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Title 50Chapter ISubchapter BPart 23 → Subpart B


Title 50: Wildlife and Fisheries
PART 23—CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA (CITES)


Subpart B—Prohibitions, Exemptions, and Requirements


Contents
§23.13   What is prohibited?
§23.14   [Reserved]
§23.15   How may I travel internationally with my personal or household effects, including tourist souvenirs?
§23.16   What are the U.S. CITES requirements for urine, feces, and synthetically derived DNA?
§23.17   What are the requirements for CITES specimens traded internationally by diplomatic, consular, military, and other persons exempt from customs duties or inspections?
§23.18   What CITES documents are required to export Appendix-I wildlife?
§23.19   What CITES documents are required to export Appendix-I plants?
§23.20   What CITES documents are required for international trade?
§23.21   What happens if a country enters a reservation for a species?
§23.22   What are the requirements for in-transit shipments?
§23.23   What information is required on U.S. and foreign CITES documents?
§23.24   What code is used to show the source of the specimen?
§23.25   What additional information is required on a non-Party CITES document?
§23.26   When is a U.S. or foreign CITES document valid?
§23.27   What CITES documents do I present at the port?

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§23.13   What is prohibited?

Except as provided in §23.92, it is unlawful for any person subject to the jurisdiction of the United States to conduct any of the following activities unless they meet the requirements of this part:

(a) Import, export, re-export, or engage in international trade with any specimen of a species listed in Appendix I, II, or III of CITES.

(b) Introduce from the sea any specimen of a species listed in Appendix I or II of CITES.

(c) Possess any specimen of a species listed in Appendix I, II, or III of CITES imported, exported, re-exported, introduced from the sea, or traded contrary to the provisions of CITES, the ESA, or this part.

(d) Use any specimen of a species listed in Appendix I, II, or III of CITES for any purpose contrary to what is allowed under §23.55.

(e) Violate any other provisions of this part.

(f) Attempt to commit, solicit another to commit, or cause to be committed any of the activities described in paragraphs (a) through (e) of this section.

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014]

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§23.14   [Reserved]

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§23.15   How may I travel internationally with my personal or household effects, including tourist souvenirs?

(a) Purpose. Article VII(3) of the Treaty recognizes a limited exemption for the international movement of personal and household effects.

(b) Stricter national measures. The exemption for personal and household effects does not apply if a country prohibits or restricts the import, export, or re-export of the item.

(1) You or your shipment must be accompanied by any document required by a country under its stricter national measures.

(2) In the United States, you must obtain any permission needed under other regulations in this subchapter (see §23.3).

(c) Required CITES documents. You must obtain a CITES document for personal or household effects and meet the requirements of this part if one of the following applies:

(1) The Management Authority of the importing, exporting, or re-exporting country requires a CITES document.

(2) You or your shipment does not meet all of the conditions for an exemption as provided in paragraphs (d) through (f) of this section.

(3) The personal or household effect for the following species exceeds the quantity indicated in paragraphs (c)(3)(i) through (vi) in the table below:

Major groupSpecies (Appendix II only)Type of specimenQuantity1
Fishes(i) Acipenseriformes (sturgeon, including paddlefish)Sturgeon caviar (see §23.71)125 gm
Fishes(ii) Hippocampus spp. (seahorses)Dead specimens, parts, products (including manufactured items), and derivatives4
Reptiles(iii) Crocodylia (alligators, caimans, crocodiles, gavial)Dead specimens, parts, products (including manufactured items), and derivatives4
Molluscs(iv) Strombus gigas (queen conch)Shells3
Molluscs(v) Tridacnidae (giant clams)Shells, each of which may be one intact shell or two matching halves3 shells, total not exceeding 3 kg
Plants(vi) Cactaceae (cacti)Rainsticks3

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

(d) Personal effects. You do not need a CITES document to import, export, or re-export any legally acquired specimen of a CITES species to or from the United States if all of the following conditions are met:

(1) No live wildlife or plant (including eggs or non-exempt seeds) is included.

(2) No specimen from an Appendix-I species is included, except for certain worked African elephant ivory as provided in paragraph (f) of this section.

(3) The specimen and quantity of specimens are reasonably necessary or appropriate for the nature of your trip or stay and, if the type of specimen is one listed in paragraph (c)(3) of this section, the quantity does not exceed the quantity given in the table.

(4) You own and possess the specimen for personal use, including any specimen intended as a personal gift.

(5) You are either wearing the specimen as clothing or an accessory or taking it as part of your personal baggage, which is being carried by you or checked as baggage on the same plane, boat, vehicle, or train as you.

(6) The specimen was not mailed or shipped separately.

(e) Household effects. You do not need a CITES document to import, export, or re-export any legally acquired specimen of a CITES species that is part of a shipment of your household effects when moving your residence to or from the United States, if all of the following conditions are met:

(1) The provisions of paragraphs (d)(1) through (3) of this section are met.

(2) You own the specimen and are moving it for personal use.

(3) You import or export your household effects within 1 year of changing your residence from one country to another.

(4) The shipment, or shipments if you cannot move all of your household effects at one time, contains only specimens purchased, inherited, or otherwise acquired before you changed your residence.

(f) African elephant worked ivory. You may export or re-export from the United States worked African elephant (Loxodonta africana) ivory and then re-import it without a CITES document if all of the following conditions are met:

(1) The worked ivory is a personal or household effect that meets the requirements of paragraphs (c) through (e) of this section and you are a U.S. resident who owned the worked ivory before leaving the United States and intend to bring the item back to the United States.

(2) The ivory is pre-Convention (see §23.45). (The African elephant was first listed in CITES on February 26, 1976.)

(3) You may not sell or transfer the ivory while outside the United States.

(4) The ivory is substantially worked and is not raw. Raw ivory means an African elephant tusk, or any piece of tusk, the surface of which, polished or unpolished, is unaltered or minimally carved, including ivory mounted on a stand or part of a trophy.

(5) When you return, you are able to provide records, receipts, or other documents to show that the ivory is pre-Convention and that you owned and registered it before you left the United States. To register such an item you must obtain one of the following documents:

(i) U.S. CITES pre-Convention certificate.

(ii) FWS Declaration of Importation or Exportation of Fish or Wildlife (Form 3-177).

(iii) Customs and Border Protection Certificate of Registration for Personal Effects Taken Abroad (Form 4457).

[72 FR 48448, Aug. 23, 2007, as amended at 73 FR 40986, July 17, 2008]

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§23.16   What are the U.S. CITES requirements for urine, feces, and synthetically derived DNA?

(a) CITES documents. We do not require CITES documents to trade in urine, feces, or synthetically derived DNA.

(1) You must obtain any collection permit and CITES document required by the foreign country.

(2) If the foreign country requires you to have a U.S. CITES document for these kinds of samples, you must apply for a CITES document and meet the requirements of this part.

(b) Urine and feces. Except as provided in paragraph (a) of this section, we consider urine and feces to be wildlife byproducts, rather than parts, products, or derivatives, and exempt them from the requirements of CITES and this part.

(c) DNA. We differentiate between DNA directly extracted from blood and tissue and DNA synthetically derived as follows:

(1) A DNA sample directly derived from wildlife or plant tissue is regulated by CITES and this part.

(2) A DNA sample synthetically derived that does not contain any part of the original template is exempt from the requirements of CITES and this part.

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§23.17   What are the requirements for CITES specimens traded internationally by diplomatic, consular, military, and other persons exempt from customs duties or inspections?

A specimen of a CITES species imported, introduced from the sea, exported, or re-exported by a person receiving duty-free or inspection exemption privileges under customs laws must meet the requirements of CITES and the regulations in this part.

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§23.18   What CITES documents are required to export Appendix-I wildlife?

Answer the questions in the following decision tree to find the section in this part that applies to the type of CITES document you need to export Appendix-I wildlife. See §23.20(d) for CITES exemption documents or §23.92 for specimens that are exempt from the requirements of CITES and do not need CITES documents.

eCFR graphic er27my14.000.gif

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[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014]

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§23.19   What CITES documents are required to export Appendix-I plants?

Answer the questions in the following decision tree to find the section in this part that applies to the type of CITES document you need to export Appendix-I plants. See §23.20(d) for CITES exemption documents or §23.92 for specimens that are exempt from the requirements of CITES and do not need CITES documents.

eCFR graphic er27my14.001.gif

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[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014]

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§23.20   What CITES documents are required for international trade?

(a) Purpose. Articles III, IV, and V of the Treaty give the types of standard CITES documents that must accompany an Appendix-I, -II, or -III specimen in international trade. Articles VII and XIV recognize some exemptions and provide that a CITES document must accompany most exempt specimens.

(b) Stricter national measures. Before importing, introducing from the sea, exporting, or re-exporting a specimen, check with the Management Authorities of all countries concerned to obtain any documentation required under stricter national measures.

(c) CITES documents. Except as provided in the regulations in this part, you must have a valid CITES document to engage in international trade in any CITES specimen.

(d) CITES exemption documents. The following table lists the CITES exemption document that you must obtain before conducting a proposed activity with an exempt specimen (other than specimens exempted under §23.92). If one of the exemptions does not apply to the specimen, you must obtain a CITES document as provided in paragraph (e) of this section. The first column in the following table alphabetically lists the type of specimen or activity that may qualify for a CITES exemption document. The last column indicates the section of this part that contains information on the application procedures, provisions, criteria, and conditions specific to each CITES exemption document, as follows:

Type of specimen or activityAppendixCITES exemption documentSection
(1) Artificially propagated plant (see paragraph (d)(4) of this section for an Appendix-I plant propagated for commercial purposes)I, II, or IIICITES document with source code “A”123.40
(2) Artificially propagated plant from a country that has provided copies of the certificates, stamps, and seals to the SecretariatII or IIIPhytosanitary certificate with CITES statement123.23(f)
(3) Bred-in-captivity wildlife (see paragraph (d)(5) of this section for Appendix-I wildlife bred in captivity for commercial purposes)I, II, or IIICITES document with source code “C”123.41
(4) Commercially propagated Appendix-I plantICITES document with source code “D”123.47
(5) Commercially bred Appendix-I wildlife from a breeding operation registered with the CITES SecretariatICITES document with source code “D”123.46
(6) Export of certain marine specimens protected under a pre-existing treaty, convention, or international agreement for that speciesIICITES document indicating that the specimen was taken in accordance with provisions of the applicable treaty, convention, or international agreement23.36(e)
23.39(e)
(7) Hybrid plantsI, II, or IIICITES document unless the specimen qualifies as an exempt plant hybrid23.42
(8) Hybrid wildlifeI, II, or IIICITES document unless the specimen qualifies as an exempt wildlife hybrid23.43
(9) In-transit shipment (see paragraph (d)(14) of this section for sample collections covered by an ATA carnet)I, II, or IIICITES document designating importer and country of final destination23.22
(10) Introduction from the sea under a pre-existing treaty, convention, or international agreement for that speciesIIDocument required by applicable treaty, convention, or international agreement, if appropriate23.39(d)
(11) Noncommercial loan, donation, or exchange of specimens between scientific institutions registered with the CITES SecretariatI, II, or IIIA label indicating CITES and the registration codes of both institutions and, in the United States, a CITES certificate of scientific exchange that registers the institution323.48
(12) Personally owned live wildlife for multiple cross-border movementsI, II, or IIICITES certificate of ownership223.44
(13) Pre-Convention specimenI, II, or IIICITES document indicating pre-Convention status123.45
(14) Sample collection covered by an ATA carnetI4, II, or IIICITES document indicating sample collection223.50
(15) Traveling exhibitionI, II, or IIICITES document indicating specimens qualify as pre-Convention, bred in captivity, or artificially propagated223.49

1Issued by the Management Authority in the exporting or re-exporting country.

2Issued by the Management Authority in the owner's country of usual residence.

3Registration codes assigned by the Management Authorities in both exporting and importing countries.

4Appendix-I species bred in captivity or artificially propagated for commercial purposes (see §§23.46 and 23.47).

(e) Import permits, export permits, re-export certificates, and certificates of origin. Unless one of the exemptions under paragraph (d) of this section or §23.92 applies, you must obtain the following CITES documents before conducting the proposed activity:

AppendixType of CITES document(s) required
IImport permit (§23.35) and either an export permit (§23.36) or re-export certificate (§23.37)
IIExport permit (§23.36) or re-export certificate (§23.37)
IIIExport permit (§23.36) if the specimen originated in a country that listed the species; certificate of origin (§23.38) if the specimen originated in a country other than the listing country, unless the listing annotation indicates otherwise; or re-export certificate for all re-exports (§23.37)

(f) Introduction-from-the-sea certificates. For introduction from the sea of Appendix-I or Appendix-II specimens, you must obtain an introduction-from-the-sea certificate before conducting the proposed activity, unless the exemption in paragraph (d)(10) of this section applies (see §23.39). The export of a specimen that was previously introduced from the sea will be treated as an export (see §23.36 for export, §23.36(e) and §23.39(e) for export of exempt specimens, or §23.37 for re-export). Although an Appendix-III specimen does not require a CITES document to be introduced from the sea, the subsequent international trade of the specimen would be considered an export. For export of an Appendix-III specimen that was introduced from the sea you must obtain an export permit (§23.36) if the export is from the country that listed the species in Appendix III, a certificate of origin (§23.38) if the export is from a country other than the listing country, or a re-export certificate for all re-exports (§23.37).

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§23.21   What happens if a country enters a reservation for a species?

(a) Purpose. CITES is not subject to general reservations. Articles XV, XVI, and XXIII of the Treaty allow a Party to enter a specific reservation on a species listed in Appendix I, II, or III, or on parts, products, or derivatives of a species listed in Appendix III.

(b) General provision. A Party can enter a reservation in one of the following ways:

(1) A Party must provide written notification to the Depositary Government (Switzerland) on a specific new or amended listing in the Appendices within 90 days after the CoP that adopted the listing, or at any time for Appendix-III species.

(2) A country must provide written notification on a specific species listing when the country ratifies, accepts, approves, or accedes to CITES.

(c) Requesting the United States take a reservation. You may submit information relevant to the issue of whether the United States should take a reservation on a species listing to the U.S. Management Authority. The request must be submitted within 30 calendar days after the last day of the CoP where a new or amended listing of a species in Appendix I or II occurs, or at any time for a species (or its parts, products, or derivatives) listed in Appendix III.

(d) Required CITES documents. Except as provided in paragraph (d)(2) of this section, Parties treat a reserving Party as if it were a non-Party for trade in the species concerned (including parts, products, and derivatives, as appropriate). The following table indicates when CITES documents must accompany a shipment and which Appendix should appear on the face of the document:

IfThen
(1) The shipment is between a Party and a reserving Party, or the shipment is from a non-Party to a reserving Party and is in transit through a PartyThe shipment must be accompanied by a valid CITES document(s) (see §23.26) that indicates the CITES Appendix in which the species is listed.
(2) The shipment is from a reserving Party to another reserving Party1 or non-Party and is in transit through a PartyThe shipment must be accompanied by a valid CITES document(s) (see §23.26) that indicates the CITES Appendix in which the species is listed.2
(3) The shipment is between a reserving Party and another reserving Party1 or non-Party and is not in transit through a PartyNo CITES document is required.2

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

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

(e) Reservations taken by countries. You may consult the CITES website or contact us (see §23.7) for a list of countries that have taken reservations and the species involved.

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§23.22   What are the requirements for in-transit shipments?

(a) Purpose. Article VII(1) of the Treaty allows for a shipment to transit an intermediary country that is a Party before reaching its final destination without the need for the intermediary Party to issue CITES documents. To control any illegal trade, Parties are to inspect, to the extent possible under their national legislation, specimens in transit through their territory to verify the presence of valid documentation. See §23.50 for in-transit shipment of sample collections covered by an ATA carnet.

(b) Document requirements. An in-transit shipment does not require a CITES document from an intermediary country, but must be accompanied by all of the following documents:

(1) Unless the specimen qualifies for an exemption under §23.92, a valid original CITES document, or a copy of the valid original CITES document, that designates the name of the importer in the country of final destination and is issued by the Management Authority of the exporting or re-exporting country. A copy of a CITES document is subject to verification.

(2) For shipment of an Appendix-I specimen, a copy of a valid import permit that designates the name of the importer in the country of final destination, unless the CITES document in paragraph (b)(1) of this section is a CITES exemption document (see §23.20(d)).

(3) Transportation and routing documents that show the shipment has been consigned to the same importer and country of final destination as designated on the CITES document.

(c) Shipment requirements. An in-transit shipment, including items in an on-board store, must meet the following:

(1) When in an intermediary country, an in-transit shipment must stay only for the time needed to immediately transfer the specimen to the mode of transport used to continue to the final destination and remain under customs control. Other than during immediate transfer, the specimen may not be stored in a duty-free, bonded, or other kind of warehouse or a free trade zone.

(2) At any time during transit, an in-transit shipment must not be sold, manipulated, or split unless authorized by the Management Authority of the intermediary country for inspection or enforcement purposes.

(d) Reserving Party or non-Party. All the requirements of this section apply to shipments to or from a reserving Party or non-Party that are being transshipped through a Party. The CITES document must treat the specimen as listed in the Appendix as provided in §23.21(d).

(e) Specimen protected by other regulations. Shipment of a specimen that is also listed as a migratory bird (part 10 of this subchapter), injurious wildlife (part 16 of this subchapter), endangered or threatened species (parts 17 of this subchapter and 222-224 of this title), marine mammal (parts 18 of this subchapter and 216 of this title), or bald or golden eagle (part 22 of this subchapter), and is moving through the United States is considered an import, and cannot be treated as an in-transit shipment (see §23.3).

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§23.23   What information is required on U.S. and foreign CITES documents?

(a) Purpose. Article VI of the Treaty provides standard information that must be on a permit and certificate issued under Articles III, IV, and V. To identify a false or invalid document, any CITES document, including a CITES exemption document issued under Article VII, must contain standardized information to allow a Party to verify that the specimen being shipped is the one listed on the document and that the trade is consistent with the provisions of the Treaty.

(b) CITES form. A CITES document issued by a Party must be issued in one or more of the three working languages of CITES (English, Spanish, or French). A CITES document from a non-Party may be in the form of a permit or certificate, letter, or any other form that clearly indicates the nature of the document and includes the information in paragraphs (c) through (e) of this section and the additional information in §23.25.

(c) Required information. Except for a phytosanitary certificate used as a CITES certificate for artificially propagated plants in paragraph (f) of this section, or a customs declaration label used to identify specimens being moved between registered scientific institutions (§23.48(e)(5)), a CITES document issued by a Party or non-Party must contain the information set out in this paragraph (listed alphabetically). Specific types of CITES documents must also contain the additional information identified in paragraph (e) of this section. A CITES document is valid only when it contains the following information:

Required informationDescription
(1) AppendixThe 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 signatureThe applicant's signature if the CITES document includes a place for it.
(3) Bill of lading, air waybill, or flight numberAs applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or air waybill number or (ii) in accompanying baggage, the flight number, as recorded on the CITES document by the inspecting official at the port, if known at the time of validation or certification.
(4) DatesDate 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 specimenA 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 numberA 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.
(7) Humane transport of live specimensIf the CITES document authorizes the export or re-export of live specimens, a statement that the document is valid only if the transport conditions comply with the International Air Transport Association Live Animals Regulations or the International Air Transport Association Perishable 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 Perishable Cargo Regulations (PCR).
(8) Identification of the specimenAny unique identification number or mark (such as a tag, band, ring, microchip, label, or serial number), including any mark required under these regulations or a CITES listing annotation. For a microchip, the microchip code, trademark of the transponder manufacturer and, where possible, the location of the microchip in the specimen. If a microchip is used, we may, if necessary, ask the importer, exporter, or re-exporter to have equipment on hand to read the microchip at the time of import, export, or re-export.
(9) Management AuthorityThe 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 addressThe complete name and address, including country, of the exporter and importer.
(11) Purpose of transactionThe 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) QuantityThe 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 nameThe 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 stampThe embossed seal or ink stamp of the issuing Management Authority.
(15) Security stampIf a Party uses a security stamp, the stamp must be canceled by an authorized signature and a stamp or seal, preferably embossed. The number of the stamp must also be recorded on the CITES document.
(16) SignatureAn 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 nameThe name of the person who signed the CITES document.
(18) SourceThe 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 nameEither the full name or acronym of the Treaty, or the CITES logo.
(20) Type of CITES documentThe 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 certificationExcept 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:

CodePurpose of transaction
BBreeding in captivity or artificial propagation
EEducation
GBotanical garden
HHunting trophy
LLaw enforcement/judicial/forensic
MMedical research (including biomedical research)
NReintroduction or introduction into the wild
PPersonal
QCircus and traveling exhibition
SScientific
TCommercial
ZZoo

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

Type of documentAdditional required information
(1) Annex (such as an attached inventory, conditions, or continuation pages of a CITES document)The page number, document number, and date of issue on each page of an annex that is attached as an integral part of a CITES document. An authorized signature and ink stamp or seal, preferably embossed, of the Management Authority issuing the CITES document must also be included on each page of the annex. The CITES document must indicate an attached annex and the total number of pages.
(2) Certificate of origin (see §23.38)A statement that the specimen originated in the country that issued the certificate.
(3) Copy when used in place of the original CITES document(i) Information required in paragraph (e)(7) of this section when the document authorizes export or re-export.
(ii) A statement by the Management Authority on the face of the document authorizing the use of a copy when the document authorizes import.
(4) Export permit for a registered commercial breeding operation or nursery for Appendix-I specimens (see §23.46)The registration number of the operation or nursery assigned by the Secretariat, and if the exporter is not the registered operation or nursery, the name of the registered operation or nursery.
(5) Export permit with a quotaNumber of specimens, such as 500/1,000, that were:
(i) Exported thus far in the current year, including those covered by the current permit (such as 500), and
(ii) Included in the current annual quota (such as 1,000).
(6) Import permit (Appendix-I specimen) (see §23.35)A certification that the specimen will not be used for primarily commercial purposes and, for a live specimen, that the recipient has suitable facilities and expertise to house and care for it.
(7) Replacement CITES document (see §23.52)When a CITES document replaces an already issued CITES document that was lost, damaged, stolen, or accidentally destroyed:
(i) If a newly issued CITES document, indication it is a “replacement,” the number and date of issuance of the CITES document that was replaced, and reason for replacement.
(ii) If a copy of the original CITES document, indication it is a “replacement” and a “true copy of the original,” a new original signature of a person authorized to sign CITES documents for the issuing Management Authority, the date signed, and reason for replacement.
(8) Partially completed documents (see §23.51)(i) A list of the blocks that must be completed by the permit holder.
(ii) If the list includes scientific names, an inventory of approved species must be included on the face of the CITES document or in an attached annex.
(iii) A signature of the permit holder, which acts as a certification that the information entered is true and accurate.
(9) Pre-Convention document (see §23.45)(i) An indication on the face of the CITES document that the specimen is pre-Convention.
(ii) A date that shows the specimen was acquired before the date the Convention first applied to it.
(10) Re-export certificate (see §23.37)(i) The country of origin, the export permit number, and the date of issue.
(ii) If previously re-exported, the country of last re-export, the re-export certificate number, and the date of issue.
(iii) If all or part of this information is not known, a justification must be given.
(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 document (see §23.53)A clear statement that the CITES document is issued retrospectively and the reason for issuance.
(12) Sample collection covered by an ATA carnet (see §23.50)(i) A statement that the document covers a sample collection and is invalid unless accompanied by a valid ATA carnet.
(ii) The number of the accompanying ATA carnet recorded by the Management Authority, customs, or other responsible CITES inspecting official.

(f) Phytosanitary certificate. A Party may use a phytosanitary certificate as a CITES document under the following conditions:

(1) The Party has provided copies of the certificate, stamps, and seals to the Secretariat.

(2) The certificate is used only when all the following conditions are met:

(i) The plants are being exported, not re-exported.

(ii) The plants are Appendix-II species, or are hybrids of one or more Appendix-I species or taxa that are not annotated to treat hybrids as Appendix-I specimens.

(iii) The plants were artificially propagated in the exporting country.

(3) The certificate contains the following information:

(i) The scientific name of the species, including the subspecies when needed to determine the level of protection of the specimen under CITES, using standard nomenclature as it appears in the CITES Appendices or the references adopted by the CoP.

(ii) The type (such as live plant or bulb) and quantity of the specimens authorized in the shipment.

(iii) A stamp, seal, or other specific indication stating that the specimen is artificially propagated (see §23.64).

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 32677, June 6, 2014]

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§23.24   What code is used to show the source of the specimen?

The Management Authority must indicate on the CITES document the source of the specimen using one of the following codes, except the code “O” for pre-Convention, which may be used in conjunction with another code:

Source of specimenCode
(a) Artificially propagated plant (see §23.40):
(1) An Appendix-II or -III artificially propagated specimen.
(2) An Appendix-I plant specimen artificially propagated for noncommercial purposes or certain Appendix-I hybrids (see §23.42) propagated for commercial purposes.
A
(b) Bred-in-captivity wildlife (see §23.41):
(1) An Appendix-II or -III specimen bred in captivity. (See paragraph (d)(1) of this section for wildlife that does not qualify as bred in captivity.)
(2) An Appendix-I specimen bred for noncommercial purposes. (See paragraph (c)(1) of this section for an Appendix-I specimen bred for commercial purposes.)
C
(c) Bred in captivity or artificially propagated for commercial purposes (see §§23.46 and 23.47):
(1) An Appendix-I wildlife specimen bred in captivity for commercial purposes at an operation registered with the Secretariat.
(2) An Appendix-I plant specimen artificially propagated for commercial purposes at a nursery that is registered with the Secretariat or a commercial propagating operation that meets the requirements of §23.47.
D
(d) Captive-bred wildlife (§23.36):
(1) An Appendix-II or -III wildlife species that is captive-bred.
(2) An Appendix-I wildlife species that is one of the following:
(i) Captive-bred (see §23.5).
(ii) Bred for commercial purposes, but the commercial breeding operation is not registered with the Secretariat.
F
(e) Confiscated or seized specimen (see §23.78).I
(f) Pre-Convention specimen (see §23.45) (code may be used in conjunction with another code).O
(g) Ranched wildlife (see §23.5).R
(h) Source unknown (must be justified on the face of the CITES document).U
(i) Specimen taken from the wild:
(1) For wildlife, this includes a specimen born in captivity from an egg collected from the wild or from wildlife that mated or exchanged genetic material in the wild.
(2) For a plant, it includes a specimen propagated from a propagule collected from a wild plant, except as provided in §23.64.
W

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014]

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§23.25   What additional information is required on a non-Party CITES document?

(a) Purpose. Under Article X of the Treaty, a Party may accept a CITES document issued by a competent authority of a non-Party only if the document substantially conforms to the requirements of the Treaty.

(b) Additional certifications. In addition to the information in §23.23(c) through (e), a CITES document issued by a non-Party must contain the following certifications on the face of the document:

Activity by a non-PartyCertification
(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) ImportFor Appendix-I specimens, the import will be for purposes that are not detrimental to the survival of the species.

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§23.26   When is a U.S. or foreign CITES document valid?

(a) Purpose. Article VIII of the Treaty provides that Parties take appropriate measures to enforce the Convention to prevent illegal trafficking in wildlife and plants.

(b) Original CITES documents. A separate original or a true copy of a CITES document must be issued before the import, introduction from the sea, export, or re-export occurs, and the document must accompany each shipment. No copy may be used in place of an original except as provided in §23.23(e)(3) or when a shipment is in transit (see §23.22). Fax or electronic copies are not acceptable.

(c) Acceptance of CITES documents. We will accept a CITES document as valid for import, introduction from the sea, export, or re-export only if the document meets the requirements of this section, §§23.23 through 23.25, and the following conditions:

Key phraseConditions for an acceptable CITES document
(1) Altered or modified CITES documentThe CITES document has not been altered (including by rubbing or scratching out), added to, or modified in any way unless the change is validated on the document by the stamp and authorized signature of the issuing Management Authority, or if the document was issued as a partially completed document, the Management Authority lists on the face of the document which blocks must be completed by the permit holder.
(2) Annual reportsThe 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 documentU.S. and foreign CITES documents must meet the general provisions and criteria in subparts C and  E.
(4) ConditionsAll conditions on the CITES document are met.
(5) Convention implementationThe 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 validityThe validity of a CITES document may not be extended except as provided in §23.73 for certain timber species.
(7) Fraudulent CITES document or CITES document containing false informationThe CITES document is authentic and does not contain erroneous or misleading information.
(8) Humane transportLive wildlife or plants were transported in compliance with the International Air Transport Association Live Animals Regulations (for animals) or the International Air Transport Association Perishable Cargo Regulations (for plants) (incorporated by reference, see §23.9).
(9) Legal acquisitionThe Party or non-Party issuing the CITES document has made the required legal acquisition finding.
(10) Management Authority and Scientific AuthorityThe CITES document was issued by a Party or non-Party that has designated a Management Authority and Scientific Authority and has provided information on these authorities to the Secretariat.
(11) Name of importer and exporterA CITES document is specific to the name on the face of the document and may not be transferred or assigned to another person.
(12) Non-detrimentThe Party or non-Party issuing the CITES document has made the required non-detriment finding.
(13) Phytosanitary certificateA 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) QuotaFor species with a quota on file with the Secretariat, the quantity exported from a country does not exceed the quota.
(15) Registered commercial breeding operation for Appendix-I wildlife(i) The operation is included in the Secretariat's register.
(ii) Each specimen is specifically marked, and the mark is described on the CITES document.
(16) Registered commercial nursery for Appendix-I plantsThe operation is included in the Secretariat's register.
(17) Retrospective CITES documentsA CITES document was not issued retrospectively except as provided in §23.53.
(18) Shipment contentsThe contents of the shipment match the description of specimens provided on the CITES document, including the units and species. A shipment cannot contain more or different specimens or species than certified or validated on the CITES document at the time of export or re-export; the quantity of specimens validated or certified may be less, but not more, than the quantity stated at the time of issuance.
(19) Wild-collected specimenA wild-collected specimen (indicated on the CITES document with a source code of “W”) is not coming from a country that is outside the range of the species, unless we have information indicating that the species has been established in the wild in that country through accidental introduction or other means.

(d) Verification of a CITES document. We may request verification of a CITES document from the Secretariat or a foreign Management Authority before deciding whether to accept it under some circumstances, including, but not limited to, the following:

(1) We receive reliable information that indicates the need for CITES document verification.

(2) We have reasonable grounds to believe that a CITES document is not valid or authentic because the species is being traded in a manner detrimental to the survival of the species or in violation of foreign wildlife or plant laws, or any applicable Management or Scientific Authority finding has not been made.

(3) The re-export certificate refers to an export permit that does not exist or is not valid.

(4) The CITES document includes a species for which the Secretariat has published an annotated quota.

(5) We have reasonable grounds to believe that the document is fraudulent, contains false information, or has unauthorized changes.

(6) We have reasonable grounds to believe that the specimen identified as bred in captivity or artificially propagated is a wild specimen, was produced from illegally acquired parental stock, or otherwise does not qualify for these exemptions.

(7) We know or have reasonable grounds to believe that an Appendix-I specimen was not bred at a facility registered with the CITES Secretariat and that the purpose of the import is commercial.

(8) The import of a specimen designated as bred in captivity or artificially propagated is from a non-Party. For an Appendix-I specimen, we must consult with the Secretariat.

(9) For a retrospectively issued CITES document, both the importing and exporting or re-exporting countries' Management Authorities have not agreed to the issuance of the document.

(10) For a replacement CITES document, we need clarification of the reason the document was issued.

(11) The export permit or re-export certificate does not contain validation or certification by an inspecting official at the time of export of the actual quantity exported or re-exported.

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014]

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§23.27   What CITES documents do I present at the port?

(a) Purpose. Article VIII of the Treaty provides that Parties establish an inspection process that takes place at a port of exit and entry. Inspecting officials must verify that valid CITES documents accompany shipments and take enforcement action when shipments do not comply with the Convention. Article VI, paragraph 6, of the Treaty requires that the Management Authority of the importing country cancel and retain the export permit or re-export certificate and any corresponding import permit presented. In the United States, for imports of CITES-listed plant specimens, CITES inspecting officials cancel and submit original CITES documents to the U.S. Management Authority.

(b) U.S. port requirements. In the United States, you must follow the clearance requirements for wildlife in part 14 of this subchapter and for plants in part 24 of this subchapter and 7 CFR parts 319, 352, and 355, and the specific requirement in paragraphs (c) and (d) of this section.

(c) General validation or certification process. Officials in each exporting or re-exporting country inspect the shipment and validate or certify the CITES document. The table in this paragraph (c) provides information on:

(1) The types of original CITES documents you must present to be validated or certified by the inspecting official to export or re-export from a country.

(2) When you need to surrender a copy of the original CITES document to the inspecting official at the time of export or re-export.

(3) When you need to surrender the original CITES document to the inspecting official at the time of import or introduction from the sea.

Type of CITES documentPresent original for export or re-export validation or certificationSurrender copy upon
export or re-export
Surrender original upon
import or introductionfrom the sea
Bred-in-captivity certificateRequiredRequiredRequired
Certificate for artificially propagated plantsRequiredRequiredRequired
Certificate of originRequiredRequiredRequired
Certificate of ownershipRequiredRequiredNot required; submit copy
Export permitRequiredRequiredRequired
Import permitNot requiredRequiredRequired
Introduction-from-the-sea certificateNot applicableNot applicableRequired
Multiple-use documentRequired1RequiredNot required; submit copy
Phytosanitary certificateRequiredRequiredNot required; submit copy
Pre-Convention documentRequiredRequiredRequired
Re-export certificateRequiredRequiredRequired
Registered Appendix-I commercial breeding operation, export permitRequiredRequiredRequired
Registered Appendix-I nursery, export permitRequiredRequiredRequired
Replacement document where a shipment has been made and is in a foreign countryNot requiredNot requiredRequired
Replacement document where a shipment has not left the United StatesRequiredRequiredRequired
Retrospective documentNot requiredNot requiredRequired
Sample collection covered by an ATA carnet, CITES documentRequiredRequiredNot required; submit copy
Traveling-exhibition certificateRequiredRequiredNot required; submit copy

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

(d) Customs declaration labels. The customs declaration label used to identify specimens being moved between registered scientific institutions (§23.48) must be affixed to the shipping container. The label does not require export or re-export validation or certification at the port.

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014]

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