[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

[[Page 26674]]

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

[[Page 26677]]

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.
------------------------------------------------------------------------

[[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