by sex, band number, microchip Form 3–200–64 and submit it to the U.S. number, or other mark. Management Authority. (ii) A certified pedigree issued by an (d) Criteria. The criteria in this para- internationally recognized association graph (d) apply to the issuance and ac- that contains scientific names of the ceptance of U.S. and foreign certifi- animals in the specimen’s recent lin- cates. When applying for a U.S. certifi- eage and clearly illustrates its genetic cate, you must provide sufficient infor- history. If the pedigree contains codes, mation for us to find that your pro- you must provide a key or guide that posed activity meets all of the fol- explains the meaning of the codes. lowing criteria: (3) Although a CITES document is (1) The traveler owns the live wildlife not required for an exempt wildlife hy- and it will accompany the owner. brid, you must follow the clearance re- (2) The cross-border movement will quirements for wildlife in part 14 of be frequent and for personal use, in- this subchapter, including the prior no- cluding, but not limited to, companion- tification requirements for live wild- ship or use in a noncommercial com- life. petition such as falconry. [72 FR 48448, Aug. 23, 2007, as amended at 79 (3) To apply for a U.S. certificate, the FR 30425, May 27, 2014] owner resides in the United States. (4) The wildlife was legally acquired § 23.44 What are the requirements for (see § 23.60). traveling internationally with my (5) The owner does not intend to sell, personally owned live wildlife? donate, or transfer the wildlife while (a) Purpose. A Management Author- traveling internationally. ity may use the exemption in Article (6) The scientific name of the species VII(3) of the Treaty to issue a certifi- is the standard nomenclature in the cate of ownership that authorizes fre- CITES Appendices or the references quent cross-border movements of per- adopted by the CoP (see § 23.23).

188

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00198 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.46

(7) The Management Authority of the only if the importing country will ac- country of import has agreed to the cept a pre-Convention certificate. cross-border movement. (2) The pre-Convention date is the (8) The wildlife is securely marked or date the species was first listed under uniquely identified in such a manner CITES regardless of whether the spe- that the border official can verify that cies has subsequently been transferred the specimen and CITES document cor- from one Appendix to another. respond. (3) For a pre-Convention Appendix-I (9) The wildlife is transported and specimen, no CITES import permit is cared for in a way that minimizes risk required. of injury, damage to health, or cruel (4) The pre-Convention exemption treatment of the specimen (see § 23.23). does not apply to offspring or cell lines (e) U.S. standard conditions. In addi- of any wildlife or plant born or propa- tion to the conditions in § 23.56, all of gated after the date the species was the following conditions must be met: first listed under CITES. (1) You must accompany the wildlife (c) U.S. application form. Complete during any cross-border movement. Form 3–200–23 (wildlife) or Form 3–200– (2) You must transport the wildlife 32 (plants) and submit it to the U.S. for personal use only. Management Authority. (3) You must not sell, donate, or (d) Criteria. The criteria in this para- transfer the specimen while traveling graph (d) apply to the issuance and ac- internationally. ceptance of U.S. and foreign certifi- (4) You must present the certificate cates. When applying for a U.S. certifi- to the official for validation at each cate, you must provide sufficient infor- border crossing. mation for us to find that the specimen (5) If the certificate is lost, stolen, or meets all of the following criteria: accidentally destroyed, you must ob- (1) The specimen was removed from tain a replacement certificate from the the wild or born or propagated in a issuing Management Authority. controlled environment before the date (6) If you no longer own the live wild- CITES first applied to it, or is a prod- life, you must immediately return the uct (including a manufactured item) or original document to the issuing Man- derivative made from such specimen. agement Authority and report on the (2) The scientific name of the species disposition of the wildlife, such as is the standard nomenclature in the death, sale, or transfer. CITES Appendices or the references (7) You must return the wildlife to adopted by the CoP (see § 23.23). the United States before the certificate (3) Live wildlife or plants will be pre- expires. pared and shipped so as to minimize risk of injury, damage to health, or [72 FR 48448, Aug. 23, 2007, as amended at 79 cruel treatment of the specimen. FR 30425, May 27, 2014] (4) For the re-export of a pre-Conven- tion specimen previously imported § 23.45 What are the requirements for a pre-Convention specimen? under a CITES document, the wildlife or plant was legally imported. (a) Purpose. Article VII(2) of the Treaty exempts a pre-Convention spec- § 23.46 What are the requirements for imen from standard permitting re- registering a commercial breeding quirements in Articles III, IV, and V of operation for Appendix-I wildlife the Treaty when the exporting or re- and commercially exporting speci- exporting country is satisfied that the mens? specimen was acquired before the pro- (a) Purpose. Article VII(4) of the visions of CITES applied to it and Treaty provides that Appendix-I speci- issues a CITES document to that ef- mens that are bred in captivity for fect. commercial purposes shall be deemed (b) U.S. and foreign general provisions. to be listed in Appendix II. This means The following general provisions apply that an Appendix-I specimen origi- to the issuance and acceptance of pre- nating from a commercial breeding op- Convention documents: eration that is registered with the (1) Trade in a specimen under the CITES Secretariat may be traded pre-Convention exemption is allowed under an export permit or re-export

189

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00199 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.46 50 CFR Ch. I (10–1–20 Edition)

certificate based on Appendix-II cri- bred-in-captivity requirements, it may, teria. The specimen is still listed in after consultation with the Secretariat Appendix I and is not eligible for any and the Party concerned, propose to exemption granted to an Appendix-II the Standing Committee that the oper- species or taxon, including any exemp- ation be deleted from the register. At tion granted by an annotation (see its following meeting, the Standing § 23.92). Committee will consider the concerns (b) U.S. and foreign general provisions. raised by the objecting Party, and any The following provisions apply to the comments from the registering Party registration of U.S. and foreign com- and the Secretariat, and determine mercial breeding operations for Appen- whether the operation should be de- dix-I wildlife: leted from the register. Once an oper- (1) If the Management Authority is ation has been deleted, it must re- satisfied that the operation in its coun- apply and meet the registration re- try meets the conditions for registra- quirements to be reinstated. tion in paragraph (d) of this section, it (8) The Management Authority, in will send the request to register a collaboration with the Scientific Au- breeding operation to the Secretariat. thority, of a country where any reg- (2) The Secretariat will verify that istered operation is located must mon- the application is complete and notify itor the operation to ensure that it the Parties of the request. continues to meet the registration re- (3) If any Party objects to or ex- quirements. In the United States, we presses concern about the registration will monitor registered operations, in within 90 days from the date of the part, by requiring each operation to Secretariat’s notification, the Secre- apply for renewal and demonstrate tariat will refer the application to the that it continues to qualify for reg- Animals Committee. The Committee istration at least once every 5 years. has 60 days to respond to objections. (See paragraphs (e)(4) and (f) of this The Secretariat will provide the rec- section.) The Management Authority ommendations of the Committee to the will advise the Secretariat of any Management Authority of the Party major change in the nature of the oper- that submitted the application and the ation or in the types of products being Party that objected to the registration, produced for export. and will allow a further 30 days for res- (9) A Party may unilaterally request olution of the identified problems. the removal of a registered operation (4) If the objection is not withdrawn within its jurisdiction by notifying the or the identified problems are not re- Secretariat. solved within the 30-day period, the (10) An Appendix-I specimen may not Secretariat will submit the application be imported for purposes of estab- to the Standing Committee at its next lishing or augmenting a commercial regular meeting. The Standing Com- breeding operation, unless the speci- mittee will determine whether the ob- men is pre-Convention (see § 23.45) or jection is justified and decide whether was bred in captivity (see § 23.63). to accept the application. (c) U.S. application to register. Com- (5) When the Secretariat is satisfied plete Form 3–200–65 and submit it to that the operation meets the registra- the U.S. Management Authority. tion requirements, it will include the (d) Criteria. The criteria in this para- operation in its register. graph (d) apply to the registration of (6) Operations are assigned an identi- U.S. and foreign commercial breeding fication number and listed in the offi- operations for Appendix-I wildlife. For cial register. Registration is not final your breeding operation to be reg- until the Secretariat notifies all Par- istered in the United States, you must ties. provide sufficient information for us to (7) If a Party believes that a reg- find that your proposed activity meets istered operation does not meet the 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

190

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00200 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 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 23.23 adopted by the CoP.

(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- a registered breeding operation. The fol- tion. In addition to the conditions in lowing provisions apply to the issuance § 23.56, you must meet all of the fol- and acceptance of export permits for lowing conditions: Appendix-I specimens bred at an oper- (1) You must uniquely mark all speci- ation registered with the CITES Secre- mens from the breeding operation in tariat: the manner proposed at the time of (1) An export permit may be issued to registration. Birds may be marked the registered operation or to persons with closed bands, although other who have purchased a specimen that methods may be used. originated at the registered operation (2) You may not import Appendix-I if the specimen has the unique mark specimens for primarily commercial applied by the operation. If a purposes (such as to establish a com- microchip is used, we may, if nec- mercial captive-breeding operation) ex- essary, ask the importer, exporter, or cept from breeding operations registered for that species. re-exporter to have equipment on hand to read the microchip at the time of (3) You must allow our agents to enter the premises at any reasonable import, export, or re-export. hour to inspect wildlife held or to in- (2) The export permit, and any subse- spect, audit, or copy applicable records. quent re-export certificate, must show (4) Registrations will be valid for a the specimen as listed in Appendix I period not to exceed 5 years. Reg- and the source code as ‘‘D,’’ and give istrants who wish to remain registered the identification number of the reg- must request renewal before the end of istered breeding operation where the the period of validity of the registra- specimen originated. tion. (3) No CITES import permit is re- (f) U.S. application to renew a registra- quired for a qualifying specimen. tion. Requests for renewal of a registra- (i) U.S. application form. Complete the tion should be submitted at least 3 appropriate form (see § 23.36) and sub- months before the registration expires. mit it to the U.S. Management Author- Complete Form 3–200–65 and submit it ity. to the U.S. Management Authority. (j) Criteria. The criteria in this para- (g) Criteria for renewal of U.S. registra- graph (h) apply to the issuance and ac- tions. To renew your registration, you ceptance of U.S. and foreign export per- must provide sufficient information for mits. When applying for a U.S. permit, us to find that your proposed activity you must provide sufficient informa- continues to meet all of the criteria in tion for us to find that your proposed paragraph (d) of this section. activity meets all of the following cri- (h) U.S. and foreign general provisions teria: for export of specimens that originated in

191

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00201 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.47 50 CFR Ch. I (10–1–20 Edition)

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- 23.46 tariat.

(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 23.23 the specimen.

[72 FR 48448, Aug. 23, 2007, as amended at 79 nursery that is registered with the FR 30426, May 27, 2014] CITES Secretariat or a commercial propagating operation that qualifies § 23.47 What are the requirements for under paragraph (d) of this section, and export of an Appendix-I plant artificially propagated for commercial the CITES document indicates the purposes? source code as ‘‘D.’’ (a) Purpose. Article VII(4) of the (2) An export permit may be issued to Treaty provides that Appendix-I plants a CITES-registered nursery, to a com- artificially propagated for commercial mercial propagating operation that purposes shall be deemed to be listed in qualifies under paragraph (d) of this Appendix II. This means that an Ap- section, or to persons who have ac- pendix-I specimen originating from a quired a specimen that originated at commercial nursery that is registered such a nursery or operation. No CITES with the CITES Secretariat or that import permit is required for a quali- meets the requirements of this section fying specimen. may be traded under an export permit (3) The export permit, and any subse- or re-export certificate based on Ap- quent re-export certificate, must show pendix-II criteria. The specimen is still the specimen as listed in Appendix I listed in Appendix I and is not eligible and the source code as ‘‘D,’’ and if from for any exemption granted to an Ap- a nursery registered with the Secre- pendix-II species or taxon, including tariat, give the identification number any exemption granted by an annota- of the registered nursery where the tion. This section does not apply to hy- specimen originated. brids of one or more Appendix-I species (c) U.S. application form. Complete or taxa that are not annotated to treat Form 3–200–33 or Form 3–200–74 (for ad- hybrids as Appendix-I specimens (see ditional single-use permits under a § 23.40). master file or an annual export pro- (b) U.S. and foreign general provisions. gram file). Complete Form 3–200–32 for The following provisions apply to the one-time export. Submit the completed issuance and acceptance of export perform to the U.S. Management Author- mits for Appendix-I specimens artifi- ity. cially propagated for commercial pur- (d) Criteria. The criteria in this para- poses: graph (d) apply to the issuance and ac- (1) An Appendix-I specimen may not ceptance of U.S. and foreign export per- be imported for purposes of estab- mits. When applying for a U.S. permit, lishing or augmenting a nursery or you must provide sufficient informa- commercial propagating operation, un- tion for us to find that your proposed less the specimen is pre-Convention activity meets all of the following cri- (see § 23.45) or was propagated at a 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

192

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00202 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 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 23.23 adopted by the CoP.

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

(e) Nursery registration. [Reserved] (c) U.S. application to register as a scientific institution. To register, complete [72 FR 48448, Aug. 23, 2007, as amended at 79 Form 3–200–39 and submit it to the U.S. FR 30426, May 27, 2014] Management Authority. § 23.48 What are the requirements for (d) Criteria. The criteria in this para- a registered scientific institution? graph (d) apply to the registration of U.S. and foreign institutions for sci- (a) Purpose. Article VII(6) of the entific exchange. To be issued a certifi- Treaty grants an exemption that al- cate of scientific exchange as a reg- lows international trade in certain istered U.S. scientific institution, you specimens for noncommercial loan, do- must provide sufficient information for nation, or exchange between registered us to find that your institution meets scientific institutions. all of the following criteria: (b) U.S. and foreign general provisions. (1) Collections of wildlife or plant The following provisions apply to the specimens are permanently housed and registration of scientific institutions professionally curated, and cor- and acceptance of shipments from reg- responding records are kept. istered scientific institutions: (2) Specimens are accessible to all (1) The receiving and sending sci- qualified users, including those from entific institutions must be registered other institutions. with the Management Authority in (3) Specimens are properly their country. Scientists who wish to accessioned in a permanent catalog. use this exemption must be affiliated (4) Records are permanently main- with a registered scientific institution. tained for loans and transfers to and (i) When a Management Authority is from other institutions. satisfied that a scientific institution (5) Specimens are acquired primarily has met the criteria for registration, it for research that is to be reported in will assign the institution a five-char- scientific publications, and CITES acter code consisting of the ISO coun- specimens are not used for commercial try code and a unique three-digit num- purposes or as decorations. ber. In the case of a non-Party, the (6) Collections are prepared and ar- Secretariat will ensure that the insti- ranged in a way that ensures their ac- tution meets the standards and assign cessibility to researchers. it a unique code. (7) Specimen labels, permanent cata- (ii) The Management Authority must logs, and other records are accurate. communicate the name, address, and (8) Specimens are legally acquired assigned code to the Secretariat, which and lawfully possessed under a coun- maintains a register of scientific insti- try’s wildlife and plant laws. tutions and provides that information (9) Appendix-I specimens are perma- to all Parties. nently and centrally housed under the (2) A registered scientific institution direct control of the institution. does not need separate CITES docu- (e) U.S. standard conditions. In addi- ments for the noncommercial loan, do- tion to the conditions in § 23.56, any ac- nation, or exchange of preserved, fro- tivity conducted under a certificate of zen, dried, or embedded museum speci- scientific exchange must meet all of mens, herbarium specimens, or live the following conditions: plant material with another registered (1) Both scientific institutions in- institution. The shipment must have volved in the exchange must be reg- an external label that contains infor- istered by the applicable Management mation specified in paragraph (e)(5) of Authorities (or the Secretariat in the this section. case of a non-Party), and be included in

193

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00203 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.49 50 CFR Ch. I (10–1–20 Edition)

the Secretariat’s register of scientific an exhibition that travels internation- institutions. ally: (2) An institution may send and re- (1) The Management Authority in the ceive only preserved, frozen, dried, or country of the exhibitor’s primary embedded museum specimens, her- place of business must have determined barium specimens, or live plant mate- that the specimens are bred in cap- rials that have been permanently and tivity, artificially propagated, or pre- accurately recorded by one of the insti- Convention and issued a traveling-ex- tutions involved in the exchange and hibition certificate. that are traded as a noncommercial (2) The certificate must indicate that loan, donation, or exchange. the wildlife or plant is part of a trav- (3) An institution may use specimens eling exhibition. acquired under a certificate of sci- (3) A separate certificate must be entific exchange and their offspring issued for each live wildlife specimen; a only for scientific research or edu- CITES document may be issued for cational display at a scientific institu- more than one specimen for a traveling tion and may not use specimens for exhibition of live plants and dead commercial purposes. parts, products, or derivatives of wild- (4) The institution must keep records life and plants. to show that the specimens were le- (4) The certificate is not transferable. gally acquired. (5) Parties should treat the certifi- (5) A customs declaration label must cate like a passport for import and ex- be affixed to the outside of each ship- port or re-export from each country, ping container or package that con- and should not collect the original cer- tains all of the following: tificate at the border. (i) The acronym ‘‘CITES.’’ (6) Parties should check specimens (ii) A description of the contents closely to determine that each speci- (such as ‘‘herbarium specimens’’). men matches the certificate and ensure (iii) The names and addresses of the that each live specimen is being trans- sending and receiving registered insti- ported and cared for in a manner that tutions. minimizes the risk of injury, damage (iv) The signature of a responsible of- to health, or cruel treatment of the ficer of the sending registered sci- specimen. entific institution. (7) If offspring are born or a new spec- (v) The scientific institution codes of imen is acquired while the traveling both registered scientific institutions exhibition is in another country, the involved in the loan, donation, or ex- exhibitor must obtain the appropriate change. CITES document for the export or re- (6) A registered institution may de- export of the specimen from the Man- stroy samples during analysis, provided agement Authority of that country. that a portion of the sample is main- (8) Upon returning home, the exhibi- tained and permanently recorded at a tor may apply for a traveling-exhi- registered scientific institution for fu- bition certificate for wildlife born over- ture scientific reference. seas or for wildlife or plants acquired overseas. § 23.49 What are the requirements for (c) U.S. application form. Complete an exhibition traveling internation- Form 3–200–30 for wildlife and Form 3– ally? 200–32 for plants, and submit it to the (a) Purpose. Article VII(7) of the U.S. Management Authority. Treaty grants an exemption for speci- (d) Criteria. The criteria in this para- mens that qualify as bred in captivity, graph (d) apply to the issuance and ac- artificially propagated, or pre-Conven- ceptance of U.S. and foreign certifi- tion and are part of a traveling exhi- cates. When applying for a U.S. certifi- bition. cate, you must provide sufficient infor- (b) U.S. and foreign general provisions. mation for us to find that your pro- The following general provisions apply posed activity meets all of the fol- to the issuance and acceptance of a cer- lowing criteria: tificate for live wildlife and plants, or (1) The traveling exhibition makes their parts, products, or derivatives in multiple cross-border movements, and

194

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00204 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.50

will return to the country in which the (8) You must return the traveling ex- exhibition is based before the certifi- hibition to the United States before cate expires. the certificate expires. (2) The cross-border movement must be for exhibition, and not for breeding, § 23.50 What are the requirements for propagating, or activities other than a sample collection covered by an exhibition. ATA carnet? (3) The traveling exhibition is based (a) Purpose. Article VII(1) of the in the country that issued the certifi- Treaty allows for the transit of speci- cate. mens through or within a Party coun- (4) The specimen meets the criteria try while the specimens remain under for a bred-in-captivity certificate, cer- customs control. tificate for artificially propagated (b) Definition. For purposes of this plants, or pre-Convention certificate. section, sample collection means a set of (5) The exhibitor does not intend to legally acquired parts, products, or de- sell or otherwise transfer the wildlife rivatives of Appendix-II or -III species, or plant while traveling internation- or Appendix-I species bred in captivity ally. or artificially propagated for commer- (6) The wildlife or plant is securely cial purposes, that will: marked or identified in such a way (1) Cross international borders only that border officials can verify that the for temporary exhibition or display certificate and specimen correspond. If purposes and return to the originating a microchip is used, we may, if nec- country. essary, ask the importer, exporter, or (2) Be accompanied by a valid ATA re-exporter to have equipment on hand carnet and remain under customs con- to read the microchip at the time of trol. import, export, or re-export. (3) Not be sold or otherwise trans- (e) U.S. standard conditions. In addi- ferred while traveling internationally. tion to the conditions in § 23.56, you (c) U.S. and foreign general provisions. must meet all of the following condi- The following general provisions apply tions: to the issuance and acceptance of a (1) The certificate may be used by CITES document for the movement of you, and you must not transfer or as- sample collections: sign it to another person or traveling (1) The Management Authority in the exhibition. country where the sample collection (2) You must transport the specimen originated must issue a CITES docu- internationally only for exhibition, not ment that: for breeding, propagating, or activities (i) Clearly specifies that the docu- other than exhibition. ment was issued for a ‘‘sample collec- (3) You must present the certificate tion.’’ to the official for validation at each (ii) Includes the condition in block 5, border crossing. or an equivalent place, of the document (4)For live plants, the quantity of that it is valid only if the shipment is plants must be reasonable for the pur- accompanied by a valid ATA carnet pose of the traveling exhibition. and that the specimens must not be (5) You must not sell or otherwise sold, donated, or otherwise transferred transfer the specimen, or any offspring while outside the originating country. born to such specimen, while traveling (2) The number of the accompanying internationally. ATA carnet must be recorded on the (6) If the certificate is lost, stolen, or CITES document, and if this number is accidentally destroyed, you may obtain not recorded by the Management Au- a replacement certificate only from the thority, it must be entered by a cus- U.S. Management Authority. toms or other CITES enforcement offi- (7) If you no longer own the wildlife cial responsible for the original en- or plants, or no longer plan to travel as dorsement of the CITES document. a traveling exhibition, the original cer- (3) The name and address of the ex- tificate must be immediately returned porter or re-exporter and importer to the U.S. Management Authority. must be identical, and the names of the

195

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00205 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.51 50 CFR Ch. I (10–1–20 Edition)

countries to be visited must be indi- (2) You must not transfer or assign cated in block 5 or an equivalent place. the CITES document to another per- (4) The date of validity must not be son. later than that of the ATA carnet and (3) You must not sell, donate, or the period of validity must not exceed transfer specimens while traveling 6 months from the date of issuance. internationally. (5) At each border crossing, Parties (4) You must present the CITES doc- must verify the presence of the CITES ument and the ATA carnet to the offi- document, but allow it to remain with cial for validation at each border cross- the shipment, and ensure that the ATA ing. carnet is properly endorsed with an au- (5) You must return the sample col- thorized stamp and signature by a cus- lection to the United States prior to toms official. the expiration of the CITES document. (6) The exporter or re-exporter must (6) If the CITES document is lost, return the sample collection to the stolen, or accidentally destroyed, you originating country prior to the expira- may obtain a replacement certificate tion of the CITES document. only from the U.S. Management Au- (7) Parties should check the CITES thority. document and sample collection close- (7) If you no longer own the sample ly at the time of first export or re-ex- collection, or no longer plan to travel port and upon its return to ensure that with the sample collection, you must the contents of the sample collection immediately return the original document to the U.S. Management Author- have not been changed. ity. (8) For import into and export or re- export from the United States, the § 23.51 What are the requirements for shipment must comply with the re- issuing a partially completed CITES quirements for wildlife in part 14 of document? this subchapter and for plants in part (a) Purpose. Under Article VIII(3), 24 of this subchapter and 7 CFR parts Parties are to ensure that CITES speci- 319, 352, and 355. mens are traded with a minimum of (d) U.S. application form. Complete delay. Form 3–200–29 for wildlife and Form 3– (b) U.S. and foreign general provisions. 200–32 for plants, and submit it to the The following provisions apply to the U.S. Management Authority. issuance and acceptance of partially (e) Criteria. The criteria in this para- completed CITES documents. graph (e) apply to the issuance and ac- (1) A Management Authority may ceptance of U.S. and foreign docu- issue partially completed CITES documents. When applying for a U.S. documents only when: ment, you must provide sufficient in- (i) The permitted trade will have a formation for us to find that your pro- negligible impact or no impact on the posed activity meets all of the fol- conservation of the species. lowing criteria: (ii) All provisions of CITES have been (1) The specimens meet the definition met. of a sample collection as provided in (iii) The specimens are one of the fol- paragraph (b) of this section. lowing: (2) The wildlife or plant specimens (A) Biological samples. must be securely marked or identified (B) Pre-Convention specimens. in such a way that border officials can (C) Specimens that qualify as bred in verify that the CITES document, ATA captivity or artificially propagated. carnet, and specimens correspond. (D) Appendix-I specimens from reg- (f) U.S. standard conditions. In addi- istered commercial breeding oper- tion to the conditions in § 23.56, you ations. must meet all of the following condi- (E) Appendix-I plants artificially tions: propagated for commercial purposes. (1) You must transport the sample (F) Other specimens that the Man- collection only for temporary exhi- agement Authority determines qualify bition or display purposes. for partially completed documents.

196

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00206 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.52

(2) A Management Authority may ment that is not authorized in block 5 register applicants for species that or an equivalent place. may be traded under partially com- (3) If you are authorized to enter a pleted documents. scientific name, it must be for a spe- (3) Partially completed CITES docu- cies authorized in block 5 or an equiva- ments require the permit holder to: lent place, or in an attached annex of (i) Enter specific information on the the CITES document. CITES document or its annex as condi- (4) You must sign the CITES docu- tioned on the face of the CITES document to certify that all information ment. entered by you is true and correct. (ii) Enter scientific names on the CITES document only if the Manage- § 23.52 What are the requirements for ment Authority included an inventory replacing a lost, damaged, stolen, or of approved species on the face of the accidentally destroyed CITES docu- CITES document or an attached annex. ment? (iii) Sign the CITES document, which (a) Purpose. A Management Author- acts as a certification that the infor- ity may issue a duplicate document, ei- mation entered is true and accurate. ther a copy of the original or a re- (4) CITES documents issued for bio- issued original, when a CITES docu- logical samples may be validated at ment has been lost, damaged, stolen, or the time of issuance provided that accidentally destroyed. These provi- upon export the container is labeled sions do not apply to a document that with the CITES document number and has expired or that requires amend- indicates it contains CITES biological ment. To renew a U.S. CITES docu- samples. ment, see part 13 of this subchapter. To (c) U.S. application form. Complete the amend a U.S. CITES document, see appropriate form for the proposed ac- part 13 of this subchapter if the activ- tivity (see §§ 23.18 through 23.20) and ity has not yet occurred or, if the ac- submit it to the U.S. Management Au- tivity has already occurred, see § 23.53 thority. of this part. (d) Criteria. The criteria in this para- (b) U.S. and foreign general provisions. graph (d) apply to the issuance and ac- The following provisions apply to the ceptance of U.S. and foreign CITES issuance and acceptance of a replace- documents. When applying for a U.S. ment CITES document: CITES document, you must provide (1) The permittee must notify the sufficient information for us to find issuing Management Authority that that your proposed activity meets the the document was lost, damaged, sto- criteria in subpart C for the appro- len, or accidentally destroyed. priate CITES document and the fol- (2) The issuing Management Author- lowing criteria: ity must be satisfied that the CITES (1) The use of partially completed document was lost, damaged, stolen, or documents benefits both the permit accidentally destroyed. holder and the issuing Management (3) The issuing Management Author- Authority. ity should immediately inform the (2) The proposed activity will have a Management Authority in the country negligible impact or no impact upon of destination and, for commercial the conservation of the species. shipments, the Secretariat. (e) U.S. standard conditions. In addi- (4) If the replacement CITES docu- tion to the conditions in § 23.56 and any ment is a copy, it must indicate that it standard conditions in this part that is a ‘‘replacement’’ and a ‘‘true copy of apply to the specific CITES document, the original,’’ contain a new dated the following conditions must be met: original signature of a person author- (1) You must enter the information ized to sign CITES documents for the specified in block 5, either on the face issuing Management Authority, and of the CITES document or in an annex give the reason for replacement. to the document. (5) If the replacement CITES docu- (2) You may not alter or enter any in- ment is a newly issued original docu- formation on the face of the CITES ment, it must indicate that it is a ‘‘re- document or in an annex to the docu- placement,’’ include the number and

197

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00207 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.52 50 CFR Ch. I (10–1–20 Edition)

date of issuance of the document being (c) U.S. application procedures. To replaced, and give the reason for re- apply for a replacement CITES docu- placement. ment, you must do all of the following: (6) In the United States, you may not (1) Complete application Form 3–200– use an original single-use CITES docu- 66 and submit it to the U.S. Manage- ment issued under a CITES master file ment Authority. or CITES annual program as a replace- (2) Consult the list to find the types ment document for a shipment that of information you need to provide has already left the country. (more than one circumstance may apply to you):

If Then

(i) The shipment has already Provide copies of: occurred (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- Submit a signed, dated, and notarized statement that: ment no longer exists (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- Submit the original damaged CITES document and a signed, dated, and notarized statement ment exists but has been that: damaged (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- (i) The specimens were presented to graph (d) apply to the issuance and ac- the appropriate official for inspection ceptance of U.S. and foreign docu- at the time of import and a request for ments. a replacement CITES document was (1) When applying for a U.S. replace- made at that time. ment document, you must provide suf- (ii) The importer or the importer’s ficient information for us to find that agent submitted a signed, dated, and your proposed activity meets all of the notarized statement at the time of im- following criteria: port that describes the circumstances (i) The circumstances for the lost, that resulted in the CITES document damaged, stolen, or accidentally de- being lost, damaged, stolen, or acciden- stroyed CITES document are reason- tally destroyed. able. (iii) The importer or the importer’s (ii) If the shipment has already been agent provided a copy of the original made, the wildlife or plant was legally lost, stolen, or accidentally destroyed exported or re-exported, and the Man- document at the time of import show- agement Authority of the importing ing that the document met the require- country has indicated it will accept the ments in §§ 23.23, 23.24, and 23.25. replacement CITES document. (e) U.S. standard conditions. In addi- (iii) The specimens were presented to tion to the conditions in § 23.56, the fol- the appropriate official for inspection lowing conditions apply: at the time of import and a request for (1) If the original CITES document is a replacement CITES document was found, you must return it to the U.S. made at that time. Management Authority. (2) For acceptance of foreign CITES (2) A CITES document issued for a replacement documents in the United shipment that has already occurred States, you must provide sufficient in- does not require validation. formation for us to find that your pro- (f) Validation. For an export or re-ex- posed activity meets all of the fol- port that has not left the United lowing criteria: States, follow the procedures in § 23.27.

198

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00208 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.53

If the shipment has left the United the exporting or re-exporting country States and is in a foreign country, sub- and the importing country, including a mit the unvalidated replacement thorough investigation of cir- CITES document to the appropriate cumstances and agreement between foreign authorities. We will not vali- them that criteria in paragraph (d) of date the replacement CITES document this section have been met. for a shipment that has already been (5) The issuing Management Author- shipped to a foreign country. We do not ity must provide all of the following in- require validation on replacement doc- formation on any retrospective CITES uments issued by foreign Management document: Authorities. (i) A statement that it was issued retrospectively. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014] (ii) A statement specifying the reason for the issuance. § 23.53 What are the requirements for (iii) In the case of a document issued obtaining a retrospective CITES for personal use, a condition restrict- document? ing sale of the specimen within 6 (a) Retrospective CITES documents months following the import of the may be issued and accepted in certain specimen. limited situations after an export or (6) The issuing Management Author- re-export has occurred, but before the ity must send a copy of the retrospec- shipment is cleared for import. When tive CITES document to the Secre- specific conditions are met, a retro- tariat. spective CITES document may be (7) In general, except when the ex- issued to authorize trade that has porter or re-exporter and importer taken place without a CITES document have demonstrated they were not re- or to correct certain technical errors in sponsible for the irregularities, any a CITES document after the authorized person who has been issued a CITES activity has occurred. document in the past will not be eligi- (b) U.S. and foreign general provisions. ble to receive a retrospective docu- The following provisions apply to the ment. issuance and acceptance of a retrospec- (8) In the United States, you may not tive CITES document: use a U.S. CITES document issued (1) A retrospective document may under a CITES master file or CITES not be issued for Appendix-I specimens annual program as a retrospective except for certain specimens for per- CITES document. sonal use as specified in paragraph (c) U.S. application. Complete applica- (d)(7) of this section. tion Form 3–200–58 and submit it to the (2) The exporter or re-exporter must U.S. Management Authority. In addi- notify the Management Authority in tion, submit one of the following: the exporting or re-exporting country (1) For a shipment that occurred of the irregularities that have oc- under a document containing a tech- curred. nical error, the faulty CITES docu- (3) A retrospective document may be ment. one of the following: (2) For a shipment that occurred (i) An amended CITES document without a CITES document, a com- where it can be shown that the issuing pleted application form for the type of Management Authority made a tech- activity you conducted (see §§ 23.18 nical error that was not prompted by through 23.20). the applicant. (d) Criteria. The criteria in this para- (ii) A newly issued CITES document graph (d) apply to the issuance and ac- where it can be shown that the appli- ceptance of U.S. and foreign docu- cant was misinformed by CITES offi- ments. When applying for a U.S. docu- cials or the circumstances in (d)(7) of ment, you must provide sufficient in- this section apply and a shipment has formation for us to find that your ac- occurred without a document. tivity meets all of the following cri- (4) Retrospective documents can only teria: be issued after consultation between (1) The specimens were exported or the Management Authorities in both re-exported without a CITES document

199

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00209 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.54 50 CFR Ch. I (10–1–20 Edition)

or with a CITES document that con- (A) You own and possess the speci- tained technical errors as provided in men for personal use. paragraph (d)(6)(ii) of this section. (B) You either wore the specimen as (2) The specimens were presented to clothing or an accessory or took it as the appropriate official for inspection part of your personal baggage, which at the time of import and a request for was carried by you or checked as bag- a retrospective CITES document was gage on the same plane, boat, car, or made at that time. train as you. (3) The export or re-export and im- (C) The quantity is reasonably nec- port of the specimens was otherwise in essary or appropriate for the nature of compliance with CITES and the rel- your trip or stay. evant national legislation of the coun- (e) U.S. standard conditions. In addi- tries involved. tion to the conditions in § 23.56, the fol- (4) The importing Management Au- lowing condition applies: A CITES doc- thority has agreed to accept the retro- ument issued for a shipment that has spectively issued CITES document. already occurred does not require vali- (5) The specimens must be Appendix- dation. II or -III wildlife or plants, except as (f) Validation. Submit the original provided in paragraph (d)(7) of this sec- unvalidated retrospective CITES docu- tion. ment to the appropriate foreign au- (6) Except as provided in paragraph thority. We will not validate the retro- (d)(7) of this section, the exporter or re- spective CITES document for a ship- exporter and importer were not respon- ment that has already been shipped to sible for the irregularities that oc- a foreign country, and we do not re- curred and have demonstrated one of quire validation on retrospective docu- the following: ments issued by foreign Management (i) The Management Authority or of- Authorities. ficials designated to clear CITES ship- [72 FR 48448, Aug. 23, 2007, as amended at 79 ments misinformed the exporter or re- FR 30426, May 27, 2014] exporter or the importer about the CITES requirements. In the United § 23.54 How long is a U.S. or foreign States, this would be an employee of CITES document valid? the FWS (for any species) or APHIS or (a) Purpose. Article VI(2) of the Trea- CBP (for plants). ty sets the time period within which an (ii) The Management Authority made export permit is valid. Validity periods a technical error when issuing the for other CITES documents are pre- CITES document that was not prompt- scribed in this section. ed by information provided by the ap- (b) Period of validity. CITES docu- plicant. ments are valid only if presented for (7) In the case of specimens for per- import or introduction from the sea sonal use, you must either show that within the period of validity (before you qualify under paragraph (d)(6) of midnight on the expiration date) noted this section, or that a genuine error on the face of the document. was made and that there was no at- (1) An export permit and re-export tempt to deceive. The following speci- certificate will be valid for no longer mens for personal use may qualify for than 6 months from the issuance date. issuance of a retrospective document: (2) An import permit, introduction- (i) Personal or household effects as from-the-sea certificate, and certifi- defined in § 23.5. cate of origin will be valid for no (ii) Live Appendix-II or -III speci- longer than 12 months from the mens or live pre-Convention Appendix- issuance date. I specimens that you own for your per- (3) A traveling-exhibition certificate sonal use, accompanied you, and num- and certificate of ownership will be ber no more than two. valid for no longer than 3 years from (iii) Parts, products, or derivatives of the issuance date. an Appendix-I species that qualify as (4) Other CITES documents will state pre-Convention when the following the period of their validity, but no U.S. conditions are met: CITES document will be valid for

200

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00210 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.56

longer than 3 years from the issuance tended beyond the expiration date on date. the face of the document, except under (c) Extension of validity. The validity limited circumstances for certain tim- of a CITES document may not be ex- 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 The specimen may be used only for noncommercial purposes exemption document listed in paragraph (d) of this section. (see § 23.5). (b) Appendix II with an annotation for noncommercial purposes Exception: where other specimens of that species are treated as if listed If the specimen was lawfully imported, with no restrictions on in Appendix I. its use after import, before the species was listed as de- (c) Appendix II without an annotation for noncommercial pur- scribed in paragraphs (a), (b), or (c) of this section, you may poses, or Appendix III, and threatened under the ESA, ex- continue to use the specimen as indicated for paragraphs cept as provided in a special rule in §§ 17.40 through 17.48 (d), (e) and (f) of this section provided you can clearly dem- or under a permit granted under §§ 17.32 or 17.52 onstrate (using written records or other documentary evidence) 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- The specimen may be used for any lawful purpose, except if ment as follows: the regulations in this part or other parts of this subchapter (1) U.S-issued certificate for personally owned wildlife. or a permit condition allowed the import only for noncommer- (2) Pre-Convention certificate. cial purposes, then the import and subsequent use must be (3) Export permit or re-export certificate for wildlife from a only for noncommercial purposes. 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 section.

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30426, May 27, 2014]

§ 23.56 What U.S. CITES document Animals Regulations (for animals) or the conditions do I need to follow? International Air Transport Association (a) General conditions. The following Perishable Cargo Regulations (for plants) general conditions apply to all U.S. (incorporated by reference, see § 23.9). CITES documents: (3) You must return the original (1) You must comply with the provi- CITES document to the issuing office if sions of part 13 of this subchapter as you do not use it, it expires, or you re- conditions of the document, as well as quest renewal or amendment. other applicable regulations in this (4) When appropriate, a Management subchapter, including, but not limited Authority may require that you iden- to, any that require permits. You must tify Appendix-II and -III wildlife or comply with all applicable local, State, plants with a mark. All live Appendix- Federal, tribal, and foreign wildlife or I wildlife must be securely marked or plant conservation laws. uniquely identified. Such mark or iden- (2) For export and re-export of live tification must be made in a way that wildlife and plants, transport condi- the border official can verify that the tions must comply with the Inter- specimen and CITES document cor- national Air Transport Association Live respond. If a microchip is used, we

201

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00211 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.60 50 CFR Ch. I (10–1–20 Edition)

may, if necessary, ask the importer, paragraphs (e) through (k) of this sec- exporter, or re-exporter to have equip- tion. ment on hand to read the microchip at (4) As necessary, we consult with for- the time of import, export, or re-ex- eign Management and Scientific Au- port. thorities, the CITES Secretariat, State (b) Standard conditions. You must conservation agencies, Tribes, FWS comply with the standard conditions Law Enforcement, APHIS or CBP, and provided in this part for specific types other appropriate experts. of CITES documents. (d) Risk assessment. We review the (c) Special conditions. We may place general factors listed in this paragraph special conditions on a CITES docu- and additional specific factors in para- ment based on the needs of the species graphs (e) through (k) of this section to or the proposed activity. You must assess the level of scrutiny and amount comply with any special conditions of information we need to make a find- contained in or attached to a CITES ing of legal acquisition. We give less document. scrutiny and require less-detailed information when there is a low risk that [72 FR 48448, Aug. 23, 2007, as amended at 79 specimens to be exported or re-ex- FR 30426, May 27, 2014] ported were not legally acquired, and give more scrutiny and require more Subpart D—Factors Considered in detailed information when the pro- Making Certain Findings posed activity poses greater risk. We consider the cumulative risks, recog- § 23.60 What factors are considered in nizing that each aspect of the inter- making a legal acquisition finding? national trade has a continuum of risk (a) Purpose. Articles III, IV, and V of from high to low associated with it as the Treaty require a Management Au- follows: thority to make a legal acquisition (1) Status of the species: From Appen- finding before issuing export permits dix I to Appendix III. and re-export certificates. The Parties (2) Origin of the specimen: From wild- have agreed that a legal acquisition collected to born or propagated in a finding must also be made before controlled environment to bred in cap- issuing certain CITES exemption docu- tivity or artificially propagated. ments. (3) Source of the propagule used to grow (b) Types of legal acquisition. Legal ac- the plant: From documentation that quisition refers to whether the speci- the plant was grown from a non-ex- men and its parental stock were: empt seed or seedling to documenta- (1) Obtained in accordance with the tion that the plant was grown from an provisions of national laws for the pro- exempt seed or seedling. tection of wildlife and plants. In the (4) Origin of the species: From species United States, these laws include all native to the United States or its bor- applicable local, State, Federal, tribal, dering countries of Mexico or Canada and foreign laws; and to nonnative species from other coun- (2) If previously traded, traded inter- tries. nationally in accordance with the pro- (5) Volume of illegal trade: From high visions of CITES. to low occurrence of illegal trade. (c) How we make our findings. We (6) Type of trade: From commercial to make a finding that a specimen was le- noncommercial. gally acquired in the following way: (7) Trade by range countries: From (1) The applicant must provide suffi- range countries that do not allow com- cient information (see § 23.34) for us to mercial export, or allow only limited make a legal acquisition finding. noncommercial export of the species, (2) We make this finding after consid- to range countries that allow commer- ering all available information. cial export in high volumes. (3) The amount of information we (8) Occurrence of the species in a con- need to make the finding is based on trolled environment in the United States: our review of general factors described From uncommon to common in a con- in paragraph (d) of this section and ad- trolled environment in the United ditional specific factors described in States.

202

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00212 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.61

(9) Ability of the species to be bred or or re-exported for personal use by the propagated readily in a controlled envi- applicant, we consider whether: ronment: From no documentation that (1) The specimen was acquired in the the species can be bred or propagated United States and possessed for strict- readily in a controlled environment to ly personal use. widely accepted information that the (2) The number of specimens is rea- species is commonly bred or propa- sonably appropriate for the nature of gated. your export or re-export as personal (10) Genetic status of the specimen: use. From a purebred species to a hybrid. (3) No persuasive evidence exists on (e) Captive-bred wildlife or a cultivated illegal transactions involving the spec- plant. For a specimen that is captive- imen. bred or cultivated, we may consider (j) Sequential ownership. For a speci- whether the parental stock was legally men that was previously possessed by acquired. someone other than the applicant, we (f) Confiscated specimen. For a con- may consider the history of ownership fiscated Appendix-II or -III specimen, for a specimen and its parental stock, we consider whether information shows breeding stock, or cultivated parental that the transfer of the confiscated stock. specimen or its offspring met the con- (k) Wild-collected in the United States. ditions of the remission decision, legal For a specimen collected from the wild settlement, or disposal action after for- in the United States, we consider the feiture or abandonment. site where the specimen was collected, (g) Donated specimen of unknown ori- whether the species is known to occur gin. For an unsolicited specimen of un- at that site, the abundance of the spe- known origin donated to a public insti- cies at that site, and, if necessary, tution (see § 10.12 of this subchapter), whether permission of the appropriate we consider whether: management agency or landowner was (1) The public institution follows obtained to collect the specimen. standard recordkeeping practices and has made reasonable efforts to obtain § 23.61 What factors are considered in supporting information on the origin of making a non-detriment finding? the specimen. (a) Purpose. Articles III and IV of the (2) The public institution provides Treaty require that, before we issue a sufficient information to show it made CITES document, we find that a pro- a reasonable effort to find a suitable posed export or introduction from the recipient in the United States. sea of Appendix-I or -II specimens is (3) The export will provide a con- not detrimental to the survival of the servation benefit to the species. species and that a proposed import of (4) No persuasive information exists an Appendix-I specimen is for purposes on illegal transactions involving the that would not be detrimental to the specimen. survival of the species. (5) The export is noncommercial, (b) Types of detriment. Detrimental with no money or barter exchanged ex- activities, depending on the species, cept for shipping costs. could include, among other things, (6) The institution has no history of unsustainable use and any activities receiving a series of rare and valuable that would pose a net harm to the sta- specimens or a large quantity of wild- tus of the species in the wild. For Ap- life or plants of unknown origin. pendix-I species, it also includes use or (h) Imported previously. For a speci- removal from the wild that results in men that was previously imported into habitat loss or destruction, inter- the United States, we consider any reference with recovery efforts for a spe- liable, relevant information we receive cies, or stimulation of further trade. concerning the validity of a CITES (c) General factors. The applicant document, regardless of whether the must provide sufficient information for shipment was cleared by FWS, APHIS, us to make a finding of non-detriment. or CBP. In addition to factors in paragraphs (d) (i) Personal use. For a wildlife or and (e) of this section, we will consider plant specimen that is being exported whether:

203

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00213 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.61 50 CFR Ch. I (10–1–20 Edition)

(1) Biological and management infor- (1) We consult with the States, mation demonstrates that the proposed Tribes, other Federal agencies, sci- activity represents sustainable use. entists, other experts, and the range (2) The removal of the animal or countries of the species. plant from the wild is part of a bio- (2) We consult with the Secretariat logically based sustainable-use man- and other Parties to monitor the level agement plan that is designed to elimi- of trade that is occurring in the spe- nate over-utilization of the species. cies. (3) If no sustainable-use management (3) Based on the factors in paragraphs plan has been established, the removal (c) through (e) of this section, we of the animal or plant from the wild evaluate the biological impact of the would not contribute to the over-utili- proposed activity. zation of the species, considering both (4) In cases where insufficient infor- domestic and international uses. mation is available or the factors (4) The proposed activity, including above are not satisfactorily addressed, the methods used to acquire the speci- we take precautionary measures and men, would pose no net harm to the would be unable to make the required status of the species in the wild. finding of non-detriment. (5) The proposed activity would not (g) Risk assessment. We review the sta- lead to long-term declines that would tus of the species in the wild and the place the viability of the affected popu- degree of risk the proposed activity lation in question. poses to the species to determine the level of scrutiny needed to make a (6) The proposed activity would not finding. We give greater scrutiny and lead to significant habitat or range loss require more detailed information for or restriction. activities that pose a greater risk to a (d) Additional factor for Appendix-II species in the wild. We consider the cu- In addition to the general fac- species. mulative risks, recognizing that each tors in paragraph (c) of this section, we aspect of international trade has a con- will consider whether the intended ex- tinuum of risk (from high to low) asso- port of an Appendix-II species would ciated with it as follows: cause a significant risk that the spe- (1) Status of the species: From Appen- cies would qualify for inclusion in Ap- dix I to Appendix II. pendix I. (2) Origin of the specimen: From wild- (e) Additional factors for Appendix-I collected to born or propagated in a species. In addition to the general fac- controlled environment to bred in cap- tors in paragraph (c) of this section, we tivity or artificially propagated. will consider whether the proposed ac- (3) Source of the propagule used to grow tivity: the plant: From documentation that (1) Would not cause an increased risk the plant was grown from a non-ex- of extinction for either the species as a empt seed or seedling to documenta- whole or the population from which the tion that the plant was grown from an specimen was obtained. exempt seed or seedling. (2) Would not interfere with the re- (4) Origin of the species: From native covery of the species. species to nonnative species. (3) Would not stimulate additional (5) Volume of legal trade: From high to trade in the species. If the proposed ac- low occurrence of legal trade. tivity does stimulate trade, we will (6) Volume of illegal trade: From high consider whether the anticipated in- to low occurrence of illegal trade. crease in trade would lead to the de- (7) Type of trade: From commercial to cline of the species. noncommercial. (f) How we make our findings. We base (8) Genetic status of the specimen: the non-detriment finding on the best From a purebred species to a hybrid. available biological information. We (9) Risk of disease transmission: From also consider trade information, in- high to limited risk of disease trans- cluding trade demand, and other sci- mission. entific management information. We (10) Basis for listing: From listed make a non-detriment finding in the under Article II(1) or II(2)(a) of the following way: Treaty to listed under Article II(2)(b).

204

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00214 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.62

(h) Quotas for Appendix-I species. (6) We will conduct an assessment of When an export quota has been set by factors listed in paragraph (d) of this the CoP for an Appendix-I species, we section. For activities involving an an- will consider the scientific and man- ticipated measurable increase in rev- agement basis of the quota together enue and other economic value associ- with the best available biological infor- ated with the intended use, we will mation when we make our non-det- conduct an analysis as described in riment finding. We will contact the paragraph (e) of this section. Scientific and Management Authori- (7) All net profits generated in the ties of the exporting country for fur- United States from activities associ- ther information if needed. ated with the import of an Appendix-I species must be used for conservation § 23.62 What factors are considered in of that species. making a finding of not for pri- (c) Examples. The following are exam- marily commercial purposes? ples of types of transactions in which (a) Purpose. Under Article III(3(c)) the noncommercial aspects of the in- and (5(c)) of the Treaty, an import per- tended use of the specimen may pre- mit or an introduction-from-the-sea dominate depending on the facts of certificate for Appendix-I species can each situation. The discussions of each be issued only if the Management Au- example provide further guidance in thority is satisfied that the specimen is assessing the actual degree of not to be used for primarily commer- commerciality on a case-by-case basis. cial purposes. Trade in Appendix-I spe- These examples outline circumstances cies must be subject to particularly commonly encountered and do not strict regulation and authorized only cover all situations where import or in- in exceptional circumstances. troduction from the sea could be found (b) How we make our findings. We to be not for primarily commercial must find that the intended use of the purposes. Appendix-I specimen is not for pri- (1) Personal use. Import or introduc- marily commercial purposes before we tion from the sea of an Appendix-I can issue a CITES document. specimen for personal use generally is (1) We will make this decision on a considered to be not for primarily com- case-by-case basis considering all mercial purposes. An example is the available information. import of a personal sport-hunted tro- (2) The applicant must provide suffi- phy by the person who hunted the wild- cient information to satisfy us that the life for display in his or her own home. intended use is not for primarily com- (2) Scientific purposes. The import or mercial purposes. introduction from the sea of an Appen- (3) The definitions of ‘‘commercial’’ dix-I specimen by a scientist or sci- and ‘‘primarily commercial purposes’’ entific institution may be permitted in in § 23.5 apply. situations where resale, commercial (4) We will look at all aspects of the exchange, or exhibit of the specimen intended use of the specimen. If the for economic benefit is not the primary noncommercial aspects do not clearly intended use. predominate, we will consider the im- (3) Conservation, education, or training. port or introduction from the sea to be Generally an Appendix-I specimen may for primarily commercial purposes. be imported or introduced from the sea (5) While the nature of the trans- by government agencies or nonprofit action between the owner in the coun- institutions for purposes of conserva- try of export and the recipient in the tion, education, or training. For exam- country of import or introduction from ple, a specimen could be imported or the sea may have some commercial as- introduced from the sea primarily to pects, such as the exchange of money train customs staff in effective CITES to cover the costs of shipment and care control, such as for identification of of specimens during transport, it is the certain types of specimens. intended use of the specimen, including (4) Biomedical industry. Import or in- the purpose of the export, that must troduction from the sea of an Appen- not be for primarily commercial pur- dix-I specimen by an institution or poses. company in the biomedical industry is

205

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00215 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.62 50 CFR Ch. I (10–1–20 Edition)

initially presumed to be commercial and where a binding contract, condi- since specimens are typically imported tioned on the issuing of permits, is in or introduced from the sea to develop place. and sell products that promote public (d) Risk assessment. We review the fac- health for profit. However, if the im- tors listed in this paragraph (d) to as- porter clearly shows that the sale of sess the level of scrutiny and amount products is only incidental to public of information we need to make a find- health research and not for the pri- ing of whether the intended use of the mary purpose of economic benefit or specimen is not for primarily commer- profit, then such an import or intro- cial purposes. We give less scrutiny and duction from the sea could be consid- require less detailed information when ered as scientific research under para- the import or introduction from the graph (c)(2) of this section if the prin- sea poses a low risk of being primarily ciples of paragraph (b) of this section commercial, and give more scrutiny are met. and require more detailed information (5) Captive-breeding or artificial propa- when the proposed activity poses great- gation programs. The import of an Ap- er risk. We consider the cumulative pendix-I specimen for purposes of es- risks, recognizing that each aspect of tablishing a commercial operation for the international trade has a con- breeding or artificial propagation is tinuum of risk from high to low associ- considered to be for primarily commer- ated with it as follows: cial purposes. As a general rule, import (1) Type of importer: From for-profit or introduction from the sea of an Ap- entity to private individual to non- pendix-I specimen for a captive-breed- profit entity. ing or artificial propagation program (2) Ability of the proposed uses to gen- must have as a priority the long-term erate revenue: From the ability to gen- protection and recovery of the species erate measurable increases in revenue in the wild. The captive-breeding or ar- or other economic value to no antici- tificial propagation program must be pated increases in revenue or other part of a program aimed at the recov- economic value. ery of the species in the wild and be un- (3) Appeal of the species: From high dertaken with the support of a country public appeal to low public appeal. within the species’ native range. Any (4) Occurrence of the species in the profit gained must be used to support United States: From uncommon to com- this recovery program. If a captive- mon in a controlled environment in the breeding or artificial propagation oper- United States. ation plans to sell surplus specimens to (5) Intended use of offspring: From help offset the costs of its program, im- commercial to noncommercial. port or introduction from the sea (e) Analysis of anticipated revenues and would be allowed only if any profit other economic value. We will analyze would be used to support the captive- revenues and other economic value an- breeding or artificial propagation pro- ticipated to result from the use of the gram to the benefit of the Appendix-I specimen for activities with a high risk species, not for the personal economic of being primarily commercial. benefit of a private individual or share- (1) We will examine the proposed use holder. of any net profits generated in the (6) Professional dealers. Import or in- United States. We consider net profit troduction from the sea by a profes- to include all funds or other valuable sional dealer who states a general in- considerations (including enhanced tention to eventually sell the specimen value of common stock shares) re- or its offspring to an undetermined received or attained by you or those af- cipient would be considered to be for filiated with you as a result of the im- primarily commercial purposes. How- port or introduction from the sea, to ever, import or introduction from the the extent that such funds or other val- sea through a professional dealer by a uable considerations exceed the reason- qualified applicant may be acceptable able expenses that are properly attrib- if the ultimate intended use would be utable to the proposed activity. for one of the purposes set out in para- (2) We will consider any conservation graphs (c)(2), (3), and (5) of this section project to be funded and, if the species

206

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00216 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.64

was or is to be taken from the wild, (3) The breeding stock meets all of how the project benefits the species in the following criteria: its native range, including agreements, (i) Was established in accordance timeframes for accomplishing tasks, with the provisions of CITES and rel- and anticipated benefits to the species. evant national laws. (3) We will consider any plans to (ii) Was established in a manner not monitor a proposed conservation detrimental to the survival of the spe- project, including expenditure of funds cies in the wild. or completion of tasks. (iii) Is maintained with only occa- (4) In rare cases involving unusually sional introduction of wild specimens high net profits, we will require the ap- as provided in paragraph (d) of this sec- plicant to provide a detailed analysis tion. of expected revenue (both direct and (iv) Has consistently produced off- indirect) and expenses to show antici- spring of second or subsequent genera- pated net profit, and a statement from tions in a controlled environment, or is a licensed, independent certified public managed in a way that has been dem- accountant that the internal account- onstrated to be capable of reliably pro- ing system is sufficient to account for ducing second-generation offspring and and track funds generated by the pro- has produced first-generation offspring. posed activities. (d) Addition of wild specimens. A very limited number of wild specimens (in- § 23.63 What factors are considered in cluding eggs or gametes) may be intro- making a finding that an animal is duced into a breeding stock if all of the bred in captivity? following conditions are met (for Ap- (a) Purpose. Article VII(4) and (5) of pendix-I specimens see also the Treaty provide exemptions that § 23.46(b)(12)): allow for the special treatment of wild- (1) The specimens were acquired in life that was bred in captivity (see accordance with the provisions of §§ 23.41 and 23.46). CITES and relevant national laws. (b) Definitions. The following terms (2) The specimens were acquired in a apply when determining whether speci- manner not detrimental to the survival mens qualify as ‘‘bred in captivity’’: of the species in the wild. (1) A controlled environment means (3) The specimens were added either one that is actively manipulated for to prevent or alleviate deleterious in- the purpose of producing specimens of breeding, with the number of speci- a particular species; that has bound- mens added as determined by the need aries designed to prevent specimens, for new genetic material, or to dispose including eggs or gametes, from enter- of confiscated animals. ing or leaving the controlled environment; and has general characteristics § 23.64 What factors are considered in that may include artificial housing, making a finding that a plant is ar- waste removal, provision of veterinary tificially propagated? care, protection from predators, and (a) Purpose. Article VII(4) and (5) of artificially supplied food. the Treaty provide exemptions that (2) Breeding stock means an ensemble allow for special treatment of plants of captive wildlife used for reproduc- that were artificially propagated (see tion. §§ 23.40 and 23.47). (c) Bred-in-captivity criteria. For a (b) Definitions. The following terms specimen to qualify as bred in cap- apply when determining whether speci- tivity, we must be satisfied that all the mens qualify as ‘‘artificially propa- following criteria are met: gated’’: (1) If reproduction is sexual, the spec- (1) Controlled conditions means a non- imen was born to parents that either natural environment that is inten- mated or transferred gametes in a con- sively manipulated by human interven- trolled environment. tion for the purpose of plant produc- (2) If reproduction is asexual, the par- tion. General characteristics of con- ent was in a controlled environment trolled conditions may include, but are when development of the offspring not limited to, tillage, fertilization, began. weed and pest control, irrigation, or

207

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00217 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.64 50 CFR Ch. I (10–1–20 Edition)

nursery operations such as potting, wild-collected seeds or spores may be bedding, or protection from weather. considered artificially propagated only (2) Cultivated parental stock means the when all of the following conditions ensemble of plants grown under con- have been met: trolled conditions that are used for re- (1) Establishment of a cultivated pa- production. rental stock for the taxon presents sig- (c) Artificially propagated criteria. Ex- nificant difficulties because specimens cept as provided in paragraphs (f) and take a long time to reach reproductive (g) of this section, for a plant specimen age. to qualify as artificially propagated, (2) The seeds or spores are collected we must be satisfied that the plant from the wild and grown under con- specimen was grown under controlled conditions from a seed, cutting, divi- trolled conditions within a range coun- sion, callus tissue, other plant tissue, try, which must also be the country of spore, or other propagule that either is origin of the seeds or spores. exempt from the provisions of CITES (3) The Management Authority of the or has been derived from cultivated pa- range country has determined that the rental stock. The cultivated parental collection of seeds or spores was legal stock must meet all of the following and consistent with relevant national criteria: laws for the protection and conserva- (1) Was established in accordance tion of the species. with the provisions of CITES and rel- (4) The Scientific Authority of the evant national laws. range country has determined that col- (2) Was established in a manner not lection of the seeds or spores was not detrimental to the survival of the spe- detrimental to the survival of the species in the wild. cies in the wild, and allowing trade in (3) Is maintained in sufficient quan- such specimens has a positive effect on tities for propagation so as to minimize the conservation of wild populations. or eliminate the need for augmentation In making these determinations, all of from the wild, with such augmentation the following conditions must be met: occurring only as an exception and lim- (i) The collection of seeds or spores ited to the amount necessary to main- for this purpose must be limited in tain the vigor and productivity of the cultivated parental stock. such a manner as to allow regeneration (d) Cutting or division. A plant grown of the wild population. from a cutting or division is considered (ii) A portion of the plants produced to be artificially propagated only if the must be used to establish plantations traded specimen does not contain any to serve as cultivated parental stock in material collected from the wild. the future and become an additional (e) Grafted plant. A grafted plant is source of seeds or spores and thus re- artificially propagated only when both duce or eliminate the need to collect the rootstock and the material grafted seeds or spores from the wild. to it have been taken from specimens (iii) A portion of the plants produced that were artificially propagated in ac- must be used for replanting in the wild, cordance with paragraph (c) of this sec- to enhance recovery of existing popu- tion. A grafted specimen that consists lations or to re-establish populations of taxa from different Appendices is that have been extirpated. treated as a specimen of the taxon list- (5) Operations propagating Appendix- ed in the more restrictive Appendix. I species for commercial purposes must (f) Timber. Timber taken from trees be registered with the CITES Secre- planted and grown in a monospecific tariat in accordance with the Guide- plantation is considered artificially lines for the registration of nurseries propagated if the seeds or other propagules from which the trees are exporting artificially propagated speci- grown were legally acquired and ob- mens of Appendix-I species. tained in a non-detrimental manner. [72 FR 48448, Aug. 23, 2007, as amended at 79 (g) Exception for certain plant speci- FR 30426, May 27, 2014] mens grown from wild-collected seeds or spores. Plant specimens grown from

208

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00218 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.65

§ 23.65 What factors are considered in (2) Appropriate forms of environ- making a finding that an applicant mental enrichment, such as nesting is suitably equipped to house and material, perches, climbing apparatus, care for a live specimen? ground substrate, or other species-spe- (a) Purpose. Under Article III(3)(b) cific materials or objects. and (5)(b) of the Treaty, an import per- (3) If the wildlife is on public display, mit or introduction-from-the-sea cer- an off-exhibit area, consisting of indoor tificate for live Appendix-I specimens and outdoor accommodations, as ap- can be issued only if we are satisfied propriate, that can house the wildlife that the recipients are suitably on a long-term basis if necessary. equipped to house and care for them. (4) Provision of water and nutritious (b) General principles. We will follow food of a nature and in a way that are these general principles in making a appropriate for the species. decision on whether an applicant has (5) Staff who are trained and experi- facilities that would provide proper enced in providing proper daily care housing to maintain the specimens for and maintenance for the species being the intended purpose and the expertise imported or introduced from the sea, or to provide proper care and husbandry for a closely related species. or horticultural practices. (6) Readily available veterinary care (1) All persons who would be receiv- or veterinary staff experienced with ing a specimen must be identified in an the species or a closely related species, application and their facilities ap- including emergency care. proved by us, including persons who (d) Specific factors considered for are likely to receive a specimen within plants. In addition to the general provi- 1 year after it arrives in the United sions in paragraph (e) of the section, States. we consider the following factors in (2) The applicant must provide suffi- evaluating suitable housing and care cient information for us to make a for plants: finding, including, but not limited to, a (1) Sufficient space, appropriate description of the facility, photo- lighting, and other environmental con- graphs, or construction plans, and re- ditions that will ensure proper growth. sumes of the recipient or staff who will (2) Ability to provide appropriate cul- care for the specimen. ture, such as water, fertilizer, and pest (3) We use the best available informa- and disease control. tion on the requirements of the species (3) Staff with experience with the im- in making a decision and will consult ported species or related species with with experts and other Federal and similar horticultural requirements. State agencies, as necessary and appro- (e) General factors considered for wild- priate. life and plants. In addition to the spe- (4) The degree of scrutiny that we cific provisions in paragraphs (c) or (d) give an application is based on the bio- of this section, we will consider the fol- logical and husbandry or horticultural lowing factors in evaluating suitable needs of the species. housing and care for wildlife and (c) Specific factors considered for wild- plants: life. In addition to the general provi- (1) Adequate enclosures or holding sions in paragraph (e) of this section, areas to prevent escape or unplanned we consider the following factors in exchange of genetic material with evaluating suitable housing and care specimens of the same or different spe- for wildlife: cies outside the facility. (1) Enclosures constructed and main- (2) Appropriate security to prevent tained so as to provide sufficient space theft of specimens and measures taken to allow each animal to make normal to rectify any previous theft or secu- postural and social adjustments with rity problem. adequate freedom of movement. Inad- (3) A reasonable survival rate of equate space may be indicated by evi- specimens of the same species or, alter- dence of malnutrition, poor condition, natively, closely related species at the debility, stress, or abnormal behavior facility, mortalities for the previous 3 patterns. years, significant injuries to wildlife or

209

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00219 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.68 50 CFR Ch. I (10–1–20 Edition)

damage to plants, occurrence of signifi- over-harvest. When a State or Tribe cant disease outbreaks during the pre- with a management program provides vious 3 years, and measures taken to us with the necessary information, we prevent similar mortalities, injuries, make programmatic findings and have damage, or diseases. Significant inju- specific requirements that allow export ries, damage, or disease outbreaks are under CITES. For wild ginseng, a State those that are permanently debili- or Tribe must provide sufficient infor- tating or re-occurring. mation for us to determine that its (4) Sufficient funding on a long-term management program and harvest con- basis to cover the cost of maintaining trols are appropriate to ensure that the facility and the specimens im- ginseng harvested within its jurisdic- ported. tion is legally acquired and that export (f) Incomplete facilities or insufficient will not be detrimental to the survival staff. For applications submitted to us of the species in the wild. For artifi- before the facilities to hold the speci- cially propagated ginseng, a State or men are completed or the staff is iden- Tribe must provide sufficient informa- tified or properly trained, we will: tion for us to determine that ginseng (1) Review all available information, grown within its jurisdiction meets the including construction plans or in- definition of artificially propagated tended staffing, and make a finding and the State or Tribe must have pro- based on this information. cedures in place to minimize the risk (2) Place a condition on any permit that the roots of wild-collected plants that the import cannot occur until the would be claimed as artificially propa- facility has been completed or the staff gated. hired and trained, and approved by us. (1) A State or Tribe seeking initial CITES export program approval for Subpart E—International Trade in wild or artificially propagated Amer- Certain Specimens ican ginseng must submit the following information on the adoption and imple- § 23.68 How can I trade internationally mentation of regulatory measures to in roots of American ginseng? the U.S. Management Authority: (a) U.S. and foreign general provisions. (i) Laws or regulations mandating li- Whole plants and roots (whole, sliced, censing or registration of persons buy- and parts, excluding manufactured ing and selling ginseng in that State or parts, products, and derivatives, such on tribal lands. as powders, pills, extracts, tonics, teas, (ii) A requirement that ginseng deal- and confectionery) of American gin- ers maintain records and provide copies seng (Panax quinquefolius), whether of those records to the appropriate wild or artificially propagated, are in- State or tribal management agency cluded in Appendix II. Cultivated upon request. Dealer records must con- American ginseng that does not meet tain: the name and address of the gin- the requirements of artificially propa- seng seller, date of transaction, wheth- gated will be considered wild for export er the ginseng is wild or artificially and re-export purposes. The import, ex- propagated and dried or green at time port, or re-export of ginseng roots must of transaction, weight of roots, State meet the requirements of this section or Tribe of origin of roots, and identi- and other requirements of this part fication numbers of the State or tribal (see subparts B and C for prohibitions certificates used to ship ginseng from and application procedures). For speci- the State or Tribe of origin. mens that were harvested from a State (iii) A requirement that State or or Tribe without an approved CITES tribal personnel will inspect roots, en- export program, see § 23.36 for export sure legal harvest, and have the ability permits and § 23.37 for re-export certifi- to determine the age of roots of all cates. wild-collected ginseng harvested in the (b) Export approval of State and tribal State or on tribal lands. State or tribal programs. States and Tribes set up and personnel may accept a declaration maintain ginseng management and statement by the licensed or registered harvest programs designed to monitor dealer or grower that the ginseng roots and protect American ginseng from are artificially propagated.

210

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00220 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.69

(iv) A requirement that State or trib- Form 3–200–61 and submit it to the U.S. al personnel will weigh ginseng roots Management Authority by May 31 of unsold by March 31 of the year after each year to provide information on harvest and give a weight receipt to the previous harvest season. the owner of the roots. Future export (c) U.S. application process. Applica- certification of this stock must be tion forms and a list of States and issued against the weight receipt. Tribes with approved ginseng programs (v) A requirement that State or trib- can be obtained from our website or by al personnel will issue certificates for contacting us (see § 23.7). wild and artificially propagated gin- (1) To export wild or artificially seng. These certificates must contain propagated ginseng harvested under an at a minimum: approved State or tribal program, com- (A) State of origin. plete Form 3–200–34 or Form 3-200-74 for (B) Serial number of certificate. additional single-use permits under an (C) Dealer’s State or tribal license or annual program file. registration number. (2) To export wild ginseng harvested (D) Dealer’s shipment number for from a State or Tribe that does not that harvest season. have an approved program, complete (E) Year of harvest of ginseng being Form 3–200–32. To export artificially certified. propagated ginseng from a State or (F) Designation as wild or artificially Tribe that does not have an approved propagated. program, complete Form 3–200–33. (G) Designation as dried or fresh (3) To re-export ginseng, complete (green) roots. Form 3–200–32. (H) Weight of roots. (4) For information on issuance cri- (I) Statement of State or tribal certi- teria for CITES documents, see § 23.36 fying official verifying that the gin- for export permits, § 23.37 for re-export seng was obtained in that State or on certificates, and § 23.40 for certificates those tribal lands in accordance with for artificially propagated plants. all relevant laws for that harvest year. (d) Conditions for export. Upon export, (J) Name and title of State or tribal roots must be accompanied by a State certifying official. or tribal certificate containing the in- (2) In addition, a State or Tribe seek- formation specified in paragraph ing initial CITES export program ap- (b)(1)(v) of this section. proval for wild American ginseng must § 23.69 How can I trade internationally submit the following information to in fur skins and fur skin products the U.S. Management Authority: of bobcat, river otter, Canada lynx, (i) An assessment of the condition of gray wolf, and brown bear har- the population and trends, including a vested in the United States? description of the types of information (a) U.S. and foreign general provisions. on which the assessment is based, such For purposes of this section, CITES as an analysis of population demo- furbearers means bobcat (Lynx rufus), graphics; population models; or anal- river otter (Lontra canadensis), Canada ysis of past harvest levels or indices of lynx (Lynx canadensis), gray wolf (Canis abundance independent of harvest in- lupus), and brown bear (Ursus arctos) formation, such as field surveys. harvested in the United States . These (ii) Historic, present, and potential species are included in Appendix II distribution of wild ginseng on a coun- based on Article II(2)(b) of the Treaty ty-by-county basis. (see § 23.89). The import, export, or re- (iii) Phenology of ginseng, including export of fur skins and fur skin prod- flowering and fruiting periods. ucts must meet the requirements of (iv) Habitat evaluation. this section and the other require- (v) If available, copies of any ginseng ments of this part (see subparts B and management or monitoring plans or C for prohibitions and application pro- other relevant reports that the State cedures). For specimens that were har- or Tribe has prepared as part of its ex- vested from a State or Tribe without isting management program. an approved CITES export program, see (3) A State or Tribe with an approved § 23.36 for export permits and § 23.37 for CITES export program must complete re-export certificates.

211

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00221 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.69 50 CFR Ch. I (10–1–20 Edition)

(b) Export approval of State and tribal only submit the information in programs. States and Tribes set up and (b)(1)(ii) and (vi) of this section. maintain management and harvest pro- (3) A State or Tribe with an approved grams designed to monitor and protect CITES export program must submit a CITES furbearers from over-harvest. CITES furbearer activity report to the When a State or Tribe with a manage- U.S. Management Authority by Octo- ment program provides us with the ber 31 of each year that provides infor- necessary information, we make pro- mation as to whether or not the popu- grammatic findings and have specific lation status or management of the requirements that allow export under species has changed within the State or CITES. A State or Tribe must provide tribal lands. This report may reference sufficient information for us to deter- information provided in previous years mine that its management program if the information has not changed. Ex- and harvest controls are appropriate to cept as provided in paragraph (b)(4) of ensure that CITES furbearers har- this section, a furbearer activity report vested within its jurisdiction are legally acquired and that export will not should include, at a minimum, the fol- be detrimental to the survival of the lowing: species in the wild. (i) For each species, the number of (1) A State or Tribe seeking initial specimens taken and the number of CITES export program approval must animals tagged, if different. submit the following information to (ii) An assessment of the condition of the U.S. Management Authority, ex- the population, including trends, and a cept as provided in paragraph (b)(2) of description of the types of information this section: on which the assessment is based. If (i) An assessment of the condition of population levels are decreasing, the the population and a description of the activity report should include the types of information on which the as- State or Tribe’s professional assess- sessment is based, such as an analysis ment of the reason for the decline and of carcass demographics, population any steps being taken to address it. models, analysis of past harvest levels (iii) Information on, and a copy of, as a function of fur prices or trapper ef- any changes in laws or regulations af- fort, or indices of abundance inde- fecting these species. pendent of harvest information, such (iv) If available, copies of relevant re- as scent station surveys, archer sur- ports that the State or Tribe has pre- veys, camera traps, track or scat sur- pared during the year in question as veys, or road kill counts. part of its existing management pro- (ii) Current harvest control meas- grams for CITES furbearers. ures, including laws regulating harvest (4) When the U.S. Scientific Author- seasons and methods. ity has made a range-wide non-det- (iii) Total allowable harvest of the riment finding for a species, the annual species. furbearer activity report from a State (iv) Distribution of harvest. or Tribe with an approved export pro- (v) Indication of how frequently har- gram for that species should include, at vest levels are evaluated. a minimum, a statement indicating (vi) Tagging or marking require- whether or not the status of the species ments for fur skins. has changed and the information in (vii) Habitat evaluation. paragraph (b)(3)(iii) and (iv) of this sec- (viii) If available, copies of any tion. Range-wide non-detriment find- furbearer management plans or other ings will be re-evaluated at least every relevant reports that the State or 5 years, or sooner if information indi- Tribe has prepared as part of its existing management program. cates that there has been a change in the status or management of the spe- (2) If the U.S. Scientific Authority has made a range-wide non-detriment cies that might lead to different treat- finding for a species, a State or Tribe ment of the species. When a range-wide seeking initial approval for a CITES non-detriment finding is re-evaluated, export program for that species need

212

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00222 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.70

States and Tribes with an approved ex- grams can be obtained from our port program for the species must sub- website or by contacting us (see § 23.7). mit information that allows us to de- (1) To export fur skins taken under termine whether our finding remains an approved State or tribal program, valid. complete Form 3–200–26 and submit it (c) CITES tags. Unless an alternative to either FWS Law Enforcement or the method has been approved, each CITES U.S. Management Authority. fur skin to be exported or re-exported (2) To export fur skins that were not must have a U.S. CITES tag perma- harvested under an approved program nently attached. or to export products made from fur (1) The tag must be inserted through skins, complete Form 3–200–27 and sub- the skin and permanently locked in mit it to the U.S. Management Author- place using the locking mechanism of ity. the tag. (3) To re-export fur skins or products (2) The legend on the CITES tag must made from fur skins, complete Form 3- include the US-CITES logo, an abbre- 200-73 and submit it either to FWS Law viation for the State or Tribe of har- Enforcement or the U.S. Management Authority. vest, a standard species code assigned (4) For information on issuance cri- by the Management Authority, and a teria for CITES documents, see § 23.36 unique serial number. for export permits and § 23.37 for re-ex- (3) Fur skins without a CITES tag port certificates. permanently attached may not be ex- (f) Conditions for export. Upon export, ported or re-exported. If the CITES tag each fur skin, other than a fur skin has been inadvertently removed, dam- product, must be clearly identified in aged, or lost you may obtain a replace- accordance with paragraph (c) of this ment tag. To obtain a replacement tag, section. either from the State or Tribe that issued the original tag or from us, you [72 FR 48448, Aug. 23, 2007, as amended at 79 must provide information to show that FR 30426, May 27, 2014] the fur was legally acquired. § 23.70 How can I trade internationally (i) When a tag is inadvertently re- in American alligator and other moved, damaged, or lost, you may con- crocodilian skins, parts, and prod- tact the State or Tribe of harvest for a ucts? replacement tag. If the State or Tribe (a) U.S. and foreign general provisions. cannot replace it, you may apply to For the purposes of this section, croco- FWS Law Enforcement for a replace- dilian means all species of alligator, ment tag. If the tag has been inadvert- caiman, crocodile, and gavial of the ently removed or damaged, you must order Crocodylia. The import, export, give us the tag. If the tag is lost, you or re-export of any crocodilian skins, must provide details concerning how parts, or products must meet the re- the tag was lost. If we are satisfied quirements of this section and the that the fur was legally acquired, we other requirements of this part (see will provide a CITES replacement tag. subparts B and C for prohibitions and (ii) A replacement tag must meet all application procedures). For American of the requirements in paragraph (c) of alligator (Alligator mississippiensis) this section, except the legend will in- specimens harvested from a State or clude only the US-CITES logo, FWS- Tribe without an approved CITES ex- REPL, and a unique serial number. port program, see § 23.36 for export per- (4) Tags are not required on fur skin mits and § 23.37 for re-export certifi- products. cates. (d) Documentation requirements. The (b) Definitions. Terms used in this U.S. CITES export permit or an annex section are defined as follows: attached to the permit must contain (1) Crocodilian skins means whole or all information that is given on the partial skins, flanks, chalecos, and bel- tag. lies (including those that are salted, (e) U.S. application process. Applica- crusted, tanned, partially tanned, or tion forms and a list of States and otherwise processed), including skins of Tribes with approved furbearer pro- sport-hunted trophies.

213

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00223 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.70 50 CFR Ch. I (10–1–20 Edition)

(2) Crocodilian parts means body parts (x) If available, copies of any alli- with or without skin attached (includ- gator management plans or other rel- ing tails, throats, feet, meat, skulls, evant reports for American alligator and other parts) and small cut skin that the State or Tribe has prepared as pieces. part of its existing management pro- (c) Export approval of State and tribal gram. programs for American alligator. States (2) A State or Tribe with an approved and Tribes set up and maintain man- CITES export program must submit an agement and harvest programs de- American alligator activity report to signed to monitor and protect Amer- the U.S. Management Authority by ican alligators from over-harvest. July 1 of each year to provide informa- When a State or Tribe with a manage- tion regarding harvests during the pre- ment program provides us with the vious year. This report may reference necessary information, we make pro- information provided in previous years grammatic findings and have specific if the information has not changed. An requirements that allow export under American alligator activity report, at CITES. A State or Tribe must provide a minimum, should include the fol- sufficient information for us to deter- lowing: mine that its management program (i) The total number of skins from and harvest controls are appropriate to wild or farmed alligators that were ensure that alligators harvested within tagged by the State or Tribe. its jurisdiction are legally acquired (ii) An assessment of the status of and that the export will not be detri- the alligator population with an indi- mental to the survival of the species in cation of whether the population is sta- the wild. ble, increasing, or decreasing, and at (1) A State or Tribe seeking initial what rate (if known). If population lev- CITES export program approval must els are decreasing, activity reports submit the following to the U.S. Man- should include the State or Tribe’s pro- agement Authority: fessional assessment of the reason for (i) An assessment of the condition of the wild population and a description the decline and any steps being taken of the types of information on which to address it. the assessment is based, such as an (iii) For wild alligators, information analysis of carcass demographics, pop- on harvest, including harvest of nui- ulation models, analysis of past har- sance alligators, methods used to de- vest levels as a function of skin prices termine harvest levels, demographics or harvester effort, or indices of abun- of the harvest, and methods used to de- dance independent of harvest informa- termine the total number and popu- tion, such as nest surveys, spotlighting lation trends of alligators in the wild. surveys, or nuisance complaints. (iv) For farmed alligators, informa- (ii) Current harvest control meas- tion on whether collecting and rearing ures, including laws regulating harvest of eggs or hatchlings is allowed, what seasons and methods. factors are used to set harvest levels, (iii) Total allowable harvest of the and whether any alligators are re- species. turned to the wild. (iv) Distribution of harvest. (v) Information on, and a copy of, (v) Indication of how frequently har- any changes in laws or regulations af- vest levels are evaluated. fecting the American alligator. (vi) Tagging or marking require- (vi) If available, copies of relevant re- ments for skins and parts. ports that the State or Tribe has pre- (vii) Habitat evaluation. pared during the reporting period as (viii) Information on nuisance alli- part of its existing management pro- gator management programs. gram for the American alligator. (ix) Information on alligator farming (3) We provide CITES export tags to programs, including whether collecting States and Tribes with approved CITES and rearing of eggs or hatchlings is al- export programs. American alligator lowed, what factors are used to set har- skins and parts must meet the marking vest levels, and whether any alligators and tagging requirements of para- are returned to the wild. graphs (d), (e), and (f) of this section.

214

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00224 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.70

(d) Tagging of crocodilian skins. You provide details concerning how the tag may import, export, or re-export any was lost. If we are satisfied that the crocodilian skin only if a non-reusable skin was legally acquired, we will pro- tag is inserted though the skin and vide a CITES replacement tag. locked in place using the locking (ii) A replacement tag must meet all mechanism of the tag. A mounted of the requirements in paragraph (d)(1) sport-hunted trophy must be accom- of this section except that the species panied by the tag from the skin used to code and year of skin production or make the mount. harvest will not be required, and for re- (1) Except as provided for a replace- exports the country of re-export must ment tag in paragraph (d)(3)(ii) of this be shown in place of the country of ori- section, the tag must: gin. In the United States, the legend (i) Be tamper-resistant, self-locking, will include the US-CITES logo, FWS- heat resistant, and inert to chemical REPL, and a unique serial number. and mechanical processes. (ii) Be permanently stamped with the (e) Meat and skulls. Except for Amer- two-letter ISO code for the country of ican alligator, you may import, export, origin, a unique serial number, a stand- or re-export crocodilian meat and ardized species code (available on our skulls without tags or markings. Web site; see § 23.7), and for specimens American alligator meat and skulls of species from populations that have may be imported, exported, or re-ex- been transferred from Appendix I to ported if packaged and marked or Appendix II for ranching, the year of tagged in accordance with State or skin production or harvest. For Amer- tribal laws as follows: ican alligator, the export tags include (1) Meat from legally harvested and the US–CITES logo, an abbreviation for tagged alligators must be packed in the State or Tribe of harvest, a stand- permanently sealed containers and la- ard species code (MIS = Alligator beled as required by State or tribal mississippiensis), the year of skin pro- laws or regulations. Bulk meat con- duction or harvest, and a unique serial tainers must be marked with any re- number. quired State or tribal parts tag or bulk (iii) If the year of skin production or meat tag permanently attached and in- harvest and serial number appear next dicating, at a minimum, State or Tribe to each other on a tag, the information of origin, year of take, species, original should be separated by a hyphen. U.S. CITES tag number for the cor- (2) Skins, flanks, and chalecos must responding skin, weight of meat in the be individually tagged. container, and identification of State- (3) Skins without a non-reusable tag licensed processor or packer. permanently attached may not be ex- (2) Each American alligator skull ported or re-exported. To obtain a re- must be marked as required by State placement tag, either from the State or or tribal law or regulation. Tribe of harvest (for American alli- (f) Tagging or labeling of crocodilian gator) or from us, you must provide in- parts other than meat and skulls. You formation to show that the skin was le- may import, export, or re-export croco- gally acquired. dilian parts other than meat and skulls (i) In the United States, when an when the following conditions are met: American alligator tag is inadvertently removed, damaged, or lost, you may (1) Parts must be packed in trans- contact the State or Tribe of harvest parent sealed containers. for a replacement tag. If the State or (2) Containers must be clearly Tribe cannot replace it, you may apply marked with a non-reusable parts tag to FWS Law Enforcement for a re- or label that includes all of the infor- placement tag. To obtain replacement mation in paragraph (d)(1)(ii) of this tags for crocodilian skins other than section and a description of the con- American alligator in the United tents, the total weight (contents and States, contact FWS Law Enforcement. container), and the number of the If the tag has been inadvertently re- CITES document. moved or damaged, you must give us (3) Tags are not required on croco- the tag. If the tag is lost, you must dilian products.

215

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00225 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.71 50 CFR Ch. I (10–1–20 Edition)

(4) Tags are not required on scientific import, export, or re-export of specimens except as required in para- Acipenseriformes specimens other than graphs (d) and (e) of this section. caviar must meet the other require- (g) Documentation requirements. The ments of this part. See subparts B and CITES document or an annex attached C for prohibitions and application pro- to the document must contain all in- cedures. formation that is given on the tag or (b) Labeling. You may import, export, label. or re-export sturgeon caviar only if la- (h) U.S. application process. Applica- bels are affixed to containers prior to tion forms and a list of States and export or re-export in accordance with Tribes with approved American alli- this paragraph. gator programs can be obtained from (1) The following definitions apply to our website or by contacting us (see caviar labeling: § 23.7). (i) Non-reusable label means any label (1) To export American alligator or mark that cannot be removed with- specimens taken under an approved out being damaged or transferred to State or tribal program, except for another container. In the United products made from American alli- States, the design of the label will be gators, complete Form 3–200–26 and determined by the labeler in accord- submit it to either FWS Law Enforce- ance with the requirements of this sec- ment or the U.S. Management Author- tion. ity. (ii) Primary container means any con- (2) To export American alligator tainer (tin, jar, pail or other recep- specimens that are not from an ap- tacle) in direct contact with the caviar. proved program or to export products (iii) Secondary container means the re- made from American alligators,, com- ceptacle into which primary containers plete Form 3–200–27 and submit it to are placed. the U.S. Management Authority. (iv) Processing plant means a facility (3) To re-export crocodilian speci- in the country of origin responsible for mens, complete Form 3–200–73 and sub- the first packaging of caviar into a pri- mit it to either FWS Law Enforcement mary container. In the United States, or the U.S. Management Authority. this may be done by the person who (4) For information on issuance cri- harvested the roe. teria for CITES documents, see § 23.36 (v) Repackaging plant means a facility for export permits and § 23.37 for re-ex- responsible for receiving and repack- port certificates. aging caviar into new primary con- (i) Conditions for import, export, or re- tainers. This includes any facility export. Upon import, export, or re-ex- where caviar is removed from the con- port, each crocodilian specimen must tainer in which it was received and meet the applicable tagging require- placed in a different container. ments in paragraphs (d), (e), and (f) of (vi) Lot identification number means a this section. number that corresponds to informa- [72 FR 48448, Aug. 23, 2007, as amended at 79 tion related to the caviar tracking sys- FR 30427, May 27, 2014] tem used by the processing plant or repackaging plant. § 23.71 How can I trade internationally (2) The caviar-processing plant in the in sturgeon caviar? country of origin must affix a non-re- (a) U.S. and foreign provisions. For the usable label on the primary container purposes of this section, sturgeon caviar that includes all of the following infor- or caviar means the processed roe of mation: any species of sturgeon or paddlefish (i) Standardized species code; for hy- (order Acipenseriformes). It does not brids, the species code for the male is include sturgeon or paddlefish eggs followed by the code for the female and contained in shampoos, cosmetics, lo- the codes are separated by an ‘‘x’’ tions, or other products for topical ap- (codes are available on our website; see plication. The import, export, or re-ex- § 23.7). port of sturgeon caviar must meet the (ii) Source code. requirements of this section and the (iii) Two-letter ISO code of the coun- other requirements of this part. The try of origin.

216

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00226 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.72

(iv) Year of harvest. This is either ruary) in which it was harvested and the calendar year in which caviar was processed. harvested or, for caviar imported from (e) Re-exports. Any re-export of stur- shared stocks subject to quotas, the geon caviar must occur within 18 quota year in which it was harvested. months from the date of issuance of (v) Processing plant code and lot the original export permit. identification number. (f) Pre-Convention. Sturgeon caviar (3) If caviar is repackaged before ex- may not be imported, exported, or report or re-export, the repackaging exported under a pre-Convention cer- plant must affix a non-reusable label to tificate. the primary container that includes all (g) Mixed caviar. Caviar that consists of the following information: of roe from more than one species may (i) The standardized species code, only be imported into or exported from source code, and two-letter ISO code of the United States if the exact quantity the country of origin. of roe from each species is known and (ii) Year of repackaging and the re- is indicated on the CITES document. packaging plant code, which incor- (h) U.S. application forms. Application porates the two-letter ISO code for the forms can be obtained from our website repackaging country if different from or by contacting us (see § 23.7). For the country of origin. CITES document requirements, see (iii) Lot identification number or, for § 23.36 for export permits and § 23.37 for caviar that is being re-exported, the re-export certificates. For export, com- CITES document number under which plete Form 3–200–76 or Form 3–200–80 it was imported may be used in place of and submit it to the U.S. Management the lot identification number. Authority. For re-export, complete (4) The exact quantity of caviar must Form 3–200–73 and submit it either to be indicated on any secondary con- FWS Law Enforcement or the U.S. tainer along with a description of the Management Authority. contents in accordance with inter- (i) CITES register of exporters and of national customs regulations. processing and repackaging plants. The (c) Documentation requirements. Unless CITES Secretariat maintains a ‘‘Reg- the sturgeon caviar qualifies as a per- ister of licensed exporters and of proc- sonal or household effect under § 23.15, essing and repackaging plants for the CITES document or an annex at- specimens of sturgeon and paddlefish tached to the document must contain species’’ on its Web site. If you hold a all information that is given on the current import-export license issued by label. The exact quantity of each spe- FWS Law Enforcement and wish to be cies of caviar must be indicated on the added to the CITES register, you may CITES document. submit your contact information and (d) Export quotas. Commercial ship- processing or repackaging plant codes ments of sturgeon caviar from stocks to the U.S. Management Authority for shared between different countries may submission to the CITES Secretariat. be imported only if all of the following [72 FR 48448, Aug. 23, 2007, as amended at 73 conditions have been met: FR 40986, July 17, 2008; 79 fr 30428, May 27, (1) The relevant countries have estab- 2014] lished annual export quotas for the shared stocks that were derived from § 23.72 How can I trade internationally catch quotas agreed among the coun- in plants? tries. The quotas are based on an ap- (a) U.S. and foreign general provisions: propriate regional conservation strat- In addition to the requirements of this egy and monitoring regime and are not section, the import, export, or re-ex- detrimental to the survival of the spe- port of CITES plant specimens must cies in the wild. meet the other requirements of this (2) The quotas have been commu- part (see subparts B and C for prohibi- nicated to the CITES Secretariat and tions and application procedures). the Secretariat has communicated the (b) Seeds. International shipments of annual export quotas to CITES Parties. seeds of any species listed in Appendix (3) The caviar is exported during the I, except for seeds of certain artifi- quota year (March 1 – last day of Feb- cially propagated hybrids (see § 23.92),

217

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00227 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.73 50 CFR Ch. I (10–1–20 Edition)

or seeds of species listed in Appendix II (iv) Any salvaged Appendix-I plant or III with an annotation that includes will not be sold or used to establish a seeds, must be accompanied by a valid commercial operation for artificial CITES document. International ship- propagation after import. ments of CITES seeds that are artificially propagated also must be accom- § 23.73 How can I trade internationally panied by a valid CITES document. in timber? (c) A plant propagated from exempt (a) U.S. and foreign general provisions: plant material. A plant grown from ex- In addition to the requirements of this empt plant material is regulated by section, the import, export, or re-ex- CITES. port of timber species listed under (1) The proposed shipment of the CITES must meet the other require- specimen is treated as an export even if ments of this part (see subparts B and the exempt plant material from which C for prohibitions and application pro- it was derived was previously imported. cedures). The country of origin is the country in (b) Definitions. The following defini- which the specimen ceased to qualify tions apply to parts, products, and de- for the exemption. rivatives that appear in the annota- (2) Plants grown from exempt plant tions to certain timber species in the material qualify as artificially propa- CITES Appendices. These definitions gated provided they are grown under are based on the tariff classifications controlled conditions. of the Harmonized System of the World (3) To export plants grown from ex- Customs Organization. empt plant material under controlled (1) Logs means all wood in the rough, conditions, complete Form 3–200–33 for whether or not stripped of bark or a certificate for artificially propagated sapwood, or roughly squared for proc- plants. essing, notably into sawn wood, pulp- (d) Salvaged plants. (1) For purposes of wood, or veneer sheets. this section, salvaged plant means a (2) Sawn wood means wood simply plant taken from the wild as a result of sawn lengthwise or produced by a pro- some environmental modification in a file-chipping process. Sawn wood nor- country where a Party has done all of mally exceeds 6 mm in thickness. the following: (3) Veneer sheets means thin layers or (i) Ensured that the environmental sheets of wood of uniform thickness, modification program does not threat- usually 6 mm or less, usually peeled or en the survival of CITES plant species, sliced, for use in making plywood, ve- and that protection of Appendix-I spe- neer furniture, veneer containers, or cies in situ is considered a national and similar products. international obligation. (4) Plywood means wood material con- (ii) Established salvaged specimens sisting of three or more sheets of wood in cultivation after concerted attempts glued and pressed one on the other and have failed to ensure that the environ- generally disposed so that the grains of mental modification program would successive layers are at an angle. not put at risk wild populations of (c) The following exceptions apply to CITES species. Appendix-II or -III timber species that (2) International trade in salvaged have a substantive annotation that Appendix-I plants, and Appendix-II designates either logs, sawn wood, and plants whose entry into trade might veneer sheets, or logs, sawn wood, ve- otherwise have been considered detri- neer sheets, and plywood: mental to the survival of the species in (1) Change in destination. When a ship- the wild, may be permitted only when ment of timber destined for one coun- all the following conditions are met: try is redirected to another, the Man- (i) Such trade would clearly benefit agement Authority in the country of the survival of the species in the wild import may change the name and ad- or in cultivation. dress of the importer indicated on the (ii) Import is for the purposes of care CITES document under the following and propagation. conditions: (iii) Import is by a bona fide botanic (i) The quantity imported is the same garden or scientific institution. as the quantity certified by a stamp or

218

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00228 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.74

seal and authorized signature of the § 23.74 How can I trade internationally Management Authority on the CITES in personal sport-hunted trophies? document at the time of export or re- (a) U.S. and foreign general provisions. export. Except as provided for personal and (ii) The number of the bill of lading household effects in § 23.15, the import, for the shipment is on the CITES docu- export, or re-export of sport-hunted ment, and the bill of lading is pre- trophies of species listed under CITES sented at the time of import. must meet the requirements of this (iii) The import takes place before section and the other requirements of the CITES document expires, and the this part (see subparts B and C for pro- period of validity has not been ex- hibitions and application procedures). tended. (b) Sport-hunted trophy means a whole (iv) The Management Authority of dead animal or a readily recognizable the importing country includes the fol- part or derivative of an animal specifi- lowing statement in block 5, or an cally identified on accompanying equivalent place, of the CITES docu- CITES documents that meets the fol- ment: ‘‘Import into [name of country] lowing criteria: permitted in accordance with [cite the (1) Is raw, processed, or manufac- appropriate section number from the tured; current permit and certificate resolution] on [date].’’ The modification is (2) Was legally obtained by the hun- certified with an official stamp and sig- ter through hunting for his or her per- nature. sonal use; (v) The Management Authority sends (3) Is being imported, exported, or re- a copy of the amended CITES docu- exported by or on behalf of the hunter ment to the country of export or re-ex- as part of the transfer from its country port and the Secretariat. of origin ultimately to the hunter’s (2) Extension of CITES document valid- country of usual residence; and ity. A Management Authority in the (4) Includes worked, manufactured, country of import may extend the va- or handicraft items made from the lidity of an export permit or re-export sport-hunted animal only when: certificate beyond the normal max- (i) Such items are contained in the imum of 6 months after the date of same shipment as raw or tanned parts issue under the following conditions: of the sport-hunted animal and are for (i) The shipment has arrived in the the personal use of the hunter; port of final destination before the (ii) The quantity of such items is no CITES document expires, is being held more than could reasonably be ex- in customs bond, and is not considered pected given the number of animals imported. taken by the hunter as shown on the li- (ii) The time extension does not ex- cense or other documentation of the ceed 6 months from the date of expira- authorized hunt accompanying the tion of the CITES document and no shipment; and previous extension has been issued. (iii) The accompanying CITES docu- (iii) The Management Authority has ments (export document and, if appro- included in block 5, or an equivalent priate, import permit) contain a com- place, of the CITES document the date plete itemization and description of all of arrival and the new date of expira- items included in the shipment. tion on the document, and certified the (c) Use after import. You may use your modification with an official stamp sport-hunted trophy after import into and signature. the United States as provided in § 23.55. (iv) The shipment is imported into (d) Quantity. The following provisions the country from the port where the apply to the issuance and acceptance of Management Authority issued the ex- U.S. and foreign documents for sport- tension and before the amended CITES hunted trophies originating from a document expires. population for which the Conference of (v) The Management Authority sends the Parties has established an export a copy of the amended CITES docu- quota. The number of trophies that one ment to the country of export or re-ex- hunter may import in any calendar port and to the Secretariat. year for the following species is:

219

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00229 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.75 50 CFR Ch. I (10–1–20 Edition)

(1) No more than two leopard number for the year in question; and (Panthera pardus) trophies. the weight of the ivory in kilograms. (2) No more than one markhor (Capra The mark must be highlighted with a falconeri) trophy. flash of color and placed on the lip (3) No more than one black rhinoc- mark area. The lip mark area is the eros (Diceros bicornis) trophy. area of a whole African elephant tusk (e) Marking or tagging. (1) The fol- where the tusk emerges from the skull lowing provisions apply to the issuance and which is usually denoted by a and acceptance of U.S. and foreign doc- prominent ring of staining on the tusk uments for sport-hunted trophies origi- in its natural state. nating from a population for which the [72 FR 48448, Aug. 23, 2007, as amended at 79 Conference of the Parties has estab- FR 30428, May 27, 2014] lished an export quota. Each trophy imported, exported, or re-exported § 23.75 How can I trade internationally must be marked or tagged in the fol- in vicun˜ a (Vicugna vicugna)? lowing manner: (a) U.S. and foreign general provisions. (i) Leopard and markhor: Each raw The import, export, or re-export of or tanned skin must have a self-locking specimens of vicun˜ a must meet the re- tag inserted through the skin and per- quirements of this section and the manently locked in place using the other requirements of this part (see locking mechanism of the tag. The tag subparts B and C of this part for prohi- must indicate the country of origin, bitions and application procedures). the number of the specimen in relation Certain populations of vicun˜ a are listed to the annual quota, and the calendar in Appendix II for the exclusive pur- year in which the specimen was taken pose of allowing international trade in in the wild. A mounted sport-hunted wool sheared from live vicun˜ as, cloth trophy must be accompanied by the tag made from such wool, and products from the skin used to make the mount. manufactured from such wool or cloth. (ii) Black rhinoceros: Parts of the All other specimens of vicun˜ a are trophy, including, but not limited to, deemed to be specimens of a species in- skin, skull, or horns, whether mounted cluded in Appendix I. or loose, should be individually marked (b) Vicun˜ a Convention means the with reference to the country of origin, Convenio para la Conservacio´ n y species, the number of the specimen in Manejo de la Vicun˜ a, of which vicun˜ a relation to the annual quota, and the range countries are signatories. year of export. (c) Vicun˜ a logotype means the logo- (iii) Crocodilians: See marking re- type adopted by the vicun˜ a range coun- quirements in § 23.70. tries under the Vicun˜ a Convention. (iv) The export permit or re-export (d) Country of origin for the purposes certificate or an annex attached to the of the vicun˜ a label means the name of permit or certificate must contain all the country where the vicun˜ a wool in the information that is given on the the cloth or product originated. tag. (e) Wool sheared from live vicun˜ as, (2) African elephant (Loxodonta cloth from such wool, and products manu- africana). The following provisions factured from such wool or cloth may be apply to the issuance and acceptance of imported from Appendix-II populations U.S. and foreign documents for sport- only when they meet the labeling re- hunted trophies of African elephant. quirements in paragraph (f) of this sec- The trophy ivory must be legibly tion. marked by means of punch-dies, indel- (f) Labeling requirements. Except for ible ink, or other form of permanent cloth containing CITES pre-Conven- marking, under a marking and reg- tion wool of vicun˜ a, you may import, istration system established by the export, or re-export vicun˜ a cloth only country of origin, with the following when the reverse side of the cloth bears formula: The country of origin rep- the vicun˜ a logotype and the selvages resented by the corresponding two-let- bear the words ‘‘VICUN˜ A—COUNTRY ter ISO country code; the last two dig- OF ORIGIN’’. Specimens of other prod- its of the year in which the elephant ucts manufactured from vicun˜ a wool or was harvested for export; the serial cloth must bear a label that has the

220

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00230 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.79

vicun˜ a logotype and the designation ment and administration of the Con- ‘‘VICUN˜ A—COUNTRY OF ORIGIN— vention. ARTESANIA’’. Each specimen must (d) Consultation process. FWS and bear such a label. For import into the APHIS may consult with the Manage- United States of raw wool sheared from ment Authority in the country of ex- live vicun˜ a, see the labeling require- port or re-export and other relevant ments in 50 CFR 17.40(m). governmental and nongovernmental experts before making a decision on [79 FR 30428, May 27, 2014] the disposal of confiscated live specimens that have been forfeited or aban- Subpart F—Disposal of doned to the FWS, APHIS, or CBP. Confiscated Wildlife and Plants § 23.79 How may I participate in the § 23.78 What happens to confiscated Plant Rescue Center Program? wildlife and plants? (a) Purpose. We have established the (a) Purpose. Article VIII of the Treaty Plant Rescue Center Program to place provides for confiscation or return to confiscated live plants quickly to pre- the country of export of specimens that vent physical damage to the plants. are traded in violation of CITES. (b) Criteria. Institutions interested in (b) Disposal options. Part 12 of this participating in this program must be: subchapter provides the options we (1) Nonprofit, open to the public, and have for disposing of forfeited and have the expertise and facilities to care abandoned live and dead wildlife and for confiscated exotic plant specimens. plants. These include maintenance in A participating institution may be a captivity either in the United States or botanical garden, arboretum, zoolog- in the country of export, return to the ical park, research institution, or other wild under limited circumstances, and qualifying institution. sale of certain Appendix-II or -III speci- (2) Willing to transfer confiscated mens. Under some conditions, eutha- plants from the port where they were confiscated to their facilities at their nasia or destruction may be necessary. own expense. (1) We use a plant rescue center pro- (3) Willing to return the plants to the gram to dispose of confiscated live U.S. Government if the country of ex- plants. Participants in this program port has requested their return. The may also assist APHIS, CBP, and FWS U.S. Government will then coordinate Law Enforcement in holding seized the plants’ return to the country of ex- specimens as evidence pending any port. legal decisions. (4) Willing to accept and maintain a (2) We dispose of confiscated live plant shipment as a unit until it has wildlife on a case-by-case basis at the received authorization from us to in- time of seizure and forfeiture, and con- corporate the shipment into its perma- sider the quantity, protection level, nent collection or transfer a portion of and husbandry needs of the wildlife. it to another participating institution. (c) Re-export. We may issue a re-ex- (c) Participation. Institutions wishing port certificate for a CITES specimen to participate in the Plant Rescue Cen- that was forfeited or abandoned when ter Program should contact the U.S. the certificate indicates the specimen Management Authority (see § 23.7). was confiscated and when the re-export They must provide a brief description meets one of the following purposes: of the greenhouse or display facilities, (1) For any CITES species, the return the names and telephone numbers of of a live specimen to the Management any individuals authorized to accept Authority of the country of export, plants on behalf of the institution, and placement of a live specimen in a res- the mailing address where the plants cue center, or use of the specimen for should be sent. In addition, interested law enforcement, judicial, or forensic institutions must indicate if they are purposes. limited with regard to the type of (2) For an Appendix-II or -III species, plants they are able to maintain or the the disposal of the specimen in an ap- quantities of plants they can handle at propriate manner that benefits enforce- one time.

221

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00231 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.84 50 CFR Ch. I (10–1–20 Edition)

Subpart G—CITES Administration (2) The Animals Committee and the Plants Committee provide advice and § 23.84 What are the roles of the Secre- guidance to the CoP, the other com- tariat and the committees? mittees, working groups, and the Sec- (a) Secretariat. The Secretariat is retariat on all matters relevant to headed by the Secretary-General. Its international trade in species included functions are listed in Article XII of in the Appendices. the Treaty and include: (i) These committees also develop and maintain a standardized list of spe- (1) Arranging and staffing meetings cies names; provide assistance with re- of the Parties. gard to identification of species listed (2) Performing functions as requested in the Appendices; cooperate with the in relation to listings in the Appen- Secretariat to assist Scientific Au- dices. thorities; compile and evaluate data on (3) Undertaking scientific and tech- Appendix-II species that are considered nical studies, as authorized by the CoP, significantly affected by trade; periodi- to contribute to implementation of the cally review the status of wildlife and Convention. plant species listed in the Appendices; (4) Studying reports of the Parties advise range countries on management and requesting additional information techniques when requested; draft reso- as appropriate to ensure effective im- lutions on wildlife and plant matters plementation of the Convention. for consideration by the Parties; deal (5) Bringing to the attention of the with issues related to the transport of Parties matters relevant to the Con- live specimens; and report to the CoP vention. and the Standing Committee. (6) Periodically publishing and dis- (ii) Regional representatives are indi- tributing to the Parties current edi- viduals, who are elected by their re- tions of the Appendices as well as in- spective geographic regions at the CoP. formation on the identification of (iii) The CoP appoints a specialist in specimens of species listed in the Ap- zoological nomenclature to the Ani- pendices. mals Committee and a specialist in bo- (7) Preparing annual reports to the tanical nomenclature to the Plants Parties on its work and on the imple- Committee. These specialists are ex mentation of the Convention. officio and non-voting, and are respon- (8) Making recommendations for the sible for developing or identifying implementation of the aims and provi- standard nomenclature references for sions of the Convention, including the wildlife and plant taxa and making rec- exchange of scientific and technical in- ommendations on nomenclature to formation. Parties, the CoP, other committees, (9) Performing other functions en- working groups, and the Secretariat. trusted to it by the Parties. [72 FR 48448, Aug. 23, 2007, as amended at 79 (b) Committees. The Parties have es- FR 30429, May 27, 2014] tablished three committees to provide administrative and technical support § 23.85 What is a meeting of the Con- to the Parties and to the Secretariat. ference of the Parties (CoP)? The CoP may charge any of these com- (a) Purpose. Article XI of the Treaty mittees with tasks. provides general guidelines for meet- (1) The Standing Committee steers ings of the countries that have ratified, the work and performance of the Con- accepted, approved, or acceded to vention between CoPs. CITES. The Parties currently meet for (i) This committee oversees develop- 2 weeks every 3 years. At these meet- ment and execution of the Secretar- ings, the Parties consider amendments iat’s budget, advises other committees, to the Appendices and resolutions and appoints working groups, and carries decisions to improve the implementa- out activities on behalf of the Parties tion of CITES. The Parties adopt between CoPs. amendments to the lists of species in (ii) Regional representatives are Appendix I and II and resolutions by a countries that are elected by their re- two-thirds majority of Parties present spective geographic regions at the CoP. and voting. The Secretariat or any

222

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00232 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.87

Party may also submit reports on wild- (2) Consult with appropriate Federal, life and plant trade for consideration. State, and tribal agencies; foreign gov- (b) CoP locations and dates. At a CoP, ernmental agencies; scientists; experts; Parties interested in hosting the next and others. meeting notify the Secretariat. The (3) Seek public comment through Parties vote to select the location of published FEDERAL REGISTER notices or the next CoP. Once a country has been postings on our website that: chosen, it works with the Secretariat (i) Solicit recommendations on po- to set the date and specific venue. The tential proposals to amend the Appen- Secretariat then notifies the Parties of dices, draft resolutions, and other doc- the date for the next CoP. uments for U.S. submission to the CoP. (c) Attendance at a CoP. All Parties (ii) Announce proposals to amend the may participate and vote at a CoP. Appendices, draft resolutions, and Non-Party countries may participate, other documents that the United but may not vote. Organizations tech- States is considering submitting to the nically qualified in protection, conservation, or management of wildlife CoP. or plants may participate in a CoP as (iii) Provide the CoP agenda and a observers if they are approved, but list of the amendments to the Appen- they are not eligible to vote. dices proposed for the CoP, a summary (1) International organizations must of our proposed negotiating positions apply to the CITES Secretariat for ap- on these items, and the reasons for our proval to attend a CoP as an observer. proposed positions. (2) National organizations must (4) Consider comments received in re- apply to the Management Authority of sponse to notices or postings provided the country where they are located for in paragraph (a)(3) of this section. approval to attend a CoP as an ob- (b) We submit the following docu- server. ments to the Secretariat for consideration at the CoP: § 23.86 How can I obtain information (1) Draft resolutions and other docu- on a CoP? ments at least 150 days before the CoP. As we receive information on an up- (2) Proposals to amend the Appen- coming CoP from the CITES Secre- dices at least 150 days before the CoP if tariat, we will notify the public either we have consulted all range countries, through published notices in the FED- or 330 days before the CoP if we have ERAL REGISTER or postings on our not consulted the range countries. For website (see § 23.7). We will provide: the latter, the additional time allows (a) A summary of the information we for the range countries to be consulted have received with an invitation for through the Secretariat. the public to comment and provide in- (c) The Director may modify or sus- formation on the agenda, proposed pend any of these procedures if they amendments to the Appendices, and would interfere with the timely or ap- proposed resolutions that they believe propriate development of documents the United States should submit for consideration at the CoP. for submission to the CoP and U.S. negotiating positions. (b) Information on times, dates, and locations of public meetings. (d) We may receive additional infor- (c) Information on how international mation at a CoP or circumstances may and national organizations may apply develop that have an impact on our to participate as observers. tentative negotiating positions. As a result, the U.S. representatives to a § 23.87 How does the United States de- CoP may find it necessary to modify, velop documents and negotiating reverse, or otherwise change any of positions for a CoP? those positions when to do so would be (a) In developing documents and ne- in the best interests of the United gotiating positions for a CoP, we: States or the conservation of the spe- (1) Will provide for at least one pub- cies. lic meeting.

223

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00233 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.88 50 CFR Ch. I (10–1–20 Edition)

§ 23.88 What are the resolutions and ability or quality; area of distribution; decisions of the CoP? taxon-specific vulnerabilities due to (a) Purpose. Under Article XI of the life history, behavior, or other intrin- Treaty, the Parties agree to resolu- sic factors, such as migration; popu- tions and decisions that clarify and in- lation structure and niche require- terpret the Convention to improve its ments; threats from extrinsic factors effectiveness. Resolutions are gen- such as the form of exploitation, intro- erally intended to provide long-stand- duced species, habitat degradation and ing guidance, whereas decisions typi- destruction, and stochastic events; or cally contain instructions to a specific decreases in recruitment. committee, Parties, or the Secretariat. (c) Listing a species in Appendix II due Decisions are often intended to be im- to actual or potential threats. Any spe- plemented by a specific date, and then cies qualifies for inclusion in Appendix they expire. II if it is or may be affected by trade (b) Effective date. A resolution or de- and meets at least one of the criteria cision adopted by the Parties becomes for listing in Appendix II based on ac- effective 90 days after the last day of tual or potential threats to that spe- the meeting at which it was adopted, cies. These criteria are: unless otherwise specified in the reso- (1) It is known, or can be inferred or lution or decision. projected, that the regulation of trade is necessary to avoid the species be- Subpart H—Lists of Species coming eligible for inclusion in Appen- dix I in the near future. § 23.89 What are the criteria for listing (2) It is known, or can be inferred or species in Appendix I or II? projected, that the regulation of trade (a) Purpose. Article XV of the Treaty in the species is required to ensure that sets out the procedures for amending the harvest of specimens from the wild CITES Appendices I and II. A species is not reducing the wild population to must meet trade and biological criteria a level at which its survival might be listed in the CITES resolution for threatened by continued harvest or amendment of Appendices I and II. other influences. When determining whether a species (d) Listing a species in Appendix II due qualifies for inclusion in or removal to similarity of appearance or other fac- from Appendix I or II, or transfer from tors. Any species qualifies for inclusion one Appendix to another, we will: in Appendix II if it meets either of the (1) Consult with States, Tribes, range criteria for listing in Appendix II due countries, relevant experts, other Fed- to similarity of appearance or other eral agencies, and the general public. (2) Utilize the best available biologi- factors. These criteria are: cal information. (1) The specimens of the species in (3) Evaluate that information against the form in which they are traded re- the criteria in paragraphs (b) through semble specimens of a species listed in (f) of this section. Appendix II due to criteria in para- (b) Listing a species in Appendix I. Any graph (c) of this section or in Appendix species qualifies for inclusion in Ap- I, such that enforcement officers who pendix I if it is or may be affected by encounter specimens of such similar trade and meets, or is likely to meet, CITES species are unlikely to be able at least one biological criterion for Ap- to distinguish between them. pendix I. (2) There are compelling reasons (1) These criteria are: other than those in paragraph (d)(1) of (i) The size of the wild population is this section to ensure that effective small. control of trade in currently listed spe- (ii) Area of distribution is restricted. cies is achieved. (iii) There is an observed, inferred, or (e) Other issues. We will evaluate any projected marked decline in the popu- potential changes to the Appendices, lation size in the wild. taking into consideration other issues, (2) Factors to be considered include, including but not limited to, split-list- but are not limited to, population and ing, annotation, listings of higher taxa range fragmentation; habitat avail- and hybrids, and specific listing issues

224

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00234 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 U.S. Fish and Wildlife Serv., Interior § 23.90

related to plants and commercially exporting countries, the Secretariat, and ploited aquatic species. the Animals Committee or the Plants (f) Precautionary measures. We will Committee that it is considering the evaluate any potential transfers from listing and seek their opinions on the Appendix I to II or removal of species potential effects of the listing. from the Appendices in the context of (d) Annotation. The listing Party may precautionary measures. annotate the Appendix-III listing to in- (g) Proposal. If a Party determines clude only specific parts, products, de- that a taxon qualifies for inclusion in rivatives, or life stages, as long as the or removal from Appendix I or II, or Secretariat is notified of the annota- transfer from one Appendix to another, tion. a proposal may be submitted to the Secretariat for consideration by the (e) U.S. procedure. The procedure to CoP. list a species native to the United (1) The proposal should indicate the States in Appendix III is as follows: intent of the specific action (such as (1) We will consult with and solicit inclusion in Appendix I or II); be spe- comments from all States and Tribes cific and accurate as to the parts and where the species occurs and all other derivatives to be included in the list- range countries. ing; ensure that any proposed annota- (2) We will publish a proposed rule in tion is consistent with existing annota- the FEDERAL REGISTER to solicit com- tions; state the criteria against which ments from the public. the proposal is to be judged; and pro- (3) If after evaluating the comments vide a justification for the basis on received and available information we which the species meets the relevant determine the species should be listed criteria. in Appendix III, we will publish a final (2) The proposal must be in a pre- rule in the FEDERAL REGISTER and no- scribed format. Contact the U.S. Sci- tify the Secretariat of the listing. entific Authority for a copy (see § 23.7). (f) Removing a species from Appendix § 23.90 What are the criteria for listing III. We will monitor the international species in Appendix III? trade in Appendix-III species listed by (a) Purpose. Article XVI of the Treaty us and periodically evaluate whether sets out the procedures for amending each species continues to meet the list- Appendix III. ing criteria in paragraph (c) of this sec- (b) General procedure. A Party may tion. We will remove a species from Ap- unilaterally, at any time, submit a re- pendix III provided all of the following quest to list a species in Appendix III criteria are met: to the CITES Secretariat. The listing (1) International trade in the species will become effective 90 days after the is very limited. As a general guide, we Secretariat notifies the Parties of the will consider removal when exports in- request. volve fewer than 5 shipments per year (c) Criteria for listing. For a Party to or fewer than 100 individual animals or list a species in Appendix III, all of the plants. following criteria must be met: (2) Legal and illegal trade in the spe- (1) The species must be native to the cies, including international trade or country listing the species. interstate commerce, is determined (2) The species must be protected not to be a concern. under that country’s laws or regula- (g) Transferring a species from Appen- tions to prevent or restrict exploi- dix III to Appendix I or II. If, after moni- tation and control trade, and the laws toring the trade and evaluating the or regulations are being implemented. (3) The species is in international status of an Appendix-III species we trade, and there are indications that listed, we determine that the species the cooperation of other Parties would meets the criteria in § 23.89(b) through help to control illegal trade. (d) of this section for listing in Appen- (4) The listing Party must inform the dix I or II, we will consider whether to Management Authorities of other submit a proposal to amend the listing range countries, the known major im- at the next CoP.

225

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00235 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243 § 23.91 50 CFR Ch. I (10–1–20 Edition)

§ 23.91 How do I find out if a species is CITES requirements, any part, prod- listed? uct, or derivative that is specifically (a) CITES list. The official CITES list excluded. includes species of wildlife and plants (ii) Where an annotation designates placed in Appendix I, II, and III in ac- what is covered by the Treaty, all cordance with the provisions of Arti- parts, products, or derivatives that are cles XV and XVI of the Treaty. This not designated. list is maintained by the CITES Secre- (2) Plant hybrids. Specimens of an Ap- tariat based on decisions of the Par- pendix-II or -III plant taxon with an ties. You may access the official list annotation that specifically excludes from the CITES website (see § 23.7). hybrids. (b) Effective date. Amendments to the (c) The following are exempt from CITES list are effective as follows: CITES document requirements when (1) Appendix-I and -II species listings certain criteria are met. adopted at the CoP are effective 90 (1) Plant hybrids. Seeds and pollen (in- days after the last day of the CoP, un- cluding pollinia), cut flowers, and less otherwise specified in the proposal. flasked seedlings or tissue cultures of (2) Appendix-I and -II species listings hybrids that qualify as artificially adopted between CoPs by postal proce- propagated (see § 23.64) and that were dures are effective 120 days after the produced from one or more Appendix-I Secretariat has communicated com- species or taxa that are not annotated ments and recommendations on the to treat hybrids as Appendix-I speci- listing to the Parties if the Secretariat mens. does not receive an objection to the (2) Flasked seedlings of Appendix-I or- proposed amendment from a Party. chids. Flasked seedlings of an Appen- (3) Appendix-III species listings are dix-I orchid species that qualify as ar- effective 90 days after the date the Sec- tificially propagated (see § 23.64). retariat has communicated such list- (3) Marine specimens listed in Appendix ings to the Parties. A listing Party II that are protected under another trea- may withdraw a species from the list ty, convention, or international agreement at any time by notifying the Secre- which was in force on July 1, 1975 as pro- tariat. The withdrawal is effective 30 vided in § 23.39(d). days after the Secretariat has commu- (4) Coral sand and coral fragments as nicated the withdrawal to the Parties. defined in § 23.5. (5) Personal and household effects as § 23.92 Are any wildlife or plants, and provided in § 23.15. their parts, products, or deriva- (6) Urine, feces, and synthetically de- tives, exempt? rived DNA as provided in § 23.16. (a) All living or dead wildlife and (7) Certain wildlife hybrids as provided plants in Appendix I, II, and III and all in § 23.43. their readily recognizable parts, prod- [72 FR 48448, Aug. 23, 2007, as amended at 79 ucts, and derivatives must meet the re- FR 30429, May 27, 2014] quirements of CITES and this part, except as indicated in paragraphs (b) and PART 24—IMPORTATION AND (c) of this section. EXPORTATION OF PLANTS (b) The following are exempt from the requirements of CITES. You may Subpart A—Introduction be required to demonstrate that your specimen qualifies as exempt under Sec. this section. For specimens that are ex- 24.1 Purpose of regulations. empt from CITES requirements, you 24.2 Scope of regulations. must still follow the clearance require- Subpart B—Importation and Exportation at ments for wildlife in part 14 of this sub- Designated Ports chapter and for plants in part 24 of this subchapter and 7 CFR parts 319, 352, 24.11 General restrictions. and 355. 24.12 Designated ports. (1) Appendix-III wildlife and Appendix- AUTHORITY: Secs. 9(f)(1), 11(f), Pub. L. 93– II or -III plants. (i) Where an annotation 205, 87 Stat 893, 897 (16 U.S.C. 1538(f)(1), designates what is excluded from 1540(f)).

226

VerDate Sep<11>2014 15:28 Jun 23, 2021 Jkt 253006 PO 00000 Frm 00236 Fmt 8010 Sfmt 8010 Y:\SGML\250243.XXX 250243