[Federal Register Volume 65, Number 89 (Monday, May 8, 2000)]
[Proposed Rules]
[Pages 26664-26726]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-9980]
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Part II
Department of the Interior
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Fish and Wildlife Service
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50 CFR Parts 10, 13, 17, and 23
Convention on International Trade in Endangered Species of Wild Fauna
and Flora (CITES), Revision of Regulations; Proposed Rule
Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed
Rules
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DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Parts 10, 13, 17, and 23
RIN 1018-AD87
Revision of Regulations for the Convention on International Trade
in Endangered Species of Wild Fauna and Flora (CITES)
AGENCY: Fish and Wildlife Service, Interior.
ACTION: Proposed rule.
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SUMMARY: We propose to revise the regulations that implement the
Convention on International Trade in Endangered Species of Wild Fauna
and Flora (CITES), a treaty that regulates international trade in
certain protected species. CITES uses a system of international permits
and certificates to help ensure that trade is legal and does not
threaten the survival of wildlife or plant species in the wild. Since
the existing regulations were finalized, the CITES Conference of the
Parties (COP) has held nine meetings where resolutions have been
adopted. We propose to incorporate certain applicable current
resolutions into 50 CFR part 23. Revised regulations will help us more
effectively promote species conservation, fulfill our responsibilities
under the Treaty, and help those affected by CITES understand how to
conduct international trade in CITES species.
DATES: In preparing the final decision on this proposed rule, we will
consider all information and comments received by August 7, 2000.
ADDRESSES: Send comments to Ms. Teiko Saito, Chief, Office of
Management Authority, U.S. Fish and Wildlife Service, 4401 North
Fairfax Drive, Room 700, Arlington, Virginia 22203. To the extent
possible, reference the section of the proposed regulations on which
you are commenting. You may also send comments via e-mail to: r9oma--
[email protected]. Please reference ``Part 23 Comments'' and include your
name and return address in your e-mail message. Materials received will
be available for public inspection by appointment from 7:45 a.m. to
4:15 p.m., Monday through Friday, at the above address.
FOR FURTHER INFORMATION CONTACT: Ms. Teiko Saito, at the above address,
telephone (703) 358-2093, fax (703) 358-2280.
SUPPLEMENTARY INFORMATION:
Acronyms Used in This Proposed Rule
APHIS U.S. Department of Agriculture, Animal and Plant Health
Inspection Service
CITES Convention on International Trade in Endangered Species
of Wild Fauna and Flora, also referred to as the Convention or
Treaty
CFR Code of Federal Regulations
COP CITES Conference of the Parties or meeting of the
Conference of the Parties
DNA Deoxyribonucleic acid
ESA Endangered Species Act
Background
CITES was negotiated in 1973 in Washington, DC, at a conference
attended by delegations from 80 countries. The United States ratified
the Treaty on September 13, 1973, and it came into force on July 1,
1975, after the required 10 countries had ratified it. Section 8A of
the Endangered Species Act (ESA), as amended in 1982, designates the
Secretary of the Interior as the U.S. Management Authority and
Scientific Authority for CITES. These authorities have been delegated
to the Fish and Wildlife Service. The U.S. regulations implementing
CITES took effect on May 23, 1977 (42 FR 10465, February 22, 1977),
after the first COP was held. The COP meets every 2 to 3 years to vote
on proposed resolutions that interpret and implement the text of the
Treaty and on amendments to the listing of species in the CITES
appendices. There are currently 151 Parties (countries that have
ratified or acceded to CITES). As a Party to CITES, the United States
is committed to fulfilling its obligations under the Treaty, including
implementing species listings and appropriate resolutions of the COP.
Resolution consolidation. Between 1976 and 1994, at least 190
resolutions were adopted by the Parties. In 1994, the Parties began an
effort to consolidate some of these resolutions. Some resolutions were
no longer relevant, and others needed to be combined since there were
several resolutions on the same or similar subjects adopted at
different COP's. As a result of this process, there are currently 82
resolutions in effect. This proposed rule incorporates certain of these
consolidated resolutions from COP 2 through COP 10, as appropriate and
relevant to U.S. implementation of the Treaty.
Previous proposed rules. We published proposed rules on September
24, 1985 (50 FR 38683), to incorporate changes from COP 2 through COP
4, and on April 10, 1986 (51 FR 12350), to incorporate changes from COP
5. These proposed rules were never finalized, and we are withdrawing
them here because of subsequent decisions of the COP.
Current proposed rule. We propose to replace the current
regulations contained in 50 CFR part 23. In this proposed rule, we
retained most of the general information from the current 50 CFR part
23, but we reorganized the sections, added provisions from certain
resolutions, and revised text under the Government's plain language
initiative to make the regulations clearer and easier to use.
Stricter national legislation. Article XIV of the Treaty explicitly
recognizes the rights of Parties to adopt stricter national measures to
restrict or prohibit trade, taking, possession, or transport of any
wildlife or plant species. Resolution Conf. 2.6 (Rev.) recommends that
Parties make use of stricter national measures if they have determined
``that an Appendix-II or -III species is being traded in a manner
detrimental to the survival of that species'' or is being ``traded in
contravention of the laws of any country involved in the transaction.''
Resolution Conf. 2.10 (Rev.) recommends that Parties experiencing
significant problems in administering or enforcing CITES take stricter
national measures to eliminate those problems. We have not incorporated
elements of a number of resolutions into this proposal because our
stricter national legislation, such as the ESA, the Marine Mammal
Protection Act, and the Lacey Act, takes precedence.
Other resolutions. Some resolutions deal specifically with other
countries and do not impact these regulations, such as Resolutions
Conf. 6.5 (Rev.) and 8.2 (Rev.), which deal solely with the European
Economic Community. A number of resolutions deal with general topics,
including species conservation issues related to Houbara bustards,
trade in sharks, and swiftlets. Although these are important
resolutions, they are not regulatory in nature and, therefore, have not
been addressed in this proposed rule.
Comments and Information Received
On August 5, 1997, the Fish and Wildlife Service published a notice
of intent to propose rulemaking (62 FR 42093). The notice requested
public input for the revision of these regulations. We received eight
letters of comment: seven from organizations (Animal Welfare Institute,
Busch Gardens Tampa, Defenders of Wildlife, Humane Society of the
United States, Safari Club International, TRAFFIC USA, and Wildlife
Management Institute) and one from an individual.
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Suggested changes reflected diverse viewpoints that, at times,
supported opposite courses of action or interpretation. The comments
fit into the following general categories.
Product contents. Two commenters stated that language should be
added to 50 CFR part 23 so that products listing CITES species as
ingredients must meet all CITES requirements. We propose to define the
term ``readily recognizable'' to include any specimen that has
accompanying documents, packaging, marks, or a label that indicates it
contains CITES species.
Definitions. Most of the commenters wanted terms in resolutions
defined. These included primarily commercial purposes, accompanying
personal baggage, hybrid, commercial, bred in captivity, and
artificially propagated. We propose to expand the current definitions
section (see proposed Sec. 23.5) to include those definitions with
unique meanings under CITES.
Non-detriment. One commenter suggested that we include criteria for
making non-detriment findings in the regulations, and two felt that the
public should have the opportunity to comment on non-detriment
findings. One commenter wanted regulations to enable us to question
scientific non-detriment findings made by other countries for Appendix-
II shipments and reject shipments if we find that the finding was
inadequate.
In making a non-detriment finding, we use the best information
available. We consult with other Federal agencies, State agencies, and
experts to ensure that the information we use is current. We agree that
the factors considered when making non-detriment findings should be
included in the regulations and propose to include a section outlining
those factors. In addition, we encourage people with information on a
species or trade to send it to us at any time. As recommended in
Resolutions Conf. 2.6 (Rev.) and 10.3, we currently request information
on scientific findings from another Party when it appears appropriate.
We propose to include the recommendations of these resolutions in the
proposed section that outlines when a CITES document is valid (see
proposed Sec. 23.23).
Personal effects exemption. We received several comments concerning
the personal effects exemption. Several requested that live wildlife or
plants be excluded from this exemption, and some requested that limits
be put on the number of items that could be considered as personal
effects. We propose to revise the requirements for this exemption to
exclude any live specimen, to implement Resolution Conf. 10.6, to
include conditions that qualify what we would consider personal
effects, and to provide guidelines for quantities rather than provide
specific numbers.
Quotas for Appendix-I species. One commenter suggested that we
expand our use of quotas for Appendix-I species, and another that we
abide by the ``plain'' language of the Treaty rather than the
resolutions concerning Appendix-I hunting trophies. The second
commenter considered trophy hunting a primarily commercial industry and
argued that the import of Appendix-I hunting trophies should not be
allowed. The revisions we are proposing follow the relevant resolutions
as well as stricter measures under U.S. laws. In general, we do not
consider the import of hunting trophies by the person who killed the
wildlife to be primarily commercial, even though commercial activity
occurs in the exporting country as part of the hunt.
Registered operations. Two commenters wanted us to provide an
opportunity for the public to comment on proposed registrations of
captive-breeding facilities. We propose to publish notices in the
Federal Register and invite public comment when we receive requests
that U.S. operations be registered.
Resolutions. Most of the commenters discussed the inclusion of
resolutions into the regulations. We received a wide range of comments,
including: (1) Resolutions are confusing and contradictory, and not all
of them should be incorporated; (2) resolutions are recommendations and
should not be put into regulations; (3) we should only adopt
resolutions that the United States supported at the COP's; (4) we
should explain which resolutions are being incorporated and why; and
(5) we should give a history of any resolution incorporated, including
who proposed it and whether or not the United States supported it. We
also received a number of comments on specific resolutions that
commenters felt should be incorporated into the regulations. We propose
to incorporate the resolutions that are regulatory in nature and
consistent with U.S. interpretation of its obligations under CITES and
under U.S. law. It is the goal of the Parties to adopt resolutions by
consensus. The United States works hard at COP's to ensure that it can
support the text of any resolution that is adopted.
We have reviewed all of the comments and addressed them wherever
appropriate. Since there were conflicting recommendations, not all
comments were incorporated into this proposal. Some comments were not
relevant to 50 CFR part 23, but belong in other regulations and will be
considered when those regulations are revised.
Analysis of Proposed Changes to 50 CFR Parts 10, 13, and 17
Definitions in 50 CFR 10.12: We propose to revise two definitions
in 50 CFR 10.12 because the definitions provided in 50 CFR part 10
apply to all regulations in subchapter B if not separately defined in a
specific part. We propose to expand the term ``country of origin'' to
apply to plants as well as wildlife and to update the definition of the
``United States'' to reflect changes in areas under U.S. jurisdiction.
General permit procedures in 50 CFR part 13: We propose to
reorganize 50 CFR 13.1 and to revise it to reflect that, under very
limited circumstances, permits for non-commercial CITES shipments may
be issued after the activity has occurred (see proposed Sec. 23.43 on
retrospective documents).
We also propose to revise 50 CFR 13.12 to change the general
information required on an application to include an address within the
United States. There have been a number of situations where a business
in a foreign country has requested a CITES document from us for a
shipment it owned that is being shipped out of the United States. If we
issue the CITES document showing the exporter's foreign address rather
than a U.S. address, it appears that we issued a CITES document for
goods that were never in this country. The document can be issued to
the owner of the items, but it must include either a U.S. address or
the name and address of a U.S. agent. For commercial activities, the
name and address of the commercial entity's agent in the United States
must be included.
We propose to revise 50 CFR 13.22 that allows continuation of
permitted activity during permit renewal. This general provision in 50
CFR part 13 does not apply to CITES documents since they are not
considered valid for use upon expiration.
Permittees are required to maintain records. However, our authority
to inspect records is limited to areas within the United States.
Therefore, to ensure that we are able to carry out our responsibility
to inspect records when necessary, we propose to revise 50 CFR 13.46 to
require foreign permittees conducting commercial activities within the
United States to maintain records in this country.
Import exemption for threatened, Appendix-II wildlife (50 CFR
17.8): We propose to add this new section to 50 CFR part 17. Section
9(c)(2) of the ESA sets out an exemption to the import
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prohibition for threatened, Appendix-II wildlife when the taking and
export meets the provisions of CITES and the import is not made in the
course of a commercial activity. The exemption includes sport-hunted
trophies that were personally taken from the wild or on a ranch for
personal use. We propose to define ``sport-hunted trophy'' the same as
in proposed Sec. 23.5. Handicraft items or items manufactured from the
trophy for use as clothing, curios, ornamentation, jewelry, or other
utilitarian items would not be allowed.
The purchase in foreign commerce of an item of an ESA species is
prohibited under the ESA. Section 9(c)(2) only exempts import; it does
not exempt foreign commerce. Thus, the exemption would not include
trophy items or other items purchased in curio stores, even if the
intended use was personal. It would not apply to species that have a
special rule in 50 CFR part 17, such as the argali in 50 CFR 17.40(j).
It also would not apply to Appendix-II specimens annotated for a
specific use, such as export of hunting trophies for non-commercial
purposes, where other specimens of that species are included in
Appendix I. The annotation of African elephant populations in Zimbabwe,
Namibia, and Botswana is an example of this type of annotation.
Analysis of Proposed Subpart A--Introduction
We propose to expand this subpart to give a clearer picture of our
responsibilities under CITES. The following is a section-by-section
description of proposed changes to the current regulations.
Parties: The existing regulations (Sec. 23.4) include a list of
countries that are Parties. We propose to omit this list. CITES has
grown to include 151 Party countries. To keep this list up to date, we
would need to continually revise the list of Parties when more
countries join and as contact information for Parties changes. The list
of Parties (including addresses and phone/fax numbers) is available on
our website, from our fax retrieval system, or by mail or e-mail (see
proposed Sec. 23.7). As changes occur, these sources can be more
quickly and easily updated than issuing a revised rule.
Purposes (Sec. 23.1): This section provides background information
on the Treaty and explains that CITES is implemented in the United
States under the ESA. It outlines the aim of CITES as stated in the
preamble to the Treaty. The Parties acknowledge that wildlife and
plants have aesthetic, scientific, cultural, recreational, and other
non-consumptive values as well as economic importance.
Scope (Sec. 23.2): We have used a table to help people determine if
these regulations apply to their proposed activities. The first
question to be answered is whether the specimen is regulated by CITES.
The reader is referred to the CITES appendices for the list of species.
The second and third questions list the few CITES exemptions and refer
the reader to the specific sections in the regulations for these
exemptions. The fourth question lists the types of international trade
regulated by CITES. The fifth question raises the issue of specimens
that were illegally acquired or traded in contravention of CITES. The
possession and domestic trade of legal specimens is not regulated by
CITES unless the specimens were in international trade under specific
conditions of a CITES document that still apply. The possession and
domestic or international trade of illegally imported specimens,
however, is prohibited. Further, any offspring of illegal specimens are
also considered illegal.
Other applicable regulations (Sec. 23.3): These regulations detail
the requirements for CITES species. However, many CITES species are
covered by one or more other laws that have regulations in other parts
of subchapter B. This section tells you where to look for information
on other requirements.
Appendices I, II, and III (Sec. 23.4): Species are listed at one of
three levels of protection, which have different requirements for
permits and certificates (CITES documents). This section briefly
defines Appendices I, II, and III.
Definitions (Sec. 23.5): We have added a number of definitions that
relate to these regulations. In some cases, we could not clearly define
a term in one or two sentences. We have provided longer definitions
where necessary and/or referenced a section that contains more detailed
provisions. Whenever possible we have defined terms using the wording
of the Treaty and the resolutions.
We use some basic terms throughout these regulations. We define
``import,'' ``export,'' ``re-export,'' ``international trade,'' and
``introduction from the sea'' to reflect the way they are used by the
Parties. These definitions refer to international movement, whether the
purpose is commercial or non-commercial. ``Import'' and ``export'' are
further defined in 50 CFR part 14. We have also defined the term
``shipment'' to eliminate confusion.
The text of the Treaty uses the terms ``permits'' (for import and
export) and ``certificates'' (for re-export, exemptions, certificates
of origin, and introduction from the sea) in referring to documents
issued by CITES Management Authorities (a governmental agency
officially designated by a Party or non-Party to implement CITES).
However, some Parties refer to all CITES documents as ``permits.'' For
this reason, we have defined and use the term ``CITES documents'' to
refer to all permits and certificates that are issued by a Management
Authority. The definition of ``permit'' in this section is expanded
from the definition in 50 CFR Sec. 10.12 to include documents issued by
any Management Authority, not just documents ``issued by the Service.''
The current regulations (Sec. 23.3) define the Management Authority
in terms of Parties only and do not define Scientific Authority. We
propose to define both and to include non-Parties in the definitions.
If non-Parties wish to trade with Parties, they need to have entities
officially designated as Management and Scientific Authorities to
implement CITES and make the findings needed to grant CITES documents.
We used the definition of ``specimen'' given in the Treaty to
clarify that, under this part, the term refers only to species listed
under any of the CITES appendices.
Although the term ``readily recognizable'' is used in the Treaty
(Article I), it is not specifically defined in the Treaty. However,
Resolution Conf. 9.6 defines the term, and we have based our proposed
definition on the text of the resolution.
Management and Scientific Authorities (Sec. 23.6): Under Article
IX, each Party must designate a Management Authority and Scientific
Authority. In the United States, these authorities have been delegated
by the Secretary of the Interior and the Director of the Service to two
different offices. We propose to add a section that summarizes the
major roles of these authorities in the United States. The roles
include a wide range of activities such as the issuance and denial of
permits; scientific and management findings; monitoring of trade and
trade impacts; communication with the Secretariat and other countries
on scientific, administrative, and enforcement issues; and evaluation
of species' status and trade. Another of our roles is to provide
training and technical assistance to countries when possible
(Resolution Conf. 3.4 on Technical Co-operation).
Contact information (Sec. 23.7): The table in this section outlines
the type of information available from the Office of Management
Authority, Office of
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Scientific Authority, Office of Law Enforcement, APHIS, and the
Secretariat and the different ways you can contact each office. In an
effort to serve the public more efficiently, we have developed a
website and a fax retrieval system that provide information, such as
application forms for CITES documents, the names and addresses of
Management and Scientific Authority offices in Party and non-Party
countries, and the list of CITES species.
Information collection (Sec. 23.8): Each permit application form
that we use must be reviewed and approved by the Office of Management
and Budget for information collection under the Paperwork Reduction
Act. These forms undergo review every 3 years. This process provides an
opportunity for the public to provide input concerning the amount of
time that it takes to complete the forms and prepare the information
requested on the forms.
Analysis of Proposed Subpart B--Prohibitions, Exemptions, and
Requirements
In this proposed subpart, we detail the activities that are
prohibited, circumstances when exemptions may apply, and requirements
for international movement of specimens. CITES uses a system of
documents to ensure that trade in protected species is legal and does
not threaten the survival of wildlife or plant species in the wild. The
Treaty outlines standardized information that needs to be on these
documents and, based on experience in inspecting shipments and
enforcing CITES, the Parties have adopted a number of resolutions to
refine the types of information that need to be on documents for
Parties and non-Parties.
Prohibitions (Sec. 23.11): We propose minor changes to the
prohibitions section in the current regulations. We listed
``introduction from the sea'' separately from ``import'' to clarify
that CITES treats the activities differently. We added the phrase
``engage in international trade'' to the list of prohibitions to
clarify that international trade in specimens in violation of these
regulations by any person under U.S. jurisdiction is prohibited even if
specimens are not actually imported into or exported from the United
States.
Personal and household effects (Sec. 23.12): Article VII(3)
provides for the import, export, or re-export of specimens that are
personal or household effects without CITES documents under certain
circumstances. We propose to clarify the current regulations
(Sec. 23.13(d)) based on our experience in administering the
Convention. Since many Parties do not recognize this exemption and
require CITES documents for personal and household effects, we added
new paragraphs explaining when CITES documents for personal and
household effects may be required.
We also propose to exclude live wildlife and plants (including eggs
and non-exempt seeds) and Appendix-I specimens from the exemption. The
drafting history of CITES, as well as significant debate that occurred
at COP 4 (the resulting resolution was consolidated into Resolution
Conf. 10.6), clearly supports the view that this exemption applies only
to nonliving items, such as clothing, jewelry, or household effects,
that are being used by an individual for personal needs and are not for
resale. In addition, few countries allow the import or export of
Appendix-I specimens, including personal pets, without CITES documents,
even for personal or household effects. In the United States, many
Appendix-I species are listed under the ESA, which does not have an
exemption for personal or household effects. Therefore, to assist in
the enforcement of the Convention and to reduce the risk to Appendix-I
species in the wild, we propose to be more restrictive and require
CITES documents for all Appendix-I specimens, except for certain worked
items made from African elephant ivory (see proposed Sec. 23.12(g)).
The proposed rule clarifies that personal effects must be
personally owned by the traveler for exclusively non-commercial
purposes, be reasonably appropriate for the purpose of the trip or
stay, and either be worn as clothing or accessories or part of
accompanying personal baggage. We have encountered a number of
instances, both in the United States as well as abroad, where
individuals have had souvenirs or other items seized when these items
were mailed or shipped to them. Although these could be considered
items for personal use, the CITES exemption does not apply in these
cases.
The proposal also clarifies that household effects must be
personally owned items that are part of a non-commercial household
move. We understand that sometimes it is not possible to ship household
goods all at one time. Thus, we propose to allow a person to make as
many shipments as needed to accomplish the move as long as they occur
within 1 year of the person's change in residence. A shipment may
contain only items acquired before the individual moves. It may not
include items purchased, inherited, or otherwise acquired after the
person has moved, even though the household goods have not yet been
shipped.
At COP 10, the Parties recommended in Resolution Conf. 10.12 that
the personal effects exemption for sturgeon caviar be limited to no
more than 250 grams for each person. We propose to allow this exemption
for caviar from species of Appendix-II sturgeon not listed under the
ESA. The caviar must be strictly for personal use, and all other
requirements of the personal effects exemption would apply. If a person
is bringing in more than 250 grams of caviar, a CITES document is
required that covers the entire amount, not just the amount over 250
grams. For example, if a person arrives in a country with 265 grams of
sturgeon caviar without a CITES document for 265 grams, he or she will
not be allowed to keep 250 grams as personal effects and simply
surrender the excess amount. Since he or she did not have the required
CITES document, the whole amount would be subject to seizure. All other
parts and products of Appendix-II sturgeon species that are not listed
under the ESA, such as a mounted fishing trophy, can be traded
internationally as personal or household effects if they meet the
conditions of the exemption.
The African Elephant Conservation Act is stricter U.S. legislation
concerning the import or re-export of African elephant ivory. We
propose to allow U.S. residents to travel out of and return to the
United States with worked African elephant ivory as personal or
household effects under certain conditions. Upon import, travelers
would need to show records that they owned the ivory before leaving the
United States. The exemption does not include items that are purchased
while abroad or intended as gifts. We propose to adopt a definition of
``raw ivory'' similar to the one in the special rule concerning African
elephants in 50 CFR 17.40(e) and Resolution Conf. 10.10. Individuals
should contact the Management Authority in the country of their
destination to find out about its requirements.
Urine, feces, and synthetically derived DNA (Sec. 23.13): We
propose that the international trade of these types of specimens be
exempt from CITES requirements. We consider samples of urine and feces
to be wildlife by-products, rather than parts and products.
We differentiate between DNA extracted directly from blood or
tissue samples and synthetically derived DNA. DNA extracted directly
from blood and tissue samples must comply with all CITES permitting
requirements. At COP
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8, the Parties rejected Denmark's draft resolution to exempt blood and
tissue samples to be used for DNA studies. The Parties agreed that such
tissues should not be exempt from CITES controls. In 1994, we developed
a policy that clarified that we consider synthetically derived DNA as
exempt from CITES requirements since it contains no part of the
original template. We believe that trade in synthetically derived DNA
samples will not adversely affect the conservation of, or effective
regulation of trade in, CITES species and their parts and derivatives.
We are considering, however, whether we should expand this policy to
exempt from CITES requirements DNA that has been extracted directly
from tissue. We believe there is little commercial trade in this type
of DNA and that exempting it from CITES requirements is of low
conservation risk. We will be discussing this issue with other Parties
and invite comment to assist us in making a final decision.
Since the Parties have not discussed whether urine, feces, or
synthetically derived DNA are regulated by CITES, some countries may
require CITES documents for these types of samples. If a country
requires CITES documents, we will honor that country's interpretation
and process an application.
Although we propose not to regulate these types of specimens under
CITES, we believe it is important that researchers collect samples in a
manner that does not harm the wildlife and that complies with the laws
of the country where the collection occurs. Before collecting samples,
researchers should contact the foreign Management Authority or other
relevant wildlife or plant authorities to obtain information on
collecting and export requirements.
Diplomats and other customs-exempt persons (Sec. 23.14): CITES
Decision 10.34 urges the Parties to remind their diplomatic missions,
their delegates on mission in foreign countries, and their troops
serving under the flag of the United Nations that they are not exempt
from the provisions of the Convention. We propose to add this provision
to the regulations to better inform persons who receive duty-free and
inspection waiver privileges under customs laws that CITES applies to
their activities.
Required CITES documents (Sec. 23.15-23.17): Articles III, IV, and
V lay out the types of documents that must accompany Appendix-I, -II,
or -III specimens in international trade. Article VII recognizes some
exemptions (such as pre-Convention, bred in captivity, and artificially
propagated) that usually require specimens to be accompanied by CITES
documents.
We propose to organize the information on what types of CITES
documents are required (Sec. 23.12 and part of Sec. 23.13 in the
current regulations) into two decision trees and three tables.
Although the tables include Appendix-I specimens, we developed
separate decision trees specifically to address the confusion expressed
by the public on the export requirements for Appendix-I wildlife and
plants. The decision trees and tables should make it easier for
importers and exporters to understand what type of document is needed
for a shipment. They refer the user to the section in these regulations
that explains the application procedures, provisions, issuance
criteria, and conditions. The foreign Management Authority should be
contacted for information on how to meet its requirements.
Reservations (Sec. 23.18): Articles XV, XVI, and XXIII allow a
Party to take a reservation on a species' listing. Generally, a
reserving Party is treated as a non-Party with respect to trade in the
reserved species. Some countries take a reservation because they choose
not to recognize a listing and wish to continue trading in the species
with other reserving Parties or non-Parties. To date, the United States
has not taken a reservation. We believe that commercial trade in
Appendix-I species by reserving Parties undermines the effectiveness of
the Convention. A current list of species' reservations taken by
Parties is available from us (see proposed Sec. 23.7).
To clarify the requirements of the Treaty and to promote
conservation, we propose to add this new section to emphasize what
types of documents are required from Parties that have taken a
reservation on a species. We are incorporating Resolution Conf. 4.25,
which recommends that Parties who take a reservation when a species is
transferred from Appendix II to Appendix I continue to treat the
species as if listed in Appendix II, rather than not listed, when
trading with other reserving Parties or non-Parties. This provision
should promote the conservation of species listed in Appendix I and
continue the reserving Party's obligations for the species.
In-transit (Sec. 23.19): Due to limited transportation routes and
schedules, exporters and re-exporters may not always be able to ship
specimens from one country directly to another without transhipping
them through intermediary countries. Shipments of marine specimens
harvested from international waters may need to move through waters
under the jurisdiction of intermediary countries before reaching their
port of introduction. Article VII(1) provides an exemption for
specimens that are in-transit through a country while the specimens
remain under customs control. We propose to define ``in-transit
shipment'' as the immediate transhipment of a wildlife or plant through
an intermediary country when the specimen remains under customs
control.
In 1983, the COP recognized the potential for abuse of this
provision, such as when importers claimed the exemption and delayed
shipment of the transiting specimen in order to find a buyer in a
foreign country. In 1989, the COP noted that if a valid CITES export
document was required to accompany shipments through intermediary
countries, Parties could discover illegal trade. The inspection of in-
transit shipments was recommended in 1992. Resolution Conf. 9.7
consolidates the earlier resolutions concerning in-transit shipments
(Resolutions Conf. 4.10, 7.4, and 8.8).
To prevent misuse of the in-transit exemption, we propose to revise
Sec. 23.13(b) to reflect the recommendations of the COP. In-transit
shipments must be accompanied by a valid original CITES document issued
by the Management Authority of the exporting or re-exporting country
that designates the name of the importer in the country of final
destination, a copy of a valid import permit for Appendix-I specimens
where required, and transportation routing documents that show that the
shipment has been consigned to the importer listed on the CITES
documents. In-transit shipments must only stay in an intermediary
country for the time necessary to transfer the specimens to the mode of
transport used to continue to the final destination; must remain under
customs control; and may not be sold, manipulated, or split. In
addition to these requirements, shipments of specimens from non-Parties
or reserving Parties must be accompanied by CITES documents.
We also propose to add language on CITES species protected under
other U.S. regulations, such as migratory birds, bald and golden
eagles, injurious wildlife, endangered or threatened species, or marine
mammals. A shipment that contains specimens of species protected under
these regulations that arrives in the United States before continuing
on to another country is considered an import and must meet all import
requirements.
In a separate Federal Register rulemaking proposal, we plan to
[[Page 26669]]
propose a revision of 50 CFR part 14 to clarify that shipments to duty-
free shops, free ports, or similar zones, or shipments traveling under
a customs carnet are considered imports and are not in-transit
shipments.
Required information on CITES documents (Sec. 23.20): Article VI
provides basic requirements for CITES documents for import,
introduction from the sea, export, and re-export. At the first COP, the
Parties recognized the importance of having standardized documents.
They also recognized that the process of developing the standards would
be a continuous one. Resolutions Conf. 2.5, 3.6, and 7.3 on permits and
certificates were consolidated at COP 9 (Resolution Conf. 9.3) and
reorganized at COP 10 into Resolution Conf. 10.2. This comprehensive
resolution provides guidance on all aspects of CITES documents.
The use of standardized documents assists Parties in implementing
CITES. Such standardization allows countries to verify that the
specimen being shipped is the one listed on the document and helps
identify false and invalid CITES documents. It facilitates the
collection of information on the volume of trade in wildlife and
plants, providing standard information for annual reports and allowing
better monitoring of the levels of commercial trade on a species-
specific basis. It also facilitates the clearance of shipments at ports
of exit and entry by making all necessary information available to the
inspector in a familiar format.
We propose this new section to provide detailed information on what
all CITES documents must contain. It applies not only to documents
issued by the United States, but also to ones issued by Parties and
non-Parties. Most of the information is presented in a series of
tables, organized alphabetically by key phrase, code, or type of
document. This section should help those shipping and receiving
specimens to understand what information is needed on CITES documents.
Most of the requirements are taken directly from Resolution Conf.
10.2 and need no further explanation. However, we discuss some here to
clarify issues raised in the past.
Dates: We have had many questions about the ``valid until date.''
We propose to clarify that the validity of a document expires at
midnight (local time at the place of presentation) on the date
indicated on the document. All activities, including, but not limited
to, transport and presentation for import must be completed before that
time.
Description of the specimen: The use of standard descriptions for a
specimen is needed to do accurate global trade analyses, particularly
for purposes of evaluating the impact of trade on the conservation of
the species in the wild. We propose to require that descriptions be in
English, Spanish, or French (the three working languages of the Treaty)
on documents from Parties to assist inspectors in determining if
documents match the accompanying shipment. We have experienced
difficulties in processing CITES documents written in languages other
than English, Spanish, or French, and clearance of some shipments has
been delayed. Limiting descriptions to the three languages of the
Treaty should help prevent or reduce such delays, while assisting in
enforcement efforts.
Purpose of transaction: Resolution Conf. 10.2 lists standard
transaction codes to be used on documents. These are the same codes
used by Parties in their CITES annual reports. Although in some cases
more than one code may apply, Parties must assign one code that best
describes the overall activity. For example, a specimen may be exported
for breeding purposes, but the wildlife was sold and the ultimate use
is commercial. In this case, the permit will be marked as ``T'' for
commercial, rather than ``B'' for breeding in captivity. The Management
Authority is responsible for reviewing all information provided in an
application and then determining which category best describes the
transaction or is most appropriate.
Quantity: Many shipments have been presented for clearance with
quantities identified as ``one box'' or ``one case.'' These quantities
give little clear information about how much wildlife or plants are
actually in the shipment. A box may contain one wildlife or plant
specimen, or it may contain hundreds. The unit of measurement should be
appropriate for the type of specimen and agree with the preferred or
alternative unit to be used in the CITES annual report, if possible.
The unit should be in metric measurement. If weight is given, it is
important to provide the weight of the specimen, not the packing
material. Some items are more accurately reported by volume, such as
timber, which should be shown as cubic meters. To effectively monitor
trade, we need records on quantities that actually reflect the volume
of that trade.
Scientific name: We propose that the scientific name of the species
on the CITES document must include the subspecies when that information
is needed to determine the level of protection of the specimen under
CITES and/or the ESA. For example, under CITES, three subspecies of
cougar (Puma (=Felis) concolor coryi, P. c. costaricensis, and P. c.
cougar) are included in Appendix I, while all other subspecies are
included in Appendix II. Under the ESA, the Louisiana black bear (Ursus
americanus luteolus) is listed as a threatened species; while under
CITES, the entire species is included in Appendix II with no subspecies
included in Appendix I.
The document must contain the scientific name of the species that
is of the standard nomenclature as it appears in the CITES appendices
or in the references adopted by the COP. CITES has adopted nomenclature
references for most, but not all, species. Resolution Conf. 10.22
provides a list of these references for mammals, birds, reptiles,
amphibians, and plants. Taxonomy evolves, and different references may
use different scientific names for the same organism. Having one
standard that we can follow is important to ensure that documents are
issued for the correct species. Any changes of adopted nomenclature
references would be by a resolution of the COP. The most current list
of references is available from us or the Secretariat's website.
Resolution Conf. 10.2 recommends three situations when a higher
taxon name (such as genus or family) could be used on a CITES document.
We propose to incorporate the recommendations of the resolution as
adopted. We would accept a CITES document that uses a higher taxon name
only when the COP has agreed to its use, the issuing Party can show it
is well justified and has communicated it to the Secretariat, or when
the item is a pre-Convention manufactured product containing a specimen
that cannot be identified to the species' level.
Signature: We propose to implement the CITES requirement that the
signatures of individuals authorized to sign CITES documents for a
Management Authority must be on file with the Secretariat. This
proposed requirement should help us determine if a document is valid
and avoid delays in the clearance of shipments.
The proposed table in paragraph (e) provides details on additional
information that is required for specific types of documents, such as
an annex or certificate of origin. Some documents require additional
information because of the type of transaction, the specimen involved,
or special provisions, such as quotas.
CITES allows phytosanitary certificates to be used in lieu of CITES
certificates for Appendix-II and -III artificially propagated plants
only and under specific circumstances. Proposed paragraph (f) lists
information that is
[[Page 26670]]
required on these certificates. At this time, the United States does
not use phytosanitary certificates in lieu of CITES certificates.
Source of the specimen (Sec. 23.21): The source of a specimen is
needed by Management and Scientific Authorities to make the findings
required to issue CITES documents and is an important component in
analyzing data and monitoring trade. We are providing a list of
standardized codes that Management Authorities use on documents. Each
code is defined as to the source of the specimen under CITES. The
Management Authority will determine the appropriate code based on
information provided in an application.
We often receive questions about the difference between the source
codes ``C'' and ``F.'' Wildlife bred in captivity can be given the
source code ``C'' only if the specimen meets the requirements adopted
by the COP as ``bred in captivity'' (see proposed Sec. 23.53). If it is
an Appendix-I specimen, it also must have been bred for non-commercial
purposes (see proposed Sec. 23.55) to qualify for an exemption
certificate (see proposed Sec. 23.33). If a captive-born specimen does
not meet these criteria, it is assigned the source code ``F'' and
requires CITES documents under Article III, IV, or V. For an Appendix-I
specimen, both import and export permits are required, and the import
may not be for primarily commercial purposes.
Additional information required on non-Party documents
(Sec. 23.22): Article X provides that a Party may accept documentation
from a non-Party if it is issued by a competent authority and
substantially conforms with the requirements of CITES. Because the
Parties were concerned that the trade of CITES specimens through non-
Parties might jeopardize the effectiveness of the Convention,
Resolution Conf. 9.5 was adopted. This resolution recommends that
Parties accept documents from non-Parties only if they contain certain
basic information, including certifications that they have made the
findings required under Articles III, IV, and V.
Because of the need for standardized information concerning CITES
species from all sources, to ensure that appropriate protection is
given to CITES species, and to reduce the risk of detrimental or
illegal trade from non-Parties, we propose to be stricter and
incorporate the requirements of not only this resolution, but also
Resolution Conf. 10.2 on permits and certificates. This proposed policy
means that for us to consider a non-Party CITES document valid, it
would essentially need to contain the same information as a Party
document. This proposed section would replace Sec. 23.14 in the current
regulations.
Valid CITES documents (Sec. 23.23): Article VIII outlines measures
that Parties should take to enforce the provisions of the Convention.
Resolutions Conf. 2.6 (Rev.), 3.9 (Rev.), 6.4 (Rev.), 7.5, 9.8 (Rev.),
9.9, and 10.2 further detail these measures. For CITES to be effective,
shipments must be accompanied by valid CITES documents issued by the
appropriate authority and must meet all conditions of those documents.
Each Party must have border controls for the inspection and validation
of CITES documents. To ensure that specimens traded in violation of
CITES are not re-entered into illegal trade, Parties are to consider
seizure of specimens, rather than refusal of entry of the shipment.
Parties are encouraged to cooperate with other Parties, the
Secretariat, and international enforcement organizations to further
effective enforcement of the Treaty and provide protection to CITES
species.
We propose to include this new section in the regulations to
clarify what requirements must be met before CITES documents are
considered valid. We present this information in a table arranged
alphabetically by key phrase to assist importers and exporters. Most of
the requirements are self-explanatory; however, we feel it would be
helpful to discuss specific ones.
Management Authority and Scientific Authority: We propose to
incorporate the recommendation of Resolutions Conf. 3.9 (Rev.), 9.5,
and 10.3 that documents should be accepted only from Parties and non-
Parties that have designated a Management Authority and Scientific
Authority and have provided that information to the Secretariat. If
countries have not designated Management and Scientific Authorities, we
cannot be sure that the required findings have been made. Without these
findings, CITES documents are not valid.
Ranched: A number of species have been transferred from Appendix I
to Appendix II based on ranching of the species. Resolution Conf. 10.18
recommends that Parties not allow trade in such species from a non-
Party or a Party that has taken a reservation on the species. We
propose to incorporate this recommendation. Trade in this type of
specimen cannot be properly monitored when specimens are traded through
non-Parties and Parties that hold reservations and do not require CITES
documents.
Shipment contents: The proposed language reflects current practice.
CITES documents must be obtained before the shipment occurs. Documents
are specific to the specimens identified on the document, and the
shipper may not substitute a new specimen to replace the one approved.
The inspecting official may inspect the shipment and verify that the
contents match the specimens described on the document. The official
will validate or certify on the CITES document the actual quantities
that are being shipped. The quantity may be less than the quantity
shown on the document at the time it was issued, but cannot be more
than that quantity.
Quotas: The COP approves export quotas for some species. For other
species, countries determine their own export quotas. The Secretariat
notifies the Parties of these quotas each year. We propose to require
that the quantity exported may not exceed the quota.
We outline in paragraph (d) of this section the situations when we
may request verification of documents from the Secretariat or the
Management Authority of any country involved in the shipment. It
includes instances when we have reasonable grounds to believe a
document is not valid or authentic.
In paragraph (e), we propose to issue an information bulletin if we
determine that a country is not effectively implementing CITES. The
bulletin would indicate how we will handle shipments involving that
country or a species from that country. We may issue such a bulletin if
we receive reliable information from the COP, Standing Committee,
Secretariat, or other credible source that there are reasonable grounds
to believe that documents from a country are not valid. We will
consider all available information, including whether the trade is
detrimental to the species, the trade is in violation of any foreign
law, or if the applicable findings are not being made when CITES
documents are issued by a country. We will no longer publish separate
notices of information in the Federal Register, but will use a number
of more timely ways to provide this information to the public. These
could include posting the bulletin on our website, mailing it to all
import/export license holders and recipients of our CITES updates, and
providing it to the media through press releases.
Presentation of CITES documents at the port (Sec. 23.24):
Inspecting officials at the ports of exit and entry must verify that
shipments are accompanied by valid CITES documents and take enforcement
action when shipments do not comply with CITES. To help
[[Page 26671]]
importers and exporters, we propose this new section, which provides a
table that outlines the type of U.S. and foreign documents that they
must present for validation or certification or surrender when
importing, introducing from the sea, exporting, or re-exporting CITES
species. The general requirements for import and export are given in 50
CFR part 14 for wildlife and 7 CFR part 355 for plants.
Analysis of Proposed Subpart C--Application Procedures, Issuance
Criteria, and Conditions
This proposed subpart expands the current Sec. 23.15(c) through (f)
to provide more detailed information on application procedures,
decisions on applications, and records needed to apply for U.S.
documents. The general requirements of this proposed subpart apply to
both U.S. and foreign CITES documents.
Application procedures (Sec. 23.25): This proposed section gives a
general overview of the application process for U.S. CITES documents. A
number of CITES species are protected under other laws or treaties that
we implement. If appropriate, we will accept one application if the
applicant provides the information needed under all relevant
regulations. Applicants should review the issuance criteria for all
relevant regulations when preparing an application to ensure they
understand the kinds of information we need. This review should help
the applicant submit a more complete application and prevent delays in
processing.
When we review an application, we decide whether the requirements
of an exemption document under Article VII can be met or whether we
need to process the application under the standard CITES requirements
of Articles III, IV, or V. For example, a person may apply to export a
specimen that was born in captivity. We will first look to see if the
specimen meets the bred-in-captivity exemption. If the specimen does
not meet the issuance criteria for this exemption, we will consider the
application under the standard CITES requirements for an export permit.
Decisions on applications (Sec. 23.26): This new proposed section
explains the procedures we follow in making a decision on an
application. When an application is complete, we review the information
under all applicable issuance criteria, including 50 CFR part 13,
regulations under other wildlife and plant laws, and the CITES
regulations. We may consult with outside experts, scientists, and staff
within the Federal Government, State and tribal agencies, the
Secretariat, or foreign Management or Scientific Authorities before we
make our findings. The burden of proof in establishing that the
issuance criteria are met lies with the applicant. We can issue a CITES
document only if we are satisfied that all criteria specific to the
proposed activity are met.
Records (Sec. 23.27): When applying for a U.S. CITES document, an
applicant must provide documents on the origin of the specimens and/or
parental or founder stock. This information must be sufficient for us
to make the required findings for the type of document requested. This
proposed section summarizes the types of general records that potential
applicants should consider keeping for specimens that have been in or
may enter international trade. Documents should be maintained as long
as a specimen is owned by a potential applicant and should be
transferred to any subsequent owner.
Requirements for standard CITES documents (Secs. 23.28-23.31): The
basic requirements for U.S. and foreign CITES documents are the same as
in the current regulations (Sec. 23.15). We have designed U.S.
application forms for specific activities and protection levels to make
applications easier to complete and to clarify what information is
needed. The information provided in paragraph (b) of each of these
proposed sections is designed to help an applicant determine which
application form to request. The forms can be obtained from our website
and fax retrieval system or requested by phone or e-mail. We propose to
omit the application information from the regulations since we have
made application forms for specific activities available to the public.
The information in paragraph (c) or (d) of each of these proposed
sections lists the issuance criteria for each type of document and
references the appropriate section for factors we consider in making a
decision on certain criteria. The issuance criteria are based on the
provisions of the Convention (Articles III, IV, V, and XIV) and
resolutions, including Resolution Conf. 10.2 on permits and
certificates.
Under Article III, before a Management Authority can issue an
export permit for an Appendix-I specimen, it must be satisfied that an
import permit has been granted for the specimen. However, some
countries have stricter national legislation that requires the export
permit be issued before they can issue an import permit. Resolutions
Conf. 10.14 and 10.15 recommend that this requirement may be satisfied
when the Management Authority of the importing country has provided
written assurance that an import permit will be granted. Thus, we
propose in Sec. 23.29(d)(1) that the issuance criteria can be met
either by showing that the import permit has been granted or by
providing confirmation from the Management Authority of the importing
country that the import permit will be granted. We propose the same
issuance criteria for the re-export of live specimens as required by
Article III(4)(b). For re-export of dead specimens, the Management
Authority does not need to see the import permit before issuing a re-
export certificate, but the shipment still must be accompanied by an
import permit.
As discussed earlier, to comply with Resolution Conf. 10.2, CITES
documents must show the scientific name of the species using the
standard nomenclature in the CITES appendices or the references adopted
by the COP. Although current regulations (Sec. 23.15(c)(1)) require
that applications include scientific names, they do not mandate use of
the nomenclature in the CITES appendices and references. We propose to
add this requirement as an issuance criterion to conform with
Resolution Conf. 10.2, expedite review of permit applications, and
ensure that documents are issued for the correct species.
Because Appendix-I wildlife and plants can be imported only when
the intended use is not for primarily commercial purposes, we propose
to condition all import permits that the specimen can be imported and
subsequently used only for the permitted purpose. If the importer wants
to transfer the specimen where it would be used for a different
purpose, he or she would need to obtain permission from us. The
importer would not be allowed to use or transfer the specimen for
commercial purposes once in the United States.
To comply with the intent of Resolution Conf. 9.10 (Rev.), we
propose to add an issuance criterion for re-export of confiscated
Appendix-II specimens in Sec. 23.29(d)(2). It would require us, before
issuing a re-export certificate, to find that the proposed re-export of
confiscated specimens would not be detrimental to the survival of the
species. Regulations in 50 CFR 12.37 allow for the sale of confiscated
Appendix-II and -III wildlife and plants. When specimens have been
confiscated and subsequently sold or transferred, we consider them
legally acquired. However, because the specimens were imported without
the proper CITES documents, we need to make the biological finding
(that normally would have been made prior to export) before issuing a
re-export certificate.
[[Page 26672]]
Current regulations (Sec. 23.12(b)(2)) provide only general
information about certificates of origin. We are proposing a new
section (Sec. 23.30) to provide specific information on the application
form and issuance criteria for certificates of origin. These documents
allow the export of specimens of species listed in Appendix III when
the specimens originate in a non-listing country.
Article XIV(4) and (5) provides a limited exemption for
introduction from the sea of Appendix-II species when a country is a
party to another treaty, convention, or international agreement that
protects the listed marine species and was in force on July 1, 1975
(the entry into force of CITES). Based on this article, we propose in
Sec. 23.31(d) to apply this exemption only to specimens that were
harvested by a ship registered in the country of introduction.
Certificates for artificially propagated plants (Sec. 23.32): The
Parties recognize that a different approach for plants is sometimes
necessary because of the unique aspects of plant biology and trade.
This proposed section implements Article VII(5) and expands on the
current regulations in Sec. 23.15(d)(8). It allows us to issue a
certificate for artificially propagated plants for specimens of
Appendix-I species and hybrids of annotated Appendix-I species
propagated for non-commercial purposes and for hybrids of unannotated
Appendix-I species and specimens of Appendix-II or -III species or
hybrids propagated for any purpose. It is important to note that there
are no annotated Appendix-I plant species at this time, so all hybrids
of Appendix-I species that qualify as artificially propagated are
eligible for this exemption certificate. (See proposed Sec. 23.39 to
export Appendix-I plants propagated for commercial purposes under
Article VII(4).) We propose to adopt the conditions of Resolution Conf.
9.18 (Rev.) to decide whether plants qualify as artificially propagated
(see proposed Sec. 23.54). This resolution means that not all
``cultivated'' (see proposed Sec. 23.5) plants grown under controlled
conditions qualify as artificially propagated, and the shipper may need
a CITES export permit rather than a certificate for artificially
propagated plants (see proposed Sec. 23.29). An Appendix-I plant that
qualifies for this exemption does not need a CITES import permit.
Bred-in-captivity certificates (Sec. 23.33): Bred-in-captivity
wildlife is also covered under Article VII(4) and (5). In adopting
Resolutions Conf. 8.15 and 10.16, the Parties recognized the need for a
standard interpretation of these two paragraphs. The Parties have
expressed concern that trade in specimens falsely declared as bred in
captivity is contrary to the Convention and may be detrimental to the
survival of wild populations. (See proposed Sec. 23.38 concerning the
registration of operations that breed Appendix-I wildlife for
commercial purposes to meet the provisions of Article VII(4).) This
proposed section implements Article VII(5) and expands the current
regulations in Sec. 23.15(d)(8). It allows us to issue a bred-in-
captivity certificate for specimens of Appendix-I species bred for non-
commercial purposes and specimens of Appendix-II or -III species bred
for any purpose. We propose to adopt the conditions of Resolution Conf.
10.16 for bred in captivity (see proposed Sec. 23.53). Wildlife that is
born in captivity, but does not qualify under this criterion, can be
shipped only with a CITES export permit (see proposed Sec. 23.29).
Appendix-I wildlife that qualifies for a bred-in-captivity certificate
does not need a CITES import permit.
Hybrids. At COP 2, the Parties recognized that it is difficult to
distinguish between purebred and hybrid specimens for trade
identification purposes. If hybrids were not subject to CITES controls,
persons wishing to avoid the controls of CITES could falsely claim that
the specimens in question were hybrids. Resolution Conf. 2.13
recommended that hybrids, even though not specifically listed in any of
the appendices, are subject to CITES if one or both parents are listed.
The Parties agreed at COP 10 to treat plant hybrids differently from
wildlife hybrids. Resolution Conf. 2.13 was repealed, and provisions
for hybrids were placed in other resolutions.
Plant hybrids (Sec. 23.34): Resolution Conf. 9.18 (Rev.) on trade
in plants was revised to add a section on trade in plant hybrids. We
are proposing a new section in the regulations to implement this
resolution. Trade in plant hybrids must meet the requirements of CITES
unless the Parties agree to exempt an Appendix-II and -III hybrid by a
specific annotation to the appendices. At COP 10 a number of
artificially propagated hybrids of some ``supermarket'' cacti were
granted this general exemption. Plant hybrids are subject to CITES
controls if one or both parents are in the appendices. If the hybrid
includes two CITES species in its lineage, it is listed in the more
restrictive appendix of either parent, with Appendix I being the most
restrictive. Most plant hybrids are the product of artificial
propagation using well-established nursery stocks that have been
artificially propagated for many years. Thus, the Parties agreed to
treat artificially propagated hybrids of one or more unannotated
Appendix-I species as if listed in Appendix II and allow them to be
traded with a certificate for artificially propagated plants.
Wildlife hybrids (Sec. 23.35): In Resolution Conf. 10.17, the
Parties agreed that wildlife hybrids with one or more specimens of
Appendix-I or -II species in their recent lineage are controlled under
CITES as if they were ``genetically pure'' specimens of the listed
species. The term ``recent lineage'' was discussed during the drafting
of this resolution, but a definition was not included in the final
version. The term was again discussed at the 14th meeting of the
Animals Committee in May 1998. Following the Animals Committee meeting,
CITES Notification to the Parties No. 1998/28 advised the Parties that
the Animals Committee had agreed that the term ``recent lineage'' would
refer to the previous four generations of a species' ancestry. Because
of listing in the CITES appendices of higher taxa, such as falcons or
parrots, few commonly hybridized species of wildlife would qualify for
this exemption. However, specimens of the domesticated bengal cat could
qualify for this exemption, depending on when a wild leopard cat
(Prionailurus (=Felis) bengalensis) was in a specimen's ancestry.
To confirm that a hybrid is exempt from CITES controls, we propose
to require that the specimen be accompanied by a letter issued by the
Management Authority of the country of export, or a CITES document if
required by the exporting or re-exporting country. The letter would
need to certify that the wildlife hybrid contains no CITES specimens in
its recent lineage. Since not all countries will be aware of this U.S.
requirement, a person who plans to import an exempt wildlife hybrid
needs to contact the Management Authority of the exporting or re-
exporting country to get the appropriate letter or CITES document
before making a shipment. For export or re-export from the United
States, once a person provides information to verify the hybrid's
lineage and scientific name, we could issue a letter.
Personally owned live wildlife (Sec. 23.36): Article VII(3)
provides that, in some circumstances, the provisions of Articles III,
IV, and V do not apply to specimens that are personal or household
effects. As discussed previously, Parties have generally excluded live
wildlife from this exception. However, in Resolution Conf. 10.20, the
Parties recommend that the
[[Page 26673]]
term ``personal and household effects'' include personally owned, live
wildlife that is registered by the Management Authority in the country
where the owner usually resides. To monitor frequent international
movement and reduce administrative and technical problems, the Parties
agreed to use a certificate of ownership under specific conditions. We
propose to implement this resolution, which will simplify the procedure
for people who frequently travel internationally with companion animals
or wildlife used in non-commercial competitions, such as falconry. The
certificate of ownership would act like a passport, but could be issued
only after agreement between the Management Authorities of the Parties
concerned. The owner must accompany the specimen when crossing
international borders, and the wildlife cannot be sold or otherwise
transferred when traveling abroad.
Pre-Convention specimen (Sec. 23.37): Under Article VII(2), a
specimen acquired before the provisions of CITES applied to the species
involved is exempt from Articles III, IV, and V when the Management
Authority issues a pre-Convention certificate. Resolution Conf. 5.11
provides guidance on determining pre-Convention dates. This proposed
section expands the current regulations in Sec. 23.15(d)(8) and
clarifies when a pre-Convention certificate may be issued.
The pre-Convention date for a specimen may vary depending on when a
Party joined CITES or on a country's stricter national legislation.
Although Parties may differ on the date they consider as pre-Convention
for a species, a pre-Convention certificate is valid only if both
importing and exporting countries consider the specimen to be pre-
Convention. The Parties agreed to put the date the species was acquired
on the face of the certificate so the importing country could confirm
that the specimen qualifies as pre-Convention for them. Since the
United States became a Party to CITES when it first came into force,
the pre-Convention date for the United States is always the date a
species was first listed in any of the appendices. Thus, we do not
consider pre-Convention certificates issued for a specimen acquired
after that date as valid for entry into the United States.
We propose that the applicant provide information that the wildlife
or plant (including parts or products) was removed from the wild or
held in captivity or a controlled environment before the first date
that CITES applied to the specimen before we can issue a pre-Convention
certificate. A certificate is also needed to export items that are
antiques (over 100 years old).
We are also proposing a voluntary registration of any inventory or
stockpile of live specimens or parts and products when species are
initially listed on the CITES appendices. We would especially encourage
businesses that have an inventory or stockpile in their possession to
register it with us before the effective date of a listing. Our
experience with certain listings, such as sturgeon and Brazilian
rosewood, has shown that it becomes difficult to assess the pre-
Convention status of stock over time. It would be advantageous to the
exporter to register inventory, since registration would allow us to
process applications for pre-Convention certificates faster. Commercial
export or re-export of pre-Convention stock that had not been
registered would require other convincing evidence that the specimens
are pre-Convention.
Registration of Appendix-I commercial breeding operations
(Sec. 23.38): Article VII(4) provides that specimens of Appendix-I
species bred in captivity for commercial purposes will be regarded as
species included in Appendix II. The Parties recognize the potential
abuse inherent in this exemption since it is difficult for inspectors
to distinguish between specimens bred in captivity and those removed
from the wild. They also recognize that captive breeding for commercial
and conservation purposes is increasing. The registration of operations
that breed Appendix-I species for commercial purposes has been the
subject of a series of resolutions (Conf. 4.15, 5.21, and 7.10), which
were repealed with the adoption of Resolution Conf. 8.15.
We propose to implement this resolution, which provides guidelines
in registering and monitoring these operations. We are proposing
application procedures to allow an operation to register each Appendix-
I species at the operation. The issuance criteria would include whether
the species qualifies as bred in captivity (see proposed Sec. 23.53,
which is based on Resolution Conf. 10.16) and whether the founder stock
has been legally acquired.
Instead of publishing a detailed notice in the Federal Register
describing each application received, we propose to publish a notice of
receipt that identifies the registration request and invites public
comment. This action would allow for a more streamlined process and
still give the public an opportunity to comment.
Wildlife from a registered breeding operation can be exported with
an Appendix-II export permit under Article IV. Since no import permit
is required, specimens can be used for primarily commercial purposes.
To date, only one U.S. operation has chosen to complete the process of
registering. We encourage breeders to register their operations if they
plan to trade in Appendix-I specimens internationally. Currently most
commercial breeders in the United States are applying for permits under
Article III, rather than registering and taking advantage of this
exemption. Article III, however, allows trade only when the import is
not for primarily commercial purposes. The use of Article III is
becoming more limited since an increasing number of Parties allow
import of Appendix-I wildlife that was bred for commercial purposes
only if the specimen originated in an operation registered with the
Secretariat.
Debate continues on the best way to implement this exemption.
Resolution Conf. 8.15 was discussed at COP 10, where it was referred to
the Animals Committee to examine the effectiveness of and need for the
existing registration system. This issue will also be discussed at COP
11, and any changes to the registration system that result from that
discussion will be considered for incorporation into the regulations.
Exporting Appendix-I plants commercially (Sec. 23.39): The Parties
recognize that the artificial propagation of plants is essentially
different from captive breeding of wildlife and requires a different
approach. Artificial propagation of native plants can provide an
economic alternative to traditional agriculture in countries of origin.
By making specimens readily available, artificial propagation may have
a positive effect on the conservation of wild populations by reducing
pressure from collection. Article VII(4) provides that specimens of
Appendix-I plants artificially propagated for commercial purposes will
be regarded as species included in Appendix II.
At COP 9, the Parties adopted Resolution Conf. 9.19, which
recommends guidelines on the registration of nurseries that export
artificially propagated Appendix-I plants. At the same time, the
Parties recognized that nurseries that are not registered could still
export artificially propagated Appendix-I plants using the standard
procedures.
To date we have not registered any nurseries. We continue to
implement this provision of the Convention by reviewing a nursery's
facilities during the application process for CITES documents and
issuing export permits. We recognize that there may be some advantages
to developing a registration process. However, due to the
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complexity of this issue, we propose to not incorporate Resolution
Conf. 9.19 into the regulations, but to reserve Sec. 23.39(e) for
nursery registration. We anticipate seeking public comment on this
issue in a separate Federal Register notice at a later date.
Registered scientific institutions (Sec. 23.40): Article VII(6)
provides an exemption from strict CITES controls for preserved, dried,
or embedded museum specimens, herbarium specimens, and live plant
material that carry an approved label. The exemption covers the non-
commercial loan, donation, or exchange of these items between
scientists or scientific institutions registered by each country's
Management Authority. Resolution Conf. 1.4 recommends that Parties
encourage their natural history museums and herbaria to inventory their
holdings of rare and endangered species. This recommendation was to
allow researchers to efficiently borrow specimens for study and reduce
any potential adverse impacts that museum needs for research specimens
can have on small populations of rare wildlife and plants. In
Resolution Conf. 2.14, the Parties recommended guidelines for
implementing this exemption.
This proposed section would combine Secs. 23.13(g),
23.15(d)(8)(iii), and 23.15(e)(3) in the current regulations and adopt
the guidelines of the resolutions. A scientist who wishes to use this
exemption must be affiliated with a registered scientific institution.
We would broaden the exemption to include frozen museum specimens.
Specimens could be used for scientific research, but not for
decoration, trophies, or commercial purposes. We are clarifying that
preserved, frozen, dried, or embedded biological samples, including
blood and tissue samples, that would be partially destroyed during
analysis are eligible for this exemption. A portion of each sample
would need to be maintained at the museum for future scientific
reference. Samples that would be completely destroyed during analysis
would not be eligible for this exemption and would require the
applicable CITES documents. Since not all countries recognize these
types of samples as being eligible to be traded under this exemption,
registered scientific institutions should check with the foreign CITES
Management Authority before shipping such specimens under a scientific
exchange certificate.
We also propose that all specimens for which the exemption is being
claimed must have been legally acquired and under the control of a
registered scientific institution. The specimens must have been
permanently recorded by the sending registered institution before being
shipped for exchange, donation, or loan for scientific research
purposes. The Parties were concerned about possible abuse of the
exemption by scientists who might collect specimens and directly export
them without the permission of a registered institution in the
exporting country. Thus, the registration criteria require the orderly
handling and permanent recording of specimens, including the
maintenance of permanent records for loans and transfers of specimens
to other institutions. In addition, scientists may still need permits
under other parts of this subchapter.
Traveling live-animal exhibitions (Sec. 23.41): Article VII(7)
allows for the international movement of pre-Convention or bred-in-
captivity specimens that are part of a traveling zoo, circus,
menagerie, or other traveling animal exhibition without CITES
certificates. The exhibition must register the wildlife with its
Management Authority, and the wildlife must be transported and cared
for humanely. Parties have agreed, however, to require exhibitions to
be accompanied by CITES certificates to verify such registration. To
address technical problems and to prevent potential fraud, the Parties
adopted Resolution Conf. 8.16. We propose to incorporate the provisions
of this resolution into these regulations. The term ``traveling live-
animal exhibition'' is proposed in Sec. 23.4 to include live wildlife
used for display or entertainment where the exhibition is temporarily
moving internationally. Typically, exhibitions are circuses and
performing acts, but trainers that travel across borders with wildlife
that perform in movies or television programs could also apply for this
exemption. An exhibition certificate would be treated like a passport.
The exhibitor would retain the original certificate, which must be
validated at each border crossing.
Exhibitors would need to obtain a pre-Convention or bred-in-
captivity certificate for each specimen. This exemption does not apply
to specimens that do not qualify for one of these exemptions. Since
exhibitors currently may have a number of specimens on one document, we
propose phasing in this requirement and allowing existing documents to
be used until they expire. At that time, the exhibitor would need to
obtain a separate certificate for each specimen. This provision
facilitates the identification of each specimen in the exhibition and
validation of documents by border officials.
We are also proposing a number of conditions to ensure these
certificates are used only for temporary cross-border movement by the
exhibitor who owns the specimen. For example, a document may not be
transferred to another exhibitor, and specimens cannot be sold or
otherwise transferred when traveling abroad. Specimens could only be
transported internationally for display or entertainment purposes, not
for breeding or other purposes.
Many specimens covered by this exemption are Appendix-I specimens.
We propose under the general conditions (see proposed Sec. 23.45(a)(7))
to require that all live Appendix-I specimens be uniquely marked. To
ensure that each specimen exported or imported is the specimen
indicated on the certificate, we recommend that Appendix-II and -III
specimens also be clearly identified and, if appropriate, uniquely
marked. Tattoos, microchips, tags, or other marks may be used.
Replacement of documents (Sec. 23.42): Resolution Conf. 10.2
provides guidelines for replacing documents that are lost, damaged,
stolen, or accidentally destroyed. In this section, we propose to
incorporate the provisions of this resolution and clarify when
replacement documents may be available and how to obtain one. One of
the proposed issuance criteria requires a full and reasonable
explanation of the circumstances surrounding the lost, damaged, stolen,
or accidentally destroyed CITES document. We will also check to see if
the exporter has requested a replacement document before and review the
circumstances surrounding any previous request.
When a replacement document is requested after a commercial
shipment has left the United States, we will consult with the
Management Authority of the importing country. When we issue a
replacement document for a shipment that has already left the country,
we will not validate it because we cannot compare the actual shipment
contents to the document. It is important that we issue replacement
documents only when the circumstances warrant doing so and that
issuance of such documents prevents the use of the original CITES
document for a different shipment.
Retrospective documents (Sec. 23.43): A retrospective document
authorizes an export or re-export after that activity has occurred, but
before the shipment is cleared for import.
Resolution Conf. 10.2 recommends that a Party neither issue nor
accept retrospective documents, but recognizes limited exceptions. We
propose to amend 50 CFR 13.1 to add this new
[[Page 26675]]
section to allow for the issuance of retrospective permits for
specimens based on this resolution. Retrospective documents would be
issued only after both the exporting (or re-exporting) and importing
countries have thoroughly investigated the situation and agreed to the
issuance of the document. The investigation would need to reveal that
the exporter, re-exporter, or importer is not responsible for any
irregularities and that the shipment is otherwise in compliance with
CITES and the national laws of the involved countries.
This proposed section details the situations when we would consider
issuing a retrospective document and gives the issuance criteria. Based
on the intent of the original resolution (Resolution Conf. 6.6, which
is now part of Resolution Conf. 10.2), we propose to generally limit
issuance of retrospective documents for non-commercial items. Eligible
individuals would include travelers hand-carrying Appendix-II or -III
items with them as personal effects or persons who can demonstrate that
they were misinformed by an employee of the Service, APHIS (for
plants), or a Management Authority of the foreign country that should
have known the CITES requirements. We also are proposing to include
live Appendix-II or -III wildlife and plants that are outside the
proposed CITES personal effects exemption. Such shipments would need to
be limited to no more than two specimens, be for personal use, and
accompany the person as personal baggage. Retrospective documents would
be allowed for Appendix-I wildlife and plants, including live
specimens, parts, and products, only when they are personal pre-
Convention specimens. We would issue a retrospective document only if
the Management Authority of the importing country agrees to accept it.
Length of document validity (Sec. 23.44): Article VI(2) states that
an export permit can be valid only for a period of 6 months from the
date of issue. The Convention does not specify validity time frames for
other documents. Resolution Conf. 10.2 specifies validity time frames
for re-export certificates (6 months), import permits (12 months), and
certificates of origin (12 months). We are also proposing that an
introduction-from-the-sea certificate be valid for a maximum of 12
months since the activity is similar to import. Resolutions Conf. 8.16
and 10.20 recommend that certificates for traveling live-animal
exhibitions and certificates of ownership be valid for no more than 3
years.
We propose to expand the current regulations (Sec. 23.15(f)) to
incorporate the recommended validity times endorsed in the resolutions.
All CITES documents would specify the length of validity. All import
and introduction-from-the-sea activities must be completed by midnight
(local time at the point of import) of the expiration date indicated on
the document. The only situation where an extension of the validity
date is authorized is for certain timber species under limited
circumstances (see proposed Sec. 23.64).
CITES document conditions (Sec. 23.45): Section 23.15(e) would be
replaced by this proposed section, which addresses the topic of CITES
document conditions. General conditions apply to all CITES documents,
standard conditions apply to specific types of documents, and special
conditions may be placed on a CITES document when the activity with a
species warrants it. All CITES document conditions must be met for a
shipment to be lawful.
Resolution Conf. 8.13 recommends that Parties, where possible and
appropriate, adopt the use of microchip transponders for the secure
identification of live Appendix-I wildlife. The Parties, however, have
identified a number of technical issues that need to be addressed and
have asked the Animals Committee to monitor this issue. The Animals
Committee has drafted a resolution to be considered at COP 11. Thus, we
are not proposing that all Appendix-I wildlife be marked with
microchips. We propose that all live Appendix-I wildlife be securely
marked or uniquely identified to ensure that the wildlife presented
with a document is actually the specimen for which the document was
issued.
Analysis of Proposed Subpart D--Factors We Consider in Making
Certain Findings
Legal acquisition (Sec. 23.50): One of the issuance criteria in the
current regulations at Sec. 23.15(d)(2) is whether the wildlife or
plant was acquired lawfully. Under Articles III, IV, and V, we must
make a legal acquisition finding before granting export permits and re-
export certificates for Appendix-I, -II, and -III wildlife and plants.
The Parties have also agreed through a number of resolutions to make
this finding before granting certain exemption documents under Article
VII. These include Resolutions Conf. 2.14 (scientific exchange), Conf.
10.16 and 8.15 (bred-in-captivity wildlife), Conf. 9.18 (Rev.) and 9.19
(artificially propagated plants), and Conf. 10.20 (personally owned
live wildlife).
The determination of legal acquisition includes an assessment of
whether the specimen and its founder stock were traded internationally
in accordance with CITES and whether they were acquired consistent with
national laws for the protection of wildlife and plants. In the United
States, these laws include all applicable local, State, Federal,
tribal, and foreign laws.
We make the legal acquisition finding on a case-by-case basis
considering all available information. Since the applicant is
responsible for providing sufficient information to show that the
specimen was legally acquired, potential applicants need to keep good
records (see proposed Sec. 23.27). General statements that there is no
available information or that there is no evidence that the specimen or
its founder stock is illegal will not be sufficient for us to make the
legal acquisition finding. In addition to the information provided by
the applicant, we consider other relevant trade information, scientific
literature, and advice of experts. We may consult with foreign
Management Authorities, the CITES Secretariat, other U.S. governmental
agencies, and non-governmental experts.
We propose to add this section to the regulations to clarify the
factors we consider in making a legal acquisition finding. This section
should help individuals provide complete information at the time they
apply for a CITES document and better understand the kind of records
they should be keeping.
Persons who conduct commercial activities involving protected
wildlife and plants are held to a high standard in understanding and
complying with the requirements of the laws that affect their
activities. We expect these persons to provide clear records that each
specimen was legally acquired, including a record of the history of
ownership, copies of cleared CITES documents, and records of parental
or founder stock for specimens bred or propagated in the United States.
We apply a lower information requirement, in most instances, for
persons who acquired a specimen in the United States and want to travel
internationally with it for personal, non-commercial use. We believe
this system is appropriate for the limited number of specimens that
would be involved, for the low conservation risk posed, and because
most specimens are purchased from retailers who, as businesses, are
expected to be prepared to comply with the laws. We will, however,
request additional information when non-commercial trade in a
particular species raises greater conservation concern.
For the export of specimens that are bred or propagated in
captivity in the
[[Page 26676]]
United States, we consider whether the parental or founder stock was
legally acquired. Resolutions Conf. 9.18 (Rev.) and 10.16 require that
a Management Authority find that the breeding or propagation stock was
established in accordance with CITES and national laws. We propose to
define founder stock to mean the original breeding or propagation stock
that produced the subsequent generations of captive specimens. This
stock includes specimens that are pre-Convention, were previously
imported into the United States, or were removed from the wild if the
species is native to the United States. Standardized records, such as
the International Species Inventory System (ISIS), provide this kind of
information. Founder stock may differ from the parental stock, which is
the immediate parents of a specimen.
We propose that applicants provide information on parental stock
for species of lower conservation risk and information on founder stock
for species of higher risk. For some species, we will look at a number
of factors to decide if we need founder stock information. These
factors include whether the species is uncommon in captivity in the
United States, the species has not been documented to breed or
propagate readily in captivity, illegal trade in the species is
significant, few specimens have been legally imported into the United
States, and the range country does not allow commercial export of the
species.
We also propose to allow the export or re-export of donated
CITES specimens of unknown origin by public institutions on a case-
by-case basis under limited circumstances. In some instances, public
institutions, primarily zoos, aquariums, and botanical gardens, receive
unsolicited donations of wildlife and plants. These donations may be
brought in by individuals or left anonymously on the doorstep and may
include specimens found sick or injured by well-meaning citizens, pets
or plants that are no longer wanted, or specimens that owners fear they
may possess in violation of the law. When this occurs, the institution
may not be able to obtain reliable information concerning the origin of
the specimen. Justifying issuance of a permit under CITES is extremely
difficult when there are no data on the origin of the specimen,
especially when the donor remains anonymous. We do not wish to open a
loophole for laundering specimens that were illegally obtained by the
donor or by someone else in the chain of ownership. However, the
underlying purpose of CITES is to protect, preserve, and benefit the
listed species. We believe that the provisions proposed will assist in
the suitable placement of specimens without leading to illegal or
unjustified take of wildlife and plants from the wild.
Non-detriment findings (Sec. 23.51): Under Articles III and IV and
Resolution Conf. 10.3, the Scientific Authority must find that a
proposed export or introduction from the sea of Appendix-I or -II
specimens is not detrimental to the survival of the species and that a
proposed import of an Appendix-I species is not for purposes that would
be detrimental to the survival of the species. Although many activities
could be considered detrimental or potentially detrimental, we would
consider the following, among other things, to be detrimental: non-
sustainable use and proposed activities that would pose a net harm to
the status of the species in the wild. For Appendix-I species, we would
also consider, among other things, whether the proposed activity would
stimulate further trade in the species. We are proposing to use the
definition of ``sustainable use'' as provided in 50 CFR part 15 under
the Wild Bird Conservation Act. The wording has been slightly edited to
be consistent with language used in this part.
Since a permit grants permission to an institution or individual to
engage in an otherwise prohibited activity, the applicant must provide
sufficient information to satisfy us that the proposed activity is not
detrimental to the species concerned. If we can make a finding of non-
detriment, and if all other issuance criteria are met, we can issue the
relevant CITES document. If, however, the requested activity does not
meet the criteria, we will either make a finding of detriment or be
unable to determine that the activity is non-detrimental. In either
case, we will not issue a CITES document.
Although we are proposing no changes in this proposed rule in how
we make a non-detriment finding, we are proposing to list the factors
used to determine if the requested import or export of CITES specimens
would be non-detrimental to the survival of the species. These factors
would be used for all specimens in a single shipment or in multiple
shipments if the anticipated international trade is over a given
period. Approval on a shipment-by-shipment or multiple-shipment basis
is at our discretion. We have the option under CITES to issue our
required scientific findings on a shipment-by-shipment basis (a
different finding for each individual shipment) or management or
conservation program basis (one finding to cover all shipments from a
particular program).
Some Appendix-II species in the United States are listed under
Article II(2)(b) because they or their parts and products (such as
furs) are similar in appearance to other Appendix-I or -II species.
Examples of such species include the river otter (Lontra canadensis),
bobcat (Lynx rufus), and white sturgeon (Acipenser transmontanus).
These species are listed to ensure that trade in the species to which
they are similar is brought under control. Our non-detriment finding
for these species takes this issue into consideration. We are
obligated, however, to ensure that a species does not decline to the
point that it qualifies to be listed in Appendix II under Article
II(2)(a). Many of these species are included in State or tribal
programs that manage the species and control removal of specimens from
the wild. We receive information from the States and Tribes every year
that allows us to monitor exports and be assured that exports are not
detrimental to the species.
The status of the species in the wild and the degree of risk to the
species posed by the proposed activity determine the level of scrutiny
we give an application in making a finding. We give greater scrutiny,
require more detailed information, and make our decision in a more
precautionary manner for proposed activities that pose a greater risk
to a species in the wild. In addition, we consider whether a living
specimen being imported or exported would have an adverse impact if it
was intentionally or accidently released into the wild. With the
adverse impacts that invasive species are having both in the United
States and in other countries, it is important that activities
conducted under CITES do not further complicate the situation. We
consider the cumulative risk, recognizing each aspect of international
trade has a continuum of risk associated with it. For example, the
export of an Appendix-II, non-native specimen bred in captivity would
be less of a conservation risk than the import of an Appendix-I, wild-
caught specimen that is being heavily impacted by illegal trade.
Likewise, the export of plants grown from exempt seed or flasked
seedlings or tissue culture would present a lower conservation risk
than plants grown from non-exempt seeds. In all cases, if the species
is subject to pressure from high levels of commercial trade or subject
to significant illegal trade, the degree of scrutiny increases.
The Parties have agreed that export quotas for the non-commercial
use of Appendix-I species can be proposed by
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a range country and agreed to by the COP. This situation often pertains
to trophy hunting. When making a non-detriment finding for the import
of a specimen of a species where a quota has been established, we
consider the biological and management factors used as a basis of the
export quota. If necessary, we will contact the Scientific and
Management Authorities of the exporting country for additional
information to complete our finding. We clarify in this proposed
section that even when a quota has been established, we will review any
application for the import of a specimen of that species and make the
required non-detriment finding as required under Article III.
Primarily commercial purposes (Sec. 23.52): Under Article III,
import permits or introduction-from-the-sea certificates for Appendix-I
species can be issued only when a Management Authority is satisfied
that the specimen is not to be used for primarily commercial purposes.
Resolution Conf. 5.10 provides details on the interpretation of
``primarily commercial purposes,'' including examples. We consider this
resolution to be an accurate interpretation of the Treaty. The United
States supports its provisions and has been using the principles and
examples set out in the resolution in evaluating applications for
import documents for Appendix-I species. We propose to incorporate the
provisions of this resolution in these regulations.
For an import or introduction of an Appendix-I specimen to qualify,
the non-commercial aspects of the import or introduction must clearly
predominate. While the nature of the transaction between the owner and
the proposed recipient may be commercial, it is the intended use of the
specimen that must not be for primarily commercial purposes. When we
determine whether or not an import or introduction is primarily
commercial, we must take into consideration all factors involved. Each
application is considered on a case-by-case basis. The applicant must
provide sufficient information for us to make a finding.
We propose that all applicants provide basic information on
intended use, planned public outreach that may increase revenues,
planned disposition of offspring, and an assessment of the reasons the
proposed activities are not primarily commercial. Under certain
circumstances, the commercial nature of the organization or the public
appeal of a species would make it more difficult for us to make this
finding. Thus, we propose that for-profit applicants would need to
provide more detailed information. We would also ask for more detailed
information from any applicant when we find that the proposed activity
is with a species that is uncommon in captivity in the United States,
has high public appeal, or is capable of generating substantial
revenues. The additional information would include a statement from a
licensed, independent certified public accountant that the applicant's
internal accounting system is sufficient to account for and track funds
generated by the proposed activities. We are also proposing that all
net profits generated in the United States must be used for the
conservation of the Appendix-I species in a range country. It is
possible that an import or introduction, although superficially
commercial, may qualify based on the overwhelming conservation benefits
that will be provided through assistance to range countries, research,
or other considerations that result from the import or introduction.
Bred in captivity (Sec. 23.53): Article VII, paragraphs 4 and 5,
provides exemptions for wildlife bred in captivity. To establish a
standard interpretation of the term ``bred in captivity,'' the Parties
adopted Resolution Conf. 2.12, which was revised at COP 10. After much
discussion among the Parties, Resolution Conf. 2.12 (Rev.) was repealed
and Resolution Conf. 10.16 adopted. We propose to incorporate this
resolution into this new section.
In making this finding, we consider the conditions under which an
individual specimen is bred and whether the breeding stock was
established legally and in a non-detrimental manner and whether it is
maintained with limited introduction of wild specimens. We also
consider whether the breeding stock has consistently produced offspring
of at least second generation (F2) or whether the U.S. captive
population is managed in a way that shows it is capable of reliably
producing F2 offspring. If a facility has sufficient breeding stock to
meet all of the criteria, including consistently producing F2
offspring, then the wildlife at that facility can be considered bred in
captivity. Few facilities, however, have sufficient stock to meet the
criteria. Alternatively, if the majority of captive specimens of a
species within the United States meets the criteria, then specimens
bred by any U.S. facility that uses standard management procedures
could meet the criteria for bred in captivity. Thus, we have determined
that a number of species commonly held in the United States (such as
lions, tigers, brown eared pheasants, and Burmese pythons) qualify as
bred in captivity.
Artificially propagated (Sec. 23.54): Article VII, paragraphs 4 and
5, provides exemptions for artificially propagated plants. The Parties
recognize the unique aspects of plant biology and trade. Modern
developments in plant propagation, such as the use of flasked orchid
seedlings, have allowed large quantities of artificially propagated
plants to be produced. Resolution Conf. 9.18 (Rev.) addresses ways to
reduce the paperwork involved to move plants internationally while
maintaining protection of wild plants.
This proposed section expands the current Sec. 23.15(d)(8) and
incorporates from that resolution the criteria for artificially
propagated. In making this finding, we consider the controlled
conditions under which a plant is propagated. We also consider whether
the cultivated parental stock was established legally and in a non-
detrimental manner and whether it is managed in a way to ensure its
long-term maintenance. For example, we would not consider plants grown
from seeds, cuttings, or other propagules collected from wild plants
and grown out under controlled conditions as artificially propagated.
Hybrid plants must meet the same criteria. Grafted plants can also be
considered artificially propagated if both the rootstock and the graft
have been artificially propagated according to criteria in this
section.
Some plant materials of CITES species are exempt from CITES
requirements (see proposed Sec. 23.88(c)). However, plants grown from
exempt plant materials are regulated under CITES and are not
automatically considered artificially propagated. Since these plant
materials can be imported into the United States without any CITES
documents, we propose to usually require less information on the origin
of the exempt plant material than we would require on the origin of
non-exempt plant material. Importers of exempt plant material should
keep records that document who sold them the material. In general, we
will consider plants grown from flasked seedlings or tissue culture as
artificially propagated unless we have reasonable grounds to believe
the plants were grown from wild propagules. However, it is more
difficult to know if plants grown from exempt seeds meet the criteria
for artificially propagated plants. If importers want to ensure plants
they have grown from exempt seeds will qualify for a CITES certificate
for artificially propagated plants, rather than an export permit, they
may want to keep records that document the
[[Page 26678]]
cultivated origin of imported exempt seeds. We understand that limited
information may be available on the origin of exempt seeds. Therefore,
we would typically require less information when determining whether
plants grown from exempt seed would be considered artificially
propagated. We would consider whether the species is commonly
artificially propagated and whether substantial numbers of seeds are
collected from the wild.
Bred or propagated for commercial purposes (Sec. 23.55): The Treaty
provides in VII(4) that specimens of Appendix-I species bred in
captivity or artificially propagated for commercial purposes would be
deemed to be in Appendix II. It also provides in VII(5) that specimens
that are bred in captivity or artificially propagated may be granted an
exemption document. To decide whether to process an application under
Article VII(4) or Article VII(5), we must decide whether an Appendix-I
specimen was bred or propagated for commercial purposes. We propose
this new section to clarify what we consider in making this finding. We
would use the definition of ``commercial'' (see proposed Sec. 23.5)
provided in Resolution Conf. 5.10. We would assess the purpose of the
breeding and propagation activities, considering a variety of
information, including the reproductive biology of the species and all
aspects of the breeding or propagation program. Although generally we
have found non-profit institutions are breeding specimens for non-
commercial purposes, there have been instances when we have found they
were breeding for commercial purposes. This issue of what is considered
``bred for commercial purposes'' has been discussed at some length
within the Animals Committee and will be discussed at COP 11 in April
of 2000.
Suitably equipped to house and care (Sec. 23.56): Under Article
III(3)(b) and (5)(b), the Scientific Authority must determine that an
individual or institution has facilities that are suitably equipped to
house and care for an Appendix-I specimen being imported or introduced
from the sea. These requirements are to ensure that rare specimens will
have a reasonable chance for survival.
We propose this section to clarify the factors we consider in
making this finding. All individuals or institutions that will be
receiving specimens must be identified in an application, and their
facilities approved by us, including individuals or institutions that
are likely to receive specimens within 1 year of the specimen's arrival
in the country. We will consider all possible uses that could be
reasonably expected to occur and the housing and care requirements for
those uses. For example, if the applicant is importing specimens for
display and there was the possibility of offspring being produced, we
would consider whether the applicant could provide adequate housing and
care for the offspring.
We will base our finding on the best available information on the
requirements of the species and information provided by the applicant.
We will give closer scrutiny to applications for species with more
demanding biological and husbandry or horticultural needs. For a
captive-born, commonly held species, like a scarlet macaw, we would be
less critical due to the ease with which such a species can be held in
captivity and the availability of veterinary care and commercially
prepared diets. For a species, such as the Chinese giant salamander,
that is not commonly held in captivity and has very restrictive
husbandry and housing requirements, we would require a greater level of
detail regarding the facilities where the specimen would be held.
We have provided in this proposed section the general and specific
factors that we consider in making this finding. We consider whether a
facility supplies adequate space, appropriate living conditions,
adequate veterinarian or horticultural care, sufficient security, and
properly trained staff to care for the specimen. In addition, we
consider if appropriate housing and care are available for any
potential offspring.
An applicant may apply for a CITES document to import or introduce
from the sea a specimen before the facility is completed or the staff
to maintain the specimen has been identified or properly trained. In
such a case, we can review the information, including construction
plans or intended staffing, and make the finding based on that
information. We would, however, condition the finding that the import
could not occur until the facility has been completed or the staff
hired and/or trained and approved by us.
Analysis of Proposed Subpart E--International Trade in Certain
Specimens
This proposed subpart deals with situations that are either covered
by specific resolutions or by procedures we have developed to deal with
certain heavily traded native CITES species. We need information that
allows us to make the required findings before we can issue CITES
documents for export or re-export. Where this information is available
from a State or tribal management program and is sufficient to allow us
to make our required scientific and management findings, we have made
export findings on a State or tribal basis. These findings certify that
the programs contain the elements needed to allow us to make the
findings required for export under CITES. For Tribes, we can make
findings only for Tribes that have full wildlife management authority
over the resource. In the past, we have published findings in the
Federal Register for export of American ginseng, bobcat, river otter,
Alaska lynx, Alaska gray wolf, Alaska brown bear, and American
alligator. States and Tribes for which findings have been made are
requested to submit an annual report to us containing certain
information on the previous year's harvest. In some cases, such as for
many furbearer species, our findings have been made on a multi-year
basis. Annual reports from States allow us to remain assured that our
original findings remain valid. In these sections, we are proposing to
include the information we request from the States and Tribes on an
annual basis. The non-detriment findings we make are based on
Sec. 23.51.
Initially, making findings on a State or tribal basis was a new way
to address large-scale export of certain native species. If the legal
acquisition and non-detriment findings were made on a permit-by-permit
basis, it would present a tremendous workload for exporters as well as
for our offices. It is standard practice for many Parties to issue
findings on an annual basis for species with biologically based
management programs. Although the State-and Tribe-based findings are
not a rulemaking, we published them in the Federal Register as a
convenient way of notifying the public. Since there are now more timely
ways to provide this information to the public, we propose to
discontinue publication of the findings in the Federal Register. A list
of States and Tribes that have findings made on a State or tribal basis
and copies of the findings would either be posted on our website or be
available on request. Any requests to make findings for new States or
Tribes will continue to be evaluated on a case-by-case basis.
American ginseng (Sec. 23.60): This proposed section is a revision
of Sec. 23.51. Most American ginseng is collected or grown for export
and is exported in a much larger volume than any other native CITES
plant species. Ginseng that has been collected under State or tribal
requirements is certified as legally harvested. The State or tribal
certificates accompany the ginseng until the time of
[[Page 26679]]
export to document the origin of the material.
Under CITES, ginseng is considered either artificially propagated
or wild. However, the industry has a number of other designations. In
order to obtain more accurate information from exporters, we propose to
include a chart in the regulations that describes different types of
ginseng, such as wild simulated and cultivated woodsgrown, within the
broad categories of wild and artificially propagated.
Native furbearers (Sec. 23.61): This proposed section consolidates
and revises Secs. 23.52-23.56. The bobcat, river otter, Alaska lynx,
Alaska gray wolf, and Alaska brown bear are included in Appendix II
under the provisions of Article II(2)(b) because their parts and
products are difficult to distinguish from certain similar CITES
Appendix-I and -II species. Approved States and Tribes have procedures
for placement of CITES export tags on skins ( including furs and pelts)
that were legally taken. The presence of a tag on a skin provides us
with reasonable assurance that the skin was obtained legally and
provides a basis for our legal acquisition finding. We review the
information we receive annually from each State or Tribe to determine
if there is a need to reevaluate our State-or Tribe-based finding or if
the species needs closer monitoring.
Crocodilians (including American alligator) (Sec. 23.62): This
proposed section revises Sec. 23.57 and expands it to incorporate
Resolution Conf. 9.22 concerning tagging of all crocodilians. The
proposed revision extends the tagging requirements to all crocodilian
skins that are being imported, exported, or re-exported. This action
would ensure that our requirements for trade in all crocodilians are
consistent with the resolution and the international practices of all
countries exporting native crocodilians. This standardization of
requirements will assist with inspection efforts, reduce risk to wild
crocodilian populations, and standardize procedures for importers and
exporters. The requirements of the special rules in 50 CFR part 17
concerning the American alligator and certain threatened crocodilians
must be met in addition to the requirements of this section. The
current requirements for export of American alligator skins remain the
same.
Sturgeon caviar (Sec. 23.63): At COP 10, all sturgeon that were not
already included in the CITES appendices were added to Appendix II.
Resolution Conf. 10.12 provides recommendations to the Parties to
assist in the conservation of these vulnerable species. One specific
recommendation is that Parties ``monitor the storage, processing and
re-packaging of sturgeon specimens in Customs free zones and free
ports, and for airline and cruise line catering.'' Under the ESA, a
shipment is considered an import as soon as it is in an area under the
jurisdiction of the United States, whether or not it is considered an
import under Customs law.
Caviar is regularly served to passengers on airplanes and cruise
ships. Although the caviar is exported from the United States, the
intent is not to import it into another country, but to serve it for
consumption during the trip. We propose to provide specific guidelines
to the travel industry on what quantities can be loaded on board and
when a CITES document is required. Industry officials will need to
carefully determine the amount likely to be consumed on an airplane or
cruise ship since any unconsumed caviar that is on board at the foreign
destination may be considered an import, even if left on board, and
would require CITES documents.
According to industry sources, caviar is perishable and has a
normal shelf life of 1 year. Since all sturgeon have been included in
the CITES appendices since 1997, we no longer accept pre-Convention
certificates for caviar. This practice is consistent with the CITES
Notification No. 1999/23, which recommended that no permits or
certificates declaring caviar as pre-Convention should be accepted
after April 1, 1999. In order to be imported legally into the United
States, shipments of sturgeon caviar must be accompanied by the
appropriate export or re-export document (see our policy in the
December 6, 1999, Federal Register (64 FR 68113)) .
Timber (Sec. 23.64): The Parties recognize that trade in timber may
require some variations on standard CITES procedures.
Resolution Conf. 10.13 discusses the implementation of the
Convention for timber species. Resolution 10.2 incorporates specific
recommendations for timber species listed in Appendix II or III that
have an annotation regulating only the trade in logs, sawn wood, and
veneer sheets. It allows that under specific circumstances the period
of validity for CITES documents for timber may be extended for a
maximum of 6 months. It also includes provisions for changing the
ultimate consignee for a shipment after export or re-export. We propose
to incorporate these recommendations into this section.
Personal sport-hunted trophies (Sec. 23.65): Some countries allow
limited take of Appendix-I species as part of an overall management
plan. The export of Appendix-I hunting trophies requires both export
and import permits under Article III (see proposed Sec. 23.28). This
practice is reaffirmed in Resolution Conf. 2.11(Rev.). Because imports
of Appendix-I species cannot be for primarily commercial purposes,
Resolutions Conf. 10.14 and 10.15 recommend that trophies of Appendix-I
species must be acquired by the owner in the country of export, are
being imported as personal items, and will not be sold in the country
of import.
We propose to incorporate these requirements into 50 CFR part 23
and clarify what is considered a trophy. In a number of instances,
large numbers of fully manufactured products, such as briefcases,
handbags, and golf bags, have been imported as part of a ``hunting
trophy.'' Manufactured items of Appendix-II and -III species may be
imported with the appropriate CITES export or re-export documents,
which specifically describe the individual items, rather than including
them under a general description of ``trophy.'' It is unlikely that the
requirements for import of Appendix-I species could be met for such
items. We also would require Appendix-I specimens not be used or
transferred for a commercial purpose for those trophies imported for
personal use. We would include the specific conditions for leopard
hunting trophies as provided in Resolution Conf. 10.14. These
requirements would be in addition to any requirements in 50 CFR part
17. A hunter would not be allowed to import more than two leopard
trophies in one calendar year, and any skin would need to meet tagging
requirements.
Analysis of Proposed Subpart F--Disposal of Confiscated Live
Wildlife and Plants
Confiscated live specimens (Sec. 23.70): Article VIII(4) and (5)
outlines the requirements for disposal of confiscated live specimens,
and the Parties have adopted Resolution Conf. 10.7 which sets out
detailed guidance. For the United States, the general procedures for
disposal of forfeited or abandoned property are in 50 CFR part 12.
These procedures apply to CITES as well as the other laws that we
enforce. We are not proposing to revise 50 CFR part 12, but to add a
section to these regulations on the process we use in making a decision
to dispose of confiscated live CITES wildlife and plants that have been
forfeited or abandoned to our Division of Law Enforcement or APHIS.
[[Page 26680]]
Sometimes the country of export would like to have a shipment of
confiscated live specimens returned. Although under Article VIII this
is one of the options a country should consider, we are not always able
to select this option or return specimens quickly. For example, when
criminal charges are brought in connection with confiscated specimens,
litigation may require us to hold the specimens as evidence for an
extended period of time and the court may decide how we are to dispose
of them.
Many factors must be considered when live specimens are seized. The
most important of these factors is the welfare of the wildlife or
plants. Resolution Conf. 10.7 details a number of options for disposal
as well as the difficulties associated with each option. We propose to
consult this recommended guidance as necessary in making a decision.
For wildlife, the options discussed include maintenance in captivity,
return to the wild, and euthanasia. For plants, the resolution
discusses maintenance in cultivation, return to the wild, and
destruction.
In many countries, including the United States, some confiscated
specimens have been donated to zoos, aquariums, or botanical gardens.
However, this option is not always open when large numbers of common
species are seized. The zoological community recognizes that placing
animals of low conservation value in limited cage space may benefit
those individuals, but may detract from conservation efforts as a
whole. As a result, they are setting conservation priorities for cage
space. Botanical gardens are in a similar situation.
It is rare that confiscated specimens can or should be returned to
the wild. Before return to the wild should be considered, a country
must decide if that action would make a significant contribution to the
conservation of the species or might be harmful to the conservation of
species in the wild. Specimens held in captivity and/or transported may
be exposed to a variety of diseases and parasites. Reintroduction of
these specimens to the wild could result in introduction of diseases
with potentially catastrophic effects. It is also unlikely that the
exact point of collection could be determined. Therefore, the specimens
could not be returned to their home areas. Introduction into other
areas may result in genetic pollution and adverse impacts on the
species native to that area. Sometimes range countries request return
of confiscated wildlife or plants for educational or related purposes.
The least popular solution to disposal of confiscated wildlife,
euthanasia, may often be the simplest and most humane option available.
Participation in the Plant Rescue Center Program (Sec. 23.71): We
propose to add this section on how a public institution can participate
in our Plant Rescue Center Program. Whenever a shipment of plants
arrives in the United States in violation of CITES and the plants are
confiscated or seized, the plants are transferred to a participating
center. We have enlisted more than 60 public institutions, such as non-
profit botanical gardens, arboretums, zoological parks, and research
institutions in the United States, to cooperate with us in this
program.
Analysis of Proposed Subpart G--CITES Administration
Roles of the Secretariat and the committees (Sec. 23.75): This
proposed section adds to the information in subpart D of the current
regulations. It outlines the responsibilities of the Secretariat, which
is established under Article XII, and the committees, which were
established under resolutions (Resolution Conf. 9.1 (Rev.), which
repeals Resolutions Conf. 6.1 and 7.1). The committees provide
administrative and technical support to both the Parties and the
Secretariat. The resolution also outlines how regional representatives
are selected to serve on the various committees and their
responsibilities.
Conference of the Parties (COP) (Sec. 23.76): We propose to add
basic information on what a COP entails, how COP locations and dates
are determined, and who can attend the meetings.
Notice of a COP (Sec. 23.77): This proposed section revises
Secs. 23.31-23.39 to clarify how we provide information to the public
concerning a COP and how the public may participate in preparations for
it. We propose to continue publishing notices in the Federal Register
as soon as information is available concerning the location, dates,
agenda, proposed amendments to the appendices, proposed resolutions for
a COP, and public meetings. Since each notice will provide current
information on participation in the public meetings, including the
correct address for submission of any written comments and a telephone
number for further information, we propose not to include the address
and telephone number in 50 CFR part 23.
Development of U.S. negotiating positions (Sec. 23.78): We propose
to reorganize the information in Secs. 23.33, 23.35, and 23.38 to show
the process we follow in developing our negotiating positions,
including how the public can participate in this process. We will
continue to publish proposals that the United States is considering and
our proposed negotiating positions on agenda items and proposals. We
will also continue to hold public meetings to discuss these issues. We
propose to no longer publish our final negotiating positions in the
Federal Register, but rather to make them available in more timely
ways, such as posting them on our website and mailing them to people
upon request. Some issues are extremely complex and require extensive
coordination, and our final negotiating positions may not be available
prior to the COP. We also propose to delete Sec. 23.39 of the current
regulations and no longer publish an official report after each COP.
Information on the results of a COP is available from a number of
sources, such as our website or CITES Update, much sooner than an
official report could be published and printed. We propose to delete
Sec. 23.36 as a separate section since this information is incorporated
into other newly proposed sections.
Analysis of Proposed Subpart H--List of Species
Listing criteria for Appendix I or II (Sec. 23.85): CITES lists
species in one of three levels of protection depending on the degree of
threat to the survival of the species and the protection in
international trade believed to be necessary by the Parties (see
proposed Sec. 23.4). In 1992 at COP 8, the Parties directed the
Standing Committee to undertake, with the assistance of the
Secretariat, a revision of the criteria for amending the appendices in
Resolution Conf. 1.1 (referred to as the Berne criteria). This review,
carried out in consultation with the Parties, was based on initial
technical work done by IUCN in collaboration with species experts. A
joint meeting of the Plants and Animals Committees addressed all
aspects of this review, in association with the Standing Committee,
held in Brussels in September 1993.
From this review, the Parties adopted Resolution Conf. 9.24, which
establishes specific criteria for listing species. This proposed
section basically adopts this resolution as it is written. When
considering any proposal to amend Appendix I or II, the Parties should
apply a precautionary approach so that scientific uncertainty should
not be used as a reason for failing to act in the best interest of the
conservation of the species. We propose to define the term
``precautionary measures'' in proposed Sec. 23.5.
Under Article II, Appendix II should include species that could be
threatened with extinction if trade is not monitored
[[Page 26681]]
(Article II(2)(a)) and species where trade should be monitored because
the species resembles another listed species and could be misidentified
while in trade (Article II(2)(b)). In both cases, we are concerned that
international trade does not adversely affect the listed species and
that it does not develop to a level that is detrimental to the species
in the wild. We are concerned that trade does not get to a level where
the species would meet the criteria for listing in Appendix I and that
the species is maintained at a level consistent with its role in its
ecosystem.
To monitor the effectiveness of protection offered by the
Convention, range countries in cooperation with the Animals Committee
or the Plants Committee are to regularly review the status of species
included in Appendices I and II. The Parties will fully review the
listing criteria in Resolution Conf. 9.24 before COP 12 (approximately
2002) with regard to the scientific validity of the criteria,
definitions, notes, and guidelines and their applicability to different
groups of organisms.
Listing criteria for Appendix III (Sec. 23.86): Article II(3) sets
out that Appendix III includes native species that a Party lists to
obtain international cooperation in controlling trade. Under Article
XVI, a party can include a species in Appendix III by submitting
information to the Secretariat. No vote of the Parties is required. The
criteria to list a species in Appendix III includes that the species
must be native to the listing country, be protected under that
country's regulations to prevent or restrict exploitation and control
trade, and be in international trade, with an indication that
cooperation of other Parties would help to control illegal trade. The
listing Party can request the species be removed from Appendix III at
any time. By listing a species in Appendix III, trade data and other
relevant information can be gathered to assist policy makers in a
country determine whether the species should be proposed for inclusion
in Appendix II, removed from Appendix III, or retained in Appendix III.
This proposed section incorporates Resolution Conf. 9.25 by
outlining the criteria that a country must address to list a species in
Appendix III. In addition, it gives a general description of the
process we will use to decide if a species native to the United States
should be listed in Appendix III. At this time, we have not listed any
species in Appendix III, but we proposed several species in the January
26, 2000, Federal Register (65 FR 4217).
Organization of the list and exemptions (Secs. 23.87-23.88): These
proposed sections are a revision and reorganization of current
Sec. 23.23. In addition, we propose to discontinue publication of the
unofficial list in the CFR, but continue to provide information
concerning exempt wildlife or plants and their parts or products in
proposed Sec. 23.88. The official CITES list is the one maintained by
the Secretariat. It is based on decisions by the Parties and is
available from the Secretariat's website or from our office. Although
the unofficial list would no longer be in the CFR, we would continue to
maintain it because it is in a more detailed and easier to use format.
This list would be available on our website and as a printed
publication.
Required Determinations
Regulatory Planning and Review
This proposed rule has been reviewed by OMB under Executive Order
12866.
a. This proposed rule will not have an annual economic effect of
$100 million or negatively affect a part of the economy, productivity,
jobs, the environment, or other units of government. A cost-benefit and
economic analysis is not required. The purpose of this proposed rule is
to clarify and update the regulations that carry out CITES. It is
designed to assist individuals and businesses who import and export
specimens of CITES species by clearly outlining the requirements that
the United States, as well as the other 145 Parties, must follow under
the Treaty. As of October 15, 1999, our records showed 5,368 currently
valid CITES documents that we have issued (the period of validity for a
document ranges from 6 months to 4 years).
The majority of our trading partners for wildlife and plants are
CITES Parties. Because most of these Parties are currently implementing
the resolutions, the proposed rule should cause little or no change to
the way importers are currently doing business. The foreign suppliers
are already required by their own country's laws and international
customary law to follow the consensus interpretations embodied in the
resolutions. In addition, if an importer were to receive a shipment
that did not comply with all of the requirements of the country of
shipment, the import may violate the Lacey Act Amendments of 1981.
Exporters need to comply with the requirements of the receiving
country in addition to U.S. requirements. As a result, many are already
complying with the recommendations and interpretations in the CITES
resolutions. If a shipment is not in compliance with all applicable
resolutions, it may be seized or detained at the destination. The
proposed revisions will assist exporters in determining what procedures
they need to follow to trade internationally.
These proposed revisions incorporate existing trade requirements
that have not previously been published, but are required
internationally by a treaty. The publication of the proposed revisions
will assist U.S. businesses in complying with the requirements under
CITES and in engaging in international trade.
Therefore, we do not expect that this proposed rule would have a
significant effect on the volume or dollar value of wildlife and plants
imported, introduced from the sea, exported, or re-exported to and from
the United States. There is no indication that this proposed rule will
result in statistically significant higher or lower levels of trade,
permit applications, or permit issuance or denial.
b. This proposed rule will not create inconsistencies with other
agencies' actions. As the lead agency for carrying out CITES in the
United States, we are responsible for monitoring imports and exports of
CITES wildlife and plants, including their parts and products, and
issuing import and export documents under CITES.
c. This proposed rule will not materially affect entitlements,
grants, user fees, loan programs, or the rights and obligations of
their recipients.
d. This proposed rule will not raise novel legal or policy issues
because it only updates and clarifies existing regulations that
implement CITES. As a member of CITES, the United States is committed
to implementing the consensus interpretations of the Treaty that are
embodied in the resolutions collectively approved by the Parties. This
proposed rule would clarify the requirements for the import,
introduction from the sea, export, and re-export of shipments of CITES
specimens and would provide individuals and businesses access to
current, clearly written regulations.
Regulatory Flexibility Act
The proposed rule will not have a significant economic effect on a
substantial number of small entities as defined under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.). A final Regulatory Flexibility
Analysis is not required. Accordingly, a Small Entity Compliance Guide
is not required.
The overwhelming majority of the entities that import, export, or
re-export CITES specimens are considered small as defined under the
Regulatory
[[Page 26682]]
Flexibility Act. This proposed rule provides these businesses with
updated and more clearly written regulations for the import, export and
re-export of shipments of CITES specimens. The authority to enforce
CITES requirements already exists under the Endangered Species Act and
is carried out by regulations contained in 50 CFR part 23.
a. Many rural communities rely on the added income produced by
harvesting and selling certain CITES species that occur in the United
States, such as the American alligator, American ginseng, bobcat, river
otter, Alaska lynx, Alaska brown bear, and Alaska wolf. The majority of
consumer products made from these species are processed overseas. In
1997, approximately $24 million in wildlife species and $79 million in
ginseng were exported from the United States under CITES. We are not
proposing any changes from the existing export regulations and,
therefore, do not anticipate any economic effect to the current level
of activity.
We recognize that the States have the right and responsibility to
manage their wildlife. Many States have monitored the harvest of CITES
species since before the Treaty came into effect. Because of this, we
have worked with States and Indian Tribes to use the information they
collect to make CITES findings on a State-by-State or Tribe-by-Tribe
basis where export approval is requested. This system allows us to make
findings for all specimens of a particular species from a State or
Tribe rather than requiring each applicant to supply the information we
need to make legal acquisition and non-detriment findings. When we are
able to make State- or Tribe-based findings, at no charge we supply
those States and Tribes with CITES export tags. These tags are placed
on each skin under State- or Tribe-monitored conditions. The presence
of a tag on a skin provides us with reasonable assurance that the skin
was acquired legally. By making these administrative findings on a
State-wide or reservation-wide basis, we considerably reduce the amount
of paperwork required and allow exporters of these species to use
streamlined procedures.
In the proposed revisions, we provide the criteria we use in making
decisions concerning administrative findings. However, these criteria
are the same as we have used since the beginning of such findings. The
proposed revisions would provide the public details on how these
findings are made.
The proposed changes to the CITES regulations will assist those
that rely on income from the export of certain native CITES species to
remain competitive when conducting business in international markets.
This proposed rule provides the importing and exporting community a
better opportunity for obtaining economic gain from international
business in CITES specimens.
b. CITES Resolution Conf. 8.16 requires that each wildlife specimen
in a traveling live-animal exhibition (often a circus) must be covered
by a CITES document specific to that specimen. Currently, many circuses
have one document that covers several specimens. Under the proposed
revisions, when a document covering multiple specimens expires, the
permittee would need to obtain one document for each specimen. As a
result, this proposed rule may result in increased permit application
processing fees ($25 per application) for a small number of importers
and exporters who trade in CITES species. The requirement will be
phased in as current documents expire. We estimate that approximately
70 circuses import and export CITES wildlife to and from the United
States on a regular basis. If exhibitors do not obtain individual
documents for each specimen, they may encounter difficulties at border
crossings.
c. CITES Resolution Conf. 10.6 (which incorporates Resolution Conf.
4.12) specifically states that the personal effects exemption that
covers tourist souvenirs does not apply to live specimens. In addition,
most Parties require CITES documents for all live specimens, even if
they are personal items. Resolution Conf. 10.20 provides for the
issuance of certificates for personal live wildlife that would be valid
for a period of 3 years and allow for multiple imports, exports, and
re-exports of the specimens. Current U.S. regulations do not advise the
reader of this. However, if an individual leaves the United States with
their pet that is protected under CITES (such as a parrot), they risk
having the pet seized upon import into another CITES Party. The
proposed revisions would advise travelers that they must have a CITES
document in order to travel with their CITES pet and provide for the
issuance of a 3-year document. In addition, individuals importing live
CITES wildlife as pets will be required under this proposed rule to
obtain a CITES document prior to arriving in the United States. In most
cases, this requirement would ensure that they are not inadvertently
violating the Lacey Act by exporting their pet from a CITES Party
without an export document since most Parties require CITES documents
for all live specimens. On the average between 1996 and 1998, we issued
21 retrospective documents for personal shipments, including live
wildlife, annually. Since recipient Parties required individuals to
obtain retrospective documents before allowing import of the live
wildlife, this requirement will not place an additional paperwork or
financial burden, but may actually save time and money.
The proposed regulations will create no other substantial fee or
paperwork changes in the permitting process. The changes discussed
above are not major in scope and will create only a modest financial or
paperwork burden on the affected members of the general public.
Therefore, we do not believe that this proposed rule will have a
significant economic effect on a substantial number of small entities.
Small Business Regulatory Enforcement Fairness Act
Similarly this proposed rule is not a major rule under 5 U.S.C.
804(2), the Small Business Regulatory Enforcement Fairness Act. This
proposed rule:
a. Does not have an annual effect on the economy of $100 million or
more. This proposed rule provides the importing and exporting community
within the United States updated and more clearly written regulations
that implement CITES in the United States. This proposed rule will not
have a negative effect on this part of the economy.
This proposed rule will affect all importers and exporters equally,
and the benefits of having updated guidance on complying with CITES
requirements will be evenly spread among all businesses, whether small
or large. There is not a disproportionate share of benefits for small
or large businesses.
b. Will not cause a major increase in costs or prices for
consumers, individual industries, Federal, State, or local government
agencies, or geographic regions. This proposed rule will clarify and
update the regulations to carry out CITES, and as such, will provide
benefits to all permit applicants in terms of time savings. This
proposed rule may result in a small increase in the number of permit
applications and permit processing fees for some circuses and pet
owners.
c. Does not have significant adverse effects on competition,
employment, investment, productivity, innovation, or the ability of
U.S.-based enterprises to compete with foreign-based enterprises. This
proposed rule will enable U.S. importers and exporters of CITES species
to better understand and comply with the regulations covering
international trade in CITES wildlife
[[Page 26683]]
and plants. Without these proposed revisions to the regulations, the
U.S. importing and exporting community may not be able to effectively
compete with foreign-based companies in the international trade of
CITES specimens. This proposed rule will assist U.S. businesses in
ensuring that they are meeting all required CITES resolutions and
decrease the possibility that shipments may be delayed or even seized
in another country that has implemented applicable CITES resolutions.
Unfunded Mandates Reform Act
Under the Unfunded Mandates Reform Act (2 U.S.C. 1501, et seq.):
a. This proposed rule will not significantly or uniquely affect
small governments. A Small Government Agency Plan is not required. As
the lead agency for carrying out CITES in the United States, we are
responsible for monitoring imports and exports of CITES wildlife and
plants, including their parts and products, and issuing import and
export documents under CITES. This proposed rule affects States only as
described in 2.a. above, concerning export of certain native CITES
species. Therefore, this proposed rule has no effect on small
government's responsibilities.
b. This proposed rule will not produce a Federal requirement of
$100 million or greater in any year and is not a ``significant
regulatory action'' under the Unfunded Mandates Reform Act.
Takings
Under Executive Order 12630, this proposed rule does not have
significant takings implications. A takings implication assessment is
not required. This proposed rule is not considered to have takings
implications because it does not further restrict the import, export,
or re-export of specimens of CITES specimens. Rather, the proposed rule
updates the regulations for the import, export, and re-export of CITES
specimens, which will assist the importing and exporting community in
carrying out international trade in CITES specimens.
Federalism
These proposed revisions to CFR part 23 do not contain provisions
that have Federalism implications sufficient to warrant preparation of
a Federalism Assessment under Executive Order 13132. These proposed
regulations cover U.S. responsibilities under CITES which is an
international agreement that focuses on international trade in
protected species. The activities of import and export are national in
scope and are not sovereign powers reserved to the States. The portions
of the proposed regulations which have direct links to the States are
basically unchanged and were initially developed after extensive
consultation with the States and with the International Association for
Fish and Wildlife Agencies.
Civil Justice Reform
Under Executive Order 12988, the Office of the Solicitor has
determined that this proposed rule does not unduly burden the judicial
system and meets the requirements of sections 3(a) and 3(b)(2) of the
Order. Specifically, this proposed rule has been reviewed to eliminate
errors and ensure clarity, has been written to minimize disagreements,
provides a clear legal standard for affected actions, and specifies in
clear language the effect on existing Federal law or regulation.
Paperwork Reduction Act and Information Collection
This proposed rule contains information collections for which
approvals are required under the Paperwork Reduction Act. The majority
of the information collection associated with this proposed rule is
covered by OMB approval number 1018-0093 (Forms 3-200-19 through 3-200-
49, 3-200-52, and 3-200-53). Any comments on this record collection
should be directed to the Information Collection Clearance Officer,
Mail Stop 222, Arlington Square, U.S. Fish and Wildlife Service,
Washington, DC 20240.
We are proposing ten new forms (listed below). These proposed forms
are based on forms that are already approved and would require only
submission of information specific to the activity covered by the form.
The collection of information described for those forms has been
submitted to the Office of Management and Budget (OMB) for approval
under the provisions of the Paperwork Reduction Act of 1995 (Public Law
104-13). We may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number. The proposed information collection will be
used to evaluate applications for CITES documents. We will use the
information to review applications and make decisions, according to
criteria established in various Federal wildlife conservation statutes
and regulations, on the issuance, suspension, revocation, or denial of
CITES documents. Your response is required to obtain a CITES document.
We estimate the public reporting burden for these reporting
requirements to vary from 30 minutes to 40 hours per response with an
average of 1 hour per response, including time for reviewing
instructions, gathering and maintaining data, and completing and
reviewing the forms.
Comments on this proposed information collection should be directed
to the attention of the Desk Officer for the Interior Department,
Office of Information and Regulatory Affairs, Office of Management and
Budget, Washington, DC 20503. A copy of the comments should also be
sent to the Information Collection Clearance Officer, Mail Stop 222,
Arlington Square, U.S. Fish and Wildlife Service, Washington, DC 20240.
The Office of Management and Budget has up to 60 days to approve or
disapprove the information collection but may respond after 30 days.
Public comments should be submitted to OMB within 30 days in order to
assure their maximum consideration. The new forms and the estimated
reporting burdens are as follows:
----------------------------------------------------------------------------------------------------------------
Estimated
Form No. Activity Total number completion Total annual Regulation
of respondents time (hours) burden hours
----------------------------------------------------------------------------------------------------------------
3-200-54.............. Certificate of 1,000 0.5 500 50 CFR 23.11, 23.36,
Ownership for 23.50.
Personally Owned
Wildlife.
3-200-55.............. Registration of .............. .............. .............. 50 CFR 23.11, 23.38,
Appendix-I 23.50.
Commercial
Breeding
Operations.
a. Application & 10 4.5 45 .....................
Report.
b. Non-native 5 40 200 .....................
species study.
3-200-56.............. Replacement 50 0.5 25 50 CFR 23.11, 23.42.
Documents.
[[Page 26684]]
3-200-57.............. Issuance of a 10 0.5 5 50 CFR 23.11, 23.35.
Letter for an
Exempt Hybrid.
3-200-58.............. Retrospective 30 0.5 15 50 CFR 23.11, 23.43.
Documents.
3-200-59.............. Voluntary 15 1.0 15 50 CFR 23.11, 23.37.
Registration of
Pre-Convention
Stocks.
3-200-60.............. Participation in 5 1.0 5 50 CFR 12.30, 23.70,
the Plant Rescue 23.71.
Center Program.
3-200-61.............. Reports for the 24 1.0 24 50 CFR 23.11, 23.60.
American Ginseng
CITES Export
Programs.
3-200-62.............. Reports for the 49 0.5 24.5 50 CFR 23.11, 50 CFR
Furbearer CITES 23.61.
Export Programs.
3-200-63.............. Reports for the 9 0.5 4.5 50 CFR 23.11, 23.62.
American
Alligator CITES
Export Programs.
------------------------------------------------
Totals............ ................. 1,202 863 ..............
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Total number Application Total annual
Form No. Activity of respondents processing/fee costs
----------------------------------------------------------------------------------------------------------------
3-200-54.......................... Certificate of Ownership for 1,000 $25 $25,000
Personally Owned Wildlife.
3-200-55.......................... Registration of Appendix-I.. 10 25 250
Commercial Breeding 10 1 10
Operations--Annual Report.
3-200-56.......................... Replacement Documents....... 50 25 1,250
3-200-57.......................... Issuance of a Letter for an 10 25 250
Exempt Hybrid.
3-200-58.......................... Retrospective Documents..... 30 25 750
3-200-59.......................... Voluntary Registration of 15 25 375
Pre-Convention Stocks.
3-200-60.......................... Participation in the Plant 5 N/A 5
Rescue Center Program.
3-200-61.......................... Reports for the American 24 N/A 24
Ginseng CITES Export
Programs.
3-200-62.......................... Reports for the Furbearer 49 N/A 49
CITES Export Programs.
3-200-63.......................... Reports for the American 9 N/A 9
Alligator CITES Export
Programs.
-----------------------------------------------
Totals........................ .......................... 1,202 27,972
----------------------------------------------------------------------------------------------------------------
We are specifically seeking public comments as to:
a. Whether the collection of information is necessary for the
proper performance of the functions of the Service, including whether
the information will have practical utility;
b. The accuracy of the Service's estimate of the burden of the
collection of information, including the validity of the methodology
and assumptions used;
c. The quality, utility, and clarity of the information to be
collected; and
d. How to minimize the burden of the collection of information on
those who are to respond, including the use of appropriate automated
electronic, mechanical, or other forms of information technology.
National Environmental Policy Act
The Department of the Interior has determined that the issuance of
this action is categorically excluded under the Department's NEPA
procedures in 516 DM 2, Appendix 1.10.
Government-to-Government Relationship With Tribes
Under the President's memorandum of April 29, 1994, ``Government-
to-Government Relations with Native American Tribal Governments'' (59
FR 22951) and 512 DM 2, we have evaluated possible effects on federally
recognized Indian Tribes and have determined that there are no effects.
Individual tribal members must meet the same regulatory requirements as
other individuals who participate in international trade of CITES
species.
Public Comments Solicited
We invite interested organizations and the public to comment on
this proposed rule. It generally reflects the way we currently
implement CITES under the current resolutions. We have drafted the
proposal as part of our ongoing permits reform effort to simplify
procedures, use risk assessment to reduce paperwork while still
ensuring effective species conservation, and help people understand how
to conduct international trade in CITES species. We are seeking
comments, in particular, on whether the provisions of the proposed rule
allows the affected public to effectively comply with CITES and whether
the proposed rule is written in a manner that the public can easily
understand and use.
List of Subjects
50 CFR Part 10
Exports, Fish, Imports, Law enforcement, Plants, Transportation,
Wildlife.
50 CFR Part 13
Administrative practice and procedure, Exports, Fish, Imports,
Plants, Reporting and recordkeeping requirements, Transportation,
Wildlife.
50 CFR Part 17
Endangered and threatened species, Exports, Imports, Reporting and
recordkeeping requirements, Transportation.
50 CFR Part 23
Animals, Endangered and threatened species, Exports, Fish, Foreign
officials, Foreign trade, Forest and forest products, Imports, Marine
mammals, Plants, Reporting and recordkeeping requirements,
Transportation, Treaties, Wildlife.
[[Page 26685]]
Proposed Regulations
For the reasons given in the preamble, Title 50, Chapter I,
Subchapter B of the CFR, is proposed to be amended to read as follows:
PART 10--[AMENDED]
1. The authority citation for part 10 continues to read as follows:
Authority: 18 U.S.C. 42; 16 U.S.C. 703-712; 16 U.S.C. 668a-d; 19
U.S.C. 1202; 16 U.S.C. 1531-1544; 16 U.S.C. 1361-1407; 16 U.S.C.
742a-742j-l; 16 U.S.C. 3371-3378.
2. In Sec. 10.12, the definitions of Country of origin and United
States are revised to read as follows:
Sec. 10.12 Definitions.
* * * * *
Country of origin means the country where the wildlife or plant
(including parts and products such as manufactured goods) was taken
from the wild or was born or propagated in captivity.
* * * * *
United States means the several States of the United States of
America, the District of Columbia, the Commonwealth of Puerto Rico,
American Samoa, the U.S. Virgin Islands, Guam, the Commonwealth of the
Northern Mariana Islands, Baker Island, Howland Island, Jarvis Island,
Johnston Atoll, Kingman Reef, Midway Islands, Navassa Island, Palmyra
Atoll, and Wake Atoll.
* * * * *
PART 13--[AMENDED]
3. The authority citation for part 13 continues to read as follows:
Authority: 16 U.S.C. 668a, 704, 712, 742j-l, 1382, 1538(d),
1539, 1540(f), 3374; 4901-4916; 18 U.S.C. 42; 19 U.S.C. 1202; E.O.
11911, 41 FR 14583; 31 U.S.C. 9701.
4. Section 13.1 is revised to read as follows:
Sec. 13.1 General.
(a) A person must obtain a valid permit before commencing an
activity for which a permit is required by this subchapter, except as
provided in 50 CFR 23.43 for certain non-commercial shipments under
CITES.
(b) A person must apply for such a permit under the general permit
procedures of this part and any other regulations in this subchapter
that apply to the proposed activity.
(1) The requirements of all applicable parts must be met.
(2) A person may submit one application that includes the
information required in each part, and a single permit will be issued
if appropriate.
5. Section 13.12(a)(1) is revised to read as follows:
Sec. 13.12 General information requirements on applications for
permits.
(a) * * *
(1) Applicant's full name, street address, county, home and work
telephone numbers, fax number, and e:mail address, and--
(i) If the applicant resides or is located outside the United
States, a street address in the United States and, if conducting
commercial activities, the name and address of his or her agent that is
located in the United States; and
(ii) If the applicant is an individual, the date of birth, social
security number, occupation, and any business, agency, organizational,
or institutional affiliation associated with the wildlife or plants to
be covered by the license or permit; or
(iii) If the applicant is a business, corporation, public agency,
or institution, the tax identification number, description of the type
of business, corporation, agency, or institution, and the name and
title of person responsible for the permit (such as president,
principal officer, or director);
* * * * *
6. Section 13.22(c) is revised to read as follows:
Sec. 13.22 Renewal of permits.
* * * * *
(c) Continuation of permitted activity. Any person holding a valid,
renewable permit may continue the activities authorized by the expired
permit until the Service acts on the application for renewal if all of
the following conditions are met:
(1) The permit is currently in force and not suspended or revoked;
(2) The person has complied with this section; and
(3) The permit is not a CITES document issued under 50 CFR part 23,
which is void upon expiration.
* * * * *
7. Section 13.46 is amended by adding a sentence at the end of the
section to read as follows:
Sec. 13.46 Maintenance of records.
* * * If the permittee is conducting commercial activities
and resides or is located outside the United States, records shall be
maintained at a location in the United States that is available for
inspection.
PART 17--[AMENDED]
8. The authority citation for part 17 continues to read as follows:
Authority: 16 U.S.C. 1361-1407; 16 U.S.C. 1531-1544; 16 U.S.C.
4201-4245; Pub. L. 99-625, 100 Stat. 3500; unless otherwise noted.
Sec. 17.8 [Redesignated as Sec. 17.9]
9. Part 17 is amended by redesignating Sec. 17.8 as Sec. 17.9.
10. New Sec. 17.8 is added to read as follows:
Sec. 17.8 Import exemption for threatened, CITES Appendix-II wildlife.
Except as provided in paragraph (a) of this section, all
prohibitions of Sec. 17.31 and exemptions of Sec. 17.32 shall apply to
any specimen of a threatened species of wildlife:
(a) Import. Subject to the provision in paragraph (b) of this
section, live specimens, or parts and products, of a species listed as
threatened under this part may be imported without a threatened species
permit under Sec. 17.32 provided the following conditions are met:
(1) The species is listed in Appendix II of CITES (see 50 CFR part
23);
(2) The wildlife was taken from the wild or on a ranch by or for
the importer for non-commercial use;
(3) If the specimen is a sport-hunted trophy (see paragraph (c) of
this section), the CITES listing is not subject to an annotation for
sport-hunted trophies where other specimens of the species are treated
as included in Appendix I of CITES (see 50 CFR part 23);
(4) The number of specimens to be imported is reasonably
appropriate for the nature of the import;
(5) The specimen is accompanied by a valid CITES document (see 50
CFR 23.23);
(b) Special rules. Stricter provisions of any special rule in this
part apply in addition to this section; and
(c) Sport-hunted trophy means raw or tanned parts of a specimen
that was taken by the hunter, who is also the importer, during a sport
hunt for personal, non-commercial use. It may include the hide, head,
skull, tusks, horns, hair, teeth, claws, meat, bones, or any
taxidermied part, including, but not limited to, a taxidermied head,
shoulder, or full mount. It does not include articles made from a
trophy such as worked, manufactured, or handicraft items for use as
clothing, curios, ornamentation, jewelry, or other utilitarian items.
11. Part 23 is revised to read as follows:
[[Page 26686]]
PART 23--CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF
WILD FAUNA AND FLORA (CITES)
Subpart A--Introduction
Sec.
23.1 What are the purposes of CITES and these regulations?
23.2 How do I decide if these regulations apply to my shipment or
me?
23.3 What other wildlife and plant regulations may apply?
23.4 What are Appendices I, II, and III?
23.5 How are the terms used in these regulations defined?
23.6 What are the roles of the Management and Scientific
Authorities?
23.7 What office do I contact for CITES information?
23.8 What are the information collection requirements?
Subpart B--Prohibitions, Exemptions, and Requirements
23.11 What is prohibited?
23.12 How may I travel internationally with my personal and
household effects?
23.13 What are the U.S. CITES requirements for urine, feces, and
synthetically derived DNA?
23.14 What are the requirements for diplomatic, consular,
military, and other persons eligible for waiver privileges under
customs law?
23.15 What CITES documents are required to export Appendix-I
wildlife?
23.16 What CITES documents are required to export Appendix-I
plants?
23.17 What CITES documents are required for international trade?
23.18 What happens if a country enters a reservation for a
species?
23.19 What are the requirements for in-transit shipments?
23.20 What information is required on U.S. and foreign CITES
documents?
23.21 What code is used to show the source of the specimen?
23.22 What additional information is required on non-Party CITES
documents?
23.23 When is a U.S. or foreign CITES document valid?
23.24 What CITES documents do I present at the port?
Subpart C--Application Procedures, Issuance Criteria, and Conditions
23.25 How do I apply for a U.S. CITES document?
23.26 How do we decide to issue or deny a request for a U.S. CITES
document?
23.27 What records do I need to apply for a U.S. CITES document?
23.28 What are the requirements for import permits?
23.29 What are the requirements for export permits and re-export
certificates?
23.30 What are the requirements for certificates of origin?
23.31 What are the requirements for introduction-from-the-sea
certificates?
23.32 What are the requirements for certificates for artificially
propagated plants?
23.33 What are the requirements for bred-in-captivity
certificates?
23.34 What are the requirements for plant hybrids?
23.35 What are the requirements for wildlife hybrids?
23.36 What are the requirements to travel internationally with my
personally owned live wildlife?
23.37 What are the requirements for pre-Convention specimens?
23.38 What are the requirements for registering an Appendix-I
commercial breeding operation?
23.39 What are the requirements for export of Appendix-I plants
artificially propagated for commercial purposes?
23.40 What are the requirements for registered scientific
institutions?
23.41 What are the requirements for traveling live-animal
exhibitions?
23.42 What are the requirements to replace lost, damaged, stolen,
or accidentally destroyed CITES documents?
23.43 What are the requirements for retrospective CITES documents?
23.44 How long is a CITES document valid?
23.45 What CITES document conditions do I need to follow?
Subpart D--Factors We Consider in Making Certain Findings
23.50 What factors do we consider in making a legal acquisition
finding?
23.51 What factors do we consider in making a non-detriment
finding?
23.52 What factors do we consider in making a finding of primarily
commercial purposes?
23.53 What factors do we consider in making a bred-in-captivity
finding?
23.54 What factors do we consider in making an artificially
propagated finding?
23.55 What factors do we consider in making a finding of bred or
propagated for commercial purposes?
23.56 What factors do we consider in making a finding that an
applicant is suitably equipped to house and care for a live
specimen?
Subpart E--International Trade in Certain Specimens
23.60 How can I trade internationally in American ginseng?
23.61 How can I trade internationally in furs of bobcat, river
otter, Alaska lynx, Alaska gray wolf, and Alaska brown bear?
23.62 How can I trade internationally in crocodilian skins and
parts of skins, including American alligator skins?
23.63 How can I trade internationally in sturgeon caviar?
23.64 How can I trade internationally in timber?
23.65 How can I trade internationally in personal sport-hunted
trophies?
Subpart F--Disposal of Confiscated Live Wildlife and Plants
23.70 How do we dispose of confiscated live wildlife and plants?
23.71 How may I participate in the Plant Rescue Center Program?
Subpart G--CITES Administration
23.75 What are the roles of the Secretariat and the committees?
23.76 What is a Conference of the Parties (COP)?
23.77 How can I obtain information on a COP?
23.78 How does the United States develop negotiating positions for
a COP?
Subpart H--Lists of Species
23.85 What are the criteria for listing species in Appendix I or
II?
23.86 What are the criteria for listing species in Appendix III?
23.87 How do I find out if a species is listed?
23.88 Are any wildlife and plants, and their parts or products,
exempt?
Authority: 27 U.S.T. 1087; 16 U.S.C. 1531 et seq.
Subpart A--Introduction
Sec. 23.1 What are the purposes of CITES and these regulations?
(a) Treaty. The regulations in this part implement the Convention
on International Trade in Endangered Species of Wild Fauna and Flora,
also known as CITES, the Convention, the Treaty, or the Washington
Convention, TIAS (Treaties and Other International Acts Series) 8249.
(b) Purpose. The aim of CITES is to regulate international trade to
ensure it is legal and does not threaten the survival of wildlife and
plant species in the wild. Countries that have ratified or acceded to
CITES (Parties) recognize that:
(1) Wildlife and plants are an irreplaceable part of the natural
systems of the earth and must be protected for this and future
generations.
(2) The value of wildlife and plants is ever-growing from the
viewpoints of aesthetics, science, culture, recreation, and economics.
(3) Although countries should be the best protectors of their own
wildlife and plants, international cooperation is essential to protect
wildlife and plant species from over-exploitation through international
trade.
(4) It is urgent that countries take appropriate measures to
prevent illegal trade and ensure that any use of wildlife and plants is
sustainable.
(c) Domestic legislation. We, the Service, implement CITES through
the U.S. Endangered Species Act (ESA).
Sec. 23.2 How do I decide if these regulations apply to my shipment or
me?
Answer the following questions to decide if the regulations in this
part apply to your proposed activity:
[[Page 26687]]
------------------------------------------------------------------------
Question on proposed activity Answer and action
------------------------------------------------------------------------
(a) Is the wildlife or plant species (1) YES. Continue to paragraph
(including parts, products, and (b) of this section.
hybrids, whether wild-collected or (2) NO. The regulations in this
bred, born, grown, or propagated in part do not apply.
captivity) listed in Appendices I, II,
or III of CITES?
(b) Is the part, product, or (1) YES. See Sec. 23.12.
manufactured article a personal or (2) NO. Continue to paragraph
household effect? (c) of this section.
------------------------------------------------------------------------
(c) Is the sample urine, feces, or (1) YES. See Sec. 23.13.
synthetically derived DNA (2) NO. Continue to paragraph
(deoxyribonucleic acid)? (d) of this section.
------------------------------------------------------------------------
(d) Do you want to import, export, re- (1) YES. The regulations in
export, engage in international trade, this part apply.
or introduce from the sea? (2) NO. Continue to paragraph
(e) of this section.
------------------------------------------------------------------------
(e) Was the specimen that you possess, (1) YES. See Sec. 23.11(c) and
or want to put in intrastate or (d) and sections 9(c)(1) and
interstate commerce, unlawfully 11(a) and (b) of the ESA (16
acquired, illegally traded, or U.S.C. 1538(c)(1) and 1540(a)
otherwise subject to conditions set and (b)).
out on the CITES document? (2) NO. The regulations in this
part do not apply.
------------------------------------------------------------------------
------------------------------------------------------------------------
Sec. 23.3 What other wildlife and plant regulations may apply?
(a) You may need to comply with other regulations in this
subchapter that require a permit or have additional restrictions.
(b) If you are applying for a permit, you must comply with the
general permit procedures in 50 CFR part 13.
(c) If you are importing (including introduction from the sea),
exporting, or re-exporting wildlife or plants, you must comply with the
regulations in 50 CFR part 14 for wildlife or 50 CFR part 24 for
plants. Activities with plants are also regulated by the U.S.
Department of Agriculture, Animal and Plant Health Inspection Service
(APHIS), in 7 CFR parts 355 and 356.
(d) Many CITES species are also covered by one or more parts of
this subchapter and have additional requirements:
(1) 50 CFR parts 10 and 21 (migratory bird list and permits).
(2) 50 CFR part 15 (Wild Bird Conservation Act).
(3) 50 CFR part 16 (injurious wildlife).
(4) 50 CFR part 17 (endangered and threatened species).
(5) 50 CFR part 18 (marine mammals).
(6) 50 CFR part 22 (eagle permits).
Sec. 23.4 What are Appendices I, II, and III?
Species are listed by the Parties at one of three levels of
protection (referred to as appendices, see subpart H of this part),
which have different requirements. Parties regulate trade in specimens
(live and dead) of Appendix-I, -II, or -III species and their hybrids,
parts, and products through a system of permits and certificates (CITES
documents). Such documents enable Parties to monitor the effects of the
volume and type of trade to ensure trade is legal and not detrimental
to the survival of the species.
(a) Appendix I includes species threatened with extinction that are
or may be affected by trade. Requirements to trade in specimens of
Appendix-I species include:
(1) Trade must be subject to particularly strict regulation to
avoid further endangering their survival and must be authorized only in
exceptional circumstances.
(2) The import or introduction from the sea may not be for
primarily commercial purposes.
(3) A shipment requires an import permit and an export permit or
re-export certificate unless the specimen is accompanied by either a
valid CITES exemption document issued by the exporting or re-exporting
country or an introduction-from-the-sea certificate.
(b) Appendix II includes species that are not presently threatened
with extinction but may become so if their trade is not regulated. It
also includes species that need to be regulated so that trade in
certain other Appendix-I or -II species may be effectively controlled;
these species are most commonly listed due to their similarity of
appearance to other related CITES species.
(1) CITES does not require import permits for Appendix-II species.
(2) For specimens of Appendix-II species to be traded, each
shipment must be accompanied by a CITES document from the exporting or
re-exporting country or an introduction-from-the-sea certificate.
(c) Appendix III includes species listed by a range country to
obtain international cooperation in controlling trade. For specimens of
Appendix-III species to be traded, each shipment must be accompanied by
an export permit, certificate of origin, or a re-export certificate.
Sec. 23.5 How are the terms used in these regulations defined?
In addition to the definitions contained in Article I of the Treaty
and 50 CFR part 10, and unless the context requires, in this part:
Annotation means an official footnote to the listing of a species
in the CITES appendices. A reference annotation provides information
that further explains the listing (``p.e.'' for possibly extinct). A
substantive annotation is an integral part of a species' listing. It
designates whether the listing includes or excludes a geographically
separate population, subspecies, species, group of species, or higher
taxa and the type of specimens, such as live wildlife or plants or
certain parts or products that can be traded. It may include export
quotas.
Artificially propagated means a plant (including parts and
products) grown under controlled conditions from a legally obtained
seed, cutting, division, callus tissue, other plant tissue, spore, or
other propagule that meets the criteria in Sec. 23.54.
Bred in captivity means wildlife (including parts and products)
that meets the criteria in Sec. 23.53 and is the offspring of legally
obtained parents that either mated or otherwise transferred egg and
sperm under controlled conditions if reproduction is sexual; or of
parents that were maintained under controlled conditions when
development of the offspring began if reproduction is asexual.
Certificate means a CITES document designated as a re-export or
other certificate.
CITES document or CITES exemption document means any certificate,
permit,
[[Page 26688]]
or other document issued by a Management Authority of a Party or a non-
Party whose name and address is on file with the Secretariat to
authorize the international movement of CITES specimens.
Commercial means an activity whose purpose is to obtain economic
benefit, including profit (whether in cash or in kind) and is directed
toward resale, exchange, provision of a service, or other form of
economic use or benefit.
Conference of the Parties (COP) refers to the meetings of the
Parties to consider amendments to the appendices and resolutions to
improve the implementation of CITES
Cultivar means a horticulturally derived variety where humans
select for specific morphological, physiological, or other
characteristics, such as color, a large flower, or disease resistance.
Cultivated refers to a plant that is grown, tended, or fostered by
humans for human use. A cultivated plant can be treated as artificially
propagated under CITES only if it meets the criteria in Sec. 23.54.
Export means to send or carry out of a country (for export from the
United States, see 50 CFR part 14).
Flasked means plant material obtained in vitro, in solid or liquid
media, transported in sterile containers.
Founder stock means the original breeding or propagating specimens
that produced the subsequent generations of captive specimens and can
be either pre-Convention, previously imported into the United States,
or removed from the wild if the species is native to the United States.
Hybrid means any wildlife or plant that results from a cross of
genetic material between two separate taxa, when one or both are listed
in Appendix I, II, or III. See Sec. 23.34 for plant hybrids and
Sec. 23.35 for wildlife hybrids.
Import means to bring or carry into a country (for import into the
United States, see 50 CFR part 14).
International trade means the import, introduction from the sea,
export, or re-export across jurisdictional or international boundaries
for any purpose whether commercial or non-commercial.
In-transit shipment means the immediate transshipment of any
wildlife or plant through an intermediary country when the specimen
remains under customs control.
Introduction from the sea means to directly transport into a
country any specimen that was taken in the marine environment not under
the jurisdiction of any country, including the air above the sea, the
sea-bed, and subsoil beneath the sea.
Management Authority means a governmental agency officially
designated by, and under the supervision of, a Party or non-Party to
implement CITES, including the granting of CITES documents on behalf of
that country.
Parental stock mean the wildlife or plants that are the immediate
parents of a specimen.
Party means a country that has ratified or acceded to CITES.
Permit means a CITES document designated as an export or import
permit.
Precautionary measures mean that the actions we take will be in the
best interest of the conservation of the species, when there is
uncertainty about the status of a species or the impact of trade on the
conservation of a species.
Pre-Convention means a specimen that was removed from the wild or
held in captivity or a controlled environment before the date the
species was first listed on any appendix of CITES.
Primarily commercial purposes means an activity whose non-
commercial aspects do not clearly predominate (see Sec. 23.52).
Propagule means a structure, such as a cutting, seed, or spore,
that propagates a plant.
Ranching means the rearing in a controlled environment of eggs or
juvenile wildlife specimens taken from the wild.
Readily recognizable means any specimen that appears from a visual,
physical, scientific, or forensic examination or test; an accompanying
document, packaging, mark, or label; or any other circumstances to be a
part or product of any CITES wildlife or plant, unless such part or
product is specifically exempt from the provisions of CITES or this
part.
Re-export means to send or carry out of a country any wildlife or
plant (including parts and products) previously imported or introduced
from the sea into that country, whether or not the specimen was altered
since import or introduction.
Reservation means the action taken by a Party to inform the
Secretariat that it is not bound by the effect of a specific listing
(see Sec. 23.18).
Scientific Authority means a governmental or independent scientific
institution or entity officially designated by a Party or non-Party to
implement CITES, including making scientific findings.
Secretariat means the entity designated by the Treaty to perform
certain administrative functions (see Sec. 23.75).
Shipment means any CITES specimen in international trade whether
for commercial or non-commercial use, including any personal item.
Species means any species, subspecies, variety, or geographically
separate population of that species.
Specimen means any wildlife or plant, whether alive or dead. For
Appendix-I and -II wildlife and Appendix-I plants, this term includes
any readily recognizable part or product. For Appendix-III wildlife and
Appendix-II and -III plants, all readily recognizable parts or products
are included, except as annotated in the appendices.
Sport-hunted trophy means raw or tanned parts of a specimen that
was taken by the hunter, who is also the importer, exporter, or re-
exporter, during a sport hunt for personal, non-commercial use. It may
include the hide, head, skull, tusks, horns, hair, teeth, claws, meat,
bones, or any taxidermied part, including, but not limited to, a
taxidermied head, shoulder, or full mount. It does not include articles
made from a trophy, such as worked, manufactured, or handicraft items
for use as clothing, curios, ornamentation, jewelry, or other
utilitarian items.
Sustainable use means the use of a species in a manner and at a
level that maintain wild populations at biologically viable levels for
the long term. Such use involves a determination of the productive
capacity of the species and its ecosystem, to ensure that utilization
does not exceed those capacities or the ability of the population to
reproduce, maintain itself, and perform its role or function in its
ecosystem.
Trade means the same as international trade.
Traveling live-animal exhibition means an entity that uses live
wildlife for display or entertainment, such as a circus or performing
act, where the exhibition is temporarily moving internationally.
Sec. 23.6 What are the roles of the Management and Scientific
Authorities?
Under Article IX of the Treaty each Party must designate a
Management and Scientific Authority to implement CITES for that
country. If a non-Party wants to trade with a Party, it must also
designate such Authorities. The name and address of these offices must
be sent to the Secretariat to be included in the Directory. In the
United States, different offices within our agency have been designated
the Management and
[[Page 26689]]
Scientific Authority and do the following:
------------------------------------------------------------------------
Scientific Management
Roles authority authority
------------------------------------------------------------------------
(a) Provide scientific advice and X
recommendations, including advice on
biological findings for applications
for certain CITES documents. Evaluate
the conservation status of species to
determine if a species listing or
change in listing is warranted.......
------------------------------------------------------------------------
(b) Review applications for CITES X
documents and issue or deny them
based on findings required by CITES..
------------------------------------------------------------------------
(c) Communicate with the Secretariat X X
and other countries on scientific,
administrative, and enforcement
issues...............................
------------------------------------------------------------------------
(d) Monitor trade..................... X X
------------------------------------------------------------------------
(e) Produce annual reports on CITES X
trade................................
------------------------------------------------------------------------
(f) Coordinate with State conservation X X
and Federal agencies on CITES issues,
such as the status of native species,
development of policies, negotiating
positions, and law enforcement
activities...........................
------------------------------------------------------------------------
(g) Communicate with the scientific X X
community, the public, and media
about CITES issues. Conduct public
meetings and publish notices to
gather input from the public on the
administration of CITES and the
conservation and trade status of
domestic and foreign species traded
internationally......................
------------------------------------------------------------------------
(h) Represent the United States at the X X
meetings of the Conference of the
Parties (COP), on committees (see
subpart G of this part), and on CITES
work 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.............
------------------------------------------------------------------------
(i) Provide assistance for the X
enforcement of CITES, including the
inspection and clearance of
shipments. Cooperate with enforcement
officers at the Secretariat,
International Criminal Policy
Organization--Interpol, and World
Customs Organization to facilitate
the exchange of information between
enforcement bodies and for training
purposes.............................
------------------------------------------------------------------------
(j) Provide financial and technical X X
assistance to other governmental
agencies and CITES officials of other
countries............................
------------------------------------------------------------------------
23.7 What office do I contact for CITES information?
Contact one of the following offices to receive information about
CITES:
------------------------------------------------------------------------
Type of information Office to contact
------------------------------------------------------------------------
(a) CITES administrative and Office of Management Authority
management issues: U.S. Fish and Wildlife Service
CITES documents, including 4401 North Fairfax Drive, Room 700
application forms Arlington, Virginia 22203
Information on the COP Toll Free: (800) 358-2104/permit
List of CITES species questions
Names and addresses of other Tel: (703) 358-2095/other questions
countries' Management and Fax: (703) 358-2281/permits
Scientific Authority offices Fax: (703) 358-2298/other issues
Notifications, resolutions, and E-mail: r9IA__[email protected]
decisions Fax retrieval system: (800) 770-
Standing Committee documents and 0150 or (703) 358-2348
issues Website: international.fws.gov
------------------------------------------------------------------------
[[Page 26690]]
(b) Scientific issues: Office of Scientific Authority
Animals Committee documents and U.S. Fish and Wildlife Service
issues 4401 North Fairfax Drive, Room 700
Findings regarding suitability of Arlington, Virginia 22203
facilities Tel: (703) 358-1708
Listing of species in the Fax: (703) 358-2276
appendices and relevant E-mail: [email protected]
resolutions Website: international.fws.gov
Names and addresses of other
countries' Scientific Authority
offices and scientists involved
with CITES-related issues
Non-detriment and other scientific
findings
Plants Committee documents and
issues
------------------------------------------------------------------------
(c) Wildlife clearance procedures: Office of Law Enforcement
Information about wildlife port U.S. Fish and Wildlife Service
office locations P.O. Box 3247
Procedures for the import Arlington, Virginia 22203
(including introduction from the Tel: (703) 358-1949
sea), export, and re-export of Fax: (703) 358-2271
wildlife, including the inspection Website: www.le.fws.gov
and clearance of shipments, and
filing a Declaration of
Importation or Exportation of Fish
or Wildlife (Form 3-177)
Validation of CITES wildlife
documents
------------------------------------------------------------------------
(d) Plant clearance procedures: U.S. Department of Agriculture
Information about plant port office APHIS/PPQ
locations 4700 River Road
Procedures for the import Riverdale, Maryland 20737-1236
(including introduction from the Toll Free: (877) 770-5990/permit
sea), export, and re-export of questions
plants, including the inspection Tel: (301) 734-5371/other CITES
and clearance of shipments issues
Validation of CITES plant documents Fax: (301) 734-5786/permit
questions
Fax: (301) 734-8693/other CITES
issues
Fax retrieval system: (301) 734-
4327
Website: www.aphis.usda.gov/ppq
------------------------------------------------------------------------
(e) Official list of CITES species: CITES Secretariat
Website: www.cites.org
------------------------------------------------------------------------
Sec. 23.8 What are the information collection requirements?
(a) The Office of Management and Budget approved the information
collection requirements for application forms 3-200-19 through 3-200-53
contained in this part under 44 U.S.C. 3507 and assigned OMB Control
Number 1018-0093. New application forms 3-200-54 through 3-200-63 have
been submitted to OMB for assignment of an approval number.
(b) When using a form, we cannot collect or sponsor the collection
of information, and you are not required to provide information, unless
the form displays a currently valid OMB control number.
(c) We are collecting this information to evaluate applications and
make decisions under this part on whether to issue, suspend, revoke, or
deny a request for a CITES document.
(d) We are also collecting information to review State and tribal
management programs for CITES species to streamline the permitting
process for species taken under these programs.
(e) You must respond to our request for information in order to get
or retain a CITES document.
(f) We estimate the public reporting burden for the collection of
information under this part to vary from 20 minutes to 40 hours per
response with an average of 1 hour. This estimate includes time for
reviewing instructions, gathering and maintaining data, and completing
and reviewing the forms.
(g) You may direct comments on this information collection to the
attention of the Desk Officer for the Interior Department, Office of
Management and Budget, 1849 C Street, NW, Washington, DC 20503, with a
copy to the Information Collection Clearance Officer, Mail Stop 222,
Arlington Square, U.S. Fish and Wildlife Service, Washington, DC 20240.
Subpart B--Prohibitions, Exemptions, and Requirements
Sec. 23.11 What is prohibited?
If you are subject to the jurisdiction of the United States, it is
unlawful for you to conduct any of the following activities unless you
meet the requirements of this part:
(a) Import, export, re-export, or engage in international trade
with any specimen of a species listed in Appendix I, II, or III of
CITES.
(b) Introduce from the sea any specimen of a species listed in
Appendix I or II of CITES.
(c) Possess any specimen of a species listed in Appendix I, II, or
III of CITES imported, exported, re-exported, introduced from the sea,
or traded contrary to the provisions of CITES, the ESA, or this part.
(d) Attempt to commit, solicit another to commit, or cause to be
committed any of the activities described in paragraphs (a) through (c)
of this section.
Sec. 23.12 How may I travel internationally with my personal or
household effects?
(a) Purpose. Article VII(3) of the Treaty recognizes a limited
exemption for the international movement of personal and household
effects.
(b) Stricter national legislation. 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 legislation.
[[Page 26691]]
(2) In the United States, this exemption does not relieve you from
obtaining permission needed under other regulations in this subchapter
(see Sec. 23.3).
(c) Required CITES documents. You must obtain a CITES document for
personal or household effects 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 (g) of this section.
(d) Personal effects. You do not need a CITES document to import,
export, or re-export any part, product, or manufactured article of a
legally acquired Appendix-II or -III wildlife or plant, including a
tourist souvenir, 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 item from an Appendix-I species is included, except for
certain worked African elephant ivory as provided in paragraph (g) of
this section.
(3) No sturgeon caviar (Order Acipenseriformes) is included except
as provided in paragraph (f) of this section.
(4) You personally own and possess the item for non-commercial
purposes, including any item intended as a personal gift.
(5) The item and quantity of items is reasonably necessary or
appropriate for the nature of your trip or stay.
(6) You are either wearing the item 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, car, or train as
you.
(7) The item was not mailed or shipped separately.
(e) Household effects. You do not need a CITES document to import,
export, or re-export any part, product, or manufactured article of a
legally acquired Appendix-II or -III wildlife or plant 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) No live wildlife or plant (including eggs or non-exempt seeds)
is included.
(2) No item from an Appendix-I species is included, except for
certain worked African elephant ivory as provided in paragraph (g) of
this section.
(3) No sturgeon caviar (Order Acipenseriformes) is included.
(4) You personally own the item and are moving it for non-
commercial purposes.
(5) The item and quantity of items is reasonably necessary or
appropriate for household use.
(6) You import or export your household effects within 1 year of
moving your residence.
(7) The shipment, or shipments if you cannot move all of your
household effects at one time, contains only items purchased,
inherited, or otherwise acquired before you moved.
(f) Sturgeon caviar. You may import, export, or re-export 250 grams
or less of caviar of Appendix-II sturgeon (in the Order
Acipenseriformes and not listed as endangered or threatened under the
ESA) without a CITES document as a personal effect if it meets the
requirements in paragraph (d) of this section. To import, export, or
re-export more than 250 grams of caviar, you must have a valid CITES
document for the entire quantity.
(g) 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 you meet all of the
following:
(1) The worked ivory is a personal or household effect that meets
the requirements of paragraph (d) or (e) of this section, except it is
not a gift.
(2) You are a U.S. resident, owned the worked ivory before leaving
the United States, and intend to bring the item back to the United
States.
(3) The ivory is substantially worked and is not raw. Raw ivory
means a tusk, or a piece of tusk, which is polished or unpolished,
unaltered, or minimally carved, including ivory mounted on a stand or
part of a trophy.
(4) When you return, you are able to provide records, receipts, or
other documents to show that you possessed the ivory before you left
the United States.
Sec. 23.13 What are the U.S. CITES requirements for urine, feces, and
synthetically derived DNA?
(a) CITES documents. We do not regulate any sample of urine, feces,
or synthetically derived DNA under CITES but some countries may.
(1) You must obtain any collection permit and/or 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, we will treat the sample as
regulated and you must apply for a CITES document.
(b) Urine and feces. Except as provided in paragraph (a) of this
section, we consider urine and feces to be wildlife by-products, rather
than parts or products, 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.
Sec. 23.14 What are the requirements for diplomatic, consular,
military, and other persons eligible for waiver privileges under
customs law?
A person receiving duty-free and inspection waiver privileges under
customs laws is not exempt from the requirements of CITES or the
regulations in this part.
Sec. 23.15 What CITES documents are required to export Appendix-I
wildlife?
Answer the questions in the following decision tree to find out the
section in the regulations in this part that applies to the type of
CITES document you need to export Appendix-I wildlife:
BILLING CODE 4310-55-P
[[Page 26692]]
[GRAPHIC] [TIFF OMITTED] TP08MY00.000
[[Page 26693]]
23.16 What CITES documents are required to export Appendix-I
plants?
Answer the questions in the following decision tree to find out the
section in the regulations in this part that applies to the type of
CITES document you need to export Appendix-I plants:
[GRAPHIC] [TIFF OMITTED] TP08MY00.001
BILLING CODE 4310-55-C
[[Page 26694]]
Sec. 23.17 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. Article VII recognizes some
exemptions and provides that a CITES document must accompany most
exempt specimens.
(b) Stricter national legislation. 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 legislation.
(c) CITES documents. Except as provided in the regulations in this
part, you must have a valid CITES document to engage in international
trade with 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. The first column alphabetically lists
the type of specimen. The last column indicates the section of this
part that contains information on the application procedures,
provisions, issuance criteria, and conditions specific to each CITES
exemption document, as follows:
----------------------------------------------------------------------------------------------------------------
CITES exemption
Type of specimen Appendix document Section
----------------------------------------------------------------------------------------------------------------
(1) Artificially propagated plant I,II, or III.............. 1 CITES document with 23.32
(see paragraph (d)(4) of this source code ``A''.
section for an Appendix-I plant
propagated for commercial
purposes).
----------------------------------------------------------------------------------------------------------------
(2) Artificially propagated plant II or III................. 1 Phytosanitary 23.20(f)
from a country that has provided certificate with
copies of the certificates, CITES statement.
stamps, and seals to the
Secretariat.
----------------------------------------------------------------------------------------------------------------
(3) Bred-in-captivity wildlife I,II, or III.............. 1 CITES document with 23.33
(see paragraph (d)(5) of this source code ``C''.
section for Appendix-I wildlife
bred for commercial purposes).
----------------------------------------------------------------------------------------------------------------
(4) Commercial propagation of an I......................... 1 CITES document with 23.39
Appendix-I plant. source code ``D''.
----------------------------------------------------------------------------------------------------------------
(5) Commercial registered breeding I......................... 1 CITES document with 23.38
operation for Appendix-I wildlife. source code ``D''.
----------------------------------------------------------------------------------------------------------------
(6) Hybrid........................ I, II, or III............. 1 CITES document or 23.34
certification letter 23.35
from a Management
Authority.
----------------------------------------------------------------------------------------------------------------
(7) In-transit shipment........... I, II, or III............. CITES document 23.19
designating importer
and country of final
destination.
----------------------------------------------------------------------------------------------------------------
(8) Introduction from the sea I or II................... Document required by 23.31(d)
under a pre-existing treaty, applicable treaty,
convention, or international convention, or
agreement for that species. international
agreement.
----------------------------------------------------------------------------------------------------------------
(9) Personally owned live wildlife I, II, or III............. 2 CITES certificate 23.36
for multiple cross-border of ownership.
movement.
----------------------------------------------------------------------------------------------------------------
(10) Pre-Convention speciment..... I, II, or III............. 1 CITES document 23.37
indicating pre-
Convention status.
----------------------------------------------------------------------------------------------------------------
(11) Registered scientific I, II, or III............. 3 A label indicating 23.40
institution for non-commercial CITES and the
loan, donation, or exchange of registration codes
specimens. of both institutions
and, in the United
States, a CITES
certificate of
scientific exchange
that registers the
institution.
----------------------------------------------------------------------------------------------------------------
(12) Traveling live-animal I, II, or III............. 2 CITES document 23.41
exhibition. indicating pre-
Convention or bred-
in-captivity status.
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
1 Issued by the Management Authority in exporting or re-exporting country.
2 Issued by the Management Authority in the exporting country.
3 Registration codes assigned by the Management Authorities in both exporting and importing countries.
(e) Import permits, export permits, re-export certificates, and
certificates of origin. You must obtain the following valid CITES
documents before conducting the proposed activity, unless one of the
exemptions in paragraph (d) of this section or introduction from the
sea in paragraph (f) of this section applies:
[[Page 26695]]
------------------------------------------------------------------------
Export permit, Re-
export Certificate,
Appendix Import permit (Sec. (Sec. 23.29) or
23.28) Certificate of Origin
(Sec. 23.30)
------------------------------------------------------------------------
I...................... \1\ Required........... Required.
------------------------------------------------------------------------
II..................... Not Required........... Required.
------------------------------------------------------------------------
III.................... Not Required........... Required:
An export
permit if coming from
a country that listed
the species.
A re-export
certificate if being
re-exported from any
country.
A certificate
of origin if
originating in a
country other than
the listing country
or as annotated in
the listing.
------------------------------------------------------------------------
\1\ The Management Authority of the importing country has granted the
import permit or confirmed that it will be granted before an export
permit for a live or dead specimen or a re-export certificate for a
live specimen can be issued. A re-export certificate for a dead
specimen can be issued without confirmation that the import permit has
been issued, but the import permit is required before the import can
be allowed.
(f) Introduction-from-the-sea documents. For introduction from the
sea, you must obtain the following valid CITES documents before
conducting the proposed activity, unless the exemption in paragraph
(d)(8) of this section applies:
------------------------------------------------------------------------
Either Or
----------------------------------
Introduction- Import Permit
Appendix from-the-Sea Re-export (Sec. 23.28)
Certificate Certificate
(Sec. 23.31) (Sec. 23.29)
------------------------------------------------------------------------
I.................... Required....... \1\ Required... Required
II................... Required....... \1\ Required... Not required
III.................. Not required... \2\ Required... Not required
------------------------------------------------------------------------
\1\ The export of a specimen that was previously introduced from the sea
will be treated as a re-export.
\2\ Although an Appendix-III specimen taken from the marine environment
beyond any country's jurisdiction does not require any CITES document
to be introduced from the sea, the subsequent export of the specimen
would require the issuance of a certificate of origin.
Sec. 23.18 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 specific reservation to be
entered on a species included in Appendix I, II, or III, or on parts or
products from a species included in Appendix III.
(b) General provision. A Party or a country in the process of
acceding to CITES can enter a reservation as follows:
(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.
(2) A country must provide written notification on a specific
species' listing when it ratifies or accedes to CITES.
(c) Required CITES documents. Except as provided in (c)(2) of this
paragraph, Parties treat a reserving Party as if it were a non-Party
for trade in the species concerned (including parts and products). A
shipment must be accompanied by a valid CITES document, as follows:
------------------------------------------------------------------------
Then the CITES document must
If: indicate the specimen is listed
in:
------------------------------------------------------------------------
(1) The trade between a Party and a The appendix in which the
reserving Party. species is listed in the CITES
is appendices.
------------------------------------------------------------------------
(2) A shipment is between a reserving (i) Appendix II if the species
Party and another reserving Party or is listed in Appendix I.
non-Party and is transiting a Party. (ii) Appendix II if the species
is listed in Appendix II.
(iii) Appendix III if the
species is listed in Appendix
III.
------------------------------------------------------------------------
Sec. 23.19 What are the requirements for in-transit shipments?
(a) Purpose. Article VII(1) of the Treaty allows for in-transit
shipments. To control any illegal trade Parties are to take measures to
check for valid CITES documents when a shipment is moving through an
intermediary country.
(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) A 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, unless
the item qualifies as a personal or household effect (see Sec. 23.12).
(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
[[Page 26696]]
in (b)(1) of this paragraph is an CITES exemption document (see
Sec. 23.17).
(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 an on-
board store of an airplane, must meet the following:
(1) When in an intermediary country, only stay for the time needed
to transfer the specimen to the mode of transport used to continue to
the final destination and remain under customs control. Other than
during temporary transfer, the specimen may not be stored in a duty-
free, bonded, or other kind of warehouse.
(2) At any time during transit, not be sold, manipulated, or split.
(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 transhipped through a Party. The CITES document must
treat the specimen as listed in the appendix as provided in
Sec. 23.18(c).
(e) Specimen protected by other regulations. Shipment of a specimen
that is also listed as a migratory bird (50 CFR part 10), injurious
wildlife (50 CFR part 16), endangered or threatened species (50 CFR
parts 17 and 217-227), marine mammal (50 CFR parts 18 and 216), or bald
or golden eagle (50 CFR part 22), and is moving through the United
States is considered an import, and cannot be traded as an in-transit
shipment.
Sec. 23.20 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 any false or invalid document, a CITES document,
including any CITES exemption document, must contain standardized
information to allow a Party to verify that the specimen being shipped
is the one listed on the document.
(b) CITES form. A CITES document issued by a Party must be on a
form printed in one or more of the three working languages of CITES
(English, Spanish, or French). A CITES document from a non-Party may be
in the form of a permit or certificate, letter, or any other form that
clearly indicates the nature of the document and includes the
information in paragraphs (c) through (e) of this section and the
additional information in Sec. 23.22.
(c) Required information. Except for a phytosanitary certificate
used as a CITES certificate for artificially propagated plants in
paragraph (f) of this section, 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 only valid with the following information:
------------------------------------------------------------------------
Key phrase Required information
------------------------------------------------------------------------
(1) Appendix.............................. The appendix of CITES on
which the species,
subspecies, or population
is listed. A certificate of
origin is valid only for
Appendix-III specimens and
is not required to list the
appendix.
------------------------------------------------------------------------
(2) Applicant's The applicant's signature,
signature............................. if the CITES document
includes a place for it.
------------------------------------------------------------------------
(3) Bill of lading or air waybill......... As applicable for export or
re-export by ocean or air,
the bill of lading or air
waybill number as recorded
on the CITES waybill
document by the inspecting
official at the port, if
the document includes a
place for it.
(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 Sec.
23.44 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.
------------------------------------------------------------------------
(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.
------------------------------------------------------------------------
(7) Humane transport of live wildlife..... If the CITES document covers
the export or re-export of
live wildlife, a statement
that the permit is only
valid if the live wildlife
transport conditions comply
with the CITES Guidelines
for Transport of Live
Animals (available from the
Office of Management
Authority, see Sec. 23.7)
or, in the case of air
transport, with the
International Air Transport
Association Live Animal
Regulations. The shipment
must comply with container
requirements of the Live
Animal Regulations (LAR),
26th edition, October 1,
1999, by the International
Air Transport Association
(IATA). The incorporation
by reference of the LAR was
approved by the Director of
the Federal Register in
accordance with 5 U.S.C.
552(a) and 1 CFR part 51.
Copies may be obtained from
IATA in Montreal, Canada,
by calling 800-71-66-32-60
or ordering through the
Internet at http://www.iataonline.com. Copies
may be inspected at the
Office of Management
Authority (see Sec. 23.7)
or at the Office of the
Federal Register, 800 North
Capitol Street, NW., Suite
700, Washington, DC.
(8) Indentification of the specimen....... Any unique identification
number or mark (such as a
tag, band, ring, microchip,
and serial number),
including any mark required
under a CITES resolution.
[[Page 26697]]
------------------------------------------------------------------------
(9) Management The complete name and
Authority............................. address of the issuing
Management Authority as
included in the CITES
Directory, which is
available from the Office
of Management Authority
(see Sec. 23.7).
------------------------------------------------------------------------
(10) Name and address..................... The complete name and
address, including country,
of the exporter (consignor)
and importer (consignee).
(11) Purpose of The purpose of the
transaction........................... transaction, using one of
the codes given in
paragraph (d) of this
section, if possible. 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 to be in the
shipment and, if
appropriate, the unit of
measurement, which should
be in metric:
(i) The unit of measurement
should be appropriate to
the type of specimen and,
if possible, agree with the
preferred or alternative
unit that is to be used in
the CITES annual report.
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, when used for
timber, should be in cubic
meters.
(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 or the ESA,
using standard nomenclature
as it appears in the CITES
appendices or the
references adopted by the
COP. A list of current
references is available
from us or the
Secretariat's website (see
Sec. 23.7). A CITES
document may contain higher
taxon names in lieu of the
species name only under one
of the following
circumstances:
(i) When the COP has agreed
that the use of a higher
taxon name is acceptable
for use on CITES documents.
(ii) When 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 is
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. Each
page of an attached annex
must also contain a stamp
that is canceled and
recorded.
------------------------------------------------------------------------
(16) Signature............................ An original signature of a
person authorized to sign
CITES documents for the
issuing Management
Authority. The signature
must be on file with the
Secretariat.
------------------------------------------------------------------------
(17) Source............................... The source of the specimen,
except for a certificate of
origin which must certify
that the specimen
originated in the exporting
country. See Sec. 23.21
for a list of codes.
------------------------------------------------------------------------
(18) Treaty name.......................... Either the full name, the
Convention on International
Trade in Endangered Species
of Wild Fauna and Flora, or
the CITES logo.
------------------------------------------------------------------------
(19) Type of CITES The type of CITES document
document.............................. (import, export, re-export,
or other). If marked
``other,'' the CITES
document must indicate the
type of document, such as
introduction-from-the-sea,
pre-Convention, bred-in-
captivity, scientific
exchange, certificate of
ownership, or artificially
propagated. If multiple
types are authorized on one
CITES document, the type
that applies to each
specimen must be clearly
indicated.
(20) Validation or The actual quantity of
certification......................... 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 authority
that carried out the
inspection at the time of
export or re-export.
------------------------------------------------------------------------
(d) Purpose of transaction. If possible, the CITES document should
contain one of the following codes:
------------------------------------------------------------------------
Code Purpose of transaction
------------------------------------------------------------------------
B..................................... Breeding in captivity or
artificial propagation
------------------------------------------------------------------------
E..................................... Education
------------------------------------------------------------------------
[[Page 26698]]
G..................................... Botanical garden
------------------------------------------------------------------------
H..................................... Hunting trophy
------------------------------------------------------------------------
L..................................... Law enforcement
------------------------------------------------------------------------
M..................................... Biomedical research
------------------------------------------------------------------------
N..................................... Reintroduction or introduction
into the wild
------------------------------------------------------------------------
P..................................... Personal
------------------------------------------------------------------------
Q..................................... Circus and traveling exhibition
------------------------------------------------------------------------
S..................................... Scientific purpose
------------------------------------------------------------------------
T..................................... Commercial
------------------------------------------------------------------------
Z..................................... Zoo
------------------------------------------------------------------------
(e) Additional required information. The following describes the
additional information that is required for specific types of documents
(listed alphabetically):
------------------------------------------------------------------------
Type of document Additional required information
------------------------------------------------------------------------
(1) Amended or renewed CITES The number and date of issue of the
document (see Secs. 13.22 amended CITES document and reason for
and 13.23). the change.
------------------------------------------------------------------------
(2) Annex (such as an The page number, document number, and
attached inventory date of issue on each page of an annex
conditions, or continuation that is attached as an integral part of
pages of a CITES document). a CITES document. The 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 the total number
of pages.
------------------------------------------------------------------------
(3) Certificate of origin.... A statement that the specimen originated
in the country that issued the
certificate.
------------------------------------------------------------------------
(4) Copy..................... Where a copy of a CITES document is used
in place of the original, a statement on
the face of the document by the
Management Authority authorizing the use
of a copy.
------------------------------------------------------------------------
(5) Export permit for a The registration number of the operation
commercial registered or nursery assigned by the Secretariat,
breeding operation or and if the exporter is not the
nursery-- Appendix-I registered operation or nursery, the
specimens. name of the registered operation or
nursery.
------------------------------------------------------------------------
(6) Export permit with Numbers of specimens, such as 500/1000,
species' quota. that were:
(i) Exported thus far in the current
calendar year, including those covered
by the permit.
(ii) Included in the current annual
quota.
------------------------------------------------------------------------
(7) Import permit (Appendix-I A certification that the specimen will
specimen). 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.
------------------------------------------------------------------------
(8) Lost, damaged, stolen, or When a CITES document is issued to
accidentally destroyed CITES replace an already issued CITES
document. document, the number and date of issue
of the CITES document that was replaced
and reason for replacement.
------------------------------------------------------------------------
(9) Pre-Convention (i) An indication that the specimen
certificate. covered by the CITES document is pre-
Convention.
(ii) A date that shows the specimen was
acquired before the pre-Convention date
(see Sec. 23.5).
------------------------------------------------------------------------
[[Page 26699]]
(10) Re-export certificate... (i) The country of origin, the number of
the export permit of that country, and
the date of issue.
(ii) If previously re-exported, the
country of last re-export, the number of
the re-export certificate of that
country, and the date of issue.
(iii) If all or part of this information
is not known, a justification must be
given.
------------------------------------------------------------------------
(11) Retrospective CITES A clear statement that the CITES document
document. is issued retrospectively and the reason
for issuance.
------------------------------------------------------------------------
(f) Phytosanitary certificate. A Party that uses a phytosanitary
certificate as a CITES document for the export of artificially
propagated Appendix-II and -III plants and artificially propagated
hybrids of unannotated Appendix-I plants must include all of the
following information:
(1) 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.
(2) The type (such as live plant or bulb) and quantity of the
specimen authorized to be in the shipment.
(3) A stamp, seal, or other specific indication stating that the
specimen is artificially propagated as defined by CITES (see
Sec. 23.54).
Sec. 23.21 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:
------------------------------------------------------------------------
Source of specimen Code
------------------------------------------------------------------------
(a) Artificially propagated plants: A
(1) An Appendix-II or -III artificially
propagated plant (see Sec. 23.54) or hybrid
of unannotated Appendix-I species or other
taxa whether artificially propagated for
commercial or non-commercial purposes, as
well as parts and products.
(2) An Appendix-I plant species or hybrid of
annotated Appendix-I species artificially
propagated for non-commercial purposes, as
well as parts and products.
------------------------------------------------------------------------
(b) Bred-in-captivity wildlife: C
(1) Appendix-II or -III wildlife bred in
captivity (see Sec. 23.53) for commercial or
non-commercial purposes, as well as parts and
products.
(2) Appendix-I wildlife bred in captivity for
non-commercial purposes, as well as parts and
products.
------------------------------------------------------------------------
(c) Propagated or bred for commercial purposes: D
(1) An Appendix-I plant species or hybrid of
annotated Appendix-I species artificially
propagated for commercial purposes, as well
as of parts and products.
(2) Appendix-I wildlife bred in captivity for
commercial purposes, as well as parts and
products, at an operation registered with the
Secretariat.
------------------------------------------------------------------------
(d) Wildlife born in captivity of parents that F
mated in captivity (first (F1) or subsequent
generations) that do not qualify as bred in
captivity (see Sec. 23.53), as well as parts and
products.
------------------------------------------------------------------------
(e) Confiscated or seized specimens............... I
------------------------------------------------------------------------
(f) Ranched wildlife (wildlife that originated R
from a ranching operation).
------------------------------------------------------------------------
(g) Source unknown (must be justified on the face U
of the CITES document).
------------------------------------------------------------------------
(h) Specimens 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 plants, it includes a specimen grown
in captivity from a propagule collected from
a wild plant.
------------------------------------------------------------------------
Sec. 23.22 What additional information is required on non-Party CITES
documents?
(a) Purpose. Under Article X of the Treaty, a Party may accept a
CITES document issued by competent authorities in a non-Party only if
the document substantially conforms to the requirements of the Treaty.
(b) Additional certifications. In addition to the information in
Sec. 23.20(c) through (e), CITES documents issued by non-Parties must
contain the following certifications on the face of the document:
[[Page 26700]]
------------------------------------------------------------------------
Activity Certification
------------------------------------------------------------------------
(1) Export................................ (i) The Scientific Authority
has advised that the export
will Export not be
detrimental to the survival
of the species.
(ii) The Management
Authority is satisfied that
the specimen was legally
acquired.
------------------------------------------------------------------------
(2) Export or re-export of a live plant... The live plant will be
transported so as to
minimize the risk of injury
or damage to the health of
the specimen.
------------------------------------------------------------------------
(3) Import................................ The import will be for
purposes that are not
detrimental to the survival
of the species.
------------------------------------------------------------------------
Sec. 23.23 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 certified
true copy of a CITES document must be issued before the import,
introduction from the sea, export, or re-export and must accompany each
shipment of specimens.
No copy may be used in place of an original except when endorsed on
its face by the issuing Management Authority. 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, and re-export
only if the document meets the requirements of Secs. 23.20 and 23.22,
subparts C and E of this part, and the following conditions:
------------------------------------------------------------------------
Conditions for an acceptable CITES
Key phrase document
------------------------------------------------------------------------
(1) Altered or modified CITES The CITES document has not been
document. altered (by rubbing or scratching
out), added to, or modified in any
way unless the change is validated
on the document by the stamp and
signature of the issuing Management
Authority.
------------------------------------------------------------------------
(2) Commercial registered breeding (i) The operation is in the
operation for Appendix-I wildlife Secretariat's register.
from a Party. (ii) Each specimen is specifically
marked and the mark is described on
the CITES document.
------------------------------------------------------------------------
(3) Commercial registered nursery The operation is in the
for Appendix-I plants from Secretariat's register.
Parties.
------------------------------------------------------------------------
(4) Conditions.................... All conditions on the CITES document
are met.
------------------------------------------------------------------------
(5) Extension of validity......... The validity of a CITES document may
not be extended except as provided
in Sec. 23.64 for certain timber
species.
------------------------------------------------------------------------
(6) Humane transport.............. (i) The live wildlife was
transported in compliance with the
CITES Guidelines for Transport of
Live Animals or, in the case of air
transport, the International Air
Transport Association Live Animal
Regulations.
(ii) The live plant was transported
so as to minimize the risk of
injury or damage to the health of
the specimen.
------------------------------------------------------------------------
(7) Management Authority and The CITES document was issued by a
Scientific Authority. Party or non-Party that has
designated a Management Authority
and Scientific Authority and has
provided information on these
authorities to the Secretariat.
------------------------------------------------------------------------
(8) Name of importer and exporter. A CITES document is specific to the
name on the face of the document
and may not be transferred or
assigned to another person.
------------------------------------------------------------------------
(9) Phytosanitary certificate..... A phytosanitary certificate can be
used as a certificate for
artificially propagated plants only
if the issuing Party has provided
copies of the certificates, stamps,
and seals to the Secretariat.
------------------------------------------------------------------------
(10) Pre-Convention............... For a CITES document designating the
specimen as pre-Convention, the
date of acquisition must be before
the date the species was first
listed in the CITES appendices, and
the specimen must be considered pre-
Convention by both the importing
and exporting countries.
------------------------------------------------------------------------
(11) Ranched...................... For any ranched specimen of a
species transferred from Appendix I
to Appendix II because of ranching,
international trade cannot involve
a non-Party or a Party that holds a
reservation on the species. Check
our website for a list of these
species (see Sec. 23.7).
------------------------------------------------------------------------
[[Page 26701]]
(12) Registered scientific Both importing and exporting
institutions. scientific institutions are in the
Secretariat's register for
scientific exchange.
------------------------------------------------------------------------
(13) Shipment contents............ The contents of the shipment match
the description of specimens
provided on the CITES document,
including the quantity, units, and
species. A shipment cannot contain
more specimens or different species
than certified or validated on the
CITES document at the time of
export or re-export. The quantity
of each specimen may be less than,
but not more than, the quantity
stated for that specimen on the
CITES document at the time of
issuance.
------------------------------------------------------------------------
(14) Quotas....................... For species with a quota on file
with the Secretariat, the quantity
exported from a country does not
exceed the quota.
------------------------------------------------------------------------
(15) Wild-collected wildlife Wild-collected wildlife specimens
specimens. (indicated on the CITES document
with a source code of ``W'') are
not coming from a country that is
outside the range of the species,
unless we have information that
shows the species has been
established in the wild in that
country through accidental
introduction or other means.
------------------------------------------------------------------------
(d) Verification of CITES documents.K We may request verification
of CITES documents from the Secretariat or a foreign Management
Authority before deciding whether to accept a CITES document under some
circumstances, including, but not limited to, the following:
(1) We receive reliable information from the COP, Standing
Committee, Secretariat, or other credible source that indicates the
improper implementation of CITES by the country concerned.
(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 the applicable Scientific Authority finding
has not been made.
(3) If the re-export certificate refers to an export permit that
does not exist or is not valid.
(4) We have reasonable grounds to believe that the document is
fraudulent or has unauthorized changes.
(5) We have reasonable grounds to believe that the specimens
identified as bred in captivity or artificially propagated are wild
specimens.
(6) 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.
(7) For a retrospectively issued CITES document, if both the
importing and exporting or re-exporting countries' Management
Authorities have not agreed to the issuance of the document.
(e) Information bulletin. If we determine, based on reliable
information received from the Secretariat, Standing Committee, or other
sources that a country is not effectively implementing or complying
with CITES, we will issue an information bulletin indicating what
action we will take on shipments involving that country. We may
restrict the acceptance of CITES documents from that country, either
for all CITES species or for only certain species.
Sec. 23.24 What CITES documents do I present at the port?
(a) Purpose. Article VIII of the Treaty provides that Parties
establish an inspection process that takes place at a port of exit and
entry. Inspecting officials must verify that valid CITES documents
accompany shipments and take enforcement action when shipments do not
comply with the Convention.
(b) Process. Officials in each country inspect the shipment and
validate or certify the CITES document. In the United States, you must
follow the clearance requirements for wildlife in 50 CFR part 14 or
plants in 7 CFR 355.22. The table in this paragraph (b) provides
information on:
(1) The types of original CITES documents you must present to be
validated or certified by the inspecting official in order 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.
----------------------------------------------------------------------------------------------------------------
Present original for
export or re-export Surrender copy upon Surrender original upon
Type of CITES document validation or export or re-export import or introduction
certification from the sea
----------------------------------------------------------------------------------------------------------------
Artifically propagated plants........ Required............... Required............... Required.
Bred-in-captivity wildlife (for Required............... Required............... Required.
Appendix-I species, only includes
wildlife bred for non-commercial
purposes).
Certificate of origin................ Required............... Required............... Required.
Certificate of ownership............. Required............... Required............... Not required; submit
copy.
Commercial registered breeding Required............... Required............... Required.
operation.
Commercial registered nursery........ Required............... Required............... Required.
Export permit........................ Required............... Required............... Required.
Hybrid............................... \1\ Required........... Required............... Required.
Import permit........................ Not required........... Required............... Required.
[[Page 26702]]
Introduction from the sea............ Not applicable......... Not applicable......... Required.
Multiple-use permit.................. Required............... Required............... Not required; submit
copy.
Pre-Convention document.............. Required............... Required............... Required.
Re-export certificate................ Required............... Required............... Required.
Registered scientific institution Not required........... Not required........... Not required.
CITES label.
Replacement document where a shipment Not required........... Not required........... Required.
has been made and is in a foreign
country.
Replacement document where a shipment Required............... Required............... Required.
has not left the United States.
Retrospective document............... Not required........... Not required........... Required.
Traveling live-animal exhibition..... Required............... Required............... Not required; submit
copy.
----------------------------------------------------------------------------------------------------------------
\1\ Certification letter may not require validation.
Subpart C--Application Procedures, Issuance Criteria, and
Conditions
Sec. 23.25 How do I apply for a U.S. CITES document?
(a) To apply for a U.S. CITES document, you must complete a
standard application form and submit it with the processing fee, unless
you are fee exempt (see 50 CFR 13.11(d)), to one of the following
offices (see Sec. 23.7):
------------------------------------------------------------------------
Type of CITES document Contact office
------------------------------------------------------------------------
(1) All types of CITES documents....... Office of Management Authority.
------------------------------------------------------------------------
(2) Export of furs or skins of bobcat, Division of Law Enforcement at
river otter, Alaska lynx, Alaska gray certain designated ports or
wolf, and Alaska brown bear, and regional offices.
American alligator (see Sec. 23.61).
------------------------------------------------------------------------
(3) Re-export of Appendix-II and -III Division of Law Enforcement at
wildlife (unless a permit is required certain designated ports or
under any other part in this regional offices.
subchapter).
------------------------------------------------------------------------
(4) Export of a sport-hunted trophy, Division of Law Enforcement at
its parts or products, of the Alaskan certain ports in Alaska.
population of black bear (Ursus
americanus).
------------------------------------------------------------------------
(b) If you do not know the type of CITES document you need for your
shipment, go to Secs. 23.15-23.17.
(c) If a species is also listed under another part of this
subchapter (such as endangered or threatened, see Sec. 23.3), the
requirements of all parts must be met. You may submit a single
application that contains all the information needed to meet the
requirements of CITES and other applicable parts.
(d) You must also follow the general permit procedures in 50 CFR
part 13.
(e) You should review the issuance criteria of all applicable
regulations in this subchapter that apply to the type of permit you are
seeking before completing the application form.
(f) We will review your application to assess whether it contains
the information needed to make the required findings.
(1) Based on available information, we will decide if any of the
exemptions apply and what type of CITES document you need.
(2) If we need additional information, we will contact you. If you
do not provide the information within 45 calendar days, we will place
your application in our inactive files. When you provide the additional
information, you may ask that we reactivate your application.
Sec. 23.26 How do we decide to issue or deny a request for a U.S.
CITES document?
(a) Upon receiving a complete application, we will decide whether
to issue a CITES document by considering:
(1) The general criteria in 50 CFR 13.21(b) and, if the species is
protected under a separate law or treaty, criteria in any other
applicable parts.
(2) The CITES issuance criteria provided in this subpart (see
subpart D of this part for factors we consider in making certain of
these findings).
(b) As needed, we will forward a copy of the application to the
Office of Scientific Authority, State or other Federal government
agencies, or other applicable experts. We may also query the
Secretariat or foreign Management or Scientific Authorities for
information to use in making the required findings.
(c) You must provide information to satisfy us that all criteria
specific to the proposed activity are met before we can issue a CITES
document.
(d) We will base our decision on whether to issue or deny the
application on the best available information.
Sec. 23.27 What records do I need to apply for a U.S. CITES document?
(a) When you apply for a U.S. CITES document, you will be asked to
provide information that shows the origin of the specimen.
(1) You need to provide sufficient information for us to determine
if the issuance criteria in this part are met (see
[[Page 26703]]
the section in this subpart for each type of CITES document).
(2) Depending on the type of CITES document, you will need records
to show that the specimen or founder stock was legally acquired (see
Sec. 23.50), that founder stock was acquired without detriment to the
species, and that the proposed activity will not be detrimental to the
survival of the species (see Sec. 23.51).
(b) Documents to be provided in permit applications include, but
are not limited to, the following:
------------------------------------------------------------------------
Source of specimen Types of records to keep
------------------------------------------------------------------------
(1) Born, bred, grown, or propagated in (i) Records that identify the
captivity (see wild-collected if the breeder or propagator:
wildlife was born in captivity from an (A) Signed and dated statement
egg collected from the wild or from that the specimen was bred or
parents that mated or exchanged propagated by the breeder or
genetic material in the wild, or the propagator.
plant was grown in captivity from a (B) Name and address of the
propagule collected from a wild plant). breeder or propagator.
(C) Identification of the
specimen, including birth,
hatch, or propagation date.
For wildlife the identifying
information could include sex,
size, band number, or other
markings.
(ii) Examples of documents that
help identify a breeder or
propagator:
(A) International Species
Inventory System (ISIS)
records.
(B) Veterinary certificates.
(C) Plant nursery licenses and
USDA General Permit.
(iii)Records that document the
breeding or propagating of
specimens at the facility:
(A) Number of wildlife (by sex
and age- or size-class) and
plants at the facility.
(B) How long the facility has
been breeding or propagating
the specimens.
(C) Annual production and
mortalities.
(D) Number sold or transferred
annually.
(E) Number added from other
sources annually.
(F) Transaction records with
the date, 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.
(iv) If a plant is propagated
from exempt plant material
(see Sec. 23.88(c)), records
that document the name and
address of the person who sold
you the plant material. If you
will be seeking a certificate
for artificially propagated
plants for plants grown from
exempt seeds, records that
document the cultivated origin
of the seed.
------------------------------------------------------------------------
(2) Confiscated or seized.............. Copy of remission decision,
legal settlement, or disposal
action after forfeiture or
abandonment that demonstrates
the applicant's legal
possession.
------------------------------------------------------------------------
(3) Imported previously................ (i) Copies of canceled CITES
documents that accompanied
shipments into the United
States.
(ii) For wildlife, copies of a
cleared Declaration for
Importation or Exportation of
Fish or Wildlife (Form 3-177)
for each shipment.
------------------------------------------------------------------------
(4) Multiple ownership/purchased....... (i) Records that show the
specimen's origin (pre-
Convention, previously
imported, wild-collected, or
born, bred, grown, or
propagated in captivity in the
United States).
(ii) Records that document the
history of all transfers in
ownership.
(iii) Each record needs to
specifically identify the
specimen and give the name and
address of the owner.
------------------------------------------------------------------------
(5) Ranched or farmed.................. Records documenting that the
specimens were taken under a
State-approved program and
that all State requirements
were met.
------------------------------------------------------------------------
(6) Wild-collected..................... Records, such as permits,
licenses, and/or tags, that
the specimen or the founder
stock was legally removed from
the wild under relevant
foreign, Federal, tribal,
State, or local wildlife or
plant conservation laws or
regulations:
[[Page 26704]]
(i) If taken on private or
tribal land, permission of the
landowner.
(ii) If taken in a national,
State, or local park, refuge,
or protected area, permission
from the applicable agency.
(iii) If taken on public land
and no permit is required, a
statement from the appropriate
State or other governmental
agency.
------------------------------------------------------------------------
(c) You should keep records for as long as you possess the
specimen, and, if you sell, donate, or transfer ownership of the
specimen, you should provide records to the new owner on the origin of
the specimen.
Sec. 23.28 What are the requirements for import permits?
(a) Purpose. Article III(3) of the Treaty sets out the conditions
under which a Management Authority can grant an import permit.
(b) U.S. application forms. Complete and submit the appropriate
form for the proposed activity to the Office of Management Authority
(see Sec. 23.7):
------------------------------------------------------------------------
Type of application for import permits for Appendix-I
specimens Form No.
------------------------------------------------------------------------
CITES:
African Elephant and Leopard Sport-hunted Trophies...... 3-200-19
Appendix-I Plants....................................... 3-200-35
Appendix-I Wildlife..................................... 3-200-31
Appendix-I Wildlife Biological Samples.................. 3-200-38
------------------------------------------------------------------------
Endangered Species Act and CITES:
ESA Plants.............................................. 3-200-36
ESA Wildlife............................................ 3-200-37
------------------------------------------------------------------------
Marine Mammal Protection Act and CITES:
Marine Mammals.......................................... 3-200-43
------------------------------------------------------------------------
Wild Bird Conservation Act and CITES:
Personal Pet Bird....................................... 3-200-46
Scientific Research or Zoological Breeding/Display...... 3-200-47
Under an Approved Cooperative Breeding Program.......... 3-200-48
------------------------------------------------------------------------
(c) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
------------------------------------------------------------------------
Issuance criteria for import permits for Appendix-I
specimens Section
------------------------------------------------------------------------
(1) The proposed import would be for purposes which are not 23.51
detrimental to the survival of the species.................
------------------------------------------------------------------------
(2) The purpose of the import is not for primarily 23.52
commercial purposes........................................
------------------------------------------------------------------------
(3) The recipient is suitably equipped to house and care for 23.56
the live wildlife or plants to be imported.................
------------------------------------------------------------------------
(4) The scientific name of the species is the standard 23.20
nomenclature in the CITES appendices or the references
adopted by the COP.........................................
------------------------------------------------------------------------
(5) The live wildlife or plant will be prepared and shipped 23.20
so as to minimize risk of injury, damage to the health, or
cruel treatment of the specimen............................
------------------------------------------------------------------------
(d) Standard conditions. In addition to the conditions in
Sec. 23.45, you must meet all of the following:
(1) You may import and subsequently use the wildlife or plant only
for the purposes stated in your application and specifically approved
and conditioned in the permit. To ensure that the specimen will not be
used for primarily commercial purposes after import, you must get a
letter of approval from us to use the specimen for a different purpose
or transfer the specimen where it will be used for a different purpose.
(2) You may not import, subsequently use, or transfer the specimen
for any commercial purpose.
(3) The specimen may not be used by you or any other person to
establish or participate in an operation or nursery that is breeding or
propagating the species for commercial purposes.
Sec. 23.29 What are the requirements for export permits and re-export
certificates?
(a) Purposes. Articles III, IV, and V of the Treaty set out the
conditions under which a Management Authority may grant an export
permit or re-export
[[Page 26705]]
certificate for Appendix-I, -II, and -III specimens.
(b) U.S. application forms. Complete and submit the appropriate
form for the proposed activity to the Office of Management Authority or
Form 3-200-26 to the Division of Law Enforcement at certain designated
ports or regional offices (see Sec. 23.7):
------------------------------------------------------------------------
Type of application for export permits and re-export
certificates Form No.
------------------------------------------------------------------------
CITES:
American Ginseng........................................ 3-200-34
Captive-born Raptors--Export only....................... 3-200-25
Captive-born Wildlife (except raptors)--Export only..... 3-200-24
Furs or Skins of Bobcat, River Otter, Alaska lynx, 3-200-26
Alaska Gray Wolf, Alaska Brown Bear, or American
Alligator..............................................
Plants.................................................. 3-200-32
Trophies of Alaska Black Bear........................... 3-200-26
Trophies by Taxidermists................................ 3-200-28
Wildlife................................................ 3-200-27
Wildlife--Re-export only of Appendix-II and -III 3-200-26
specimens from some Law Enforcement offices............
Wildlife Biological Specimens........................... 3-200-29
------------------------------------------------------------------------
Endangered Species Act and CITES:
ESA Plants.............................................. 3-200-36
ESA Wildlife............................................ 3-200-37
ESA Wildlife Biological Samples......................... 3-200-29
------------------------------------------------------------------------
Marine Mammal Protection Act and CITES:
Marine Mammals.......................................... 3-200-53
------------------------------------------------------------------------
(c) A plant propagated from exempt plant material. A plant grown
from exempt plant material (see Sec. 23.88(c)) is regulated by CITES.
(1) The proposed shipment of the specimen is treated as an export
even if the exempt plant material from which it was derived was
previously imported into the United States.
(2) When you apply for a CITES document, the plant may be eligible
for an export permit under this section or a certificate for
artificially propagated plants (Sec. 23.32) depending on the species
and the records you have on the origin of the exempt plant material.
See Sec. 23.27 for the type of records you need.
(3) See Sec. 23.54(f) on what we consider in deciding if a plant
grown from exempt plant material qualifies as artificially propagated.
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) For an export permit:
----------------------------------------------------------------------------------------------------------------
Appendix
Issuance criteria for export permits ---------------------------------------------------------------- Section
I II III
----------------------------------------------------------------------------------------------------------------
(i) The wildlife or plant was Yes................. Yes................ Yes................ 23.50
legally acquired.
----------------------------------------------------------------------------------------------------------------
(ii) The proposed export would not Yes................. Yes................ N/A................ 23.51
be detrimental to the survival of
the species.
----------------------------------------------------------------------------------------------------------------
(iii) An import permit has already Yes................. N/A................ N/A................ 23.17
been granted or the Management
Authority of the importing country
has confirmed that it will be
granted.
----------------------------------------------------------------------------------------------------------------
(iv) The scientific name of the Yes................. Yes................ YES................ 23.20
species is the standard
nomenclature in the CITES
appendices or the references
adopted by the COP.
----------------------------------------------------------------------------------------------------------------
(v) The live wildlife or plant will Yes................. Yes................ Yes................ 23.20
be prepared and shipped so as to
minimize risk of injury, damage to
health, or cruel treatment of the
specimen.
----------------------------------------------------------------------------------------------------------------
(vi) For Appendix-III, the specimen N/A................. N/A................ Yes................ 23.17
originated in a country that listed
the species.
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
(2) For a re-export certificate:
[[Page 26706]]
----------------------------------------------------------------------------------------------------------------
Appendix
Issuance criteria for re-export ---------------------------------------------------------------- Section
certificates I II III
----------------------------------------------------------------------------------------------------------------
(i) The wildlife or plant was Yes................. Yes................ Yes................ 23.50
legally acquired.
----------------------------------------------------------------------------------------------------------------
(ii) The scientific name of the Yes................. Yes................ Yes................ 23.20
species is the standard
nomenclature in the CITES
appendices or the references
adopted by the COP.
----------------------------------------------------------------------------------------------------------------
(iii) For live specimens, an import Yes................. N/A................ N/A................ 23.17
permit has already been granted or
the Management Authority of the
importing country has confirmed
that it will be granted.
----------------------------------------------------------------------------------------------------------------
(iv) The live wildlife or plant will Yes................. Yes................ Yes................ 23.20
be prepared and shipped so as to
minimize risk of injury, damage to
the health, or cruel treatment of
the specimen.
----------------------------------------------------------------------------------------------------------------
(v) For re-export of specimens Yes................. Yes................ N/A................ 23.31
introduced from the sea under an
international treaty, convention,
or agreement that was in force for
the species' protection on July 1,
1975, the specimens were taken in
accordance with that treaty,
convention, or agreement.
----------------------------------------------------------------------------------------------------------------
(vi) For re-export of confiscated N/A................. Yes................ N/A................ 23.50
Appendix-II specimens only, the
proposed re-export would not be
detrimental to the survival of the
species.
----------------------------------------------------------------------------------------------------------------
(e) Confiscated specimen. A Management Authority may issue a re-
export certificate for a confiscated specimen when the certificate
indicates the specimen was confiscated and when the re-export is for
one of the following:
(1) For any CITES species, the return of a live specimen to the
country of export (see subpart F), placement of a live specimen in a
rescue center, or judicial use.
(2) For an Appendix-II or -III species, the disposal of the
specimen in the best manner possible to benefit enforcement and
administration of the Convention.
Sec. 23.30 What are the requirements for certificates of origin?
(a) Purpose. Article V(3) of the Treaty explains when a shipment of
Appendix-III specimens must be accompanied by a certificate of origin.
(b) U.S. application forms. For a certificate of origin to export
specimens that are listed in Appendix III by another country, but
originated in the United States, complete and submit one of the
following forms to the Office of Management Authority (see Sec. 23.7):
(1) Application Form 3-200-27 for wildlife.
(2) Application Form 3-200-32 for plants.
(c) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) The specimen originated in the United States.
(2) The scientific name of the species is the standard nomenclature
in the CITES appendices or the references adopted by the COP.
(3) The live wildlife or plant will be prepared and shipped so as
to minimize risk of injury, damage to the health, or cruel treatment of
the specimen.
Sec. 23.31 What are the requirements for introduction-from-the-sea
certificates?
(a) Purpose. Articles III(5), IV(6), and IV(7) of the Treaty set
out the conditions under which a Management Authority may grant a
certificate of introduction from the sea.
(b) U.S. application form. Complete and submit Form 3-200-31 to the
Office of Management Authority (see Sec. 23.7).
(c) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) The proposed Yes......................................... Yes............. 23.51
introduction from
the sea would not be
detrimental to the
survival of the
species
----------------------------------------------------------------------------------------------------------------
(2) The purpose of Yes......................................... N/A............. 23.52
the import is not
for primarily
commercial purposes
----------------------------------------------------------------------------------------------------------------
(3) The recipient is Yes......................................... N/A............. 23.56
suitably equipped to
house and care for
live wildlife or
plants
----------------------------------------------------------------------------------------------------------------
(4) The scientific Yes......................................... Yes............. 23.20
name of the species
is the standard
nomenclature in the
CITES appendices or
the references
adopted by the COP
----------------------------------------------------------------------------------------------------------------
(5) The live wildlife Yes......................................... Yes............. 23.20
or plant will be
prepared and shipped
so as to minimize
risk of injury,
damage to the
health, or cruel
treatment of the
specimen
----------------------------------------------------------------------------------------------------------------
(d) Exemption. As allowed under Article XIV(4) and (5) of the
Treaty, you may directly transport into the United States any Appendix-
II wildlife or plant taken in the marine environment that is not under
the jurisdiction of any
[[Page 26707]]
country without a CITES document when all of the following conditions
are met:
(1) The United States is a party to an international treaty,
convention, or agreement that affords protection to the species and was
in force on July 1, 1975.
(2) The ship that harvested the specimen is registered to the
United States.
(3) The specimen was taken in accordance with the international
treaty, convention, or agreement, including any quotas.
(4) The shipment is accompanied by any official document required
under the international treaty, convention, or agreement or otherwise
required by U.S. law.
(5) To re-export specimens, you must obtain a certificate from the
Office of Management Authority (see Sec. 23.7) that the specimens were
taken in accordance with the provision of the pre-CITES international
treaty, convention, or agreement.
(e) Appendix III. Introduction-from-the-sea certificate
requirements do not apply to Appendix-III species.
Sec. 23.32 What are the requirements for certificates for artificially
propagated plants?
(a) Purpose. Article VII(5) of the Treaty, grants an exemption to
plants that are artificially propagated and a Management Authority
grants a certificate.
(b) General provisions. We may grant a certificate for plants
artificially propagated at your facility or acquired from another
facility provided we find that the criteria in paragraph (d) of this
section are met.
(1) For an Appendix-I plant species or a hybrid of an annotated
Appendix-I species, only specimens that are artificially propagated for
non-commercial purposes are eligible for this exemption. See Sec. 23.39
for export of Appendix-I plants artificially propagated for commercial
purposes.
(2) The certificate and any subsequent re-export certificate
(Sec. 23.29) must show the source code as ``A'' for artificially
propagated.
(3) For Appendix-I specimens that satisfy the requirements of this
section, no CITES import permit is required.
(c) U.S. application form. Complete and submit Form 3-200-33 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
----------------------------------------------------------------------------------------------------------------
Appendix
Issuance criteria for certificates for ------------------------------------------------------- Section
artificially propagated plants I II III
----------------------------------------------------------------------------------------------------------------
(1) The plant was legally acquired........... Yes.............. Yes............. Yes............. 23.50
----------------------------------------------------------------------------------------------------------------
(2) The plant was artificially propagated.... Yes.............. Yes............. Yes............. 23.54
----------------------------------------------------------------------------------------------------------------
(3) The Appendix-I species and hybrids of Yes.............. N/A............. N/A............. 23.32
annotated Appendix-I species were propagated
for non-commercial purposes.
----------------------------------------------------------------------------------------------------------------
(4) The scientific name of the species is the Yes.............. Yes............. Yes............. 23.20
standard nomenclature in the CITES
appendices or the references adopted by the
COP.
----------------------------------------------------------------------------------------------------------------
(5) The live plant will be prepared and Yes.............. Yes............. Yes............. 23.20
shipped so as to minimize risk of injury or
damage to the health of the specimen.
----------------------------------------------------------------------------------------------------------------
(e) Standard conditions. In addition to the conditions in
Sec. 23.45, you must meet all of the following conditions:
(1) You may not export or re-export plants removed from the wild or
grown directly from wild seed, and their parts and products under this
certificate.
(2) You may not export specimens of Appendix-I species and hybrids
of annotated Appendix-I species propagated for commercial purposes
under this certificate.
(3) You may export native plants under this certificate only when
specifically approved for export and listed on the certificate,
inventory sheet, or an approved species list.
(4) You may export specimens under a higher taxon name only if you
identified the taxon in your application and we approved it on this
certificate.
Sec. 23.33 What are the requirements for bred-in-captivity
certificates?
(a) Purpose. Article VII(5) of the Treaty grants an exemption to
wildlife that is bred in captivity and a Management Authority grants a
certificate.
(b) General provisions. We may grant a certificate for wildlife
bred in captivity at your facility or acquired from another facility
provided we find that criteria in paragraph (d) of this section are
met.
(1) For Appendix-I wildlife, only specimens that are bred in
captivity for non-commercial purposes are eligible for this exemption.
See Sec. 23.38 for registration of an Appendix-I commercial breeding
operation.
(2) The certificate and any subsequent re-export certificate
(Sec. 23.29) must show the source code as ``C'' for bred in captivity.
(3) For Appendix-I specimens that satisfy the requirements of this
section, no CITES import permit is required.
(c) U.S. application form. Complete and submit Form 3-200-24 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
----------------------------------------------------------------------------------------------------------------
Appendix
Issuance criteria for bred-in-captivity ------------------------------------------------------- Section
certificates I II III
----------------------------------------------------------------------------------------------------------------
(1) The wildlife was legally acquired........ Yes.............. Yes............. Yes............. 23.50
----------------------------------------------------------------------------------------------------------------
[[Page 26708]]
(2) The wildlife was bred in captivity....... Yes.............. Yes............. Yes............. 23.53
----------------------------------------------------------------------------------------------------------------
(3) The Appendix-I species were bred for non- Yes.............. N/A............. N/A............. 23.33
commercial purposes \1\.
----------------------------------------------------------------------------------------------------------------
(4) The scientific name of the species is the Yes.............. Yes............. Yes............. 23.20
standard nomenclature in the CITES
appendices or the references adopted by the
COP.
----------------------------------------------------------------------------------------------------------------
(5) The live wildlife will be prepared and Yes.............. Yes............. Yes............. 23.20
shipped so as to minimize risk of injury,
damage to the health, or cruel treatment of
the specimen.
----------------------------------------------------------------------------------------------------------------
\1\ This issuance criterion does not apply to live wildlife that is part of a traveling live-animal exhibition.
23.34 What are the requirements for plant hybrids?
(a) General provisions. Except as provided in paragraph (b) of this
section, the export, re-export, or import of a plant hybrid must be
accompanied by a valid CITES document, as follows:
------------------------------------------------------------------------
If the plant is: Then the specimen is:
------------------------------------------------------------------------
(1) An artificially propagated hybrid Treated as if listed in
of one or more unannotated Appendix-I Appendix II.
species or other taxa.
------------------------------------------------------------------------
(2) A hybrid that includes two or more Considered to be listed in the
CITES species in its lineage and is more restrictive appendix,
not a specimen covered in paragraph with Appendix I being the most
(a)(1) of this section. restrictive and Appendix III
the least.
------------------------------------------------------------------------
(3) A hybrid that includes one CITES Considered to be listed in the
species in its lineage and is not a appendix in which the species
specimen covered in paragraph (a)(1) is listed in the CITES
of this section. appendices.
------------------------------------------------------------------------
(b) Exception. Plant hybrids may be excluded from CITES controls by
an annotation in Appendix II or III (see Sec. 23.88).
Sec. 23.35 What are the requirements for wildlife hybrids?
(a) Definition of recent lineage. Recent lineage for the purposes
of this section means the last four generations of that specimen's
ancestry (direct line of descent).
(b) General provisions. Except as provided in paragraph (c) of this
section, the export, re-export, or import of a wildlife hybrid must be
accompanied by a valid CITES document that shows the hybrid listed in
the following appendix:
------------------------------------------------------------------------
If at least one specimen in the recent Then the specimen is
lineage is included in: included in:
------------------------------------------------------------------------
(1) Appendix I............................ Appendix I.
------------------------------------------------------------------------
(2) Appendix II, and an Appendix-I species Appendix II.
is not included in the recent lineage.
------------------------------------------------------------------------
(3) Appendix III, and an Appendix-I or -II Appendix III.
species is not included in the recent
lineage.
------------------------------------------------------------------------
(c) Exempt wildlife hybrid. Shipment of a wildlife hybrid that does
not have CITES specimens in its recent lineage (exempt wildlife hybrid)
must be accompanied by either a CITES document or a letter issued by us
or a foreign Management Authority. The letter must describe the
specimen, provide the scientific name, and certify that the wildlife
contains no CITES specimens in the last four generations of its
ancestry.
(d) U.S. application for an exempt wildlife hybrid. To apply for a
hybrid exemption letter, provide the following to the Office of
Management Authority (see Sec. 23.7), or complete and submit
application Form 3-200-57:
(1) A signed and dated request for a hybrid exemption letter.
(2) Your name and address.
(3) The name and address of the recipient in the foreign country.
(4) The scientific and common names of the species in the hybrid.
(5) Description of the wildlife, including sex and birth date, if
known.
(6) Information that shows a CITES species does not occur in the
last four generations of the specimen's ancestry. This includes, but is
not limited to, a pedigree or official registration showing direct
lineage.
(7) The U.S. port through which the export or re-export will occur.
(e) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
[[Page 26709]]
(1) The wildlife hybrid does not include any CITES specimen in its
recent lineage.
(2) The scientific name of the CITES specimen that is in the
lineage of the hybrid is standard nomenclature in the CITES appendices
or references adopted by the COP.
Sec. 23.36 What are the requirements to travel internationally with my
personally owned live wildlife?
(a) Purpose. A Management Authority may use the exemption in
Article VII(3) of the Treaty to issue a certificate of ownership that
approves cross-border movements of personally owned live wildlife.
(b) General provisions. You, the owner of live wildlife, may apply
for a certificate of ownership if you frequently take the wildlife with
you for companionship or a non-commercial competition to another
country.
(1) You must obtain the certificate from the Management Authority
in the country where you usually live.
(2) If offspring are born or you acquire specimens while you are
traveling in another country, you must obtain the appropriate CITES
document for the export or re-export of the wildlife, not a certificate
of ownership, from the Management Authority of that country.
(3) Upon return home, you may apply for a certificate of ownership
for wildlife born or acquired overseas.
(c) U.S. application form. Complete and submit Form 3-200-54 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) You own the live wildlife and the cross-border movement is for
personal companionship or use in a non-commercial competition, such as
falconry.
(2) You usually live in the United States.
(3) The wildlife was legally acquired (see Sec. 23.50).
(4) You do not intend to sell or otherwise transfer the wildlife
while traveling internationally.
(5) The scientific name of the species is the standard nomenclature
in the CITES appendices or the references adopted by the COP.
(6) The Management Authority of the country of import has agreed to
the cross-border movement.
(7) The wildlife is appropriately identified or securely marked.
(8) The wildlife is transported and cared for in a way that
minimizes risk of injury, damage to the health, or cruel treatment of
the specimen.
(e) Standard conditions. In addition to the conditions in
Sec. 23.45, all of the following conditions must be met:
(1) You may transport the wildlife for non-commercial purposes
only.
(2) You must accompany the wildlife during any cross-border
movement.
(3) You may not sell or otherwise transfer the specimen while
traveling internationally.
(4) You must retain the original certificate and have it validated
at each border crossing.
(5) If the certificate is lost, stolen, or accidentally destroyed,
you must obtain a replacement certificate from the issuing Management
Authority (see Sec. 23.42).
(6) If you no longer own the live wildlife, the original
certificate must be immediately returned to the issuing Management
Authority.
Sec. 23.37 What are the requirements for pre-Convention specimens?
(a) Purpose. Article VII(2) of the Treaty allows international
trade in pre-Convention specimens when the exporting or re-exporting
country is satisfied that the specimen was acquired before the
provisions of CITES applied to it and issues a CITES document to that
effect.
(b) General provisions. The following general provisions apply:
(1) Trade in specimens under the pre-Convention exemption is only
possible if the specimen is considered pre-Convention by both the
importing and exporting countries.
(2) When a species is transferred from one appendix to another
(such as Appendix II to Appendix I), the pre-Convention date is the
date the species was first listed under CITES.
(3) For qualifying Appendix-I specimens, no CITES import permit is
required.
(4) The pre-Convention exemption does not apply to offspring of any
wildlife or plants born or propagated after the date the species was
first listed under CITES.
(c) U.S. application form. Complete and submit Form 3-200-23 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) The wildlife or plant (including parts and products) was
removed from the wild or held in captivity or a controlled environment
before the date CITES first applied to it.
(2) The scientific name of the species is the standard nomenclature
in the CITES appendices or the references adopted by the COP.
(3) The live wildlife or plant will be prepared and shipped so as
to minimize risk of injury, damage to the health, or cruel treatment of
the specimen.
(4) For the re-export of a pre-Convention specimen previously
imported under a CITES document, the wildlife or plant was legally
acquired (see Sec. 23.50).
(e) U.S. inventory. If you possess an inventory or stockpile of
specimens of species newly listed, the following applies:
(1) You may register with us the inventory or stockpile that you
possessed before the effective date of the listing. Complete and submit
application form 3-200-59 to the Office of Management Authority (see
Sec. 23.7). This registration will expedite the review of applications
for pre-Convention certificates.
(2) If you wish to commercially export or re-export pre-Convention
stock after the effective date of listing and have not registered your
inventory, we will require convincing evidence that the specimens are
pre-Convention. This evidence may include information from your
recordkeeping system that shows an audit trail of initial stock and
quantities exported, re-exported, sold or disposed of domestically, and
new stock acquired since the listing.
Sec. 23.38 What are the requirements for registering an Appendix-I
commercial breeding operation?
(a) Purpose. Article VII(4) of the Treaty provides that Appendix-I
specimens that are bred in captivity for commercial purposes shall be
treated as if they were listed in Appendix II.
(b) General provisions. If you are breeding Appendix-I wildlife for
commercial purposes, you may apply to register your operation.
(1) If you are proposing to breed non-native species, you must
conduct a study of ecological risks that the escape of specimens may
pose to the ecosystem and native species and how to prevent any
negative effects.
(2) In the United States, upon receipt of a complete registration
request from a U.S. operation, we will publish a notice of receipt in
the Federal Register. Each notice will invite interested entities to
submit written data, views , or comment with respect to the
registration request within 30 days after the date of the notice.
(3) If we are satisfied that the operation meets the conditions for
registration, we will send the request from a U.S. operation to the
Secretariat or provide comments to the Secretariat on requests by other
Parties.
[[Page 26710]]
(4) If the request is the first registration for a species, the
Secretariat will refer it to the appropriate experts for advice and
notify the Parties of the registration request. If any Party objects to
the registration within a 120-day comment period, approval of the
registration will require a two-thirds majority vote by Parties at the
next COP or by a postal vote.
(5) If other operations have already been registered for the
species, the Secretariat may send the request to appropriate experts
for advice if significant new information is available or if there are
other reasons for concern.
(6) If the Secretariat is not satisfied that the operation meets
the conditions for registration, it will provide the submitting
Management Authority with an explanation of the reasons for rejection
and indicate the specific conditions that must be met before the
registration can be accepted.
(7) When the Secretariat is satisfied that the operation meets the
registration requirements, it will include the operation in its
register.
(8) Operations are assigned an identification number and listed in
the official register. Registration is not final until the Secretariat
notifies all Parties.
(9) A Management Authority may apply special criteria for the
registration of operations intending to breed specimens of species that
are known to be difficult to breed in captivity, species that have
specific requirements for successful breeding in captivity, or
specimens that are known to be difficult to distinguish from wild-taken
specimens when in trade.
(10) If a Party believes that a registered operation does not meet
the bred-in-captivity requirements, it may, after consultation with the
Secretariat and the Party concerned, propose that the COP delete the
operation from the register by a two-thirds vote of the Parties.
(11) The registering Management Authority must monitor registered
operations to ensure that they continue to meet the registration
requirements.
(12) A Party may unilaterally request the removal of a registered
operation within its jurisdiction by notifying the Secretariat.
(c) U.S. application to register. Complete and submit Form 3-200-55
to the Office of Management Authority (see Sec. 23.7).
(d) Criteria. For your breeding operation to be registered, you
must provide sufficient information for us to find that your proposed
activity meets all of the following criteria:
------------------------------------------------------------------------
Criteria for registering an Appendix-I breeding operation Section
------------------------------------------------------------------------
(1) The specimen was bred for commercial purposes........... 23.38
------------------------------------------------------------------------
(2) The founder stock was legally acquired.................. 23.50
------------------------------------------------------------------------
(3) The wildlife was bred in captivity...................... 23.53
------------------------------------------------------------------------
(4) Where the establishment of a breeding operation involves N/A
the removal of animals from the wild (allowable only under
exceptional circumstances), the operation must demonstrate
to the satisfaction of the Management Authority and the
Secretariat that the removal is or was not detrimental to
the conservation of the species............................
------------------------------------------------------------------------
(5) The scientific name of the species is the standard 23.20
nomenclature in the CITES appendices or the references
adopted by the COP.........................................
------------------------------------------------------------------------
(6) The breeding operation will make a continuing, N/A
meaningful contribution to the conservation of the species,
as warranted by the conservation needs of the species......
------------------------------------------------------------------------
(e) Standard conditions of the registration. In addition to the
conditions in Sec. 23.45, you must meet all of the following
conditions:
(1) You must uniquely mark, as proposed at the time of
registration, all specimens from the breeding operation. Birds must
have closed bands.
(2) You may not import Appendix-I specimens for primarily
commercial purposes (such as to establish a commercial captive-breeding
operation) except from breeding operations registered for that species.
(3) You must provide information each year on the year's production
and your current breeding stock. You may provide the information by
mail, fax, or e-mail.
(4)You must allow our agents to enter the premises at any
reasonable hour to inspect wildlife held or to inspect, audit, or copy
applicable records.
(f) Export procedure for registered operations. Appendix-I species
bred at a registered operation are treated as if listed in Appendix II.
(1) The export permit (see Sec. 23.29) may be granted to the
registered operation or to persons who have purchased a specimen that
originated at the registered operation if the specimen has the unique
mark applied by the operation.
(2) The export permit must show the source code as ``D'' and give
the identification number of the registered breeding operation where
the specimens originated.
(3) Any subsequent re-export certificates (Sec. 23.29) for these
specimens must also show the source code as ``D'' and give the number
of the breeding operation.
(4) No CITES import permit is required for qualifying specimens.
Sec. 23.39 What are the requirements for export of Appendix-I plants
artificially propagated for commercial purposes?
(a) Purpose. Article VII(4) of the Treaty provides that Appendix-I
plants artificially propagated for commercial purposes shall be treated
as if they were listed in Appendix II.
(b) General provisions. An export permit can be issued for
specimens of Appendix-I species and hybrids of annotated Appendix-I
species artificially propagated for commercial purposes at your
facility or acquired from other facilities when the species meets the
criteria in paragraph (d) of this section. These artificially
propagated specimens are treated as if listed in Appendix II.
(1) The export permit is valid for only 6 months and must show the
source code as ``D'' for plants artificially propagated for commercial
purposes.
[[Page 26711]]
(2) Any subsequent re-export certificate (Sec. 23.29) for these
specimens must also show the source code as ``D.''
(3) No CITES import permit is required for qualifying specimens.
(c) U.S. application form. Complete and submit Form 3-200-33 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
------------------------------------------------------------------------
Issuance criteria for export permits Section
------------------------------------------------------------------------
(1) The specimen was propagated for commercial purposes..... 23.39
------------------------------------------------------------------------
(2) The founder stock was legally acquired.................. 23.50
------------------------------------------------------------------------
(3) The proposed export would not be detrimental to the 23.51
survival of the species....................................
------------------------------------------------------------------------
(4) The plant was artificially propagated................... 23.54
------------------------------------------------------------------------
(5) The scientific name of the species is the standard 23.20
nomenclature in the CITES appendices or the references
adopted by the COP.........................................
------------------------------------------------------------------------
(6) The live plant will be prepared and shipped so as to N/A
minimize risk of injury or damage to the health of the
specimen...................................................
------------------------------------------------------------------------
(e) Nursery registration. [Reserved]
Sec. 23.40 What are the requirements for registered scientific
institutions?
(a) Purpose. Article VII(6) of the Treaty grants an exemption that
allows international trade in certain specimens for non-commercial
loan, donation, or exchange between scientific institutions.
(b) General provisions. Scientific institutions must register with
the Management Authority in their country. Scientists who wish to use
this exemption must be affiliated with a registered scientific
institution.
(1) The Management Authority will assign the institution a five-
character code, consisting of the ISO country code and a unique, three-
digit number. In the case of a non-Party, the Secretariat will ensure
that the institution meets the standards and assign it a unique code.
(2) The Management Authority communicates the name, address, and
assigned code to the Secretariat, who maintains a list of registered
scientific institutions and provides that information to all Parties.
(3) A registered scientific institution does not need separate
CITES documents for the non-commercial loan, donation, or exchange of
preserved, frozen, dried, or embedded museum specimens, herbaria
specimens, or live plant material with another registered institution.
The shipment must have an external label that contains specified
information.
(c) U.S. application to register. To register, complete and submit
application Form 3-200-39 to the Office of Management Authority (see
Sec. 23.7).
(d) Issuance criteria. You, a registered scientific institution,
must provide sufficient information for us to find that your proposed
activity meets all of the following criteria:
(1) Collections of wildlife or plant specimens are permanently
housed and professionally curated, and corresponding records are kept.
(2) Specimens are accessible to all qualified users, including
those from other institutions.
(3) Records are properly accessioned in a permanent catalog.
(4) Records are permanently maintained for loans and transfers to
other institutions.
(5) Specimens are acquired primarily for research that is to be
reported
in scientific publications.
(6) Collections are prepared and arranged in a way that ensures
their utility.
(7) Specimen labels, permanent catalogs, and other records are
accurate.
(8) Specimens are lawfully acquired and possessed under a country's
national wildlife and plant laws.
(9) Appendix-I specimens are permanently and centrally housed under
the direct control of the institution that manages them in a way that
prevents their use for decoration, trophies, or commercial purposes.
(e) Standard conditions. In addition to the conditions in
Sec. 23.45, you must meet all of the following conditions:
(1) You are only authorized to send and receive preserved, frozen,
dried, or embedded museum specimens, herbaria specimens, or live plant
material as a non-commercial loan, donation, or exchange.
(2) You and the receiving or sending scientific institution must be
registered by the applicable Management Authorities, and the
registrations must be on file with the Secretariat.
(3) You must ship specimens only for scientific research and not
for use as decoration, trophies, or commercial purposes.
(4) You must affix a customs declaration label to the outside of
each shipping container or package that contains all of the following:
(i) The acronym ``CITES.''
(ii) A description of the contents (such as ``herbarium
specimens'').
(iii) The names and addresses of the sending and receiving
institutions.
(iv) The signature of a responsible officer of the sending
registered scientific institution.
(v) The scientific institution codes of both registered scientific
institutions involved in the loan, donation, or exchange.
(5) You must have information to show that specimens were legally
acquired in the country of origin and/or legally imported.
(6) You are only authorized to receive specimens that are under the
authority of a registered scientific institution and have been
permanently and accurately recorded by the sending institution.
(7) You are authorized to import, export, or re-export preserved,
frozen, dried, or embedded biological tissue samples, including blood
and tissue samples, that will be partially destroyed during analysis
provided a portion of the sample is maintained at the museum for future
scientific reference. This does not include samples that will be
completely destroyed during analysis.
Sec. 23.41 What are the requirements for traveling live-animal
exhibitions?
(a) Purpose. Article VII(7) of the Treaty grants an exemption for
specimens that qualify as bred in
[[Page 26712]]
captivity or pre-Convention and are part of a traveling live-animal
exhibition.
(b) General provisions. You, as an exhibition wishing to travel
internationally with live wildlife, must register with the Management
Authority in the country where the exhibition is usually based.
(1) You must obtain an original pre-Convention or bred-in-captivity
certificate for each specimen that indicates it is part of a traveling
live-animal exhibition (see Sec. 23.5).
(2) Parties should not collect the original certificate at their
borders but should treat this CITES document like a passport for export
and re-export from each country.
(3) Parties should check specimens closely to determine that the
specimen matches the certificate and ensure that each specimen is being
transported and cared for in a manner that minimizes the risk of
injury, damage to the health, or cruel treatment of the specimen.
(4) If offspring are born or you acquire specimens while traveling
in another country, you must obtain the appropriate CITES document for
the export or re-export of the wildlife from the Management Authority
of that country (for persons subject to the jurisdiction of the United
States, the purchase in foreign commerce or import of any ESA species
also requires a permit from the Office of Management Authority, see 50
CFR part 17).
(5) Upon return home, you may apply for a traveling live-animal
exhibition certificate for wildlife born or acquired overseas.
(c) U.S. application form. Complete and submit Form 3-200-30 to the
Office of Management Authority (see Sec. 23.7).
(d) Issuance criteria. You must provide sufficient information for
us to find that your proposed activity meets all of the following
criteria:
(1) You own the live wildlife, and the cross-border movement is for
display or entertainment purposes, and not for breeding or other
purposes.
(2) You are based in the United States.
(3) The specimen meets the issuance criteria for a pre-Convention
certificate in Sec. 23.37(d) or a bred-in-captivity certificate in
Sec. 23.33(d).
(4) You do not intend to sell or otherwise transfer the wildlife
while traveling internationally.
(5) The wildlife is securely marked or identified in such a way
that border officials can verify that the certificate and specimen
correspond.
(e) Standard conditions. In addition to the conditions in
Sec. 23.45, you must meet all of the following conditions:
(1) The certificate may be used by you, but must not be transferred
or assigned to another person or traveling live-animal exhibition.
(2) You must transport internationally the specimen only for
display or entertainment purposes, not for breeding or other purposes.
(3) You must retain the original certificate and have it validated
at each border crossing.
(4) You must not sell or otherwise transfer the specimen while
traveling
internationally.
(5) If the certificate is lost, stolen, or accidentally destroyed,
you must obtain a replacement certificate only from the issuing
Management Authority (see Sec. 23.42).
(6) If you no longer own the wildlife, the original certificate
must be immediately returned to the issuing Management Authority.
Sec. 23.42 What are the requirements to replace lost, damaged, stolen,
or accidentally destroyed CITES documents?
(a) General provisions. A Management Authority may issue duplicate
CITES documents to replace lost, damaged, stolen, or accidentally
destroyed CITES documents under the following general provisions:
(1) For commercial shipments, the issuing Management Authority
should immediately inform the Management Authority in the country of
destination and the Secretariat or send them a copy of the replacement
CITES document.
(2) The replacement CITES document must indicate that it is a
``true copy of the original'' and include the number and expiration
date of the document being replaced and the reason for replacement.
(b) U.S. application procedures. To amend or renew a CITES
document, see 50 CFR part 13. To apply for a replacement CITES
document, you must provide all of the following:
(1) Complete and submit application Form 3-200-56 to the Office of
Management Authority (see Sec. 23.7).
(2) Submit an application processing fee unless you are fee exempt
(see 50 CFR 13.11(d)).
(3) Consult the list to find the types of information you need to
provide (more than one circumstance may apply to you):
------------------------------------------------------------------------
If: Then:
------------------------------------------------------------------------
(i) The shipment has already Provide copies of:
occurred. (A) For wildlife, the validated
CITES document and cleared
Declaration for Importation or
Exportation of Fish or Wildlife
(Form 3-177).
(B) For plants, the validated CITES
document.
(C) Any correspondence you have had
with the shipper or importing
country's Management Authority
concerning the shipment.
------------------------------------------------------------------------
(ii) The original CITES document Submit a signed, dated, and
no longer exits. notarized statement that:
(A) Refers to the permit number and
describes the circumstances that
resulted in the loss or destruction
of the original CITES document.
(B) States whether the shipment has
already occurred.
(C) Requests a replacement U.S.
CITES document.
------------------------------------------------------------------------
(iii) An original CITES document Submit the original damaged CITES
exists but has been damaged. document and a signed, dated, and
notarized statement that:
(A) Describes the circumstances that
resulted in the CITES document
being damaged.
(B) States whether the shipment has
already occurred.
(C) Requests a replacement U.S.
CITES document.
------------------------------------------------------------------------
(c) Issuance criteria. For us to issue or accept a replacement
CITES document, you must provide sufficient information for us to find
that your proposed activity meets all of the following criteria:
[[Page 26713]]
(1) You have fully explained the circumstances responsible for the
lost, damaged, stolen, or accidentally destroyed CITES document and
they are reasonable.
(2) If the shipment has already been made, the Management Authority
of the importing country has indicated it will accept the replacement
CITES document.
(d) Standard conditions. In addition to the conditions in
Sec. 23.45, you must meet all of the following conditions:
(1) If the original CITES document is found, you must return it to
the issuing Management Authority.
(2) A CITES document issued for a shipment that has already
occurred does not require validation.
(e) Validation. For an export or re-export that has not left the
United States, follow the procedures in Sec. 23.24. If the shipment has
been made and is in a foreign country, submit the original un-validated
replacement CITES document to the appropriate foreign authorities. We
will not validate the replacement CITES document for a shipment that
has already been shipped to a foreign country.
Sec. 23.43 What are the requirements for retrospective CITES
documents?
(a) General provisions. Except as provided in paragraph (b) of this
section, a Management Authority will not:
(1) Issue CITES documents retrospectively.
(2) Provide exporters, re-exporters, and/or consignees in importing
countries with declarations about the legality of specimens exported or
re-exported from their countries without the required CITES document.
(3) Provide exporters, re-exporters, and/or consignees in importing
countries with declarations about the legality of CITES documents that
at the time of export, re-export, or import did not meet the
requirements of CITES.
(4) Accept CITES documents, including ones for in-transit
shipments, that were issued retrospectively.
(b) Special provisions. A Management Authority can issue or accept
a retrospective CITES document only if the Management Authorities of
the importing and exporting countries, after a prompt and thorough
investigation and in close consultation, are satisfied that all the
following conditions are met:
(1) The request for a retrospective CITES document is being made at
the time the shipment is being imported.
(2) The exporter, re-exporter, or importer is not responsible for
the irregularities.
(3) The export, re-export, or import of the specimens are otherwise
in compliance with CITES and the relevant national legislation of the
countries involved.
(4) The Management Authority sends a copy of any retrospective
CITES document to the Secretariat. It must contain a statement that it
was issued retrospectively and give the reason for the issuance.
(c) U.S. application. You must provide the following information to
the Office of Management Authority (Sec. 23.7):
(1) A completed application Form 3-200-58.
(2) A completed application form for the type of activity you
conducted (see Sec. 23.17).
(d) Issuance criteria. For us to issue or accept a retrospective
CITES document, you must provide sufficient information for us to find
that your proposed activity meets all of the following criteria:
(1) The wildlife or plant has been exported, re-exported, or
introduced from the sea without a valid CITES document and was
presented to the appropriate official for inspection at the time of
import.
(2) The wildlife or plants would have qualified for the applicable
CITES document if you had applied for it before importing, introducing
from the sea, exporting, or re-exporting the specimen.
(3) The import, introduction from the sea, export, or re-export did
not require a U.S. permit under another part of this subchapter.
(4) As provided in paragraph (e) of this section, the
irregularities are not attributable to you or an agent on your behalf.
(5) The importing Management Authority has agreed to accept the
retrospectively issued CITES document.
(e) Irregularities. In the United States, irregularities include
one of the following:
(1) You tried to find out the requirements and can show that you
were misinformed about CITES requirements by an employee of the U.S.
Fish and Wildlife Service, APHIS (for plants), or the Management
Authority in the foreign country that should have informed you about
CITES documents.
(2) The wildlife or plant item qualifies as a personal or household
effect (see Sec. 23.12).
(3) For live Appendix-II or -III wildlife or plants, the specimen
is owned by you for your personal use, accompanied you as personal
baggage, and number no more than two.
(4) For a pre-Convention Appendix-I wildlife or plant, you own the
specimen for your personal use and it accompanied you as personal
baggage.
(f) Validation. Submit the original un-validated retrospective
CITES document to the appropriate foreign authorities. We will not
validate the retrospective CITES document for a shipment that has
already been shipped to a foreign country.
Sec. 23.44 How long is a CITES document valid?
(a) Purpose. Article VI(2) of the Treaty sets the time period
within which an export permit is valid. Validity periods for other
CITES documents are prescribed in this section.
(b) Time of validity. CITES documents are valid only if presented
for import or introduction from the sea within the time of validity
(before midnight of the expiration date) noted on the face of the
document.
(1) An export permit and re-export certificate will be valid for no
longer than 6 months from the issuance date.
(2) An import permit, introduction-from-the-sea certificate, and
certificate of origin will be valid for no longer than 12 months from
the issuance date.
(3) A certificate for traveling live-animal exhibitions and
certificate of ownership will be valid for no longer than 3 years from
the issuance date.
(4) Other CITES documents will state the length of their validity,
but no U.S. CITES document will be valid for longer than 4 years from
the issuance date.
(c) Extension of validity. The validity of a CITES document may not
be extended beyond the expiration date on the face of the document,
except under limited circumstances for certain timber species as
outlined in Sec. 23.64.
Sec. 23.45 What CITES document conditions do I need to follow?
(a) General conditions. You must comply with all of the following
general conditions:
(1) For a U.S. CITES document, you must comply with the provisions
of 50 CFR part 13 as conditions of the document. You must comply with
all applicable foreign, local, State, tribal, or Federal wildlife or
plant conservation laws, as well as the regulations in this subchapter,
including, but not limited to, any that require permits.
(2) For export and re-export of live wildlife, the CITES document
is only valid if the transport conditions comply with the CITES
Guidelines for Transport of Live Animals or, in the case of air
transport, with the International Air Transport Association Live Animal
Regulations.
(3) For export and re-export of live plants, you must prepare and
ship the
[[Page 26714]]
specimens so as to minimize the risk of injury or damage to health. You
must ensure that living specimens to be shipped are healthy.
(4) You must return the original CITES document to the issuing
office if you do not use it, it expires, or you request renewal or
amendment.
(5) When appropriate, a Management Authority may require that you
identify Appendix-II and -III wildlife or plants with a mark. All live
Appendix-I wildlife must be securely marked or uniquely identified.
(b) Standard conditions. You must comply with the standard
conditions provided in this part for specific types of CITES documents.
(c) Special conditions. We may condition a CITES document with
special conditions based on the needs of the species or the proposed
activity. You must comply with any special conditions contained in or
attached to a CITES document.
Subpart D--Factors We Consider in Making Certain Findings
Sec. 23.50 What factors do we consider in making a legal acquisition
finding?
(a) Purpose. Articles III, IV, and V of the Treaty require a
Management Authority to make a legal acquisition finding before
granting export permits and re-export certificates.
(b) Legal acquisition. Legal acquisition refers to both:
(1) Whether the specimen and its founder stock were traded
internationally in accordance with the provisions of CITES.
(2) Whether the specimen and its founder stock were obtained in
accordance with the provisions of national laws for the protection of
wildlife and plants. In the United States, these laws include all
applicable local, State, Federal, tribal, and foreign laws.
(c) General provisions. We must make a finding that a specimen was
legally acquired before we can issue certain kinds of CITES documents.
(1) We make this decision on a case-by-case basis considering all
available information.
(2) As provided in paragraphs (d) through (j) of this section, you,
the applicant, must provide sufficient information to establish the
origin of the specimen and whether it was legally acquired (see
Sec. 23.27 for details on recordkeeping or the applicable application
form referenced in subpart C of this part).
(3) For States and Tribes that have requested export approval on a
State-wide or reservation-wide basis and that have management programs
that provide us with the information necessary to make administrative
findings, we make legal acquisition findings on a State or tribal
basis. Permit applications for exports under these administrative
findings must be accompanied by information showing that the specimens
were legally acquired under State or tribal requirements.
(4) As necessary, we consult with foreign Management or Scientific
Authorities, the CITES Secretariat, State conservation agencies,
enforcement staff within our agency and APHIS, and other appropriate
experts.
(d) Personal use. To establish legal acquisition of any specimen to
be exported or re-exported for your personal use, you must provide
sufficient information for us to find that your proposed activity meets
all of the following criteria (If any of the following criteria do not
apply, then you must comply with paragraphs (e) through (i) of this
section.):
(1) You acquired the specimen in the United States and personally
own and possess it for strictly non-commercial purposes.
(2) The number of specimens is reasonably appropriate for the
nature of your export or re-export as personal use.
(3) There is no persuasive evidence of illegal transactions
involving the specimen.
(4) You must provide information on the origin of parental or
founder stock, if we request it as provided in paragraph (f)(2) of this
section.
(5) You must provide information to show legal acquisition:
------------------------------------------------------------------------
If the specimen was: Then you must provide:
------------------------------------------------------------------------
(i) Born, bred, propagated, or grown in A signed breeder's or
captivity in the United United States propagator's statement (see
(see wild-collected if the wildlife Sec. 23.27) or a statement
was born in captivity from an egg with the name and address of
collected from the wild or from breeder or propagator, date of
parents that mated or exchanged sale or transfer, species, and
genetic material in the wild, or the birth or hatch date for
plant was grown in captivity from a wildlife.
propagule collected from a plant).
------------------------------------------------------------------------
(ii) Imported previously by someone Copies of a canceled CITES or
other than the applicant. other import documents under
which the specimen was
exported or re-exported.
------------------------------------------------------------------------
(iii) Of unknown origin................ A complete description of the
circumstances under which you
acquired it (such as where,
when, and from whom you
acquired the specimen),
including your efforts to
obtain information on the
origin of the specimen.
(iv) Taken from the wild in the United Information showing the
States. specimen was legally removed
from the wild under relevant
wildlife or plant conservation
laws or regulations.
------------------------------------------------------------------------
(e) Multiple ownership. In addition to meeting the requirements of
paragraphs (f) through (i) of this section, if you were not the
importer, collector from the wild, or breeder or propagator, you must
show a clear record of the history of ownership that identifies the
specimen and, if applicable under paragraph (f) of this section, its
founder stock through each owner.
(f) Born, bred, grown, or propagated in captivity. For the export
of specimens that are born, bred, grown, or propagated in captivity, we
need reasonable proof that the founder stock or parental stock was
legally acquired. For wildlife that was born in captivity from an egg
collected from the wild from parents that mated or exchanged genetic
material in the wild, or a plant that was grown in captivity from a
propagule collected from a wild plant, go to paragraph (h) of this
section.
(1) You must provide information as follows:
[[Page 26715]]
------------------------------------------------------------------------
If the species is listed in: Then you must establish that:
------------------------------------------------------------------------
(i) Appendix I......................... The founder stock was legally
acquired.
------------------------------------------------------------------------
(ii) Appendix II or III and the founder The founder stock was legally
stock was collected from the wild in acquired.
the United States.
------------------------------------------------------------------------
(iii) Appendix II or III and the The parental stock was legally
founder stock was not collected from acquired and, if requested
the wild in the United States, except under paragraph (f)(2) of this
for a plant grown from exempt plant section, founder stock was
material (see Sec. 23.88(c)). legally acquired.
------------------------------------------------------------------------
(2) You must also provide information to establish that the founder
stock was legally acquired if we request it based on any of the
following factors:
(i)The species is uncommon in captivity in the United States.
(ii) The species has not been documented to breed or propagate
readily in captivity.
(iii) There is significant illegal trade in the species.
(iv) There is little or no record of legal import of the species
into the United States.
(v) Range countries do not allow commercial export, or allow only
limited, non-commercial export, of the species.
(g) Imported previously. For the re-export of specimens that were
previously imported into the United States:
(1) You must provide information to satisfy us that the specimen
was legally imported.
(2) We consider any reliable, relevant information we receive
concerning the validity of a CITES document, regardless of whether the
specimen has been imported and the shipment cleared by us or APHIS.
(h) Wild-collected in the United States. For specimens collected
from the wild in the United States:
(1) You must provide information showing the legal collection of
any specimen.
(2) We consider the site where the specimen was collected, whether
the species is known to occur at that site, the abundance of the
species at that site, and whether permission of the appropriate
management agency or landowner was obtained to collect the specimen.
(i) Confiscated specimens. We may issue CITES documents to export
or re-export confiscated Appendix-II and -III wildlife or plants under
the following circumstances:
(1) You must provide a copy of the legal document that shows the
transfer of the confiscated specimen to you and shows that any
conditions on the document have been met.
(2) If the specimen is offspring of the confiscated wildlife or
plant, you must provide information that it is the offspring of the
documented confiscated specimen.
(3) All CITES findings must be made, including the finding by the
Office of Scientific Authority that the export or re-export will not be
detrimental to the survival of the species (see Sec. 23.51).
(j) Donated specimens of unknown origin. We may issue CITES
documents to export or re-export donated wildlife or plants of unknown
origin under the following circumstances:
(1) You are a public institution (see 50 CFR 10.12) that did not
solicit the donation.
(2) You follow standard recordkeeping practices and make reasonable
efforts to obtain supporting information on the origin of the specimen.
(3) You provide information to show you made a reasonable effort to
find a suitable recipient in the United States.
(4) The export or re-export will provide a conservation benefit to
the species.
(5) There is no persuasive information of illegal transactions
involving the specimen.
(6) The export or re-export is non-commercial, with no money or
barter exchanged except for shipping costs.
(7) There is no history of institutions receiving a series of rare
and valuable specimens or a large quantity of wildlife or plants of
unknown origin.
(8) All other CITES findings must be made, including the finding by
the Office of Scientific Authority that the export or re-export will
not be detrimental to the survival of the species (see Sec. 23.51).
Sec. 23.51 What factors do we consider in making a non-detriment
finding?
(a) Purpose. Articles III and IV of the Treaty require that before
we issue a CITES document we find that a proposed export or
introduction from the sea of Appendix-I or -II specimens is not
detrimental to the survival of the species and that a proposed import
of an Appendix-I species is not for purposes that would be detrimental
to the survival of the species.
(b) Types of detriment. Detrimental activities, depending on the
species, could include, among other things, non-sustainable use (see
Sec. 23.5) and proposed activities that would pose a net harm to the
status of the species in the wild. For Appendix-I species, it also
includes use or removal from the wild that results in habitat loss or
destruction, interference with recovery efforts for a species, or
stimulation of further trade.
(c) General factors. The applicant must provide sufficient
information for us to make a finding of non-detriment. In addition to
factors in paragraphs (d) and (e) of this section, we will consider
whether:
(1) There is scientific information that demonstrates the proposed
activity represents sustainable use.
(2) The removal of the animals or plants from the wild is part of a
scientifically based sustainable-use management plan, if established,
that is designed to eliminate over-utilization of the species.
(3) If there is no sustainable-use management plan established, the
removal of the plants or animals from the wild would not contribute to
the over-utilization of the species, considering both domestic and
international uses.
(4) The proposed activity, including the methods used to acquire
the specimen, would pose no net harm to the status of the species in
the wild.
(5) The proposed activity would not lead to long-term declines that
would place the viability of the affected population in question.
(6) The proposed activity would not lead to significant habitat or
range loss or restriction.
(d) Additional factor for Appendix-II species. In addition to the
general factors in paragraph (c) of this section, we will consider
whether the intended export of an Appendix-II species would be
unsustainable or cause a significant risk that the species would
qualify for inclusion in Appendix I.
(e) Additional factors for Appendix-I species. In addition to the
general factors in paragraph (c) of this section,
[[Page 26716]]
we will consider whether the proposed activity:
(1) Would not cause an increased risk of extinction for either the
species as a whole or the population from which the specimen was
obtained.
(2) Would not interfere with the species' recovery.
(3) Would stimulate additional trade in the species. If the
proposed activity does stimulate trade, we will consider whether the
anticipated increase in trade would lead to the decline of the species.
(f) How we make our findings. We base the non-detriment finding on
the best available biological information. We also consider trade
information, including trade demand, or other scientific management
information.
(1) We consult with the States, other Federal agencies, experts,
and the range countries of the species.
(2) We consult with the Secretariat and other Parties to monitor
the level of trade that is occurring in the species.
(3) Based on the factors in paragraphs (c) through (e) of this
section, we evaluate the biological impact of the proposed activity.
(4) In cases where insufficient information is available or the
factors above are not satisfactorily addressed, we act in a
precautionary manner and would be unable to make the required finding
of non-detriment.
(g) Risk assessment. We review the status of the species in the
wild and the degree of risk the proposed activity poses to the species
to determine the level of scrutiny needed to make a finding. We give
greater scrutiny, require more detailed information, and make our
decisions in a more precautionary manner for activities that pose a
greater risk to a species in the wild. We consider the cumulative
risks, recognizing that each aspect of international trade has a
continuum of risk (from high to low) associated with it as follows:
(1) Status of the species: From Appendix I to Appendix II.
(2) Origin of the specimen: From wild-collected specimens to
captive or cultivated specimens that cannot be considered artificially
propagated or bred in captivity to specimens that are artificially
propagated or bred in captivity.
(3) From plants grown from non-exempt seeds or seedlings to plants
grown from exempt seeds or seedlings.
(4) From native species to non-native species.
(5) From high potential for invasive effects to limited potential
for invasive effects.
(6) From high volume of commercial trade to low volume of trade.
(7) From commercial shipment to non-commercial shipment.
(8) From high occurrence of illegal trade to low occurrence of
illegal
trade.
(9) From high risk of disease transmission to limited risk of
disease
transmission.
(10) From listed under Article II(1) or II(2)(a) of the Treaty to
listed under Article II(2)(b).
(h) Quotas for Appendix-I species. When an export quota has been
set by the COP for an Appendix-I species, we will consider the
scientific and management aspects used as the basis of the quota when
we make our non-detriment finding. We will contact the Scientific and
Management Authorities of the exporting country for further information
if needed.
Sec. 23.52 What factors do we consider in making a finding of
primarily commercial purposes?
(a) Purpose. Under Article III, paragraphs 3(c) and 5(c) of the
Treaty, an import permit or an introduction-from-the-sea certificate
for Appendix-I species can be issued only if the Management Authority
is satisfied that the specimen is not to be used for primarily
commercial purposes.
(b) General principles. We will follow these general principles in
making a decision on whether a proposed activity is for primarily
commercial purposes:
(1) Trade in Appendix-I species must be subject to particularly
strict regulation and authorized only in exceptional circumstances.
(2) The definition of ``commercial'' in Sec. 23.5 applies.
(3) We will look at all aspects of the intended use of the import
or introduction from the sea. If the non-commercial aspects do not
clearly predominate, we will consider the import or introduction to be
primarily commercial.
(4) The burden of proof for showing that the intended use is
clearly non-commercial is on you, the applicant.
(5) While the nature of the transaction between the owner in the
country of export and the recipient in the country of import or
introduction may be commercial, it is the intended use of the specimen
that must not be for primarily commercial purposes.
(6) All net profits generated in the United States must be used for
the conservation of the Appendix-I species in a range country.
(7) Net profit includes all funds or other valuable considerations
(including enhanced value of common stock shares) received or attained
by you or those affiliated with you as a result of the import or
introduction, to the extent that such funds or other valuable
considerations exceed the reasonable expenses that are properly
attributable to the proposed activity.
(c) Examples. The following are examples of categories of
transactions in which the non-commercial aspects may predominate
depending on the facts of each situation. The discussions of each
example provide further guidance in assessing the actual degree of
commerciality on a case-by-case basis. These examples outline the
circumstances commonly encountered. They do not cover all situations
where import or introduction could be found not to be for primarily
commercial purposes.
(1) Purely private use. A specimen that is imported or introduced
purely for private use is not considered to be for primarily commercial
purposes. An example is the import of a personal sport-hunted trophy by
the person who hunted the wildlife for display in his or her own home.
(2) Scientific purposes. The import or introduction of an Appendix-
I specimen may be permitted in situations where it is being imported or
introduced by a scientist or scientific institution and the resale,
commercial exchange, or exhibit for economic benefit of the specimen is
not the primary intended use.
(3) Conservation, education, or training. Generally an Appendix-I
specimen may be imported or introduced by government agencies or non-
profit institutions for purposes of conservation, education, or
training. For example, a specimen could be imported or introduced
primarily to train customs staff in effective CITES control.
(4) Biomedical industry. Import or introduction of an Appendix-I
specimen by an institution or company in the biomedical industry is
initially presumed to be commercial since specimens are typically
imported or introduced to develop and sell products that promote public
health for profit. However, if the importer clearly shows that the sale
of products is only incidental to public health research and not for
the primary purpose of economic benefit or profit, then such an import
or introduction could be considered as scientific research under
paragraph (c)(2) of this section if the principles of paragraph (b) of
this section are met.
(5) Captive-breeding programs. As a general rule, import or
introduction of an Appendix-I specimen for a captive-breeding program
must have as a priority, the long-term protection and recovery of the
species in the wild. The
[[Page 26717]]
captive-breeding program must be part of a program aimed at the
recovery of the species in the wild and be undertaken with the support
of a country within the species' native range. Any profit gained must
be used to support this recovery program. If a captive-breeding
operation plans to sell surplus specimens to help offset the costs of
its program, import or introduction would only be allowed if any profit
would be used to support the captive-breeding program to the benefit of
the Appendix-I species, not for the personal economic benefit of a
private individual or share-holder.
(6) Professional dealers. Import or introduction by a professional
dealer who states a general intention to eventually sell the specimen
to an undetermined recipient would be considered to be for primarily
commercial purposes. However, import or introduction through a
professional dealer by a qualified applicant may be acceptable if the
ultimate intended use would be for one of the purposes set out in
paragraphs (c)(2), (3), and (5) of this section and where a binding
contract, conditioned on the granting of permits, is in place.
(d) For-profit entities. Commercial organizations may be considered
for an import permit or introduction-from-the-sea certificate, but the
nature of these kinds of organizations to carry out activities in the
pursuit of gain or profit, makes it more difficult for us to find that
a proposed import or introduction is not to be used for primarily
commercial purposes.
(e) General information. As provided in paragraphs (b) and (c) of
this section, you must provide sufficient information to establish that
the intended use of the specimen is not for primarily commercial
purposes. This includes, but is not limited to:
(1) A description of your proposed activities, including any public
outreach that may increase revenue and the disposition of any
offspring.
(2) A statement of the reasons you believe your proposed activities
are
not primarily commercial.
(3) If there is any anticipated net profit, a description of any
conservation project to be funded and, if the species was or is to be
taken from the wild, how the project benefits the species in its native
range (including agreements, time frames for accomplishing tasks, and
anticipated benefits to the species).
(4) A plan to monitor any proposed conservation project, including
expenditure of funds or completion of tasks.
(5) You must also provide the additional information in paragraph
(f) of this section if you are a for-profit entity or if we request it
based on any of the following factors:
(i) The species is uncommon in captivity in the United States.
(ii) The species has high public appeal.
(iii) The proposed use of the specimen could be capable of
generating substantial revenues.
(f) Additional information. You must provide a statement from a
licensed, independent certified public accountant that your internal
accounting system is sufficient to account for and track funds
generated by the proposed activities. You must also provide one of the
following:
(1) A detailed analysis of expected revenue (both direct and
indirect) and expenses to show any anticipated net profit and how you
will track funds.
(2) A description of how your proposed activities will benefit the
Appendix-I species in its native range and how the costs of providing
that conservation benefit equal or exceed any net profit anticipated
from the proposed activities.
Sec. 23.53 What factors do we consider in making a bred-in-captivity
finding?
(a) Purpose. Article VII, paragraphs 4 and 5 of the Treaty,
provides exemptions that allow for the special treatment of wildlife
that was bred in captivity (see Secs. 23.33 and 23.38).
(b) Definitions. The definition of ``bred in captivity'' relies on
the following terms:
(1) A controlled environment means one that is actively manipulated
for the purpose of producing specimens of a particular species, that
has boundaries designed to prevent specimens, including eggs or
gametes, from entering or leaving the controlled environment, and has
general characteristics which may include artificial housing, waste
removal, provision of veterinary care, protection from predators, and
artificially supplied food.
(2) A first-generation (F1) offspring is a specimen produced in a
controlled environment from parents at least one of which was conceived
in or taken from the wild.
(3) An offspring of second generation (F2) or subsequent
generations is a specimen produced in a controlled environment from
parents that were also produced in a controlled environment.
(4) The breeding stock of an operation means the ensemble of all
the wildlife in the operation used for reproduction.
(c) Bred-in-captivity criteria. For a specimen to qualify as bred
in captivity, we must find all the following criteria are met:
(1) If reproduction is sexual, the specimen was born to parents
that either mated or transferred gametes in a controlled environment.
(2) If reproduction is asexual, the parents were in a controlled
environment when development of the offspring began.
(3) The breeding stock meets the criteria in paragraph (d) of this
section.
(d) Breeding stock. The breeding stock must meet all of the
following criteria:
(1) Was established according to the provisions of CITES and
relevant national laws.
(2) Was established in a manner not detrimental to the survival of
the species in the wild.
(3) Is maintained with only occasional introduction of wild
specimens as provided in paragraph (e) of this section.
(4) Has consistently produced offspring of second generation or
subsequent generations in a controlled environment or the captive
population of the species in the United States is managed in a way
demonstrated to be capable of reliably producing second-generation
offspring.
(e) Addition of wild specimens. A breeder may introduce a very
limited number of wild specimens (including eggs or gametes) into the
breeding stock provided all of the following conditions are met:
(1) The specimen was acquired in accordance with the provisions of
CITES and relevant national laws.
(2) The specimen was acquired in a manner not detrimental to the
survival of the species in the wild.
(3) The specimen was added either to prevent or alleviate
deleterious inbreeding, with the amount of such addition determined by
the need for new genetic material, or to dispose of confiscated animals
according to Sec. 23.70.
Sec. 23.54 What factors do we consider in making an artificially
propagated finding?
(a) Purpose. Article VII, paragraphs 4 and 5, of the Treaty
provides exemptions for the special treatment of plants that were
artificially propagated (see Secs. 23.32 and 23.39).
(b) Controlled conditions means a non-natural environment that is
intensively manipulated by human intervention for the purpose of
producing selected species or hybrids. General characteristics of
controlled conditions may include, but are not limited to, tillage,
fertilization, weed control, irrigation, or nursery operations such as
potting, bedding, or protection from weather.
(c) Artificially propagated criteria. For a plant specimen to
qualify as
[[Page 26718]]
artificially propagated, we must find all the following criteria are
met:
(1) A plant (including parts and products) must be grown from a
seed, cutting, division, callus tissue, other plant tissue, spore, or
other propagule under controlled conditions.
(2) The cultivated parental stock used for artificial propagation
must have been established according to the provisions of CITES and
relevant national laws;
(3) The cultivated parental stock must have been established in a
manner not detrimental to the survival of the species in the wild; and
(4) The cultivated parental stock must be managed so that long-term
maintenance of the cultivated stock is guaranteed.
(d) Seeds. A seed of a species listed in Appendix I or listed in
Appendix II or III with an annotation to include seeds is artificially
propagated only when the criteria in paragraph (c) of this section are
met.
(e) Grafted plant. A grafted plant is artificially propagated only
when both the rootstock and the graft have been artificially propagated
according to paragraph (c) of this section.
(f) Exempt plant material. A plant grown from:
(1) A flasked seedling or tissue culture is considered artificially
propagated, provided we have reasonable grounds to believe the specimen
did not originate from wild propagules.
(2) A plant from an exempt seed will not be considered artificially
propagated if the seed is of wild origin. If limited information is
available on the origin of the seeds, we will consider whether the
species is commonly artificially propagated and the expected level of
seed collection from the wild, in making a finding of whether the plant
qualifies as artificially propagated.
(g) Timber. Timber taken from trees grown in a monospecific
plantation is considered artificially propagated.
Sec. 23.55 What factors do we consider in making a finding of bred or
propagated for commercial purposes?
(a) General provisions. To decide whether to grant an exemption
under Article VII(4) or Article VII(5) of the Treaty, we must make a
finding on whether an Appendix-I specimen was bred or propagated for
commercial purposes.
(1) We make this decision on a case-by-case basis considering all
available information.
(2) The definition of ``commercial'' in Sec. 23.4 applies.
(3) We assess the total circumstances surrounding the intention of
the public, private, non-profit, or commercial (for-profit) entity in
carrying out the captive breeding or propagation activity.
(4) We consider the reproductive biology of the species and all
aspects of the breeding or propagation program at the facility.
(5) As necessary, we consult with experts.
(b) Required information. You, the applicant, must provide
sufficient information to establish whether you have bred or propagated
a specimen for commercial purposes. This includes, but is not limited
to:
(1) A description of the overall goals and objectives of the
breeding or propagation program.
(2) Information on the program, such as management of genetic
stock, size of breeding or propagation stock, approximate number of
specimens produced each year, maximum number of individuals that can be
maintained at the facility, how you decide stock is surplus, and how
you plan to dispose of any surplus stock.
(3) Information demonstrating the commercial or non-commercial
nature of the proposed trade. This includes the number of specimens of
the species you placed outside your facility in the last 5 years,
purpose of each transaction, any net profit gained, and anticipated
transactions in the next year.
Sec. 23.56 What factors do we consider in making a finding that an
applicant is suitably equipped to house and care for a live specimen?
(a) Purpose. Under Article III(3)(b) and (5)(b) of the Treaty, an
import permit or introduction-from-the-sea certificate for a live
specimen of an Appendix-I species can be issued only if we are
satisfied that the proposed recipient is suitably equipped to house and
care for it.
(b) General principles. We will follow these general principles in
making a decision on whether an individual or institution has
facilities that would provide proper housing to maintain the specimens
for the intended purpose, and whether persons caring for the specimen
have the expertise to provide proper care and husbandry or
horticultural practices.
(1) All individuals or institutions that would be receiving a
specimen must be identified in an application and their facilities
approved by us, including individuals or institutions that are likely
to receive a specimen within 1 year of it arriving in the country.
(2) You, the applicant, must provide sufficient information for us
to make a finding, including, but not limited to, a description of the
facility, photographs, or construction plans, and resumes of the
recipient or staff who will care for the specimen.
(3) We look at all possible uses of the specimen, including the
possibility of offspring being produced even though breeding is not the
main purpose of the import or introduction.
(4) We use the best available information on the requirements of
the species in making a decision, and will consult with other Federal
and State agencies and experts, as appropriate.
(5) The degree of scrutiny that we give an application is based on
biological and husbandry or horticultural needs of the species.
(c) Specific factors considered for wildlife. In addition to the
general provisions in paragraph (e) of this section, we consider the
following factors in evaluating suitable housing and care for wildlife:
(1) Sufficient space, both indoors and outdoors if appropriate, to
allow the wildlife to move, behave in a normal manner, and interact
with other members of its species, as necessary.
(2) Appropriate forms of environmental enrichment, such as nesting
material, perches, climbing apparatus, ground substrate, or other
species-specific materials or objects.
(3) If the wildlife is on public display, an off-exhibit area,
consisting of indoor and outdoor accommodations that can house the
wildlife on a long-term basis.
(4) A plan to house and care for any offspring and disposition of
any offspring that will not remain at the facility.
(5) Provision of water and nutritious food of a nature and in a way
that are appropriate for the species.
(6) An individual or staff that is properly trained and experienced
in providing daily care and maintenance for the species being imported
or introduced, or closely related species.
(7) Readily available veterinarian care or veterinary staff
experienced with the species or a closely related species, including
emergency care.
(d) Specific factors considered for plants. (1) Sufficient space,
appropriate lighting, and environmental conditions to ensure proper
growth and reproduction.
(2) An individual or staff with experience with the imported
species or related species with similar horticultural requirements.
(e) General factors considered for wildlife and plants. In addition
to the specific provisions in paragraph (c) or (d) of this section, we
will consider the following factors in evaluating suitable housing and
care for wildlife and plants:
(1) Adequate enclosures or holding areas to prevent escape or
unplanned
[[Page 26719]]
exchange of genetic material with specimens of the same or different
species outside the facility.
(2) Appropriate security to prevent theft of specimens and measures
taken to rectify any previous theft or security problem.
(3) A reasonable survival rate of specimens of the same species or
closely related species at the facility, including number of births or
plants propagated, mortalities for the previous 5 years, significant
injuries to wildlife or damage to plants, and occurrence of significant
disease outbreaks over the previous 5 years, and measures taken to
prevent similar moralities, injuries, damage, or diseases. Significant
injuries, damage, or disease outbreaks are those that are permanently
debilitating or reoccurring (more than twice in the previous 5 years)
or which affect behavior, breeding, educational use, or other
conservation uses of the specimen.
(4) Sufficient funding on a long-term basis to cover the cost of
maintaining the facility and the specimens imported.
(f) Incomplete facilities or insufficient staff. For applications
submitted to us before the facilities to hold the specimens are
completed or the staff is identified or properly trained:
(1) We will review all available information, including
construction plans or intended staffing, and make a finding based on
this information.
(2) We will place a condition in any positive finding that the
import cannot occur until the facility has been completed or the staff
hired and/or trained and approved by us.
Subpart E--International Trade in Certain Specimens
Sec. 23.60 How can I trade internationally in American ginseng?
(a) General provisions. Whole plants and roots (whole, sliced, and
parts, excluding manufactured parts or products, such as powders,
pills, extracts, tonics, teas, and confectionery) of American ginseng
(Panax quinquefolius), whether wild or artificially propagated, are
included in Appendix II.
(1) Wild ginseng categories include:
----------------------------------------------------------------------------------------------------------------
Wild Wild simulated Wild cultivated
----------------------------------------------------------------------------------------------------------------
Cultivation.......................... None................... Planting of seeds or Intensive. .
roots only.
----------------------------------------------------------------------------------------------------------------
Fungicide use........................ None................... None................... Extensive.
----------------------------------------------------------------------------------------------------------------
Habitat.............................. Within natural range, Within natural range, Grown in fields,
in suitable ginseng in suitable ginseng whether within the
habitat. habitat. natural range, or not.
----------------------------------------------------------------------------------------------------------------
Harvest Methods...................... Dug by hand............ Dug by hand............ Often dug by mechanical
means.
----------------------------------------------------------------------------------------------------------------
Origin............................... Naturally occurring.... Wild seeds or roots Wild seeds or roots.
planted in natural
habitat.
----------------------------------------------------------------------------------------------------------------
(2) Artificially propagated ginseng (also referred to as cultivated
ginseng) categories include:
------------------------------------------------------------------------
Cultivated
Cultivated Woodsgrown
------------------------------------------------------------------------
Cultivation................. Intensive........... When planted,
largest rocks
removed and
drainage ditches
may be dug around
beds.
------------------------------------------------------------------------
Fungicide use............... Extensive........... Extensive.
------------------------------------------------------------------------
Habitat..................... Grown in fields, Grown in woods
whether within the similar to natural
natural range or habitat, whether
not.. within the natural
range or not.
------------------------------------------------------------------------
Harvest Methods............. Often dug by Dug by hand.
mechanical means.
------------------------------------------------------------------------
Origin...................... Cultivated seeds or Cultivated seeds or
roots. roots.
------------------------------------------------------------------------
(b) Approved export. States and Tribes set up and maintain ginseng
management and harvest programs designed to monitor and protect
American ginseng from over-harvest. For States and Tribes with
management programs that provide us with the necessary information, we
make administrative findings on a State-wide or reservation-wide basis.
States and Tribes for which these administrative findings have been
made are requested to complete and submit form 3-200-61 as an annual
report to provide information on the previous year's harvest to us by
May 31 of each year. Annual reports should include at least the
following:
(1) Pounds of wild ginseng and artificially propagated ginseng
harvested.
(2) For wild ginseng, average number of roots per pound.
(3) Average age of wild-harvested plants estimated by counting bud
scars or converting dry weight to age.
(4) Trends in abundance of wild ginseng populations, preferably as
measured in field surveys.
(5) Information that the export of ginseng will not be detrimental
to the survival of the species in the wild in that State or on tribal
lands.
(6) Information on, and a copy of, any changes in ginseng laws or
regulations.
(c) New State-wide or reservation-wide export approval for wild
ginseng. States or Tribes that wish to set up a new management program
for wild ginseng to obtain export approval on a
[[Page 26720]]
State or tribal basis must provide us with sufficient information to
determine that the export of ginseng will not be detrimental to the
survival of the species in the wild in that State or on tribal lands,
and that the ginseng was legally obtained.
(d) New State-wide or reservation-wide export approval for
cultivated ginseng. States or Tribes that wish to set up a new
management program for cultivated ginseng to obtain export approval on
a State or tribal basis must be able to document the source of the
ginseng used. In addition, they should develop procedures to minimize
the risk that wild-collected plants would be claimed as cultivated.
(e) U.S. application forms. A list of approved States and Tribes
and application forms can be obtained from our website or by contacting
us. Complete and submit the applicable form to the Office of Management
Authority (see Sec. 23.7):
------------------------------------------------------------------------
Type of application for export or re-export of Ginseng Form No.
------------------------------------------------------------------------
(1) Artificially Propagated Ginseng from an Approved State 3-200-32
or Tribe (see Sec. 23.29 for export requirements).........
------------------------------------------------------------------------
(2) Wild Ginseng from an Approved State or Tribe............ 3-200-33
------------------------------------------------------------------------
(3) Wild or Artificially Propagated Ginseng NOT from an 3-200-34
Approved State or Tribe....................................
------------------------------------------------------------------------
Sec. 23.61 How can I trade internationally in furs of bobcat, river
otter, Alaska lynx, Alaska gray wolf, and Alaska brown bear?
(a) Approved export. States and Tribes set up and maintain
management programs for certain native furbearers that are included in
CITES based on Article II(2)(b) of the Treaty (see Sec. 23.85). For
States and Tribes whose programs provide us with sufficient information
to determine that the export of the specimens from that State or Tribe
will not be detrimental to the survival of the species in the wild that
the species was listed to protect, that the species does not decline to
a point that it might qualify for listing itself, and that the
specimens were legally obtained, we make administrative findings on a
State-wide or reservation-wide basis. States and Tribes for which these
administrative findings have been made are requested to complete and
submit to us by April 30 of each year form 3-200-62 as an annual report
containing information on the previous harvest season. Annual reports
can refer to information provided in previous years if there has been
no change and should include at least the following:
(1) For each furbearer species, the number of specimens taken (by
trapping as well as other methods) and the number of animals tagged (if
different).
(2) A statement based on the State's or Tribes's professional
assessment of the status of each species involved, including whether
the population is stable, increasing, or decreasing, and at what rate;
and whether the harvest will not be detrimental.
(3) A description of the types of information on which the
assessment is based; for example, an analysis of carcass demographics;
population models; analysis of past harvest levels as a function of fur
prices or trapper effort; or indices of abundance independent of
harvest information, such as scent station surveys, archer surveys,
track or scat surveys, or road kill counts.
(4) Copies of any relevant reports for any furbearer species that
the State or Tribe has prepared for the year in question as part of its
existing management program for the species.
(5) Information on, and a copy of, any changes in furbearer laws or
regulations.
(b) CITES export tags. We provide CITES export tags to States and
Tribes for which administrative findings have been made. Each fur,
including skins and pelts, to be exported must have a CITES export tag
permanently attached.
(1) The tag must be inserted through the fur and permanently locked
in place using the locking mechanism of the tag.
(2) The legend on CITES export tags include a CITES logo, an
abbreviation for the State or Indian Tribe of harvest and the species
(BCAT = bobcat, ROTR = river otter, LYNX = Alaska lynx, WOLF = Alaska
gray wolf, and GBR = Alaska brown bear), the season of taking, and a
unique serial number.
(c) U.S. application forms. A list of approved States and Tribes
and application forms can be obtained from our website or by contacting
us. Complete and submit the applicable form to the Office of Management
Authority or to the appropriate Law Enforcement office (see Sec. 23.7):
----------------------------------------------------------------------------------------------------------------
Type of application for export or re-
export of bobcat, river otter, Alaska
lynx, Alaska gray wolf, and Alaska Submit to Form No.
brown bear
----------------------------------------------------------------------------------------------------------------
(1) Export or re-export of furs from an Law Enforcement or Office 3-200-26 or 3-200-27
approved State or Tribe (you must of Management Authority.
include a list of tag numbers with
your application for export).
----------------------------------------------------------------------------------------------------------------
(2) Export of furs NOT from an approved Office of Management 3-200-27
State or Tribe (see Sec. 23.29 for Authority.
export requirements).
----------------------------------------------------------------------------------------------------------------
(3) Re-export of furs NOT from an Law Enforcement or Office 3-200-26 or 3-200-27
approved State or Tribe (see Sec. of Management Authority.
23.29 for export requirements).
----------------------------------------------------------------------------------------------------------------
(4) Export of live specimens (see Sec. Office of Management 3-200-27
23.29 for export requirements). Authority.
----------------------------------------------------------------------------------------------------------------
(5) Re-export of live specimens........ Law Enforcement or Office 3-200-26 or 3-200-27
of Management Authority.
----------------------------------------------------------------------------------------------------------------
[[Page 26721]]
(6) Export of manufactured products.... Office of Management 3-200-27
Authority.
----------------------------------------------------------------------------------------------------------------
(7) Re-export of manufactured products. Law Enforcement or Office 3-200-26 or 3-200-27
of Management Authority.
----------------------------------------------------------------------------------------------------------------
(d) Broken CITES export tags. Furs with broken tags may not be
exported.
(1) When a tag breaks and the State of harvest cannot replace it,
you may apply to us for a replacement tag before or when you apply for
an export permit. You must provide information to show that the fur was
legally acquired and give us the broken tag.
(2) If we are satisfied that the fur was legally acquired, we will
replace the broken tag with a CITES replacement tag.
(e) Finished furs and manufactured products. A finished fur or
manufactured fur product is not required to have a tag attached, but
you must surrender the tag from the fur used to make the product when
you apply for a CITES export permit.
Sec. 23.62 How can I trade internationally in crocodilians skins and
parts of skins, including American alligator skins?
(a) General. For the purposes of this section, crocodilian refers
to all species of alligator, caiman, crocodile, and gavial.
(b) Crocodilian skins. Skins includes whole or partial skins or
flanks. You may import, export, or re-export crocodilian skins,
including unmounted sport-hunted trophies, only if each skin is tagged
prior to export. The tag must be non-reusable, inserted through the
skin, and permanently locked in place using the locking mechanism of
the tag. Unless a replacement tag under paragraph (d) of this section
has been authorized, the tag must:
(1) Be self-locking, heat resistant, and inert to chemical and
mechanical processes.
(2) Be permanently stamped with the two-letter code for the country
of origin, a unique serial number, a standardized species code, and the
year of production or harvest.
(c) Parts of crocodilian skins. You may import, export, or re-
export crocodilian parts, including tails, throats, feet, backstrips,
and other parts when the following conditions are met:
(1) Parts must be packed in transparent sealed containers.
(2) The containers must be clearly marked with a parts tag or label
that includes a description of the contents, the total weight (contents
and container), and the number of the CITES document.
(d) Skins with broken, cut, or missing tags. Skins with broken,
cut, or missing tags may not be imported, exported, or re-exported.
(1) Replacement tags must meet all the requirements in paragraph
(b) of this section except they do not require the country of origin
code or the species code.
(2) In the United States, when a tag breaks and the State of
harvest cannot replace it, you may apply to us for a replacement tag
before or when you apply for an export permit. You must provide
information to show that the skin was legally acquired and give us the
broken tag. If we are satisfied that the skin was legally acquired, we
will replace the broken tag with a CITES replacement tag.
(e) Manufactured crocodilian products and meat. A manufactured
crocodilian product is not required to have a tag attached. When you
apply for an export permit for an item manufactured in the United
States, you must surrender the tags from the skins used to make the
item. The export of meat does not require a tag.
(f) Documentation requirements. CITES documents for crocodilian
skins must contain all information that is given on the tag. This
information must be included on the CITES document itself or on an
annex (see Sec. 23.20(e)(2)).
(g) Approved export for American alligator (Alligator
mississippiensis). States and Tribes set up and maintain alligator
management programs. For States and Tribe with programs that provide us
with sufficient information to determine that the export of the
alligator skins, parts, or products will not be detrimental to the
survival of the species in the wild in that State or on tribal lands,
and that the alligators were legally obtained, we are able to make
administrative findings on a State-wide or reservation-wide basis.
States and Tribes for which administrative findings have been made are
requested to complete and submit to us by May 31 of each year form 3-
200-63 as an annual report containing information on the previous
harvest season. Annual reports can refer to information provided in
previous years if it has not changed. Annual reports should include at
least the following:
(1) The number of skins from wild, ranched, and farmed alligators
tagged in the State or Tribe.
(2) A statement, based on the State's or Tribe's professional
assessment of the status of their alligator population, such as whether
the population is stable, increasing, or decreasing, and at what rate;
and whether the harvest will not be detrimental.
(3) For wild alligators, information on harvest of nuisance
alligators, whether there is a wild alligator hunt, methods used to
determine harvest levels, demographics of the harvest, and methods used
to determine the total number and population trends of alligators in
the wild.
(4) For ranched alligators, information on whether collecting and
rearing of eggs or hatchlings is allowed, what factors are used to set
the harvest level, and whether or not any alligators are returned to
the wild.
(5) For captive-bred (see Sec. 23.53) alligators, information on
the sources of the breeding stock, numbers of alligators produced
through captive breeding, and whether any captive-bred alligators are
returned to the wild.
(6) Copies of any relevant reports that the State or Tribe has
prepared for the year in question as part of its existing management
program for the American alligator.
(7) Information on, and a copy of, any changes in American
alligator laws or regulations.
(h) American alligator export tags. We provide CITES export tags to
States and Tribes for which administrative findings have been made. The
CITES export tags include a CITES logo, an abbreviation for the State
or Indian Tribe of harvest and the species (MIS = Alligator
mississippiensis), the season of taking, and a unique serial number.
(i) U.S. application forms. A list of approved States and Tribes
and application forms can be obtained from our website or by contacting
us. Complete and submit the applicable form to the Office of Management
Authority or to the appropriate Law Enforcement office (see Sec. 23.7):
[[Page 26722]]
----------------------------------------------------------------------------------------------------------------
Type of application for export or re-
export of crocodilians, including Submit to: Form no.
american alligator
----------------------------------------------------------------------------------------------------------------
(1) Export or re-export of American Law Enforcement or Office 3-200-26 or 3-200-27
alligator skins, parts, or products of Management Authority.
from an approved State or Tribe:.
(i) For export or re-export of skins,
you must include all of the
information on the CITES tags
(species, year of take, and unique
serial number)..
(ii) For export of parts or products,
you must include Authority the
information on the CITES tags that
were on the skins from which the parts
or products originated.
----------------------------------------------------------------------------------------------------------------
(2) Export of American alligator skins, Office of Management 3-200-27
parts, or products NOT from an Authority.
approved State or Tribe (see Sec.
23.29 for export requirements).
----------------------------------------------------------------------------------------------------------------
(3) Re-export of American alligator Law Enforcement or Office 3-200-26 or 3-200-27
skins, parts, or products NOT from an of Management Authority.
approved State or Tribe.
----------------------------------------------------------------------------------------------------------------
(4) Export of live specimens of Office of Management 3-200-27
American alligator and other Authority.
crocodilians (see Sec. 23.29 for
export requirements).
----------------------------------------------------------------------------------------------------------------
(5) Re-export of live specimens of Law Enforcement or Office 3-200-27
American alligator and other of Management Authority.
crocodilians.
----------------------------------------------------------------------------------------------------------------
(6) Export of other crocodilian skins, Office of Management 3-200-27
parts, or products. Authority.
----------------------------------------------------------------------------------------------------------------
(7) Re-export of other crocodilian Law Enforcement or Office 3-200-26 or 3-200-27
skins, parts, or products. of Management Authority.
----------------------------------------------------------------------------------------------------------------
Sec. 23.63 How can I trade internationally in sturgeon caviar?
(a) Pre-Convention. Sturgeon caviar may not be imported, exported,
or re-exported under a pre-Convention certificate.
(b) General provision. Except as provided for personal effects in
Sec. 23.12(f) and for on-board passenger consumption in paragraph (c)
of this section, the import, export, or re-export of Appendix-II
sturgeon (Order Acipenseriformes and not listed under the ESA) caviar
requires valid CITES documents (see Sec. 23.29 for export permits and
re-export certificates).
(c) On-board passenger consumption. An airplane or cruise ship may
export or re-export sturgeon caviar from the United States without a
CITES document if the following conditions are met:
(1) The caviar is legally acquired and only for passenger
consumption during each specific flight or cruise.
(2) The quantity of caviar placed on board for each specific flight
or cruise cannot exceed 250 grams per passenger intended to be served
caviar (such as first class passengers), and must be consumed or
disposed of before arrival in another country.
Sec. 23.64 How can I trade internationally in timber?
(a) General provisions: Trade in timber species listed in Appendix
II or III and annotated to include only logs, sawn wood, and veneer
sheets must follow the CITES requirements of this part, except as
provided in paragraphs (b) and (c) of this section.
(b) Change in destination. A Management Authority may change the
name and address of the importer (consignee) indicated on the CITES
document after the shipment has left the exporting or re-exporting
country under the following conditions:
(1) The quantity imported is the same as the quantity certified by
a stamp or seal and signature of the Management Authority on the CITES
document at the time of export or re-export.
(2) The number of the bill of lading of the shipment is on the
CITES document, and the bill of lading is presented at the time of
import.
(3) The import takes place before the CITES document expires, and
the period of validity has not been extended.
(4) The Management Authority includes the following statement in
block 5 of the CITES document: ``Import into the [country] permitted in
accordance with Resolution Conf. 10.2 (section VII.) on [date].'' The
modification is certified with an official stamp and signature.
(5) The Management Authority sends a copy of the amended CITES
document to the country of export or re-export and the Secretariat.
(c) Extension of CITES document validity. A Management Authority
may extend the validity of an export permit or re-export certificate
beyond the normal maximum of 6 months after the date of issue under the
following conditions:
(1) The shipment has arrived in the port of final destination
before the CITES document expires, is being held in customs bond, and
is not considered imported.
(2) The time extension does not exceed 6 months from the date of
expiration of the CITES document and no previous extension has been
granted.
(3) The Management Authority has included in block 5 of the CITES
document the date of arrival and the new date of expiration on the
document, certifying the modification with an official stamp and
signature.
(4) The shipment is imported into the country from the port where
the Management Authority granted the extension and before the amended
CITES document expires.
(5) The Management Authority sends a copy of the amended CITES
document to the country of export or re-export and to the Secretariat.
Sec. 23.65 How can I trade internationally in personal sport-hunted
trophies?
(a) General provisions. Except as provided for personal and
household effects in Sec. 23.12, the import, export, or
[[Page 26723]]
re-export of personal sport-hunted trophies requires valid CITES
documents.
(b) Definition. Your trophy must meet the definition of ``sport-
hunted trophy'' in Sec. 23.5.
(c) Use after import. You may use your sport-hunted trophy for the
following purpose after import:
------------------------------------------------------------------------
If the species is listed in Allowed use once imported is:
------------------------------------------------------------------------
(1) Appendix I......................... Only personal; may not be used
or transferred for a
commercial purpose.
------------------------------------------------------------------------
(2) Appendix II with a species' Only personal; may not be used
annotation for sport-hunted trophies or transferred for a
where other specimens of that species commercial purpose.
are treated as included in Appendix I.
------------------------------------------------------------------------
(3) Appendix II (other than paragraph Any purpose.
(c)(2) of this section) or Appendix
III.
------------------------------------------------------------------------
(d) Leopard (Panthera pardus) conditions. In addition to the
conditions in Sec. 23.45, you must meet all of the following
conditions:
(1) You may import no more than two trophies in any calendar year.
(2) Each raw or tanned skin imported or re-exported must have a
self-locking tag attached which indicates the county of export, the
number of the specimen in relation to the annual quota, and the
calendar year in which the specimen was taken in the wild.
(3) The export permit or re-export certificate must contain the
information from the tag.
Subpart F--Disposal of Confiscated Live Wildlife and Plants
Sec. 23.70 How do we dispose of confiscated live wildlife and plants?
(a) Purpose. Article VIII of the Treaty requires that Parties
confiscate specimens that are traded in violation of CITES or return
them to the country of export.
(b) Consultation process. Before making a decision on the disposal
of confiscated specimens, the Management Authority may consult with the
Scientific Authority, the Management Authority in the country of
export, and other relevant governmental and non-governmental experts.
(c) Disposal options. 50 CFR part 12 provides the options on how we
dispose of forfeited and abandoned wildlife and plants. These include
maintenance in captivity either in the United States or in the country
of export, return to the wild under limited circumstances, sale of
certain Appendix-II or -III specimens, euthanasia, or destruction.
(d) Action plans. CITES Parties are urged to develop action plans
for the disposal of confiscated specimens.
(1) We use a plant rescue center program for confiscated plants.
Participants in this program may also assist APHIS in holding seized
specimens as evidence pending any legal decisions.
(2) We dispose of confiscated live wildlife on a case-by-case basis
at the time of seizure and consider the quantity, protection level, and
husbandry needs of the wildlife.
Sec. 23.71 How may I participate in the Plant Rescue Center Program?
(a) Purpose. We have established the Plant Rescue Center Program to
dispose of confiscated live plants as quickly as possible to prevent
damage to or loss of the plants.
(b) Criteria. Institutions interested in participating in this
program must:
(1) Be a public institution (see 50 CFR 10.12), such as a public,
non-profit botanical garden, arboretum, zoological park, or research
institution.
(2) Be willing to transfer confiscated plants from the port where
they were confiscated to their facilities at their own expense.
(3) Accept and maintain a plant shipment as a unit for a minimum of
30 days in the event the country of export or re-export requests return
of the shipment.
(c) Application. Institutions wishing to participate must complete
and submit application Form 3-200-60 to the Office of Management
Authority (see Sec. 23.7).
Subpart G--CITES Administration
Sec. 23.75 What are the roles of the Secretariat and the committees?
(a) Secretariat. The Secretariat is headed by the Secretary General
and implements the policies of the COP and the Standing Committee. The
functions of the Secretariat are listed in Article XII of the Treaty
and include, in part:
(1) Providing Parties with trade information and technical support.
(2) Acting as a liaison among Parties.
(3) Contracting scientific and technical studies.
(4) Informing governments and the public about CITES wildlife and
plant trade developments.
(5) Investigating possible CITES violations and threats to wildlife
and plants due to trade.
(6) Organizing meetings of the COP.
(7) Providing coordination and consultation on proposed amendments
to Appendix I or II, notifying the Parties of Appendix-III listings,
and periodically publishing current lists of species included in the
appendices.
(8) Preparing annual reports to the Parties.
(9) Carrying out tasks directed by the COP or technical committees.
(10) Making recommendations for effective implementation of CITES.
(b) Committees. The Parties have established five committees to
provide administrative and technical support to the Parties and to the
Secretariat. The COP may charge any of these committees with tasks.
(1) The Standing Committee steers the work and performance of the
Convention between COP's. This Committee oversees development and
execution of the Secretariat's budget, coordinates and advises other
committees, appoints working groups, and carries out activities on
behalf of the Parties between COP's. Regional representatives are
elected by the COP as members of this Committee.
(2) The Animals Committee and the Plants Committee compile and
evaluate data on Appendix-II species that are considered significantly
affected by trade; periodically review the status of wildlife and plant
species included in the appendices; advise range countries on
management techniques when requested; draft resolutions on wildlife and
plant matters for consideration by the Parties; assist the Nomenclature
and Identification Manual Committees on issues concerning wildlife and
plant species; and report to the COP and the Standing Committee. The
Animals Committee also deals with the transport of live animals.
(3) The Identification Manual Committee provides guidance and
[[Page 26724]]
coordination in the preparation of identification manuals for wildlife
and plant species to assist Parties in the accurate identification of
specimens listed in the CITES appendices.
(4) The Nomenclature Committee is responsible for developing or
identifying standard nomenclature references for wildlife and plants
and making recommendations on nomenclature to the COP, other
Committees, working groups, and the Secretariat.
Sec. 23.76 What is a Conference of the Parties (COP)?
(a) Purpose. Article XI of the Treaty provides general guidelines
for meetings of the Parties. The Parties currently meet for 2 weeks
every 2 to 3 years. At these meetings, the Parties consider amendments
to the appendices and resolutions to improve implementation of CITES.
The Parties adopt amendments to the lists of species in Appendix I and
II and resolutions by a two-thirds majority of Parties present and
voting. The Secretariat or any Party may also submit reports on
wildlife and plant trade for consideration.
(b) COP locations and dates. At a COP, Parties interested in
hosting the next meeting notify the Secretariat. The Parties vote to
select the location of the next COP. Once a country has been chosen,
that country works with the Secretariat to set the date. The Parties
are then notified of the date for the next COP.
(c) Attendance at a COP. All Parties may participate and vote at a
COP. Non-Party countries may participate, but may not vote.
Organizations technically qualified in protection, conservation, or
management of wildlife or plants may participate in a COP as observers
if they are approved, but they are not eligible to vote.
(1) International organizations should apply to the CITES
Secretariat for approval of observer status.
(2) National organizations must apply to the Management Authority
of the country where they are located for approval of observer status.
Sec. 23.77 How can I obtain information on a COP?
(a) As we receive information on an upcoming COP from the CITES
Secretariat, we will publish notices in the Federal Register. The
notices will provide:
(1) A summary of the information we have received with an
invitation for the public to comment and provide information on the
agenda, proposed amendments to the appendices, and proposed
resolutions.
(2) Information on times, dates, and locations of public meetings.
(b) We will post information concerning upcoming COP's on our
website.
Sec. 23.78 How does the United States develop negotiating positions
for a COP?
(a) In developing negotiating positions for a COP, we:
(1) Consult with appropriate Federal and State agencies, foreign
governmental agencies, and others.
(2) Review the comments received in response to Federal Register
notices concerning proposals related to an upcoming COP.
(3) Publish a notice that includes a summary of the information and
comments that we received, a summary of our proposed negotiating
positions, and the reasons for those proposed positions.
(4) Request public input and comments on the proposed positions.
(5) Schedule at least one public meeting.
(6) Submit all draft resolutions and other documents to the
Secretariat at least 150 days before the COP.
(7) Submit proposals for amendment of the appendices, if all range
countries have been consulted, 150 days before the meeting. If the
range countries are not consulted, the proposal must be submitted 330
days before the COP.
(8) Provide the public with our final negotiating positions.
(b) The Director may publish a notice in the Federal Register that
modifies or suspends any of these procedures if following the
procedures would interfere with the timely or appropriate development
of negotiating positions.
(c) We may receive additional information at a COP or circumstances
may develop that have an impact on our published negotiating positions.
As a result, the United States representatives to a COP may find it
necessary to modify, reverse, or abandon any of those positions where
to do so would be in the best interests of the United States.
Subpart H--Lists of Species
Sec. 23.85 What are the criteria for listing species in Appendix I or
II?
(a) Purpose. Article XV of the Treaty sets out the procedures for
amending CITES Appendices I and II. A species must meet appropriate
biological and trade criteria to be listed.
(b) Listing a species in Appendix I. Any species that meets at
least one biological criterion specified in the CITES listing criteria
resolution and is known to be in trade, is probably in trade, has a
potential international demand, or might enter trade if not subject to
strict controls should be included in Appendix I.
(1) When determining whether a species qualifies for inclusion in
Appendix I, we will utilize the best available scientific and
biological information, and evaluate that information against the
criteria adopted by the Parties.
(2) Those criteria include factors pertaining to: the size of the
wild population; ongoing, past, or potential population or distribution
declines; population fragmentation; habitat availability or quality;
area of distribution, range fragmentation; species-specific
vulnerabilities due to biology, behavior, or other factors, including
migration; patterns of exploitation; threats from factors such as the
effects of pathogens, competitors, parasites, predators, hybridization,
introduced species and the effects of toxins and pollutants; or
decreases in reproductive potential.
(c) Listing a species in Appendix II due to potential threats. Any
species that meets either of the criteria identified in the CITES
listing criteria resolution for Appendix II qualifies for inclusion in
Appendix II. Those criteria are:
(1) It is known or expected that unless trade in the species is
subject to strict regulation, it will meet at least one of the criteria
for inclusion in Appendix I in the near future.
(2) It is known or expected that the harvesting of specimens from
the wild for international trade has or will have a detrimental impact
on the species by either exceeding the level that can be sustainably
harvested or reducing it to a population size where its survival would
be threatened by other influences.
(d) Listing a species in Appendix II due to similarity of
appearance. Any species that meets either of the criteria identified in
the CITES listing criteria resolution for Appendix II due to similarity
of appearance and related factors qualifies for inclusion in Appendix
II. Those criteria are:
(1) The specimen resembles specimens of a species included in
Appendix II due to criteria in paragraph (c) of this section or in
Appendix I, such that a non-expert, with reasonable effort, is unlikely
to be able to distinguish between them.
(2) The species is a member of a taxon of which most of the species
are included in Appendix II due to criteria in paragraph (c) of this
section or in Appendix I, and the unlisted species should be listed to
bring trade in listed ones under effective control.
[[Page 26725]]
(e) Other issues. The Parties have addressed other issues
pertaining to listing of species in the CITES appendices. We will
evaluate any potential changes to the appendices taking those other
issues (as specified in the CITES listing criteria resolution) into
consideration, including but not limited to: split-listing, listing of
higher taxa, specific plant-related listing issues, use of subspecies,
and the listing of hybrids.
(f) Precautionary measures. When considering changes to the CITES
appendices, in the case of uncertainty in regard to the status of a
species or the impact of trade on the conservation of a species, we
will act in the best interest of the conservation of the species. We
will evaluate any potential transfers from Appendix I to II or removal
of species from the appendices in the context of the precautionary
measures in the CITES listing criteria resolution.
(g) Proposal. If it is felt that a species qualifies for inclusion
or removal from the CITES appendices, a proposal must be submitted to
the Secretariat for consideration by the COP. The proposal should
indicate the intent of the specific action (such as inclusion in
Appendix I or II, or transfer from Appendix I to II) and the criteria
against which the proposal is to be judged. The proposal must be in a
prescribed format with all of the components addressed in the CITES
listing criteria resolution. Contact the Office of Scientific Authority
(see Sec. 23.7) for either a copy of the format or the resolution which
includes the prescribed format. Any proposal submitted by the United
States will conform with the proposal format in the CITES listing
criteria resolution.
Sec. 23.86 What are the criteria for listing species in Appendix III?
(a) Purpose. Article XVI of the Treaty sets out the procedures for
amending Appendix III.
(b) General procedure. A Party may unilaterally, at any time,
submit a species to be included in Appendix III to the CITES
Secretariat. The Secretariat will notify the Parties.
(c) Criteria for listing. For a Party to list a species in Appendix
III, all of the following criteria must be met:
(1) The species must be native to the country listing the species.
(2) The species must be protected under that country's regulations
to prevent or restrict exploitation and control trade, and the
regulations are being implemented.
(3) The species is in international trade and there are indications
that
the cooperation of other Parties would help to control illegal
trade.
(4) The listing Party must inform the Management Authorities of
other range countries, the known major importing countries, the
Secretariat and the Animals Committee or the Plants Committee that it
is considering the listing and seek their opinion on the potential
effects of the listing.
(d) Annotation. The listing Party may annotate the Appendix-III
listing to include only specific parts, products, derivatives or life
stages, as long as the Secretariat is notified of the annotation.
(e) U.S. procedure. The procedure to list a species native to the
United States in Appendix III is as follows:
(1) We will consult with and solicit comments from all States where
the species occurs and all other range countries.
(2) We will publish a proposed listing in the Federal Register to
solicit comments from the public.
(3) If after evaluating the comments and available information we
determine the species should be included in Appendix III, we will
notify the Secretariat of the listing and publish a notice in the
Federal Register.
(4) The listing will become effective 90 days after the Secretariat
notifies the Parties of our request.
(f) Removing a species from Appendix III. We will monitor the
international trade in Appendix-III species listed by us and
periodically evaluate whether the species continues to meet the listing
criteria in paragraph (b) of this section. We will remove a species
from Appendix III provided all of the following criteria are met:
(1) International trade in the species is very limited (fewer than
5 shipments per year or fewer than 100 individual animals or plants).
(2) Legal and illegal trade in the species, including international
trade or interstate commerce, is determined not to be a concern.
(g) Transferring a species from Appendix III to Appendix I or II.
If, after monitoring the trade and evaluating the status of an Appendix
III species we listed, we determine that the species meets the criteria
in Sec. 23.85(b), (c), or (d) for listing in Appendix I or II, we will
consider whether to submit a proposal to amend the listing at the next
COP.
Sec. 23.87 How do I find out if a species is listed?
(a) CITES list. The official CITES list includes species of
wildlife and plants placed in Appendix-I, -II, and -III in accordance
with the provisions of Articles XV and XVI of the Treaty. This list is
maintained by the CITES Secretariat based on decisions of the Parties.
You may access the official list from the CITES website
(www.cites.org).
(b) Unofficial list. For your convenience, we maintain an
unofficial list in an easy-to-use format that is available from our
website or as a printed publication (see Sec. 23.7).
Sec. 23.88 Are any wildlife or plants, and their parts or products,
exempt?
All living or dead wildlife and plants in Appendix I, II, and III
and all their readily recognizable parts and products must meet the
requirements of CITES and this part, except:
(a) Parts and products of Appendix-III wildlife or Appendix-II or -
III plants that are specifically included by annotation.
(b) An Appendix-II or -III plant hybrid may be excluded from CITES
controls by an annotation in the CITES list.
(c) The following plant materials are exempt:
------------------------------------------------------------------------
Plant listing Exempt parts or products
------------------------------------------------------------------------
(1) Appendix-II and -III plants 1. (i) Flasked seedlings or tissue
culture.
(ii) Spores and pollen (including
pollinia).
(iii)Seeds (other than Mexican
Cactaceae originating from Mexico).
(iv) Cut flowers of artificially
propagated plants.
------------------------------------------------------------------------
(2) In addition, for Appendix-II From artificially propagated or
Cactaceae species 1. naturalized plants:
(i) Separate stem joints (pads) and
their parts and products of the
genus Opuntia subgenus Opuntia.
(ii) Fruits and their parts and
products.
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[[Page 26726]]
(3) In addition, for Appendix-II Fruits and their parts and products
Orchidaceae species 1. for artificially propagated plants
of Vanilla species.
------------------------------------------------------------------------
(4) For Appendix-I Orchidaceae Flasked seedlings or tissue culture.
species.
------------------------------------------------------------------------
1 An artificially propagated hybrid of one or more unannotated Appendix-
I species is treated as if listed in Appendix-II if no individual
plant in its lineage is an annotated Appendix-I species.
Dated: November 30, 1999.
Donald J. Barry,
Assistant Secretary, Fish and Wildlife and Parks, Department of the
Interior.
[FR Doc. 00-9980 Filed 5-5-00; 8:45 am]
BILLING CODE 4310-55-P