[Federal Register Volume 71, Number 75 (Wednesday, April 19, 2006)]
[Proposed Rules]
[Pages 20168-20260]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-3444]



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Part II





Department of the Interior





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Fish and Wildlife Service



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50 CFR Part 10 et al.



Revision of Regulations for the Convention on International Trade in 
Endangered Species of Wild Fauna and Flora (CITES); Proposed Rule

  Federal Register / Vol. 71, No. 75 / Wednesday, April 19, 2006 / 
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; reproposal.

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SUMMARY: We, the Fish and Wildlife Service, 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. The United 
States was one of the original signatories to CITES, which has been in 
effect since July 1, 1975. CITES uses a system of permits and 
certificates to help ensure that international 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 a number of meetings where resolutions have 
been adopted. The Parties adopt resolutions as a means of standardizing 
interpretation and implementation of the provisions of the Treaty. On 
May 8, 2000, we proposed a revision of the regulations to incorporate 
applicable resolutions, as appropriate, adopted through the tenth 
meeting of the Conference of the Parties to CITES (CoP10). This new 
proposal includes consideration of the comments received in response to 
the 2000 proposal and incorporates appropriate resolutions adopted at 
CoP11 through CoP13. Revised regulations will help us more effectively 
promote species conservation, continue to fulfill our responsibilities 
under the Treaty, and help those affected by CITES to understand how to 
conduct lawful international trade in CITES species.

DATES: In preparing the final decision on this proposed rule, we will 
consider all comments received by June 19, 2006.
    Comments on the information collection aspects of this proposed 
rule will be considered if received by June 19, 2006. The Office of 
Management and Budget (OMB) has up to 60 days to approve or disapprove 
information collection, but may respond after 30 days. Therefore, to 
ensure maximum consideration, your comments should be received by OMB 
by May 19, 2006.

ADDRESSES: You may send comments, identified by RIN 1018-AD87, by one 
of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected].
     Fax: (703) 358-2280.
     Mail or hand delivery: Dr. Peter Thomas, Chief, Division 
of Management Authority, U.S. Fish and Wildlife Service, 4401 N. 
Fairfax Drive, Room 700, Arlington, Virginia 22203.
    See Public Comments Solicited at the end of SUPPLEMENTARY 
INFORMATION for further information about submitting comments. All 
comments 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.
    Comments specific to the information collection aspects of this 
proposed rule should be submitted to the Desk Officer for the 
Department of the Interior at OMB-OIRA via facsimile or e-mail using 
the following fax number or e-mail address: (202) 395-6566 (fax); 
[email protected] (e-mail). Please provide a copy of your 
comments to the U.S. Fish and Wildlife Service's Information Collection 
Officer, 4401 N. Fairfax Drive, MS 222 ARLSQ, Arlington, Virginia 
22203; (703) 358-2269 (fax); or [email protected] (e-mail).

FOR FURTHER INFORMATION CONTACT: Dr. Peter Thomas, at the above address 
(telephone, (703) 358-2093; fax, (703) 358-2280).

SUPPLEMENTARY INFORMATION:

What Acronyms and Abbreviations Are Used in This Rule?

AECA African Elephant Conservation Act
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
CBP Department of Homeland Security, U.S. Customs and Border 
Protection
CFR Code of Federal Regulations
CoP CITES Conference of the Parties or meeting of the Conference of 
the Parties
ESA Endangered Species Act
FOIA Freedom of Information Act
FWS U.S. Fish and Wildlife Service
IATA LAR International Air Transport Association Live Animals 
Regulations
ISO International Organization for Standardization
WBCA Wild Bird Conservation 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 entered into force on July 1, 
1975, after the required 10 countries had ratified it. Section 8A of 
the ESA, as amended in 1982, designates the Secretary of the Interior 
as the U.S. Management Authority and U.S. Scientific Authority for 
CITES. These authorities have been delegated to the FWS. 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 and decisions that 
interpret and implement the text of the Treaty and on amendments to the 
listing of species in the CITES Appendices. Currently 169 countries 
have ratified, accepted, approved, or acceded to CITES; these countries 
are known as Parties.
    Previous proposed rule and comments received: We published a 
proposed rule on May 8, 2000 (65 FR 26664) (2000 proposal), to 
incorporate changes from CoP2 through CoP10. The 2000 proposal was 
never finalized, and we are here proposing a new rule, which includes 
consideration of the 206 comments we received on the 2000 proposal. A 
little over half of the comments were general comments. Most of these 
were submitted by orchid hobbyists, commercial orchid growers, or 
taxidermists. We also received 88 letters with specific comments from 
42 individuals, 35 organizations, and 11 governmental agencies. We 
reviewed all of the comments on the 2000 proposal and addressed them 
where appropriate in this current proposed rule. We received 
conflicting recommendations, and not all comments were incorporated 
into this new proposal.
    Current proposed rule: We propose to revise the current regulations 
contained in 50 CFR part 23 to incorporate, as appropriate, applicable 
resolutions adopted at CoP2 through CoP13 which continue to remain in 
effect. In this proposed rule, we retained most of the general 
information in the current 50 CFR part 23. We are reproposing the 
regulations to include certain resolutions adopted at CoP11 through 
CoP13, and to incorporate changes that resulted from public comment on 
the 2000 proposal. We retained the organizational structure set out in 
the 2000 proposal in this new proposed rule.
    Resolution consolidation and incorporation: Since 1976, the Parties 
have adopted 256 resolutions or revisions to resolutions. In 1994, the 
Parties began an effort to consolidate some of these resolutions. Some 
resolutions were no longer relevant, and

[[Page 20169]]

others needed to be combined because several resolutions were adopted 
at different CoPs on the same or similar subjects. As a result of this 
process, there are currently 79 resolutions in effect. This proposed 
rule incorporates certain of these consolidated resolutions, as 
appropriate and relevant to U.S. implementation of the Treaty. We cite 
the current numbers of resolutions since previous resolutions have been 
renumbered. This allows the reader to easily access the documents 
currently in effect on the CITES Web site (http://www.cites.org).
    One commenter thought we said in the 2000 proposal that we were 
incorporating the provisions of treaties other than CITES, such as the 
Convention on Biological Diversity, and questioned the legal basis for 
such inclusion. To clarify, these regulations are based on CITES and do 
not implement other treaties, including the Convention on Biological 
Diversity. Two commenters asked us to develop a plan to regularly 
review and update the regulations after each CoP. We plan to evaluate 
newly adopted decisions and resolutions after each CoP and will update 
the regulations when appropriate and necessary.
    Stricter national measures: 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. 11.3 (Rev. CoP13) 
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.'' The United States has adopted stricter national 
measures, such as the ESA, Marine Mammal Protection Act, and Lacey Act.
    One commenter pointed out that the adoption of a resolution 
endorsing stricter national measures does not in itself confer 
authority on a Party to undertake regulatory actions that are not 
otherwise provided for by national law. We acknowledge that it is the 
adoption of the stricter national measures by legislative or executive 
action that provides the legal basis for a country to take an action.
    The same commenter considered this provision one of the major 
problems with CITES: Because each Party adopts its own set of 
requirements regarding imports and exports, the result is conflicting 
CITES requirements among Parties. The commenter also thought the 
imposition of more restrictive import requirements may be considered an 
intrusion on an exporting country's sovereignty. As outlined in the 
preamble to CITES, ``peoples and States are and should be the best 
protectors of their own wild fauna and flora.'' CITES recognizes the 
sovereign right of a country to regulate trade by passing stricter 
national measures to help in the conservation of species. Under CITES, 
an exporting country does not have a sovereign right to override an 
importing country's laws. When a Party sends information to the 
Secretariat on how its stricter national measures will affect trade in 
CITES species, the Secretariat provides that information to other 
Parties through a notification. These notifications are available to 
the public on the CITES Web site.
    Plain language: We revised the text of the previous regulations 
using plain language to make the regulations clearer and easier to use. 
One commenter considered them to be written at too high a reading 
level, and thought we should have several members of the general public 
read the regulations for clarity. Several commenters, however, found 
the overall approach to be user friendly and easy to understand, and 
thought the use of charts and tables was helpful. We believe the 
regulations use an appropriate level of language to lay out the 
technical requirements of a multilateral treaty.

Section-by-Section Analysis

    The following parts of the preamble explain the proposed rule and 
present a discussion of the substantive issues of each section and 
responses to public comments on the 2000 proposal.

What Are the Proposed Changes to 50 CFR Parts 10, 13, and 17?

    Definitions (section 10.12): We propose to revise the definition of 
the ``United States'' to reflect changes in areas under U.S. 
jurisdiction.
    General permit procedures (section 13.1): We propose to revise 
section 13.1 to reflect that, under very limited circumstances, permits 
for certain CITES shipments may be issued after the activity has 
occurred (see proposed section 23.53 on retrospective documents).
    Application procedures (section 13.11): We propose to amend the 
paragraphs on permit processing fees (section 13.11(d)(1) and (4)) to 
clarify that the fee must be paid in U.S. dollars and to include 
requests to participate in the Plant Rescue Center Program and requests 
for approval of a CITES export program for American ginseng, certain 
furbearers, or American alligator by a State or Tribe as described in 
the proposed revision to 50 CFR part 23. We also propose to add 
Introduction from the Sea and Registration of Appendix-I Commercial 
Breeding Operations which were inadvertently left out of the fee 
schedule for all FWS permits published on April 11, 2005 (70 FR 18311). 
The proposed processing fees are to help defray the cost of 
administering the permit program. We based the fees on a number of 
factors, including the complexity of processing the permit type, 
whether the permittee stands to benefit commercially from the permit, 
and whether the permitted activity serves the public interest.
    As noted in our final rule on FWS permit fees, we will not charge a 
fee to any Federal, tribal, State, or local government agency. 
Therefore, we propose not to charge a fee to a State or Tribe seeking 
to gain approval of a CITES export program. We also propose not to 
charge a fee to add an institution to the Plant Rescue Center Program 
because this is a voluntary program designed to place live plant 
specimens that have been confiscated upon import or export, and thereby 
helps the U.S. fulfill its CITES implementing responsibilities.
    U.S. address for permit applicants (section 13.12): We propose to 
revise this section to require an applicant to provide an address 
within the United States when applying for a permit. In a number of 
situations, a business or an individual in a foreign country has 
requested a CITES document from us for a shipment the entity owned, but 
that is being shipped out of the United States. We cannot issue the 
CITES document showing the exporter's foreign address for items that 
are leaving the United States.
    For commercial activities conducted by applicants that reside or 
are located outside of the United States, the name and address of the 
commercial entity's agent in the United States must be included. One 
commenter questioned whether the agent must formally agree to accept 
service for the foreign entity. We note that an applicant may select 
any agent as long as the agent is authorized to receive service. 
Another commenter suggested that we define what constitutes 
``conducting commercial activities'' to clarify whether the import of a 
personal sport-hunted trophy would be considered conducting a 
commercial activity. We do not believe it is necessary to define 
``conducting commercial activities'' because we have defined 
``commercial.'' We consider any transaction involving a seller and a 
buyer, or any retail or wholesale transaction that provides a valuable 
consideration in exchange for

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the transfer of a wildlife or plant specimen as conducting a commercial 
activity. However, a hunter who exports his or her personal sport-
hunted trophy would not be involved in a commercial activity that would 
require an agent under this section.
    Two commenters questioned what U.S. address should be used for an 
individual staying at a hotel or for tourists visiting the United 
States. For these individuals, we would accept a U.S. address where the 
individual is temporarily residing, including a hotel. Another 
commenter was concerned that foreign individuals may not have a social 
security number and another that some applicants do not have fax or e-
mail information. We clarify that this information is only required if 
available.
    Continuation of permitted activity during renewal (section 
13.22(c)): We propose to revise this paragraph that sets out the 
general permit procedures that allow continuation of the permitted 
activity after application for renewal. One commenter suggested all 
businesses should be required to renew permits before they expire. The 
regulations in 50 CFR part 13 follow the Administrative Procedure Act 
(5 U.S.C. 558(c)). When a permittee has made timely and sufficient 
application for renewal of a permit for an activity of a continuing 
nature, the permit does not expire until the agency has made a final 
determination on the application.
    CITES documents do not cover an activity of a continuing nature and 
are considered void upon expiration. Therefore, we propose to revise 
this section to clarify that a permittee may not use a CITES document 
once it has expired. For other permits of a continuing nature, however, 
we propose to retain the process that allows the permittee to conduct 
permitted activities during renewal if the conditions outlined in 50 
CFR part 13 are met.
    Another commenter suggested that the FWS include a 60-day time 
limit to respond to an applicant. We refer the commenter to the current 
regulations that already provide a general expectation of processing 
times in section 13.11(c). We process applications as quickly as 
possible taking into account the number and complexity of applications 
received and our resources.
    Maintenance of records (section 13.46): 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 section 13.46 to require permittees who reside or 
are located in the United States and permittees who reside or are 
located outside the United States and are conducting commercial 
activities within the United States to maintain records in this 
country.
    Import exemption for threatened, Appendix-II wildlife (section 
17.8): We propose to add this new section to 50 CFR part 17. The ESA in 
Section 9(c)(2) sets out an exemption to the import prohibition for 
threatened, Appendix-II wildlife when the taking and export meet the 
provisions of CITES and the import is not made in the course of a 
commercial activity. This ESA provision only exempts import; it does 
not exempt acquisition in foreign commerce in the course of a 
commercial activity. Therefore, we require both the acquisition and 
import to be noncommercial because we consider any transfer of a 
specimen in pursuit of gain or profit to be a commercial activity. 
Thus, we are proposing that a person who is importing a specimen under 
this provision must provide documentation to the FWS at the time of 
import that shows the specimen was not acquired in foreign commerce in 
the course of a commercial activity.
    One commenter stated that this section violates the ESA and should 
be deleted because a regulation permitting import of sport-hunted 
trophies of threatened species is not consistent with the duty to 
conserve such species. We disagree with the commenter because we 
believe that this section faithfully implements section 9(c)(2) of the 
ESA, and the Congress has stated on frequent occasions that 
scientifically based hunting programs can be conducted for threatened 
species in foreign countries consistent with the conservation of those 
species.
    Some commenters seemed to think that this section only applied to 
sport-hunted trophies, which is not the case. The proposed rule 
clarifies that section 17.8 applies to live and dead wildlife.
    Two commenters suggested that the exemption for ``personally taken 
trophies'' should not allow trophies taken ``for the importer,'' but 
only allow trophies taken ``by the importer.'' We agree, but note that 
this proposed section no longer defines ``sport-hunted trophy.'' 
Instead, it requires that a specimen meet the provisions of 50 CFR part 
23, which defines the term, including the requirement that the trophy 
must be taken by the importer, exporter, or re-exporter.
    Two commenters stated that threatened wildlife species that have 
been transferred from Appendix-I to Appendix-II subject to a 
substantive annotation under CITES should qualify for the import 
exemption in section 9(c)(2) of the ESA, especially in the case of 
sport-hunted trophies of African elephants in Botswana, Namibia, South 
Africa, and Zimbabwe. They expressed concern that the apparent effect 
of proposed section 17.8 would be to require the issuance of threatened 
species import permits for personal sport-hunted trophies of Appendix-
II African elephants, regardless of the statutory exemption in section 
9(c)(2) of the ESA. We agree that no ESA import permits are required 
for trophies of Appendix-II species that are imported for personal use 
and that are properly declared in accordance with paragraphs (d), (e), 
and (f) of section 9 of the ESA. Appropriate corrections have been made 
in the new proposed rule. However, it is important to note that if a 
threatened species, such as the African elephant, has a special rule, 
proposed section 17.8 does not apply; the provisions of the special 
rule apply.
    One commenter questioned the legality of proposed section 17.8 
because any special rule promulgated by the FWS that imposes 
restrictions on the import of threatened, Appendix-II fish or wildlife 
specimens that are tighter than the requirements imposed by CITES is 
not authorized except in ``very narrow and limited circumstances'' 
under section 9(c)(2). The commenter argued further that existing 
import restrictions in special rules for threatened species ``become 
inapplicable by operation of law'' when such species are transferred 
from Appendix-I to Appendix-II. We disagree. Import restrictions 
adopted by special rule for threatened species are based upon an 
explicit determination that such measures are ``necessary and advisable 
to provide for the conservation'' of such species. See section 4(d) of 
the ESA. Once that determination is made, the protective regulations 
that set out those measures must be promulgated and enforced to carry 
out the conservation purposes of the ESA for threatened species. Any 
presumption of lawful import that otherwise would result from the 
operation of section 9(c)(2) of the ESA is rebutted on the basis of the 
rulemaking record and our administrative finding. As noted by the 
United States District Court for the Western District of Texas in 
Safari Club International v. Babbitt (Aug. 12, 1993), no provision of 
the ESA indicates that ``the Secretary's duty and authority to issue 
protective regulations [special rules] is preempted, circumscribed, or 
modified by section 9(c)(2).'' See slip

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op. at 29-30. The exemption, therefore, would not apply to species that 
have a special rule in 50 CFR part 17, such as the argali in section 
17.40(j).
    Special rule for American alligator (section 17.42(a)): We propose 
to revise the special rule for American alligator for clarity, to 
renumber the paragraphs, and to delete outdated information. We propose 
to change the term ``hides'' to ``skins'' to be consistent with the 
language in 50 CFR part 23 and in the special rule for threatened 
crocodilians. For consistency, we also propose to apply the definitions 
of ``crocodilian skins'' and ``crocodilian parts'' proposed in 50 CFR 
part 23 to the American alligator special rule. In addition, we clarify 
that marking and tagging requirements for American alligator meat and 
skulls are different from those for other threatened crocodilians. We 
also propose to remove specific tagging language and instead direct the 
public to the CITES tagging requirements in 50 CFR part 23.
    Special rules for threatened crocodilians and caiman (sections 
17.42(c) and (g)): We propose to delete section 17.42(g) for threatened 
caiman, and add the requirements of that special rule into section 
17.42(c) for threatened crocodilians. We propose to combine these 
special rules to bring them up-to-date and harmonize them with the 
proposed language in Subpart E of 50 CFR part 23 regarding crocodilian 
tagging and import and export requirements. This results in one special 
rule that covers all threatened crocodilians except the American 
alligator.
    We propose to harmonize the definitions of ``skins'' and ``parts'' 
and clarify that skins of sport-hunted trophies are included in the 
definition of ``skins.'' The proposed revisions would move the 
definitions of ``crocodilian skins'' and ``crocodilian parts'' to 50 
CFR part 23 and incorporate them by reference in the special rule to 
avoid redundancy. We propose to not define ``caiman product'' currently 
in section 17.42(g). We think the definition is unnecessary since the 
common usage of the term is clear, i.e., products include processed or 
manufactured items, including curios and souvenirs. In addition, the 
use of the phrase ``that are ready for retail sale'' currently found in 
the definition of ``caiman product'' is misleading and appears to 
narrow the definition of what caiman products are regulated by the 
special rule. We propose to remove the specific CITES tagging language 
and instead direct the public to 50 CFR part 23 for CITES tagging 
requirements. We propose to make the following technical corrections: 
(a) Delete the definition of ``country of export'' because the rule 
references 50 CFR part 23, which defines ``export;'' (b) delete the 
phrase ``or present for export or re-export'' currently found in the 
threatened caiman special rule and instead use the phrase ``to attempt 
to'' found in the ESA regulations; and (c) delete the definition of and 
references to the CITES ``tagging resolution'' and instead refer simply 
to the Convention.
    We also propose to allow meat of saltwater crocodiles originating 
in Australia and Appendix-II Nile crocodiles to be traded without tags 
as is currently allowed for threatened caiman. We clarify that this 
includes all forms of meat by not using the phrase ``processed meat.'' 
We do not believe that international trade in crocodilian meat poses a 
significant conservation risk, but we note that CITES documents still 
would be required for any meat shipments. The proposed revisions to the 
special rule also would prohibit import into the United States of live 
specimens and viable eggs of any threatened crocodilians without an ESA 
import permit. Currently this provision applies only to threatened 
caiman. This revision is necessary and advisable for the conservation 
of all listed crocodilians which cannot withstand pressure from non-
native crocodilians.
    We are also proposing to amend this combined special rule to 
include yacare caiman status reporting requirements for range 
countries. In our final rule (65 FR 25867) published on May 4, 2000, we 
noted that the Service depends primarily on range countries to monitor 
yacare caiman. We also said that to monitor the status of yacare 
caiman, governments of the range countries (Argentina, Bolivia, Brazil, 
and Paraguay) wishing to export such specimens to the United States for 
commercial purposes must provide us every two years, for the following 
10 years, with the most recent information available on the status of 
the species, gathered by the respective range countries to fulfill 
their CITES scientific and management requirements. The first 
submission of status reports was due December 31, 2001. We provided a 
list of information that must be included in the range country status 
report. However, we unintentionally excluded from the regulatory 
language the reporting requirements as discussed in the preamble. We 
propose to add these reporting requirements to correct that error. We 
also propose to not limit the submission of biannual status reports to 
10 years beyond the publication of the final rule. The collection of 
this information is important in determining the most current 
conservation status of the species. Indeed, it would be used to 
consider whether the species is recovering and may warrant delisting. 
We have also added a section describing conditions under which trade 
restrictions can be applied to the import of yacare caiman from range 
countries, including the failure to submit the reports or failure to 
respond to requests for additional information. These conditions are 
necessary and advisable for the conservation of the species, and are 
similar to conditions for other threatened species with special rules 
such as the Vicugna vicugna in section17.40(m)(4)(ii).

What Are the Proposed Changes to Subpart A of 50 CFR Part 23--
Introduction?

    We propose to expand this subpart to give a clearer picture of our 
responsibilities under CITES. We also propose to delete some 
information from the current regulations, such as the list of countries 
(section 23.4) that are Parties. To keep this list of Parties up to 
date, we would need to continually revise it when new countries join or 
when a Party's contact information changes. The list of Parties 
(including addresses and telephone and fax numbers) is available from 
us or on the CITES Web site (see proposed section 23.7). As changes 
occur, these sources can be more quickly and easily updated than 
issuing a revised rule.
    Purposes (section 23.1): This proposed section 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 nonconsumptive values as well as economic 
importance. One commenter stated that the ESA is different from CITES 
and did not understand the reference to the ESA in this section. We 
agree that CITES and the ESA are different. However, the ESA is the 
U.S. law that provides the authority for the United States to carry out 
its responsibilities under CITES.
    Scope (section 23.2): This proposed section consists of a table 
with a series of questions and answers to help people determine if 
CITES regulations apply to their proposed activities. Decisions involve 
whether a specimen is listed by CITES, is exempt from CITES, is 
involved in a type of international trade regulated by CITES, and was 
illegally acquired or traded in contravention of CITES.
    The possession and domestic trade of legal specimens are not 
regulated by CITES unless the specimens had been traded internationally 
under specific

[[Page 20172]]

conditions of a CITES document and the conditions still apply. The 
possession and domestic or international trade of illegally imported 
specimens, however, are prohibited. Further, any possession of 
offspring of illegal specimens is also considered illegal. Two 
commenters considered this statement concerning offspring to be 
unacceptable, with one of the commenters suggesting that we establish a 
grace period for illegal offspring. We do not agree with this 
suggestion since we treat specimens traded contrary to CITES the same 
as other forms of illegally acquired goods. A specimen that has been 
traded contrary to CITES becomes contraband at the time it enters the 
jurisdiction of the United States. If such a specimen makes its way 
into the United States, the individual or business holding or having 
control of the specimen has no custodial or property rights to the 
specimen and, therefore, no right to possess, transfer, breed, or 
propagate such specimens.
    One commenter expressed confusion as to why we had included 
intrastate and interstate trade if this regulation applies only to 
international trade. Although CITES regulates international trade, we 
wanted to ensure that the public knows that it is unlawful under 
section 9(c)(1) of the ESA to possess any CITES specimen that was 
traded contrary to CITES. We clarify that intrastate or interstate 
movement of specimens traded contrary to CITES involves possession of 
unlawfully traded specimens and is, therefore, prohibited.
    We further note that these prohibitions are not new with this 
proposed rule. The regulatory requirements for CITES specimens, 
including possession, have been in place since 1977, and the statutory 
prohibition has been in effect since July 1975.
    Other applicable regulations (section 23.3): We reference in this 
proposed section applicable regulations in other parts of subchapter B 
and title 50 since many CITES species are covered by one or more other 
laws. One commenter suggested that we include other Federal laws, such 
as the Marine Mammal Protection Act (MMPA) Amendments of 1994, the 
Rhinoceros and Tiger Conservation Act (RTCA), and the African Elephant 
Conservation Act (AECA). We did not adopt this suggestion. The MMPA 
regulations contained in 50 CFR part 18 are already referenced, and 
permit requirements are administered consistent with the 1994 
Amendments to the MMPA. The AECA contains prohibitions that affect the 
trade in African elephant ivory, and the RTCA contains prohibitions 
regarding the import, export, and sale of products containing or 
labeled or advertised as containing products derived from rhinoceros 
and tiger, but these laws have no separate implementing regulations. 
This section refers readers to other regulations that might apply to 
CITES species and is not the appropriate place to cross-reference all 
laws that may have an impact on trade.
    Another commenter suggested that we include a reference to State 
and local regulations. Since all CITES documents issued by us are 
conditioned such that all applicable State, tribal, and local 
requirements must be met, we propose to add a new paragraph (d) to 
notify the public about the possible application of these laws. Under 
Article XIV(1)(a) of the Treaty, each Party retains the right to adopt 
stricter national measures that regulate or prohibit the import, 
export, taking, possession, or transport of CITES species. More 
restrictive State or local laws that regulate or prohibit the import, 
export, or re-export of such species, or their parts, products, or 
derivatives, must be observed for CITES species that are not listed 
under the ESA. See H.J. Justin & Sons, Inc. v. Deukmejian, 702 F.2d 758 
(9th Cir. 1983), cert denied, 464 U.S. 823. However, in instances where 
a CITES species is also listed as endangered or threatened under the 
ESA, any State or local law that would effectively prohibit the import 
or export of, or interstate or foreign commerce in, specimens of such 
species is void to the extent that such trade is authorized under the 
ESA, its implementing regulations, or any ESA permit or exemption. See 
16 U.S.C. section 1535(f); Man Hing Ivory & Imports, Inc. v. 
Deukmejian, 702 F.2d 760 (9th Cir. 1983).
    Appendices I, II, and III (section 23.4): Species are listed in one 
of three Appendices that provide for different levels of regulation and 
have different requirements for permits and certificates (CITES 
documents). This section briefly defines Appendices I, II, and III. One 
commenter stated that all exemptions should be included in this 
section. We revised this section to provide the basic definitions for 
the Appendices based on those in the Convention rather than discuss 
exemptions in this section. Exemptions that may apply are discussed in 
proposed section 23.20(d).
    Definitions (section 23.5): We propose to add a number of 
definitions. Whenever possible we have defined terms using the wording 
of the Treaty and the resolutions. Most defined terms are included in 
this section, but some less frequently used terms are defined in the 
section that applies to a specific situation. For example, ``caviar'' 
is defined in section 23.71 on trade in sturgeon caviar, not in the 
general definition section.
    Definition of applicant: One commenter suggested that we define 
``applicant'' to exclude any person acting solely as a freight broker, 
freight consolidator, customhouse broker, or carrier. The commenter 
suggested that we should not issue permits to these entities because 
they are not the owners of the specimen and are not required to have 
import/export licenses. Although in most instances the applicant is the 
owner of the specimen, we decline to make ownership a requirement for 
obtaining a permit. We believe that an entity, such as a broker, is not 
precluded from being an applicant just because he or she is not 
required to obtain an import/export license under 50 CFR part 14.
    We are not proposing to define ``applicant'' in this part since the 
general permit regulations in 50 CFR 13.1 provide sufficient guidance 
concerning the applicant. An applicant must have a valid connection to 
the transaction and be the person who is responsible for meeting the 
terms and conditions of the permit. When a broker, attorney, 
taxidermist, or other person applies for a permit on behalf of the 
owner of the specimen, he or she must establish a connection to the 
transaction through a contract or power of attorney and, along with the 
person represented, becomes the responsible party to meet the terms and 
conditions of the permit.
    Definitions of bred for commercial purposes and bred for 
noncommercial purposes: We propose to define these two terms as they 
relate to the export and re-export of Appendix-I wildlife specimens. 
These definitions are the result of in-depth discussions by the Parties 
over the registration of commercial breeding facilities, which resulted 
in the adoption of Resolution Conf. 12.10 (Rev. CoP13). The Treaty 
provides in Article VII(4) that specimens of Appendix-I species bred-
in-captivity for commercial purposes shall be deemed to be in Appendix 
II (see proposed section 23.46). It also provides in Article VII(5) 
that specimens that are bred-in-captivity may be issued an exemption 
certificate (see proposed section 23.41). Although the Treaty does not 
use the term ``bred for noncommercial purposes'' in this paragraph, the 
Parties have agreed to use this term as the intended meaning of Article 
VII(5) because Article VII(4) addresses bred for commercial purposes. 
In Resolution Conf. 12.10 (Rev. CoP13), the Parties agreed to strict 
definitions for these two terms.

[[Page 20173]]

Facilities that are breeding for commercial purposes must be registered 
to export specimens. Facilities that are breeding for noncommercial 
purposes must be participating in a cooperative conservation program 
with one or more of the range countries for that species.
    Definition of captive-bred: We propose to define this term to help 
distinguish wildlife bred and born in captivity from the CITES 
definition of ``bred-in-captivity.''
    Definitions of coral (dead, fragments, live, coral rock, and coral 
sand): The Parties agreed at CoP11 to a number of definitions of coral 
because of its unique nature, namely that coral skeletons are 
persistent and that coral forms the foundations of reefs. The 
definitions provide the basis of whether CITES regulates a specific 
form of coral and what scientific name must appear on CITES documents.
    Definition of country of origin: The term ``country of origin'' is 
defined in 50 CFR 10.12. We are proposing to define the term in section 
23.5 for CITES purposes to include plants. At CoP13, the Parties agreed 
that, in the case of a plant specimen that ceases to qualify for an 
exemption under CITES (e.g., plants grown from exempt seeds), the 
country of origin would be the country in which the specimen ceased to 
qualify for the exemption. One commenter opposed the inclusion of 
plants in the definition of ``country of origin'' because a person 
cannot determine country of origin for artificially propagated species 
or parental stock of orchid hybrids. We propose to adopt the definition 
to include plants since CITES requires us to obtain and report 
information on country of origin for specimens in international trade. 
The country of origin is an important piece of information used to 
evaluate the impact of trade and to track the legal movement of 
wildlife and plants. We note that the United States would be the 
country of origin for plants artificially propagated in the United 
States.
    Definitions of import, export, re-export, international trade, and 
shipment: We use these basic terms throughout the regulations and 
define them to reflect the way the terms are used by the Parties. These 
definitions refer to international movement of wildlife and plant 
specimens, whether the purpose is commercial or noncommercial. 
``Import'' and ``export'' are further defined in 50 CFR part 14. We 
have also defined the term ``shipment'' to eliminate confusion.
    Definition of introduction from the sea: In 2000, we proposed to 
define this term. One commenter wanted us to re-examine the proposed 
definition since considerable discussion of the term occurred at CoP11. 
We believe, however, that it is important to define the term in the 
regulations at this time with the language in Article I(e) of the 
Treaty. We recognize that the Parties may decide on an interpretation 
of this term in the future, but in the meantime the regulations need to 
clarify when the prohibition applies and when and what types of CITES 
documents are needed for international trade. Over the last few years, 
a number of important events have occurred related to introduction from 
the sea. At CoP11 and CoP13, the Parties considered proposed 
resolutions on introduction from the sea and were unable to reach 
consensus on a definition. At CoP12, the Parties agreed to look at 
marine issues, including introduction from the sea, in consultation 
with the Food and Agriculture Organization of the United Nations (FAO). 
In May and June of 2004, FAO convened two Expert Consultations to 
consider introduction from the sea and other issues related to marine 
species covered by CITES. At CoP13, the Parties agreed to convene a 
workshop on introduction from the sea, taking into account the work 
done through FAO and the relevant documents and discussions from 
previous CoPs. The workshop was held in November-December 2005. The 
CITES Secretariat will prepare a document on introduction from the sea, 
based on discussions at the workshop, for consideration by the Parties 
at CoP14.
    Definitions of Management and Scientific Authorities: The current 
regulations (section 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 must have entities officially 
designated that fulfill the roles of Management and Scientific 
Authorities to make the required findings and to issue comparable CITES 
documents. One commenter stated that including non-Parties in the 
definition of Management and Scientific Authorities is incorrect under 
the Convention, has no basis in current law, and would violate the 
Administrative Procedure Act. We do not agree, and we endorse the steps 
taken by the CITES Secretariat to ask non-Parties that wish to trade 
with Parties to provide information on what authority is competent to 
provide comparable findings and documentation. See the discussion in 
the preamble on non-Party documents (section 23.25).
    Definition of parental stock: In 2000, we proposed to define the 
terms ``founder stock'' and ``parental stock.'' However, we now propose 
no longer to use the term ``founder stock'' in these regulations 
because the term is not used in the resolutions adopted by the CITES 
Parties. Thus, based on the language in Conf. 9.19 (Rev. CoP13) on 
nursery registration and Conf. 12.10 (Rev. CoP13) on registration of 
operations that breed Appendix-I wildlife for commercial purposes, we 
are proposing to use the term ``parental stock'' to mean the original 
breeding or propagating specimens that produced subsequent generations 
of captive specimens.
    Definitions of permit, certificate, CITES document, and CITES 
exemption document: 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 a CITES Management Authority. However, 
some Parties refer to all CITES documents as ``permits.'' For this 
reason, we propose to define the term ``CITES documents'' to refer to 
all permits and certificates that are issued by a Management Authority. 
We also propose to expand the definition of ``permit'' in this section 
from the definition of ``permits'' in 50 CFR 10.12 to include documents 
issued by any Management Authority, not just documents ``issued by the 
FWS.''
    Definition of precautionary measures: When there is uncertainty 
regarding the status of a species or the impact of trade on the 
conservation of a species we are cautious and act in the best interest 
of the conservation of the species in making decisions on CITES 
listings and permit findings. We define and use the term 
``precautionary measures'' to describe this approach. One commenter 
stated that the definition is ambiguous and appears to be a new policy. 
It is not a new policy. While the proposed definition is taken from the 
concept described in Annex 4 of Resolution Conf. 9.24 (Rev. CoP13), we 
use it in these regulations because it describes the way we have always 
approached non-detriment findings and species listing decisions when 
there is uncertainty regarding the status of a species or the impact of 
trade on the conservation of a species. The use of precautionary 
measures in these instances is consistent with the intent of the 
Treaty, which is to protect species against over-exploitation. We 
disagree that the definition is ambiguous and we believe the proposed 
definition represents an important concept in the effective 
implementation of CITES.

[[Page 20174]]

    Definition of ranching: We are not proposing to define the term at 
this time. At CoP13, the Animals and Plants Committees (committees 
established by the Parties to provide administrative and technical 
support to the Parties and to the Secretariat) were tasked with looking 
at production systems, including the consideration of source codes, 
which include ``R'' for ranching.
    Definition of readily recognizable: Although this term is used in 
Article I of the Treaty, it is not specifically defined. However, 
Resolution Conf. 9.6 (Rev.) defines the term, and we have based our 
proposed definition on the text of the resolution. Several commenters 
supported the inclusion of this definition in the regulations. Another 
commenter suggested that we use the CITES term ``derivatives'' in the 
definition. Although the term ``derivative'' is not commonly used in 
the United States, we accepted the commenter's suggestion since the 
term is used in the Treaty.
    Based on questions we routinely receive from the public, we wish to 
clarify here that venom is considered a readily recognizable product, 
and that antivenin, which is either produced from non-CITES listed 
species or produced synthetically, is not subject to CITES.
    Definition of specimen: We used the definition of ``specimen'' 
given in the Treaty to clarify that, under these regulations, the term 
refers only to species listed in any of the CITES Appendices.
    Definition of sustainable use: We propose to define this term as 
the use of a species in a manner and at a level that maintains wild 
populations at biologically viable levels for the long term. It is 
essentially the same definition used in 50 CFR part 15 under the WBCA. 
The wording has been slightly edited to be consistent with language 
used in these regulations. One commenter thought it was inappropriate 
to use the definition from the WBCA because the CITES non-detriment 
finding is narrower than the WBCA finding. We point out that the WBCA's 
primary purpose is to encourage and support effective implementation of 
CITES. The non-detriment finding is the same under both, and the 
concept of sustainable use remains the same, regardless of context.
    Two commenters argued that the definition of ``sustainable use'' is 
excessive for meeting the non-detriment finding for the issuance of 
permits. We believe that sustainable use is the essence of a CITES non-
detriment finding, and these proposed regulations provide a clear, 
scientifically based definition of the term. An exporting country can 
make a finding of non-detriment only if it can show that a given level 
of harvest is consistent with the long-term viability of the species. 
This finding must be based on professionally recognized management 
practices and the best available biological information. The Parties 
adopted Resolution Conf. 12.8 (Rev. CoP13), which provides for review 
of significantly traded species, to ensure that countries exporting 
those species have made the appropriate findings and the export levels 
are sustainable. Countries with species subject to this review must 
demonstrate the scientific basis for the quantity of exports they are 
allowing.
    One commenter stated that the terms ``ecosystem'' and ``role or 
function of a species in its ecosystem'' do not appear in the Treaty. 
We note these terms are used in Article IV(3) of the Convention, which 
specifically requires the Scientific Authority of each Party to 
determine whether exports of specimens of a species ``* * * should be 
limited in order to maintain the species throughout its range at a 
level consistent with its role in the ecosystems in which it occurs * * 
*'' Although the phrase ``or function'' does not appear in the text, it 
is implicit since a species' function relates to its role. Another 
commenter thought it was too burdensome to require an applicant to 
provide information on a species' role and function in the ecosystem. 
See the discussion in the preamble on non-detriment findings (section 
23.61).
    One commenter stated that the proposed definition precluded the use 
of adaptive management. We believe the use of adaptive management could 
fit under this definition in certain circumstances. Under adaptive 
management, production rates are monitored and the amount of harvest 
allowed is commensurate with increases and decreases in productivity of 
the species. Thus, Parties could use adaptive management in terms of 
changing decisions if new information becomes available. Adaptive 
management, however, does not imply that when there are gaps in 
information the assumption would be that trade would be sustainable.
    Two commenters contended that the proposed definition will require 
range countries to undertake costly studies to demonstrate the 
productive capacity of the species and its ecosystem. The proposed 
definition does not dictate the type of studies a country needs to 
conduct, only that the use of a species must allow for the maintenance 
of viable population levels for the long term. Exporting countries must 
conduct some level of monitoring of productivity and impact of harvest 
to determine whether exports are detrimental to the survival of the 
species. Resources are needed for a country to manage species 
sustainably, and only a range country can determine whether the 
expenditure of resources is cost effective relative to the benefits of 
trade.
    Definition of trade: One commenter stated that the definition of 
``trade'' should not include both commercial and noncommercial 
shipments and should be based on economic value or intent since there 
is conservation value in a healthy public interest in natural history. 
The commenter believed that, by not discriminating between commercial 
trade and noncommercial activities, we are failing to adequately 
protect species and are promoting inconsistency and confusion in 
enforcement.
    Our proposed definition of ``trade'' is based on Article I(c) of 
the Treaty, which explicitly states that ``trade'' means ``export, re-
export, import and introduction from the sea.'' We propose to define 
``trade'' to include both commercial and noncommercial transactions 
since there is no mention of intent in the Treaty definition. CITES and 
our proposed regulations, however, afford greater flexibility to 
noncommercial shipments, such as through the registration of scientific 
institutions and the limited exemption for personal and household 
effects. We believe this broad definition of ``trade'' and the 
flexibility recognized by CITES and our proposed regulations provide 
consistency, assist in enforcement, and offer a system that promotes 
species conservation.
    Management and Scientific Authorities (section 23.6): Under Article 
IX of the Treaty, each Party must designate at least one Management 
Authority and one Scientific Authority. In the United States, these 
authorities have been delegated by the Secretary of the Interior and 
the Director of the FWS to different offices within the FWS. We propose 
to add a section to summarize 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; making 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 role is to provide training and technical assistance to 
countries when possible (Resolution Conf. 3.4 on Technical 
cooperation). Other Federal

[[Page 20175]]

agencies also play a role in CITES efforts, for example in 
communicating with the Secretariat and representing the United States 
at CITES meetings.
    One commenter noted that there appears to be duplication in the 
roles of the Management and Scientific Authorities as shown in the 
chart. We note that, although there is some interrelationship in 
activities carried out by the Management and Scientific Authorities, 
the focus of these activities and the expertise of both offices are 
different. Within the broad categories, the Management Authority is 
responsible for dealing primarily with management and regulatory 
issues, and the Scientific Authority is responsible for dealing 
primarily with scientific issues. Text was added to the proposed rule 
to show this distinction.
    Another commenter urged the addition of a clause in the regulations 
requiring Management and Scientific Authorities to fulfill their roles 
as required under the Treaty. We do not believe this is necessary. 
These offices are charged with the responsibility of fulfilling certain 
roles under the Treaty by their designation as Management and 
Scientific Authorities.
    Contact information (section 23.7): The table in this proposed 
section outlines the type of information available from the U.S. 
Management Authority, U.S. Scientific Authority, Law Enforcement, 
APHIS, CBP, and the Secretariat, and the different ways you can contact 
each office. APHIS is the contact office for information on plant 
clearance procedures even though the formation of CBP split CITES 
responsibilities for import and export of plants. CBP inspects and 
clears shipments of dead CITES plant materials being imported into the 
United States and live plants being imported from Canada at a 
designated border port. CBP also identifies and regulates CITES 
materials in passenger baggage, including live plants. APHIS continues 
to inspect and clear shipments for the export and re-export of live and 
dead plants, and the import of live plants, except for live plants 
being imported from Canada at a designated border port.
    One commenter stated that this section should also contain contact 
information for the National Marine Fisheries Service and information 
on import, export, possession, and sale of marine mammal parts and 
products under the MMPA. We disagree because the purpose of these 
regulations is to explain and implement CITES. To assist those dealing 
with such species, we provided information in proposed section 23.3 on 
where to find those requirements. Persons with questions about CITES 
compliance should contact the office identified in this section. 
Persons with questions about other laws that apply should contact the 
office that is responsible for administering those laws.
    Information collection (section 23.8): Each information collection, 
including each application form, that we use must be reviewed and 
approved by the Office of Management and Budget under the Paperwork 
Reduction Act. These information collections undergo review every 3 
years. This process gives the public an opportunity to provide input 
concerning the amount of time it takes to complete the forms and 
reports and to prepare the information requested. One commenter 
suggested that the term ``amend'' be added to paragraph (c). We made 
this revision to the new proposed rule to make the paragraph consistent 
with 50 CFR 13.23.

What Are the Proposed Changes to Subpart B of 50 CFR Part 23--
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 included 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 included on documents 
for Parties and non-Parties.
    Prohibitions (section 23.13): We are proposing minor changes to the 
prohibitions section in the current regulations. This section 
implements the prohibitions on international trade under CITES. We 
listed ``introduction from the sea'' separately from ``import'' to 
clarify that CITES treats these 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 subject to U.S. jurisdiction is prohibited 
even if specimens are not actually imported into or exported from the 
United States.
    One commenter supported the language ``engaging in international 
trade,'' whereas two commenters opposed it. Several commenters 
expressed confusion over how this activity could be regulated. The 
regulatory language is derived from the language in section 9(c)(1) of 
the ESA, which makes it unlawful for any person subject to the 
jurisdiction of the United States to engage in trade contrary to the 
provisions of CITES. The ESA does not limit this prohibition to import 
into or export from the United States, but further requires U.S. 
citizens, and others subject to U.S. jurisdiction, engaging in trade 
outside of the United States to abide by CITES requirements as a matter 
of U.S. law. Although this activity may be difficult to detect, we will 
take enforcement action when appropriate. For example, a U.S. company 
engaging in illegal international trade of tiger products could be 
found in violation of this section even if the items never entered the 
United States.
    One commenter suggested that the prohibition on engaging in trade 
should apply only to intentional acts. We disagree because the 
prohibitions in section 9(c)(1) of the ESA do not recognize an 
exception for unintentional conduct. Further, penalties and enforcement 
provisions that address CITES violations already distinguish between 
violations that are knowingly or intentionally committed and those that 
are not.
    One commenter opposed the prohibition on possession and stated that 
simple possession should not be a violation. We agree that possession 
alone is not a violation. However, the regulations specifically 
implement the statutory language that prohibits possession of any 
specimen traded contrary to the provisions of CITES. If a specimen was 
traded in violation of CITES, any possession of that illegally traded 
specimen is prohibited.
    Several commenters questioned whether ``possession'' and ``traded 
contrary to CITES'' were considered prohibitions just because there was 
no positive documentation provided in an application to the U.S. 
Management Authority. The lack of supporting documentation in a permit 
application does not necessarily mean a specimen is illegally possessed 
or has been traded contrary to CITES. However, we may not be able to 
make the required findings or issue CITES documents if there is a lack 
of documentation or other evidence showing legality (see the discussion 
in the preamble for proposed section 23.60).
    Personal and household effects (section 23.15): Article VII(3) of 
the Treaty 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

[[Page 20176]]

current regulations (section 23.13(d)) based on our experience in 
administering the Convention and Resolution Conf. 13.7. This section 
details the circumstances under which a person may travel with personal 
items of CITES wildlife and plants worn as clothing or accessories, or 
contained in accompanying luggage. It also details how a person may 
move personal items of CITES wildlife and plants from one country to 
another as part of a change of residence. We propose to define 
``personal effects'' and ``household effects'' in section 23.5. Based 
on one commenter's recommendation, we clarify that we consider 
qualifying tourist souvenirs to be personal effects.
    In Resolution Conf. 13.7, the Parties agreed not to require CITES 
documents for personal or household effects of dead specimens, parts, 
products, or derivatives of Appendix-II species unless a Party requires 
a CITES document. Parties are to notify the Secretariat if they require 
CITES documents for personal and household effects, and the Secretariat 
will maintain a list on the CITES Web site. Importing countries would 
generally assume that an export permit is not required if the exporting 
country had not notified the Secretariat otherwise. For species covered 
by the Lacey Act, however, the United States would require an export 
permit if a Party requires such a permit even if the Party had not 
notified the Secretariat of the requirement. It is the responsibility 
of the importer to consult with the exporting country to determine 
whether an export permit is needed in such instances.
    For certain species, the Parties also agreed to numerical limits of 
specific types of specimens that qualify as personal and household 
effects. These specimens include sturgeon caviar, seahorse and 
crocodilian products, giant clam and queen conch shells, and 
rainsticks. We note that if someone wants to import, export, or re-
export more than the quantity designated in the regulations, the 
specimens no longer qualify for the personal effects exemption, and 
they must be accompanied by a valid CITES document for the entire 
quantity. For example, 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. If a person arrives in the United 
States with 265 grams of sturgeon caviar without a CITES document for 
265 grams, the whole amount would be subject to seizure. The importer 
would not be allowed to keep 250 grams as a personal effect.
    We propose to exclude live wildlife and plants (including eggs and 
non-exempt seeds) and most Appendix-I specimens from the exemption. The 
drafting history of CITES, as well as significant debate that occurred 
at CoP4, clearly supports the view that this exemption applies only to 
dead items, such as clothing or jewelry, 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. In the United States, many 
Appendix-I species are also listed under the ESA and other laws that do 
not provide 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 require CITES 
documents for all Appendix-I specimens, except for certain worked items 
made from African elephant ivory (see proposed section 23.15(f)).
    Several commenters supported the limitations that were placed upon 
live and Appendix-I specimens, caviar, and African elephant ivory. 
Another commenter thought we should remove this section since some 
Parties do not recognize the personal and household effects exemption, 
and it allegedly undermines protection of species. We did not accept 
this suggestion. The exemption reflects the agreement of the Parties, 
yet allows us to further conserve species when we or other countries 
have stricter national measures in place. The proposed regulations 
inform the public that CITES documents for personal and household 
effects may be required by other Parties.
    In 2000, the Canadian Management Authority commented that they 
allow the shipment of live plants and Appendix-I specimens as personal 
effects and, thus, require no CITES documents. We recognize that there 
are differences in how Parties implement this exemption, and we 
strongly encourage travelers to check with the Management Authority in 
the foreign country they intend to visit to find out that country's 
requirements for importing and exporting personal effects.
    We clarify that personal effects must be personally owned by the 
traveler for exclusively noncommercial purposes, be reasonably 
appropriate for the purpose of the trip or stay, and either be worn as 
clothing or accessories or be part of accompanying personal baggage. 
Three commenters stated that the requirement for the effects to be 
reasonably appropriate was unenforceable or vague. We believe this 
requirement provides additional assistance to inspectors at the port 
when determining whether items are personal effects or are commercial 
items that a person is attempting to import without CITES documents 
under the exemption.
    One commenter recommended that we use the definition of commercial 
in 50 CFR part 14 that provides the presumption that eight or more 
similar unused items are for commercial use. We do not believe that 
this standard is appropriate for making CITES decisions under the terms 
of the Convention because the general standard in place in 50 CFR part 
14 applies to all wildlife whether it is protected or not. In addition, 
as described above, the Parties have acknowledged that the quantity of 
items that qualify as personal or household effects can vary by 
species. A blanket statement regarding the number of items that might 
be considered commercial may be appropriate for determining licensing 
requirements under 50 CFR part 14, but CITES requires a different 
approach.
    We have encountered a number of instances, both in the United 
States as well as abroad, when 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 unless the specimens accompany the individuals.
    We also clarify that household effects must be personally owned 
items that are part of a noncommercial household move. 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.
    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. One commenter 
opposed the 1-year limitation on this exemption. We retained the 
timeframe because we believe it is reasonably appropriate for 
completing the shipment of household goods to a new residence. A person 
is not precluded from shipping his or her household effects after 1 
year, although such a shipment would require the appropriate CITES 
documents.
    The AECA and ESA include stricter U.S. legislation concerning 
international trade of African elephant ivory. We propose to allow U.S. 
residents to travel out of and return to the United States

[[Page 20177]]

with pre-Convention worked African elephant ivory as personal or 
household effects under certain conditions, including registering the 
items. Registration consists of obtaining a U.S. CITES pre-Convention 
certificate, FWS Wildlife Declaration (Form 3-177), or CBP Certificate 
of Registration for Personal Effects Taken Abroad (Form 4457). This 
exemption is limited to ivory already owned in the United States and is 
not a special opportunity for trade. Upon re-import, travelers need to 
show records that the ivory is pre-Convention and that they registered 
it before leaving the United States. The exemption does not include 
items that are purchased while abroad or intended as gifts. We propose 
to adopt the same definition of ``raw ivory'' as found in the special 
rule concerning African elephants in 50 CFR 17.40(e), which is similar 
to the definition found in Resolution Conf. 10.10 (Rev. CoP12). 
Individuals should contact the Management Authority in the country of 
their destination to find out about its requirements for African 
elephant ivory.
    Urine, feces, and synthetically derived DNA (section 23.16): We 
propose that the international trade of these specimens be exempt from 
CITES requirements under certain circumstances. We consider samples of 
urine and feces to be wildlife byproducts, rather than parts, products, 
or derivatives. 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 CoP8, 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.
    One commenter stated that all DNA should be exempt, not just 
synthetic DNA. We disagree since the Treaty contains strict language on 
the regulation of ``readily recognizable parts or derivatives'' of 
CITES species. Virtually all trade in DNA samples extracted from CITES 
species involves the use of packaging that identifies the specimen as a 
part, product, or derivative of that species. Under Resolution Conf. 
9.6 (Rev.), any specimen or its packaging that is marked, labeled, or 
otherwise identified as a part or derivative of a CITES species is 
considered to be readily recognizable. Trade in all readily 
recognizable parts and derivatives of Appendix-I and Appendix-II 
wildlife and Appendix-I plants is regulated by CITES, and the Parties 
cannot create or assert exemptions for these specimens beyond those 
provided in Article VII of the Treaty. The Parties' discretion to limit 
the trade controls of CITES to a limited set of ``readily recognizable 
parts or derivatives'' is confined to Appendix-III wildlife and to 
Appendix-II and Appendix-III plants as provided by Article I(b) of 
CITES. Therefore, to implement the commenter's request for an exemption 
would require an amendment to the Treaty, an initiative that the United 
States has historically opposed.
    On the other hand, another commenter recommended that urine, feces, 
and synthetic DNA should not be exempt from CITES permitting 
requirements because they could have been obtained in a manner that 
required capture and restraint of animals. We believe that trade in 
urine, feces, and synthetically derived DNA samples will not adversely 
affect the conservation of, or effective regulation of trade in, CITES 
species and their parts, products, or derivatives. While we will not 
regulate these 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 exporting 
requirements.
    One commenter asked why, if the United States considers urine, 
feces, and synthetic DNA to be exempt, we require CITES permits for 
these specimens if another country requires them for import or export. 
Because the Parties have not agreed 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 because we must facilitate compliance with 
foreign laws consistent with the Lacey Act Amendments of 1981. At CoP12 
and CoP13, there were proposals to annotate the list of species to 
exempt these types of samples. The proposals were withdrawn. It should 
be noted, however, that some Parties do not agree that these specimens 
should be exempt from CITES controls.
    Another commenter suggested that submission of a wildlife 
declaration Form 3-177 should suffice for trade in any tissue or blood 
for DNA research, especially from salvaged dead specimens. We disagree 
since no provision in the Treaty exempts such tissues from requirements 
for CITES documentation. Declaration of specimens using Form 3-177 does 
not meet CITES document requirements that ensure that the specimens 
were acquired legally and the export will not be detrimental to the 
survival of the species. There is also no declaration mechanism, like 
Form 3-177, for plants.
    One commenter stated that the proposed regulation imposes new 
restrictions on import of blood and tissue taken from sport-hunted game 
animals for DNA analysis. We disagree, since blood and tissue for 
research have always required CITES permits. We refer you to proposed 
section 23.74 for the definition of ``sport-hunted trophy.''
    Diplomats and other customs-exempt persons (section 23.17): CITES 
Decision 9.15 urges the Parties to remind their diplomatic missions, 
their delegates 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. In these regulations we propose to remind 
all persons who receive duty-free or inspection exemption privileges 
that CITES specimens traded internationally must meet the requirements 
of CITES and these regulations.
    Required CITES documents (sections 23.18-23.20): Articles III, IV, 
and V of the Treaty outline the types of documents that must accompany 
Appendix-I, -II, or -III specimens in international trade. Article VII 
and Article XIV of the Treaty recognize exemptions for certain 
specimens, such as those that qualify as pre-Convention, bred-in-
captivity, or artificially propagated. Generally, these specimens must 
be accompanied by CITES exemption documents. The proposed regulations 
remind people who trade in wildlife and plants to check with the 
Management Authorities of all countries concerned to determine their 
requirements before importing, introducing from the sea, exporting, or 
re-exporting CITES specimens.
    We propose to organize the information on what types of CITES 
documents are required into two decision trees and three tables. We 
developed separate decision trees specifically to address the confusion 
expressed by the public on the different 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 proposed 
regulations that explains the application procedures, general 
provisions, issuance and acceptance criteria, and conditions.

[[Page 20178]]

    One commenter suggested that we add information to detail what 
constitutes confirmation that the importing country has or will issue 
an import permit. We agree and have revised the proposed regulation by 
adding language to proposed section 23.35(e) on import permits (see the 
discussion in that section of the preamble).
    Export of Appendix-I wildlife (section 23.18): The decision tree 
reflects the changes we are proposing to ensure that international 
trade in Appendix-I wildlife is not for commercial purposes when 
permits are issued under Article III of the Treaty. Article II of the 
Treaty states that Appendix-I specimens ``* * * must be subject to 
particularly strict regulation in order not to endanger further their 
survival and must only be authorized in exceptional circumstances.'' 
The Parties have agreed that Appendix-I wildlife specimens should not 
be traded for commercial purposes unless the specimens originated from 
a CITES-registered Appendix-I commercial breeding operation. In the 
past, the FWS has allowed commercial breeders of Appendix-I wildlife to 
export specimens that have been sold to individuals outside the United 
States provided that the Management Authority of the importing country 
can make a ``not primarily commercial'' finding and issues an import 
permit. After review of this type of trade, we do not believe that 
Article III of the Treaty was intended to allow such commercial trade. 
Thus, we propose no longer to allow the use of Article III of the 
Treaty to export Appendix-I wildlife unless the export is for 
noncommercial purposes. We also propose to allow the export of 
Appendix-I wildlife that qualifies for an exemption under Article 
VII(4) and (5) as bred-in-captivity only if the specimen was bred at a 
CITES-registered breeding operation or was bred for noncommercial 
purposes, respectively. Other Appendix-I wildlife bred-in-captivity 
will be given a source code ``F,'' rather than a ``C,'' and the export 
would be allowed only if the export is for noncommercial purposes and 
an import permit was granted.
    Reservations (section 23.21): Articles XV, XVI, and XXIII of the 
Treaty allow a Party to take a reservation on a species listing in 
Appendix I, II, or III. Generally, a reserving Party is treated as a 
non-Party with respect to trade in the reserved species. Countries that 
choose not to recognize a listing and take a reservation may continue 
trading in the species without CITES documents with other Parties that 
have taken the same reservation or with non-Parties provided the 
shipment does not transit a Party country. Trade with Parties that have 
not taken the same reservation requires CITES documents.
    We propose to add this section to emphasize what types of documents 
are required from Parties that have taken a reservation on a species. 
We propose to incorporate Resolution Conf. 4.25, which recommends that, 
when a species is newly listed in Appendix I or is transferred from 
Appendix II to Appendix I, Parties that take a reservation issue a 
CITES document and treat the species as if it were 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 because the reserving Party would continue 
to issue CITES documents based on legal acquisition and non-detriment 
findings, and report such trade in its annual report. We also propose 
to incorporate Resolution Conf. 9.7 (Rev. CoP13) which clarifies the 
requirements of the Treaty that a shipment containing specimens of 
CITES species traded between non-Parties or reserving Parties or 
between a non-Party and a reserving Party must be accompanied by CITES 
documents if it transits a Party country before reaching its final 
destination.
    One commenter suggested that we add specific provisions in case the 
United States took a reservation. We did not incorporate this 
suggestion because if the United States entered a reservation to a 
listing the requirements in proposed section 23.21(d) would apply. We 
did, however, add a paragraph on how a person could provide relevant 
information and request that the United States consider taking a 
reservation. Additionally, we added text indicating that if the United 
States entered a reservation to the listing of a species in Appendix I, 
we would require a CITES document that met Appendix-II permit criteria 
for international trade in specimens of that species. To date, the 
United States has not taken a reservation. Entering a reservation would 
do very little to relieve importers in the United States from the need 
for foreign export permits because the Lacey Act Amendments of 1981 
make it a Federal offense to import into the United States any animal 
taken, possessed, transported, or sold in violation of foreign 
conservation laws. If the foreign nation has enacted CITES and has not 
taken a reservation with regard to the species, the United States would 
continue to require CITES documents as a condition of import. A 
reservation by the United States also would provide exporters in this 
county with little relief from the need for U.S. export documents. 
Unless the receiving country had entered the same reservation or was a 
non-Party, U.S. exporters would continue to be required to obtain CITES 
comparable documents because the Parties have agreed to trade with non-
Parties and reserving Parties only if they issue permits and 
certificates that substantially conform with CITES requirements and 
contain the required information outlined in Resolution Conf. 9.5 (Rev. 
CoP13).
    Another commenter did not understand the section and wondered if 
the intent was that a country could not take a reservation on all 
species. The Treaty does not restrict the number of species for which a 
Party may take a reservation, but Parties seldom take a reservation on 
large numbers of species. A reserving Party is still bound by the 
provisions of CITES as outlined in this section.
    In-transit (section 23.22): 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. Shipments of sample collections may transit 
a number of countries before returning to the originating country. 
Article VII(1) of the Treaty provides an exemption for specimens that 
are in transit through a country while the specimens remain under 
customs control. We propose to define an ``in-transit shipment'' as the 
transhipment of any wildlife or plant through an intermediary country 
when the specimen remains under customs control and meets either the 
requirements of this section or the requirements in section 23.50 for 
sample collections covered by an ATA carnet. (ATA is an acronym of the 
French and English words ``Admission Temporaire/Temporary Admission.'') 
In-transit shipments, other than sample collections in section 23.50, 
may stay in an intermediary country, including storage in a duty-free, 
bonded, or other kind of warehouse or a free trade zone, only for the 
time necessary to transfer the specimens to the mode of transport used 
to continue to the final destination.
    In 1983, the CoP recognized the potential for abuse of the in-
transit provision, such as when importers claimed the exemption and 
delayed shipment of the transiting specimen while they found a buyer in 
a foreign

[[Page 20179]]

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 by drawing attention to 
undocumented shipments. The inspection of in-transit shipments was 
recommended in 1992. Resolution Conf. 9.7 (Rev. CoP13) consolidates the 
earlier resolutions concerning in-transit shipments.
    These proposed regulations reflect the recommendations of the CoP 
to prevent misuse of the in-transit exemption. Based on comments 
received about the loss of documents during transit, we revised this 
section to allow the use of a copy of the valid original document for 
in-transit shipments. Transhippers should be aware, though, that if 
shipments are not accompanied by an original CITES document, 
intermediary countries could delay movement of the shipment while they 
determine whether a copy is an accurate copy of the original valid 
document. If we have reason to question an accompanying copy, we will 
contact the Management Authorities in the countries of export or re-
export and final destination.
    The CITES document must designate the name of the importer in the 
country of final destination. The shipment must also be accompanied by 
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 2000, we proposed that in-transit shipments may not be sold, 
manipulated, or split. One commenter stated that this requirement does 
not address what happens if there is a problem with part of a shipment. 
To clarify, we revised the proposed regulations to indicate that an 
inspecting official has the authority to order a shipment to be split 
or manipulated if problems are detected with part of the shipment. 
Another commenter suggested that we add the phrase ``solicited for 
sale'' to the requirement that shipments may not be sold. We did not 
accept this suggestion as it goes beyond the intent of the resolution. 
As long as the goods are not sold while in transit, we are not 
concerned about what kind of solicitations occur.
    A shipment that contains specimens of 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, that arrives in the United States before continuing on to 
another country is considered an import and must meet all import 
requirements. One commenter thought that, if shipments are treated as 
an import, the possible ramifications were unclear. Shippers must meet 
the requirements of all applicable regulations. To clarify, we revised 
this proposed section to reference Sec.  23.3 on other specific 
regulations that may affect the import of protected species, including 
50 CFR part 14.
    Required information on CITES documents (section 23.23): We propose 
a new section to provide details on what information CITES documents 
must contain. It applies not only to documents issued by the United 
States, but also to those issued by other Parties and non-Parties. 
Article VI of the Treaty 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. The resolution on 
permits and certificates has been revised at CoPs 2, 3, 7, 9, 10, 11, 
12, and 13. The resulting comprehensive resolution (Resolution Conf. 
12.3 (Rev. CoP13)) provides guidance on all aspects of CITES documents.
    Two commenters stated that we should not reject what they thought 
were otherwise valid documents just because they do not comply with 
U.S. standards. The document standards in these proposed regulations 
are not just U.S. standards, but are based on the Treaty and 
resolutions agreed to by the Parties. 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, provides standard information for annual reports, 
and allows 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. Documents that do not 
contain the required information may be considered invalid documents 
and rejected by any CITES Party.
    One commenter stated that there was no basis to require non-Parties 
to comply with document information requirements. Article X of the 
Treaty requires that documents issued by non-Parties must 
``substantially conform'' with these requirements of the Convention. 
See discussion of proposed section 23.25 in the preamble.
    Most of the information in this proposed section is presented in a 
series of tables, organized alphabetically by required information, 
code, or type of document. This format should help those shipping and 
receiving specimens to understand what information is needed on CITES 
documents. We discuss some of the requirements here to clarify issues 
raised in the past.
    Bill of lading or air waybill (section 23.23(c)(3)): APHIS 
suggested that we make the air waybill and bill of lading information 
mandatory on all documents to assist inspection officials. Although we 
agree that this information helps match a shipment to a document, we 
decline to make this mandatory since the specific information is not 
always known at the time the CITES document is validated.
    Dates (section 23.23(c)(4)): We have had many questions about the 
``valid until date.'' We 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 (section 23.23(c)(5)): The use of 
standard descriptions for a specimen is needed to perform 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 on CITES documents from Parties be 
in English, Spanish, or French (the three working languages of the 
Treaty) to assist inspectors in determining if documents match the 
accompanying shipment.
    One commenter believed that the form should not have to be in 
English, French, or Spanish. The Parties agreed that the form itself 
should be in one of the three working languages of the Treaty to ensure 
that inspecting officials could read the documents. The required 
information on the form itself does not have to be in one of the three 
languages, except for the description of the specimen, which is a 
critical piece of information for inspecting officials. The Parties 
recognized that it is unreasonable to expect inspecting officials 
globally to be conversant in all languages of CITES permit-issuing 
countries. 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

[[Page 20180]]

help prevent or reduce such delays, while assisting in enforcement 
efforts.
    Humane transport (section 23.23(c)(7)): One commenter requested 
that we add a reference to the IATA LAR and CITES guidelines for humane 
shipping in many other sections of the regulations. We do not believe 
it is necessary to repeat this reference throughout the regulations, 
since it is this proposed section that outlines all document 
requirements for the export or re-export of live specimens. Another 
commenter suggested that we not reference a specific IATA LAR volume 
because of continuous changes. We decline to adopt this recommendation 
and have kept the reference to a specific volume since we do not have 
the authority to automatically codify future editions of the IATA LAR.
    Identification of specimen (section 23.23(c)(8)): We propose to 
require that the CITES document contain information on any unique 
number or mark that is used to identify a specimen. If the specimen has 
a microchip, the specific information concerning the code, trademark of 
the transponder manufacturer, and location of the chip will need to be 
on the CITES document and, if necessary, we may ask the importer, 
exporter, or re-exporter to have the equipment on hand to read the 
microchip at the time of import, export, or re-export.
    One commenter stated that we should not mandate marking that is 
required under a resolution unless that resolution is also codified. We 
revised the proposed regulations to clarify that specimens must be 
marked using any mark required under these regulations or a CITES 
listing annotation. To effectively implement CITES, we may require that 
specimens be marked if a mark is necessary to support findings of legal 
acquisition and non-detriment. We also require marking information for 
CITES documents that we issue to ensure that exports or re-exports are 
not seized abroad.
    Purpose of transaction (section 23.23(c)(11)): Resolution Conf. 
12.3 (Rev. CoP13) lists standard transaction codes that are to be used 
on documents. These are the same codes used by Parties in their CITES 
annual reports.
    Quantity (section 23.23(c)(12)): Shipments have been presented for 
clearance with quantities identified as ``one box'' or ``one case.'' 
These quantities lack clear information about the actual amount of 
wildlife or plants in the shipment. One 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 
logs and sawn wood, which should be shown as cubic meters. Based upon 
comments from APHIS, and information from CBP, the timber industry, and 
other CITES Parties, we have clarified that veneer and plywood should 
be shown as either square meters or cubic meters. To monitor trade 
effectively, we need records on quantities that actually reflect the 
volume of that trade.
    Scientific name (section 23.23(c)(13)): We propose that a CITES 
document must contain the scientific name of the species, which must 
follow the standard nomenclature as it appears in the CITES Appendices 
or in the references adopted by the CoP. The CITES website contains the 
Appendices and a species database for easy query by common or 
scientific name. Resolution Conf. 12.11 (Rev. CoP13) provides 
guidelines on standard nomenclature and contains a list of taxonomic 
and nomenclatural references adopted by the CoP as the official 
standard references for species included in the Appendices. UNEP-World 
Conservation Monitoring Centre (WCMC) publishes the Checklist of CITES 
Species, which provides the official digest of scientific names 
contained in the standard references. The checklist contains an 
alphabetical list of CITES species, their scientific synonyms, their 
common names in English, French, and Spanish (to the extent that these 
were available to the compilers) and the Appendix in which they are 
listed. 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.
    One commenter stated that we should not require subspecies 
information on the CITES document. 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. For example, under CITES, three subspecies of cougar (Puma 
(=Felis) concolor coryi, P. c. costaricensis, and P. c. cougar) are 
listed in Appendix I, while all other subspecies are listed in Appendix 
II.
    Resolution Conf. 12.3 (Rev. CoP13) recommends situations when a 
higher taxon name (such as genus or family) could be used on a CITES 
document. We propose to 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 the information to 
the Secretariat, or when the item is a pre-Convention manufactured 
product containing a specimen that cannot be identified to the species 
level. The Parties have agreed to the use of higher taxon names for 
coral rock and live and dead coral under certain conditions.
    Signature (section 23.23(c)(16)): We propose to require that the 
signatures of individuals authorized to sign CITES documents for a 
Management Authority must be on file with the Secretariat. This 
requirement will help us determine if a document is valid and avoid 
delays in the clearance of shipments.
    Validation (section 23.23(c)(21)): We revised the paragraph to 
reflect one commenter's statement that validation is required whether 
the shipment is physically inspected or not.
    Additional information (section 23.23(e)): The 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.
    One commenter noted that quota information is not standardized so 
that this required section was premature. We did not change this 
section since the information that is required to appear on the face of 
a CITES document has been standardized by the Parties. We agree, 
however, that the system used internally in each country to account for 
quotas is not standardized. The Parties discussed export quotas at 
CoP12 and CoP13 and forwarded the issue to the Standing Committee for 
further consideration.
    Phytosanitary certificates (section 23.23(f)): CITES allows 
phytosanitary certificates to be used in lieu of CITES certificates to 
export certain artificially propagated plants under specific 
circumstances. At CoP12, the Parties agreed in Resolution Conf. 12.3 
(Rev. CoP13) that the phytosanitary certificate was valid only to 
export plants that were artificially propagated in the exporting 
country. The phytosanitary certificate should not be used for the 
subsequent re-export of such plants. Paragraph (f) lists information 
that is required on these certificates. At this time, the United States 
does not use phytosanitary certificates in lieu of CITES certificates.
    Source of the specimen (section 23.24): The source of a specimen is

[[Page 20181]]

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 U.S. 
Management Authority will determine the appropriate code based on 
information provided in an application. At CoP12, the Parties agreed to 
add source code ``O'' for pre-Convention specimens to conform with the 
Guidelines for the preparation and submission of CITES annual reports. 
Parties should assign the code ``O'' in conjunction with another code.
    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'' and traded under an Article-VII exemption certificate 
only if the specimen meets the requirements adopted by the CoP as 
``bred-in-captivity'' (see proposed section 23.63). In addition, for 
Appendix-I wildlife, the specimen must have been bred for noncommercial 
purposes. If a specimen does not meet these criteria, it is assigned 
the source code ``F'' and requires CITES documents under Articles III, 
IV, or V of the Treaty. For export of Appendix-I wildlife, see the 
discussion in the preamble for section 23.18.
    Additional information required on non-Party documents (section 
23.25): This section provides the additional information that is 
required on non-Party documents. Article X of the Treaty allows a Party 
to accept documentation from a non-Party if it is issued by the 
competent authority and substantially conforms to 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 (Rev. CoP13) 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 of the Treaty. Therefore, we propose to incorporate the 
requirements of Resolution Conf. 9.5 (Rev. CoP13) on trade with non-
Parties and Resolution Conf. 12.3 (Rev. CoP13) on permits and 
certificates. This means a non-Party CITES document would need to 
contain essentially the same information as a Party document plus the 
additional certifications in this section for us to consider it valid.
    Valid CITES documents (section 23.26): Article VIII of the Treaty 
outlines measures that Parties should take to enforce the provisions of 
the Convention. Resolutions Conf. 9.9, 11.3 (Rev. CoP13), and 12.3 
(Rev. CoP13) 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 section in the regulations to outline 
what requirements must be met for CITES documents to be considered 
valid. Several commenters objected to our reviewing the legal and 
scientific bases for a CITES document issued by another country. They 
believe we should accept a document if it is not procured by fraud and 
meets Article VI of the Treaty. We have the authority to question any 
shipment and its accompanying documents if the surrounding facts 
indicate a potential violation or create a reasonable suspicion of a 
violation. Section 10(g) of the ESA places the burden on a permittee to 
prove that the document was valid and in force at the time of entry 
into the United States. Foreign countries have the same discretion to 
inquire about documents we have issued. As noted by the United States 
District Court for the District of Columbia in Castlewood Products v. 
Norton (Apr. 16, 2003), the role of all CITES Parties is to ensure that 
international trade in CITES specimens meets the provisions of the 
Convention, and that the Government has the authority to decline to 
accept export permits at face value when reason is shown to doubt their 
validity.
    We present this information on valid documents in a table arranged 
alphabetically by key phrase to assist importers and exporters. Most of 
the requirements are self-explanatory. However, we believe it would be 
helpful to discuss some in more detail.
    Management Authority and Scientific Authority (section 
23.26(c)(7)): We propose to incorporate the recommendations of 
Resolutions Conf. 9.5 (Rev. CoP13), 10.3, and 11.3 (Rev. CoP13) 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.
    One commenter objected to this requirement while two commenters 
supported it. To clear a shipment, we must be satisfied that the 
required findings have been made for documents issued by a Party or 
non-Party. Without these findings, CITES documents are not valid. When 
a country designates a Management Authority and Scientific Authority, 
those offices assume the responsibility to make the needed findings 
before issuing CITES documents. Information provided through the 
Secretariat on the designation of these offices allows the U.S. to 
ensure that the government office issuing the CITES document had the 
capability and legal authority to make the required findings and issue 
the document.
    One commenter thought that this section implied that a nation must 
have its own authorities. Although most countries designate their own 
Management Authority and Scientific Authority, joint authorities could 
meet the criteria. For example, CITES has supported the concept of 
shared Management Authorities or shared Scientific Authorities for 
island developing nations.
    Ranched specimen: In 2000, we proposed not to allow trade in 
specimens from species that have been transferred from Appendix I to 
Appendix II based on ranching from a non-Party or a Party that has 
taken a reservation on the species based on a recommendation in 
Resolution Conf. 10.18. That resolution was repealed at CoP11. We agree 
that this provision is not necessary as we accept shipments from a non-
Party or a reserving Party only when the document is issued by a 
competent authority and it substantially conforms to the requirements 
of the Treaty. Thus, we have not included any conditions for ranched 
specimens in the table in this new proposal.
    Shipment contents (section 23.26(c)(13)): The proposed language 
reflects current practice. CITES documents must be obtained before the 
shipment occurs; the specimen must be identified on the document; and 
the shipper may not substitute a new specimen to replace the one 
authorized. 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 
quantity being shipped. The

[[Page 20182]]

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 (section 23.26(c)(14)): Quotas may be established 
voluntarily by Parties, adopted by the CoP through a resolution or 
proposal to amend Appendices I or II, or put into place through the 
review of significant trade in Appendix-II species (Resolution Conf. 
12.8 (Rev. CoP13). The Secretariat notifies the Parties of these quotas 
each year, and we propose to require that the quantity exported may not 
exceed the quota.
    Verification of CITES documents (section 23.26(d)): This section 
outlines the situations when we may request verification of documents 
from the Secretariat or the Management Authority of any country 
involved in the shipment. They include instances when we have 
reasonable grounds to believe a document is not valid or authentic.
    Two commenters recommended that the United States request specific 
information to support the non-detriment findings made by other 
countries for each species they export to the United States. We did not 
incorporate this suggestion and believe it goes beyond the intent of 
the Treaty. Although we agree it is important that certain CITES 
documents only be used when a non-detriment finding has been made, we 
rely on Parties or non-Parties to make appropriate findings and would 
seek additional information only when we have a specific reason to do 
so. The Plants and Animals Committees regularly evaluate whether 
Parties are properly making non-detriment findings through the 
significant trade review process. In addition, we request information 
on non-detriment findings made by other countries, including quotas 
established by Parties, when we have a need to question a shipment or a 
pattern of trade. If the commenters are concerned about a non-detriment 
finding that is currently being accepted, they should provide us with 
any relevant information for our review.
    Presentation of CITES documents at the port (section 23.27): 
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 importers and 
exporters, we propose this new section, which provides a table that 
outlines the type of U.S. and foreign documents they must present for 
validation or certification or surrender when importing, introducing 
from the sea, exporting, or re-exporting CITES species. Based on 
comments from APHIS, we updated the reference to the general 
requirements for import and export of plants.
    One commenter believed that we should allow CITES documents to be 
submitted after the fact for CITES specimens that are part of 
accompanying baggage when Customs and Agriculture fail to collect the 
documents. We, or APHIS or CBP for plants, are the agency from which 
any importer or exporter must obtain release under CITES. Persons 
should contact the responsible agency prior to importing wildlife or 
plants as accompanying baggage. Importers unable to submit CITES 
documents to us, APHIS, or CBP for noncommercial shipments in 
accompanying baggage at the time of entry should contact the 
appropriate office as soon as possible after arrival.
    Based upon suggestions from APHIS, we clarified sections of the 
table to indicate that we, APHIS, or CBP will validate a copy of a 
multiple-use document if the document is so conditioned. We also added 
a footnote indicating that the CITES mailing label for scientific 
institutions does not require validation, but the scientific 
institution must present the package, which has the CITES mailing label 
affixed to it, for inspection at the time of export, re-export, or 
import (see 50 CFR part 14).

What Are the Proposed Changes to Subpart C of 50 CFR Part 23--
Application Procedures, Criteria, and Conditions?

    This proposed subpart expands the current section 23.15(c) through 
(f) to provide information on how to apply for a U.S. CITES document. 
It also contains proposed general provisions and criteria that apply to 
both U.S. and foreign CITES documents.
    Application procedures (section 23.32): We propose a new section 
that 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. An applicant should review the issuance criteria 
for all relevant regulations when preparing an application to ensure he 
or she understands the kinds of information we need. This review will 
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 of the 
Treaty can be met or whether we need to process the application under 
the standard CITES requirements of Articles III, IV, or V (see proposed 
sections 23.35-23.39). If we find that the application is incomplete, 
we will contact the applicant for additional information. If the 
applicant does not respond to our request within 45 days, we will 
abandon the file. We will not re-open the application if the applicant 
sends the additional information at a later date. The applicant may, 
however, submit a new application, including any relevant application 
fees, if he or she still wants to pursue obtaining a permit.
    Decisions on applications (section 23.33): 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.
    One commenter suggested that we accept at face value biological 
non-detriment findings of the exporting range countries and the quotas 
set by the CoP. We decline to incorporate this suggestion (see 
discussion for proposed section 23.61 in the preamble). Another 
commenter asserted that the regulations do not provide a reasonable 
alternative to expensive court action when permits are denied. We note 
that the general permit procedures in 50 CFR part 13 set out a review 
process to be followed if an application, including a CITES 
application, is denied. If the applicant objects to the denial of an 
application, he or she may request reconsideration and then appeal the 
decision, if necessary. The reconsideration or appeal review will be 
based on the original application and any explanation of either how we 
have misinterpreted the information or made a procedural or technical 
error in our original review of the application.
    Records (section 23.34): We propose this new section to summarize 
the types of general records that potential applicants may want to keep 
for specimens that have been in or may

[[Page 20183]]

enter international trade. Many orchid hobbyists and commercial growers 
expressed great concern that the documentation requirements in the 2000 
proposal were excessive and impractical. Concerns included comments 
that plants are traded, gifted, and otherwise exchanged freely within 
the United States without specific receipts; document requirements 
should be different for orchids since they are easy to propagate, 
produce a large number of offspring, and are easy to hybridize; 
recordkeeping requirements should not be the same for hobbyists and 
commercial nurseries; and hybrids should be exempt from regulation 
since they are artificially propagated.
    After considering the comments, we recognize that our 2000 proposal 
on records and legal acquisition (see proposed section 23.60 in the 
current proposal) was not clear. Our intent was to reflect how we 
currently conduct business. Thus, we revised the proposed regulations. 
This section on records provides examples of the kinds of records 
potential applicants may want to keep if they intend to trade in CITES 
species internationally (see the discussion for proposed section 23.2 
in the preamble concerning possession and domestic trade). Although the 
applicant for a CITES document needs to provide sufficient information 
for us to make the legal acquisition finding, we base the amount of 
information we need on the risk that the specimen was illegally 
acquired. These factors take into account many of the issues raised by 
commenters. For example, we consider whether the specimen is a hybrid; 
is common in captivity in the United States; breeds or propagates 
readily; has little illegal trade; and is commonly imported. We give 
less scrutiny and require less information when the trade poses a low 
risk and exert more scrutiny and require more detailed information when 
the proposed activity poses greater risk.
    A few commenters believed that the recordkeeping provisions for 
exempt plant material, such as flasked orchid seedlings, went beyond 
the requirements of CITES. We disagree because the exemptions 
recognized by the Parties for a number of plants are narrowly applied 
to those particular specimens. Once those exempt plant materials take a 
different form (such as a seedling removed from a flask and entered 
into cultivation or a plant grown from an exempt seed), the new 
specimen requires CITES documents to be traded internationally. We 
have, however, revised the proposal to only ask for records that 
document the name and address of the source of the exempt plant 
material. We are no longer proposing to ask for information on the 
cultivated origin of exempt seeds because at CoP13 the Parties agreed 
that plants grown from exempt plant material under controlled 
conditions qualify as artificially propagated.
    Some commenters contended that we should grandfather or grant 
amnesty to Appendix-II specimens known in cultivation for more than a 
set number of years. We did not adopt this suggestion. For specimens to 
be eligible for certain CITES documents, we have to be satisfied that 
the specimens were legally acquired. We cannot exempt specimens from 
this finding regardless of the length of time they have been in 
cultivation. We can, however, use a less rigorous paperwork 
requirement, as we have done through the risk assessment process 
described above.
    A few commenters contended that documentation is all but useless in 
effectively monitoring whether the trade in orchids is legal. We 
disagree and believe that documents have effectively worked as the 
centerpiece of CITES trade controls. A CITES document indicates that a 
Party has made the findings to show that the specimen was legally 
acquired and the trade is not detrimental to the survival of the 
species. In addition, our use of risk assessment as described above 
allows us to consider all factors, not just documents.
    One commenter thought it would be anti-competitive for a nursery to 
be required to disclose the source of plants. We note that each 
application form contains a notice under FOIA. Organizations, 
businesses, or individuals operating as a business must identify any 
information that should be considered privileged and confidential 
business information to allow us to meet our responsibilities under 
FOIA. Confidential business information must be clearly marked 
``Business Confidential'' and be accompanied by a nonconfidential 
summary of the confidential information. The nonconfidential summary 
and remaining documents may be made available to the public under FOIA.
    One commenter suggested we use ``sequential ownership'' rather than 
``multiple ownership'' to clarify that we do not mean joint title. We 
agree and revised the text to reflect this change. Several commenters 
were concerned that importers were not provided copies of CITES 
documents at the port of entry and asked if we would provide free 
copies of prior documents if requested. We note that it is important 
for persons who plan to conduct international trade to keep copies of 
CITES documents. This is especially true if the specimen or its parts, 
products, or derivatives are to be re-exported. A re-export certificate 
can be issued only if we have the permit number and date of issuance of 
the foreign CITES document under which the specimen was imported. This 
is one instance when we will be looking for sequential ownership 
records. If a person did not get a copy of a CITES document at the time 
of entry into the United States, he or she should contact us to obtain 
copies as soon as possible. Copies of CITES documents may be requested 
from us through FOIA, but such documents may not be available after a 
few years. If the requester qualifies for the fee waiver under FOIA, 
there is no charge.
    Two commenters questioned the legal basis for requiring records to 
show (a) that the cultivated parental stock was established in 
accordance with CITES and relevant national laws for a plant to qualify 
as artificially propagated or (b) the chain of custody. We have a 
responsibility under the Treaty to make a legal acquisition finding 
before issuing certain CITES documents. In the case of artificially 
propagated plants, the Parties agreed to an interpretation of 
``artificially propagated,'' which includes whether the cultivated 
parental stock was legally established. In the case of sequential 
ownership, we may need to look further to be satisfied that there is no 
illegality in the chain of custody. The amount of information we need 
depends on the risk associated with the proposed activity as described 
in the application.
    A few commenters thought we should change the recordkeeping for 
wild-collected specimens taken on public land where no permit is 
required. We agree and have revised the text. When applying for a 
permit, persons who collect on public land where no permit is required 
should provide information on when and where the specimen was collected 
and state that no permission was required. We will contact the 
appropriate State or Federal agency that has jurisdiction over 
collection of wildlife or plants on that land.
    General requirements for standard CITES documents (sections 23.35-
23.39): The basic requirements for U.S. and foreign CITES documents 
have not changed since the Treaty took effect in 1975, and are the same 
as in the current regulations (section 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. Each proposed section provides information to help an applicant 
determine which application form to

[[Page 20184]]

request. The forms can be obtained from our website or requested by 
phone, mail, or e-mail (see proposed section 23.7).
    Each proposed section 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. 12.3 (Rev. CoP13) on 
permits and certificates.
    As discussed earlier, to comply with Resolution Conf. 12.3 (Rev. 
CoP13), CITES documents must show the scientific name of the species 
based on the standard nomenclature in the CITES Appendices or the 
references adopted by the CoP. We propose to add this requirement as an 
issuance criterion to conform to the resolution, expedite review of 
permit applications, and ensure that documents are issued for the 
correct species.
    Prior issuance of an import permit (section 23.35(e)): Under 
Article III of the Treaty, before a Management Authority can issue an 
export permit for an Appendix-I specimen, it must be satisfied that an 
import permit has been issued for the specimen. However, some countries 
have stricter national measures that require the export permit to be 
issued before they can issue an import permit. Resolutions Conf. 10.14 
(Rev. CoP13) and 10.15 (Rev. CoP12) 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 issued. Thus, 
for the export of live and dead Appendix-I specimens and re-export of 
live Appendix-I specimens (as required by Article III of the Treaty), 
we propose that the issuance criteria can be met either by showing that 
the import permit has been issued or by providing confirmation from the 
Management Authority of the importing country that the import permit 
will be issued. 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.
    One commenter suggested that a written confirmation from the 
appropriate authority in the form of a letter, fax, e-mail, or similar 
media should be acceptable, with allowance for oral confirmation in an 
urgent situation to be followed by written confirmation. We agree that 
these types of written communications could confirm that an import 
permit has been or will be issued. We also agree that oral confirmation 
may be acceptable, but only under exceptional circumstances since oral 
confirmation is open to misunderstanding. We revised the text to 
clarify that confirmation should be in writing except when the life or 
health of a specimen is threatened and no timely means of written 
communication is possible.
    Export permits (section 23.36): To comply with Article II of the 
Treaty, we propose that the export of Appendix-I wildlife that only 
qualifies as source code ``W'' or ``F'' must be for noncommercial 
purposes (see discussion in the preamble for proposed section 23.18). 
This proposed new provision means that facilities that are commercially 
breeding Appendix-I wildlife need to become registered under proposed 
section 23.46 before they can export Appendix-I specimens. This does 
not affect the sale of specimens within the United States, only the 
commercial export of such specimens, nor does it preclude the export of 
specimens where the export is noncommercial, such as for purposes of 
science, conservation, or personal use.
    We propose to add language to address the exemption in Article XIV 
paragraphs 4 and 5 for certain Appendix-II marine species protected 
under another treaty, convention, or international agreement that was 
in force on July 1, 1975 (the date of entry into force of CITES). 
Export of a marine specimen exempted under Article XIV requires a CITES 
certificate indicating that the specimen was taken in accordance with 
the provisions of the other treaty, convention or international 
agreement.
    Re-export certificate (section 23.37): A re-export certificate is 
required for the export of Appendix-I, -II, and -III specimens that 
were previously imported, including items subsequently converted to 
manufactured goods. A certificate may be issued when evidence of legal 
import has been provided.
    Certificate of origin (section 23.38): This document allows the 
export of a specimen of species listed in Appendix III when the 
specimen originated in a non-listing country. Current regulations 
(section 23.12(b)(2)) provide only general information about a 
certificate of origin. We are proposing a new section to provide 
specific information on the application form and issuance criteria for 
a certificate of origin. One commenter was concerned about the 
inconvenience of obtaining a CITES certificate of origin from a 
country's Management Authority when often a certificate is issued on a 
local level, especially for hunting trophies. The commenter suggested 
that a certificate of origin from the local authorities should be 
acceptable for Appendix-III and some Appendix-II species. We note that 
a certificate of origin is acceptable under CITES only for Appendix-III 
species. Resolution Conf. 12.3 (Rev. CoP13) recommends that a 
certificate of origin be issued by a country's designated Management 
Authority and that Parties accept a document only if it is issued by 
such authorities. Although permission to hunt may be granted locally, 
export is often a function of a country's national government. However, 
a central national office that is the designated Management Authority 
may delegate issuance authority to field or local offices, such as 
provincial offices, for all CITES documents, not just certificates of 
origin.
    Introduction from the sea (section 23.39): Paragraphs 4 and 5 of 
Article XIV of the Treaty provide a limited exemption for certain 
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 date of entry into force 
of CITES). For introductions from the sea, this exemption applies only 
to specimens that were harvested by a ship registered in the country of 
introduction that is also a party to the pre-existing treaty. This is 
in keeping with Article XIV paragraph 4 and with the intent of the 
provisions of Article IV of the Treaty. It also supports the CITES goal 
of exempting only those introductions from the sea that are certified 
as being in compliance with a pre-existing treaty by a party to that 
treaty who is competent to make such a certification. Should a 
commercially exploited marine species that is exempt under Article XIV 
be listed in the future, implementation details may need to be 
addressed at the time of listing.
    Certificates for artificially propagated plants (section 23.40): 
The Parties recognize that it is sometimes necessary to approach plants 
differently than wildlife because of the unique aspects of plant 
biology and trade. This proposed section implements Article VII(5) of 
the Treaty and allows us to issue a certificate for artificially 
propagated plants. This includes specimens of Appendix-I species 
propagated for noncommercial purposes or traveling as part of an 
exhibition, certain Appendix-I hybrids (see proposed section 23.42), 
and specimens of Appendix-II or -III species propagated for any 
purpose. (See proposed section 23.47 to export Appendix-I plants 
propagated for

[[Page 20185]]

commercial purposes under Article VII(4) of the Treaty.)
    We propose to adopt the conditions of Resolution Conf. 11.11 (Rev. 
CoP13) to decide whether plants qualify as artificially propagated (see 
proposed section 23.64). This resolution clarifies that not all 
cultivated plants grown under controlled conditions qualify as 
artificially propagated, and a shipper may need a CITES export permit 
rather than a certificate for artificially propagated plants. An 
Appendix-I plant that qualifies for this exemption does not need a 
CITES import permit.
    Some certificates for artificially propagated plants are issued 
with an inventory sheet as part of the CITES document. APHIS asked that 
we clarify whether a permittee is authorized to add native plants to 
the inventory sheet. Generally, propagators of native plant species are 
issued a CITES document on which we list the native plant species 
authorized for export. The permittee is not authorized to add species 
to the CITES document. All CITES documents are issued with specific 
conditions that contain language on how a permittee is to use the 
document. This language is found in block 5 of the CITES document and 
on the accompanying inventory sheet and, in some cases, on a separate 
sheet containing special conditions attached to the document. We 
emphasize how important it is that permittees and inspectors read all 
the conditions on the CITES document and call the U.S. Management 
Authority if questions arise or if the conditions are not clear.
    Several commenters urged us to revise the CITES regulations to make 
artificially propagated Appendix-I specimens available for any purpose, 
including commercial purposes, since they believe that the widespread 
artificial propagation of orchid species serves as a major deterrent to 
the collection of orchid species from the wild. The proposed 
regulations in section 23.47 already provide procedures for the export 
of Appendix-I plants that were artificially propagated for commercial 
purposes.
    Bred-in-captivity certificates (section 23.41): Wildlife bred-in-
captivity is also covered under Paragraphs 4 and 5 of Article VII of 
the Treaty. In adopting Resolutions Conf. 10.16 (Rev.) and 12.10 (Rev. 
CoP13), 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 section 23.46 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 allows us to 
issue a bred-in-captivity certificate for specimens of Appendix-I 
species bred for noncommercial purposes (see proposed section 23.5) or 
traveling as part of an exhibition, and specimens of Appendix-II or -
III species bred for any purpose. At CoP12, the Parties agreed that 
facilities that are breeding Appendix-I species for noncommercial 
purposes must be participating in a cooperative conservation program 
with one or more of the range countries for that species. We propose to 
adopt this provision. If the breeding facility is not participating in 
a cooperative conservation program, specimens will be assigned the 
source code ``F'' and are not eligible for a bred-in-captivity 
certificate. Export of such Appendix-I specimens would only be allowed 
when the export is for noncommercial purposes (see the discussion in 
the preamble to proposed section 23.18). We also propose to adopt the 
recommendations of Resolution Conf. 10.16 (Rev.) for specimens bred-in-
captivity (see proposed section 23.63). Appendix-I wildlife that 
qualifies for a bred-in-captivity certificate does not need a CITES 
import permit.
    General information on hybrids (sections 23.42 and 23.43): At CoP2, 
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 CoP10 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 (section 23.42): Resolution Conf. 11.11 (Rev. CoP13) 
on trade in plants contains provisions 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 or -III hybrid by a 
specific annotation to the Appendices (see proposed section 23.92). At 
CoP10, a number of artificially propagated hybrids of some 
``supermarket'' cacti were granted a general exemption, and at CoP13, 
artificially propagated hybrids of the orchid genera Cymbidium, 
Dendrobium, Phalaenopsis, and Vanda were granted an exemption under 
certain conditions.
    Plant hybrids are subject to CITES controls if one or both parents 
are listed 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 allow artificially propagated hybrids of 
one or more Appendix-I species or taxa that had not been annotated to 
include hybrids to be traded with a certificate for artificially 
propagated plants. In addition, seeds and pollen (including pollinia), 
cut flowers, and flasked seedlings or tissue cultures of these 
Appendix-I artificially propagated hybrids are exempt from CITES 
controls and do not require CITES documents (see proposed section 
23.92).
    One commenter stated that all hybrids should be exempt from CITES 
document requirements. We did not accept this suggestion. See the 
general discussion of hybrids above for the basis of applying CITES 
requirements to hybrids of CITES species.
    Another commenter stated that CITES Resolution Conf. 9.18 (Rev.) 
(replaced by Resolution Conf. 11.11 (Rev. CoP13)) amounted to an 
amendment of the Treaty and, therefore, should not be implemented until 
it has been ratified by Congress. We disagree since resolutions are not 
amendments to the Treaty, but are interpretations of the Treaty's 
requirements that are agreed upon by the Parties. Absent an amendment 
to the Treaty, there is no requirement to seek the advice and consent 
of the Senate. If such consultation were required for interpretations 
of CITES, we would not be able to readily implement any of the 
interpretations of the Treaty agreed to by the Parties, including 
measures like the flasked seedling exemption, which represents a 
relaxation of permit requirements for plant specimens.
    The same commenter stated that the rule would increase the reach of 
the Treaty by treating orchid hybrids the same as species. We again 
disagree because the treatment of plant hybrids in the proposed rule is 
based on existing CITES resolutions, and we have always regulated 
hybrids according to the interpretation of the Treaty by the Parties. 
Therefore, these proposed regulations do not represent a change in

[[Page 20186]]

the scope of the Treaty or the way we apply it to plants.
    Wildlife hybrids (section 23.43): In Resolution Conf. 10.17 (Rev.), 
the Parties agreed that wildlife hybrids with one or more Appendix-I or 
-II specimens in their recent lineage are controlled under CITES. The 
term ``recent lineage'' means the previous four generations of a 
specimen's ancestry. We anticipate most hybrids that include a CITES 
species will continue to be regulated by CITES (note that the proposed 
definition of ``species'' includes hybrids since hybrids are controlled 
under CITES). A hybrid would be excluded from CITES controls only when 
non-listed CITES species appear in its ancestry for the past four 
generations. For example, a specimen who's ``great-great-great 
grandfather'' was a CITES-listed species would not be considered to be 
listed under CITES if all specimens within the past four generations of 
direct line of descent were species that are not listed under CITES. 
Also, a hybrid of species included in a higher-taxon listing, such as 
parrots or cats (excluding domestic cats) generally would be regulated 
by CITES because the crosses usually are between species within that 
taxon.
    We propose to require an excluded wildlife hybrid to be accompanied 
by a CITES document or letter, issued by the Management Authority of 
the country of export or re-export. The letter would need to certify 
that the wildlife hybrid contains no CITES species in its recent 
lineage. Because not all countries will be aware of this U.S. 
requirement, a person who plans to import an excluded 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, a person should submit an application to our office that 
includes information on the hybrid's lineage. After reviewing the 
information, we will determine if we can issue a letter or if a CITES 
document is required.
    We propose not to require a domestic dog or cat that has no CITES 
species in its recent lineage to be accompanied by a letter or CITES 
document. Note, however, that wolf (Canis lupus)-domestic dog hybrids 
that include wolf in the last four generations and domestic cats that 
include CITES cats in the last four generations (e.g., some Bengal 
cats) would need to be accompanied by a letter or CITES document upon 
export, re-export, or import.
    Two commenters questioned the legal basis for the four-generation 
rule, stating that captive hybrids are biologically dead as a wild 
species. This proposed section addresses the issue of hybrids in a 
manner that reflects the multilateral interpretation by the Parties. 
Because some hybrids are phenotypically similar in appearance to the 
parent species, the failure to control trade in hybrids would create 
difficulties in enforcing CITES for the listed parent species. We 
believe the four-generation rule is a reasonable approach to ensure 
that trade in hybrids does not undermine the effective control of trade 
in CITES species.
    The same two commenters also questioned the scientific basis for 
the four-generation rule. The Parties adopted the four-generation rule 
because they made the judgment that a fifth-generation or more distant 
generation hybrid of a listed species had a negligible genetic 
relationship to the listed species.
    One commenter recommended that we delete this provision and 
questioned the practicality of the rule as it would be impossible to 
show that no CITES species is within four generations of the lineage of 
a specimen, especially for specimens taken on game ranches where 
hybridization is known to occur with some species. We did not adopt 
this suggestion because the provision provides a mechanism to exclude 
some hybrids from CITES controls while helping us maintain trade 
controls on hybrids that the Parties have agreed to regulate. To 
qualify for the exclusion, a person needs to provide genealogical 
records (pedigrees) showing that no specimen of a CITES species was 
included in the past four generations. Without such records, which are 
generally kept by breeders, you must apply for a CITES document.
    Another commenter was concerned that the importer of wildlife 
hybrids will frequently get caught without a proper document and 
suggested that retrospective documents should be available to importers 
who were unaware of the requirement. We disagree and note that this 
section provides an exclusion under very limited circumstances. We 
emphasize that for an importer to be eligible for a retrospective 
document, he or she must meet the proposed requirements of section 
23.53.
    Personally owned live wildlife (section 23.44): Article VII(3) of 
the Treaty provides that, in some circumstances, the provisions of 
Articles III, IV, and V of the Treaty 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 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 should simplify the 
procedure for people who frequently travel internationally with 
companion animals or wildlife used in noncommercial competitions, such 
as falconry. The certificate of ownership acts like a passport, but can 
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.
    Several commenters strongly supported this provision as a way to 
reduce the burden on pet owners and the U.S. Management Authority while 
supporting wildlife protection laws. One commenter suggested that, when 
the permittee no longer owns the wildlife, he or she should be required 
to provide information on the disposition of the wildlife, such as 
death or sale, at the time he or she returns the certificate. We agree 
and have revised the condition to include this requirement.
    Pre-Convention specimen (section 23.45): Under Article VII(2) of 
the Treaty, a specimen acquired before the provisions of CITES applied 
to the species is exempt from Articles III, IV, and V of the Treaty 
when a Management Authority issues a certificate. Resolution Conf. 13.6 
provides guidance on determining when a specimen is considered pre-
Convention. We propose to define the term ``pre-Convention'' in section 
23.5 and clarify in this proposed section the general provisions that 
apply to the acceptance and issuance of pre-Convention documents. One 
commenter suggested we define ``acquisition date.'' Another suggested 
we define ``pre-Convention date'' separate from ``pre-Convention'' 
since the date is an additional piece of information required for a 
valid pre-Convention document. We did not adopt these suggestions, but 
did revise the definition of ``pre-Convention'' in proposed section 
23.5 and the text in proposed section 23.23(e)(9) for clarity.
    Before CoP13, the date that a Party considered a specimen to be 
pre-Convention varied depending on when the Party joined CITES and if 
it had taken a reservation on the species listing. At CoP13, the 
Parties agreed that

[[Page 20187]]

the pre-Convention date should be the same for all Parties and set it 
as the date on which the species was first listed in the Appendices. 
The Parties also agreed to advise holders of pre-Convention 
certificates to check with the importer or with the Management 
Authority of the country of destination whether the importing country 
would accept the certificate.
    Before we can issue a pre-Convention certificate, the applicant 
must provide sufficient information for us to determine that the 
wildlife or plant (including parts, products, and derivatives) was 
removed from the wild or born or propagated in a controlled environment 
before the first date that CITES applied to the specimen. This 
information also is needed for products (such as manufactured items) or 
derivatives subsequently made from such specimens. If the specific 
acquisition date is unknown or cannot be proved, then the applicant 
should provide any subsequent and provable date on which the item was 
first possessed by a person.
    The pre-Convention status applies to the specimen, not to when it 
was possessed by the current owner. The applicant can provide 
information to show the specific date the specimen was acquired, or if 
that specific date is not known, he or she can provide information to 
show that it was acquired prior to the date the species was first 
listed in CITES. The Treaty requires that, before issuing an exemption 
document, a Management Authority must be satisfied that a specimen was 
acquired before the date the provisions of CITES applied to it. We 
recognize that exact purchase or import records may not be available 
for some pre-Convention specimens and accept a wide range of 
information to show the pre-Convention status of a specimen. An 
applicant should state that the specimen is pre-Convention and document 
the origin to the best of his or her ability. If receipts or invoices 
are not available, applicants may provide other documents, such as 
photographs, catalogs, advertisements, or inventories that can attest 
to the origin of the specimen. For example, an antique dealer may not 
be able to provide the specific date an item was manufactured, but may 
be able to provide information that shows the item dates to the 16th 
Century.
    Even antiques that are at least 100 years old that clearly qualify 
as pre-Convention must be accompanied by pre-Convention documents. One 
commenter suggested that we be flexible in evaluating the documentation 
for antiques and accept errors in the description of antiques. We note 
that the description of an item on a CITES document, whether an antique 
or not, needs to be accurate to ensure that the item being shipped is 
what was authorized. An error in a description may cause a delay in 
clearing a shipment or result in a shipment being detained or seized. 
An unintentional technical error would be considered in any forfeiture 
proceeding.
    Another commenter thought the regulations should not require a 
person to trace ownership of antiques over the past 100 years. The 
general import regulations for antiques under the ESA are found in 50 
CFR part 14. Except in rare situations, we do not require a person to 
show the sequential ownership of pre-Convention specimens including 
antiques. If a CITES species is also listed under the ESA and does not 
qualify under the ESA as an antique, we will ask for information on 
whether the specimen has been sold or offered for sale because an ESA 
species loses its pre-Act status when placed in commerce.
    One commenter questioned whether plants obtained before CITES was 
ratified and their progeny (offspring), including divisions or 
seedlings, were exempt. The Treaty sets out a limited exemption for 
pre-Convention specimens, but requires that such specimens in 
international trade be accompanied by a CITES exemption document. This 
exemption does not include offspring of pre-Convention specimens, 
including plants grown from divisions and seeds. Article VII(2) of the 
Treaty, allows for a Management Authority to issue an exemption 
document when it ``is satisfied that a specimen was acquired before the 
provisions of the present Convention applied to that specimen'' 
[emphasis added]. Offspring of pre-Convention specimens do not meet 
this provision since they did not exist before the provisions of the 
Convention applied. However, plants grown under controlled conditions 
may be eligible for an exemption document as artificially propagated.
    Further, we will no longer apply the definition of pre-Convention 
to cell lines whose originating line was established prior to the 
listing date of the species. These cell lines are continually growing 
and cells are harvested from growing cultures. Applicants who wish to 
export cell lines must comply with CITES requirements, including legal 
acquisition and establishment of the cell line. Cells grown in a 
controlled environment may be eligible for a CITES exemption document, 
such as a bred-in-captivity certificate.
    Another commenter suggested that if the exemption did not apply to 
offspring of pre-Convention specimens, it would constitute a 
retroactive application of requirements. We disagree with the 
commenter's interpretation of the legal concept of ``retroactive.'' The 
provisions that apply to offspring of pre-Convention specimens do not 
apply to international trade that occurred before the effective date of 
the existing CITES regulations, only to subsequent trade.
    One commenter expressed concern that we require proof that a 
specimen was acquired before the provisions of CITES applied to it 
since orchids have been gathered for cultivation for about 150 years. 
The commenter stated that, prior to CITES, few hobbyists, hybridizers, 
or commercial growers had reason to maintain records to support the 
legality of the original acquisition, and many orchid specimens were 
acquired over the years at auctions, as gifts, or in trade. We are 
puzzled by this comment since we have not had requests for pre-
Convention certificates to export orchids. All orchids have been listed 
under CITES since July 1975, and we assume there is little 
international trade in pre-Convention specimens. We also note that this 
is not a change from the regulations that have been in place since 
1977. Again we clarify that the offspring of a pre-Convention specimen 
does not qualify for this exemption.
    One commenter said that, since virtually all who enter the plant 
trade started as amateur growers of plants, the failure to provide some 
means for documenting, for CITES purposes, these plants would cause a 
taking of the commercial productive value of the collection of every 
amateur. We emphasize that the provisions for pre-Convention in these 
regulations do not go beyond the terms of the Treaty. We merely are 
adopting the interpretation of the Parties. There is no taking of 
property, either as a matter of fact or law. We are not limiting trade, 
nor are we affecting the use or transfer of plants within the United 
States. For individuals to be eligible to trade in protected plants 
internationally, they need to follow the provisions of the Treaty, 
which is a multilateral agreement. In fact, meeting the requirements 
agreed upon by the Parties protects property from detention and seizure 
when in international trade.
    One commenter suggested that the use of the word ``qualifying'' in 
the proposed regulations is confusing as it gives the impression that 
only certain Appendix-I species qualify for the exemption. To address 
this concern, we

[[Page 20188]]

revised the text to clarify that no CITES import permit is required for 
an Appendix-I specimen that meets the pre-Convention exemption.
    One commenter asked us to add the term ``manufactured items'' to 
the list of what is pre-Convention under issuance criteria in paragraph 
(d)(1). We adopted this suggestion in the current proposal. Although a 
manufactured item is a subset of the term ``product,'' for some items, 
the date of manufacture into a product can help establish that the item 
qualifies as pre-Convention.
    In 2000, we proposed to establish a voluntary registration of any 
inventory or stockpile of live specimens or parts, products, or 
derivatives when species are initially listed on the CITES Appendices. 
In this notice, we are not proposing to establish such a registration. 
Based on comments received, the purpose of such an inventory was 
confusing to the public. It also created another layer of regulation 
that is not needed to effectively issue pre-Convention certificates.
    Registration of Appendix-I commercial breeding operations (section 
23.46): Article VII(4) of the Treaty provides that specimens of 
Appendix-I species bred for commercial purposes will be deemed to be in 
Appendix II for CITES document requirements. To clarify, a Management 
Authority may grant an export permit or a re-export certificate without 
requiring the prior grant of an import permit, thus allowing specimens 
that originate in a CITES-registered breeding operation to be traded 
commercially. The specimens are still listed in Appendix I and are not 
eligible for any exemption granted to an Appendix-II species or taxon, 
such as less restrictive provisions for personal and household effects.
    The Parties recognize the potential abuse inherent in this 
exemption because 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. We propose to implement Resolution Conf. 12.10 
(Rev. CoP13) and establish application procedures to allow an operation 
to become registered for each Appendix-I species maintained at the 
operation. The registration criteria would include whether the species 
qualifies as bred-in-captivity (see proposed section 23.63).
    In May 2000, we proposed to publish a notice when a registration 
request is received and invite public comment. We now believe that 
publication of such notices in the Federal Register is unnecessary 
because Resolution Conf. 12.10 (Rev. CoP13) requires the CITES 
Secretariat to notify all Parties of all registration requests. If a 
Party objects to, or expresses concern about, the registration within 
90 days from the date of the Secretariat's notification, the 
Secretariat refers the application to the Animals Committee. The 
Secretariat then communicates the recommendations of the Committee to 
the Management Authority of the Party that submitted the application 
and assists in the resolution of the identified problems. If the 
objection is not withdrawn, approval of the registration will require a 
two-thirds majority vote by the parties at the next CoP or by a postal 
vote. Publication of registration requests in the Federal Register 
would not only be duplicative of the review process embodied in 
Resolution Conf. 12.10 (Rev. CoP13), but would also result in delays in 
the processing of registration requests. Moreover, as noted earlier, no 
legal requirement exists for us to obtain public comments on CITES 
applications, and we already make determinations on whether specimens 
qualify as bred-in-captivity for other CITES documents without 
obtaining public comments.
    Appendix-I wildlife from a registered breeding operation can be 
exported with an export permit under Article IV of the Treaty. An 
import permit is not required, and specimens can be used for primarily 
commercial purposes. To date, only four U.S. operations have chosen to 
complete the process of registering, and most U.S. commercial breeders 
are applying for permits under Article III of the Treaty. We propose to 
issue permits under Article III only in exceptional circumstances. This 
reflects the intent of CITES to prohibit trade in Appendix-I specimens 
for primarily commercial purposes when they do not qualify for an 
exemption to allow it. Thus, we encourage breeders to register their 
operations if they plan to trade in Appendix-I specimens 
internationally (see discussion in the preamble for proposed section 
23.18).
    One commenter recommended that closed bands should not be required 
on all birds and that the use of microchips should be allowed as an 
alternative. We agree and have revised the wording in this section to 
indicate that closed-banding is an option and that other marking 
methods may be used. If a microchip is used, we may, if necessary, ask 
the importer, exporter, or re-exporter to have the equipment on hand to 
read the microchip at the time of import, export, or re-export.
    Two commenters stated that what is to be included in a study of 
ecological risks is not clear. We have revised this text so that it no 
longer states that the applicant must conduct a study of the ecological 
risks. In this proposal we have added a criterion for registering an 
Appendix-I breeding operation which states that potential escape of 
specimens or pathogens from the facility may not pose a risk to the 
ecosystem and native species. The Scientific Authority would assess the 
potential impact of the commercial breeding operation on the 
environment in which it is located. Persons requesting registration of 
their breeding operation must provide information on whether there is a 
risk of escape of animals from the facility and identify specific 
measures that have been taken to prevent escape. Applicants should 
address possible risks should these measures fail, including the 
potential for the animals to be invasive if the species is not native 
to the area where the breeding facility is located. If the species 
involved is native to the area, a determination should be made whether 
the stock of the breeding operation is of a different genetic stock 
than the surrounding wild populations. The application must also 
demonstrate that disease will not be transmitted from the breeding 
operation to wild populations, either directly (contact among animals) 
or indirectly (disposal of animal waste, disposal of waste water, air 
exchange, or other means). We will not forward a request to the CITES 
Secretariat to register a breeding operation if the assessment of 
ecological risks indicates a potential for the breeding operation to 
result in harm to the surrounding environment.
    One commenter stated that no system allowing expedited treatment of 
commercial facilities should exclude amateurs. Article VII of CITES has 
different procedures for commercial and noncommercial breeders of 
Appendix-I wildlife. CITES requires a Party to decide which type of 
CITES document to issue based on the purpose of the transaction and the 
ability of the exporter to breed the specimen in captivity. This 
proposed section outlines the registration requirements for operations 
that are breeding Appendix-I wildlife for commercial purposes. The 
requirements for CITES documents for entities that are breeding 
wildlife for noncommercial purposes are found in proposed section 
23.41.
    Exporting Appendix-I plants commercially (section 23.47): 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

[[Page 20189]]

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, provided the parental stock was legally 
obtained in a non-detrimental manner.
    Article VII(4) of the Treaty provides that specimens of Appendix-I 
plants artificially propagated for commercial purposes will be deemed 
to be in Appendix II for CITES document requirements. Just as for 
wildlife in the previous section, this means that a Management 
Authority may grant an export permit without requiring the prior grant 
of an import permit. The specimens are still listed in Appendix I, and 
they are not eligible for any exemption granted to an Appendix-II 
species or taxon. For example, seeds of Appendix-I cycads require CITES 
documents, even if from plants that were artificially propagated for 
commercial purposes and treated as if listed in Appendix II. These 
seeds require a CITES document upon export or re-export showing them as 
artificially propagated and as listed in Appendix I, but they do not 
require an import permit. They would not be exempt from CITES 
requirements, as are seeds of Appendix-II cycads, and they also would 
not be eligible for the personal effects exemption (see proposed 
section 23.15) if obtained outside a person's country of usual 
residence.
    Two commenters thought that a registration system should be 
provided for facilities that propagate Appendix-I plants similar to the 
registration system for wildlife. We note that, at CoP9, the Parties 
adopted Resolution Conf. 9.19 (Rev. CoP13), 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. Although we 
recognize that there may be some advantages to developing a 
registration process, we propose not to incorporate Resolution Conf. 
9.19 (Rev. CoP13) into the regulations due to the complex issues 
resulting from the decentralized system of regulating nurseries in the 
United States. Instead, we propose to reserve section 23.47(e) for 
nursery registration, because we will need to work with nurseries, 
regulators, and the interested public to develop regulations.
    We continue to implement Article VII(4) of the Convention by 
reviewing a nursery's facilities during the application process and 
issuing CITES export permits with a source code ``D.'' This type of 
export permit indicates to other Parties that we have treated the 
nurseries as propagating Appendix-I plants for commercial purposes. No 
import permit is required under CITES for the trade of those specimens.
    One commenter stated that registration of nurseries should be by a 
Management Authority, not the Secretariat. The resolution on nursery 
registration lays out roles for the nursery, Management Authority, and 
Secretariat. A Management Authority is to notify the Secretariat to 
register a nursery. The Secretariat is responsible for reviewing the 
application, monitoring the registration, and maintaining a Register of 
nurseries.
    One commenter thought that commercial propagators should not be 
afforded expedited treatment that is not also accessible to amateurs. 
We have streamlined the application and review process for entities 
that are propagating plants for either commercial or noncommercial 
purposes in a similar manner. As required under CITES, our decisions 
are based on the purpose of the transaction and the ability of the 
exporter to propagate the specimens. The provisions in this proposed 
section allow artificially propagated Appendix-I plants to be traded 
commercially and do not adversely affect the trade in Appendix-I plants 
artificially propagated for noncommercial purposes. The requirements 
for CITES documents for entities that are propagating for noncommercial 
purposes are found in proposed Sec.  23.40.
    Registered scientific institutions (section 23.48): Article VII(6) 
of the Treaty provides an exemption from strict CITES controls for 
preserved, dried, or embedded museum specimens, herbarium specimens, 
and live plant materials that carry an approved label. The exemption 
covers the noncommercial loan, donation, or exchange of these items 
between scientific institutions registered by each country's Management 
Authority. Resolution Conf. 11.15 (Rev. CoP12) recommends that Parties 
encourage their natural history museums and herbaria to inventory their 
holdings of rare and endangered species. This recommendation is 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.
    This proposed section would combine sections 23.13(g), 
23.15(d)(8)(iii), and 23.15(e)(3) in the current regulations and adopt 
the guidelines in the resolution for registration of scientific 
institutions. A scientist who wishes to use this exemption must be 
affiliated with a registered scientific institution. Specimens are to 
be acquired primarily for research that is to be reported in scientific 
publications and no CITES specimens obtained through the use of this 
exemption may be used for commercial purposes. We are proposing to 
clarify that offspring (i.e., cuttings, seeds, or propagules) may not 
be commercialized including sale through a catalog or as a fund-raising 
effort because the registration is for scientific purposes only.
    We propose that biological samples, including blood and tissue 
samples of preserved, frozen, dried, or embedded museum samples, 
herbarium specimens, or live plant material that will be destroyed 
during analysis will be eligible for this exemption provided a portion 
of the sample is maintained and permanently recorded at a registered 
institution for future scientific reference. Because 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 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. 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 (see proposed section 23.3).
    Traveling exhibitions (section 23.49): Article VII(7) of the Treaty 
allows for the international movement without CITES certificates of 
pre-Convention, bred-in-captivity, or artificially propagated specimens 
that are part of a traveling zoo, circus, menagerie, plant exhibition, 
or other traveling exhibition. The exhibition must register each 
specimen with its Management Authority, and live specimens must be 
transported and cared for humanely. At CoP8 in Resolution Conf. 8.16, 
the

[[Page 20190]]

Parties agreed to require traveling live-animal exhibitions to be 
accompanied by CITES certificates to verify such registration, address 
technical problems, and to prevent potential fraud. At CoP12, the 
Parties agreed to extend these provisions to all traveling exhibitions, 
not just traveling live-animal exhibitions. Thus, Resolution Conf. 8.16 
was repealed and Resolution Conf. 12.3 (Rev. CoP13) on permits and 
certificates was revised to include provisions for all traveling 
exhibitions. We propose to incorporate provisions for traveling 
exhibitions into these regulations and to define the term ``traveling 
exhibition'' in proposed section 23.5.
    One commenter was concerned that the definition of ``traveling 
live-animal exhibition'' in the 2000 proposal inappropriately narrowed 
the activities of exhibitions to display and entertainment and 
suggested we use the language of Article VII(7) of the Treaty and 
resolution. We note that, although the Treaty and resolution provide 
examples of what could be considered a traveling exhibition, neither 
specifically defines the term. The word ``exhibition,'' however, 
carries a connotation of display as the purpose of the activity. We 
revised the definition to acknowledge the large range of activities 
included in the term, to include exhibitions of live plants and dead 
items (specimens that contain CITES species, such as herbarium and 
museum specimens), and to emphasize that the purpose of these 
activities must be exhibition.
    An exhibition certificate acts like a passport. The exhibitor must 
obtain a separate certificate for each live animal. The exhibitor of 
live plants or dead parts, products, or derivatives may be issued a 
certificate with an inventory for all the specimens in the exhibition. 
The exhibitor retains the original certificate, which must be validated 
at each border crossing. 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. A document may not be 
transferred to another exhibitor, and specimens cannot be sold or 
otherwise transferred when traveling abroad. Specimens can be 
transported internationally only for temporary display activities, not 
for breeding, propagating, or other purposes, and the specimens must 
return to the country in which the exhibition is based before the 
exhibition certificate expires.
    Many specimens covered by this exemption are Appendix-I specimens. 
We propose under the general conditions (see proposed section 
23.56(a)(4)) that all live Appendix-I specimens must be securely marked 
or uniquely identified in a way that border officials can verify that 
the specimen and CITES document correspond. 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. If a microchip is used, 
we may, if necessary, ask the importer, exporter, or re-exporter to 
have equipment on hand to read the microchip at the time of import, 
export, or re-export.
    Two commenters liked the provisions that require the unique marking 
of each Appendix-I animal, a certificate for each animal, and the 
exclusion of breeding as a purpose for use of the certificate. One 
commenter asked the FWS to adopt regulations to prohibit the 
international movement of animals in traveling exhibitions because of 
the increased stress and probability of injury of animals. It is not 
necessary to prohibit the international movement of animals to ensure 
their humane care. The provisions of CITES help ensure the humane care 
of live animals being shipped by requiring that animals be shipped in 
accordance with IATA LAR or CITES Guidelines for Transport and that 
shipments be inspected.
    Sample collections section 23.50: At CoP13, in an effort to address 
the international movement of display samples, such as sets of shoes or 
reptile skin samples, the Parties defined such shipments as sample 
collections and agreed to allow the in-transit shipment of such 
collections under specific conditions. Management Authorities could 
issue a CITES document that would allow the shipment to move from one 
country to another before returning to the originating country, rather 
than requiring the issuance of a re-export certificate from each 
country visited. Such a CITES document must be accompanied by a valid 
ATA carnet. The ATA carnet is an international customs document that 
allows the temporary introduction of goods destined for fairs, shows, 
exhibitions, and other events.
    The CITES document must list the same specimens that the 
accompanying ATA carnet lists and must include the number of the ATA 
carnet on its face. The CITES document can only be valid for the same 
length of time as the ATA carnet or 6 months, whichever is shorter, and 
the shipment must return to the originating country prior to the 
expiration of the CITES document. None of the specimens within the 
sample collection may be sold, donated, or transferred while outside 
the originating country. The CITES document must be presented at border 
crossings, but only the ATA carnet must be stamped and signed at each 
intermediary border crossing by customs officials. At the time of first 
export or re-export and at re-import, the originating Party is to check 
the CITES document and sample collection closely to ensure that the 
collection was not changed.
    Partially completed CITES documents (section 23.51): Under Article 
VIII(3) of the Treaty, Parties are to ensure that CITES specimens are 
traded with a minimum of delay. At CoP12, the Parties agreed to issue 
partially completed documents when the permitted trade would have a 
negligible impact or no impact on the conservation of the species (see 
Resolution Conf. 12.3 (Rev. CoP13)). The permittee would be authorized 
to complete specifically identified boxes on the document and would be 
required to sign the document to certify that the information entered 
is true and correct.
    We propose to implement these procedures and issue single-use 
documents that are partially completed under specific circumstances. We 
issue a number of CITES documents to authorize exports that are 
repetitive in nature; the same types of specimens or the same specimens 
are exported shipment after shipment. This is particularly true for 
biological samples derived from cell lines that are maintained by a 
biomedical company and for traveling exhibition specimens that do not 
qualify as pre-Convention, bred-in-captivity, or artificially 
propagated.
    In the past, in an effort to facilitate the timely movement of 
specimens that are of low conservation risk, we have issued multiple-
use documents that allowed the use of photocopies. However, many 
countries will no longer accept photocopied multiple-use documents. In 
June of 2005 we stopped issuing multiple-use documents and set up new 
procedures to issue single-use permits for these types of activities 
(for more information, see the preamble in the April 11, 2005, Federal 
Register (70 FR 18311) on revisions to general permit procedures). An 
applicant should submit the appropriate application form for the 
proposed activity (see proposed sections 23.18-23.20) and show that the 
use of this type of document is beneficial and appropriate. At that 
time, if appropriate, we would create a master file or annual program 
file for native species that contains all of the relevant information 
about the proposed activity. We would issue single-use partially

[[Page 20191]]

completed documents based on the master file or annual program file 
when we find that the issuance criteria for the proposed activity and 
the issuance criteria for a partially completed document are met.
    Replacement documents (section 23.52): We propose to adopt the 
provisions of Resolution Conf. 12.3 (Rev. CoP13) on replacing documents 
that are lost, damaged, stolen, or accidentally destroyed. We clarify 
when replacement documents may be available and how to request one. One 
of the proposed issuance criteria requires a full and reasonable 
explanation of the circumstances under which the CITES document was 
lost, damaged, stolen, or accidentally destroyed. We will also check to 
see if the exporter has requested a replacement document before and 
review the circumstances surrounding any previous request.
    We propose that a replacement document indicate on its face the 
reason the document was replaced. Since we sometimes receive a 
replacement document that does not provide this information, we propose 
to add a paragraph to section 23.26(d)(8) to indicate that we may 
verify the validity of such a document with the issuing Management 
Authority. It is important that we issue and accept 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.
    Several commenters found these provisions to be extremely helpful. 
One suggested that we establish procedures to help U.S. companies in 
contacting foreign Management Authorities, particularly for antique 
products. In most instances, the U.S. importer or exporter should not 
need to contact the foreign Management Authority. 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 a replacement document is needed for a shipment that 
arrives in the United States, the importer should contact the exporter 
or re-exporter in the foreign country to assess the circumstances 
surrounding a lost, damaged, stolen, or accidentally destroyed CITES 
document. Then, the exporter or re-exporter should contact the 
Management Authority in that country concerning replacement documents, 
and the Management Authority will contact us directly.
    One commenter stated that all CITES documents leaving the United 
States, even replacement documents, must be validated for the amount 
that was originally exported as shown on the Wildlife Declaration Form 
(3-177). Although the U.S. CITES document states in block 15 that it is 
``valid only with inspecting official's ORIGINAL stamp, signature and 
date in this block,'' we propose that we not validate U.S. replacement 
documents for shipments that have already left the United States 
because we cannot compare the actual shipment contents to the document. 
Instead, we will issue a replacement document only for the quantity 
that was originally exported as shown on a cleared copy of the Wildlife 
Declaration for wildlife or a copy of the validated CITES document for 
plants and condition the document so the importing country can accept 
it as valid.
    APHIS requested clarification of the phrase ``true copy of the 
original.'' Most CITES replacement documents they see state 
``replacement'' and reference the original permit number. In their 
opinion, this is an ``original'' document, not a ``true copy of the 
original.'' We agree that this is confusing and have revised the 
regulations to reflect the two types of documents used by Management 
Authorities: (1) a newly issued original document that indicates it is 
a replacement document for the original document or (2) a copy marked 
as a ``true copy of the original.'' We also clarified that a ``true 
copy'' must contain a new date and original signature of the issuing 
Management Authority.
    Retrospective documents (section 23.53): A retrospective document 
authorizes an export or re-export after that activity has occurred, but 
before the shipment is cleared for import. One commenter did not 
understand the reason the document had to be requested at the time of 
import of the shipment. To clarify, a shipment must be cleared when it 
first arrives at the port of import. At that time, we, APHIS, or CBP 
inspect the paperwork to see that it meets the requirements of CITES. 
The request for a retrospective document needs to be made at the time 
the specimens are available for inspection.
    Resolution Conf. 12.3 (Rev. CoP13) recommends that a Party neither 
issue nor accept retrospective documents, but recognizes that there may 
be some limited exceptions. We propose to add this new section to allow 
for the issuance and acceptance of retrospective documents based on the 
resolution and to amend 50 CFR 13.1 to reflect this change. We 
generally limit issuance of retrospective documents to noncommercial 
items and even then, only in certain prescribed circumstances. We 
propose to clarify the limited circumstances under which we will issue 
or accept retrospective CITES documents. Management Authorities of both 
the exporting or re-exporting and the importing countries must be 
satisfied either that any irregularities that have occurred are not 
attributable to the exporter or re-exporter or the importer, or in 
addition in the case of items for personal use, that evidence indicates 
a genuine error was made and there was no attempt to deceive. Thus, 
before a retrospective document can be issued, the exporter or re-
exporter or importer must demonstrate either that he or she was 
misinformed by an official who should have known the CITES requirements 
(in the United States, an employee of the FWS for any species, or APHIS 
or CBP for plants; or in a foreign country, an employee of the 
Management Authority or CITES inspection authorities), or that the 
issuing Management Authority made a technical error on the CITES 
document that was not prompted by the applicant. An additional 
provision limited to individuals exporting or re-exporting certain 
specimens for personal use allows them to demonstrate that they made a 
genuine error and did not attempt to deceive.
    While several commenters supported the effort to establish an 
efficient process for addressing irregularities, one commenter opposed 
the issuance of documents retrospectively except for noncommercial, 
personally owned, live animals where the welfare of the animal was at 
stake. The commenter stated that importers and exporters, particularly 
businesses, should be expected to know the law, and saw no conservation 
or other benefit in issuing such documents for dead specimens. We agree 
that commercial importers and exporters are expected to know the laws 
that apply to how they conduct business and, generally, would not 
qualify for retrospective documents. To prevent the use of 
retrospective documents to circumvent CITES, the Parties laid out the 
rigorous process described above.
    Another commenter stated that the provision would be difficult to 
implement and would confuse foreign Management Authorities. Although 
this process can be difficult to implement, we recognize the need for a 
system to correct any technical errors made by a Management Authority 
and to assist uninformed travelers with specimens for personal use to 
comply with CITES.
    A retrospective document would be issued and accepted only after 
the Management Authorities of both the exporting or re-exporting and 
importing countries have thoroughly investigated the situation and 
agreed to the issuance of the document. One commenter

[[Page 20192]]

suggested that we make it clear that such consultation is required. 
Another commenter pointed out that we, not the importer or exporter, 
should consult directly with the foreign Management Authority. We 
revised the text to clarify these two points.
    One commenter stated that we should not require the importing 
Management Authority to agree to accept the retrospective document 
since it would create a stalemate, with each government waiting for the 
other. We did not accept this suggestion. Although the consultation 
process can be time consuming, it is a basic tenet of the resolution 
and is important in assessing the circumstances surrounding a shipment.
    We received comments that suggested that ``irregularities'' should 
include errors made by officials, not just misinformation; clerical 
error, mistake of fact, or other inadvertence; and procedural errors. 
We agree that Management Authority staff can make mistakes, and we 
revised the regulations to include unintentional technical errors on a 
CITES document as an irregularity. We limited this criterion to errors 
that were not prompted by information provided by the applicant.
    Other commenters suggested we allow all errors regardless of who 
makes them if no unlawful scheme or intentional wrongdoing is involved. 
These comments on expanding the range of circumstances for issuing a 
retrospective document exceed the intent of the resolution. The Parties 
intended for this provision to be used rarely and only under very 
narrow circumstances. The exporter is responsible for obtaining CITES 
documents before making a shipment and for inspecting the CITES 
documents to ensure the key information on the face of the permit, such 
as quantity and species, match what was requested and what is in the 
shipment. The provisions for retrospective documents are not to help 
resolve an enforcement issue, but to resolve a mistake by the 
government or a genuine error made by a person exporting or re-
exporting specimens for their personal use.
    Another commenter thought we should allow the use of an affidavit 
to explain the circumstances if the specific officer cannot be 
identified. We note the regulations state that the applicant must 
provide ``sufficient information.'' Retaining the current language 
allows us more flexibility to consider all pertinent information, 
including an affidavit, if the circumstances warrant. At the same time, 
it is misleading to state that the mere filing of an affidavit will be 
sufficient information in most instances.
    One commenter suggested that we include customs officials in the 
list of people misinforming the exporter or importer. We revised this 
section to reflect that a customs agency may be the responsible agency 
in some cases. We recognize that in some countries customs officials 
inspect and clear CITES shipments on behalf of the Management 
Authority, and we will consider that in making a decision. In the 
United States, however, although CBP officials have the authority under 
the ESA to enforce CITES, they are not generally responsible for the 
clearance of CITES wildlife or live plant shipments except for live 
plants being imported from Canada (see proposed section 23.7(e)).
    To avoid expensive storage costs and possible harm to the specimen, 
two commenters suggested shipments be held in ``constructive seizure'' 
pending issuance of a retrospective CITES document. Another suggested 
allowing importers to get retrospective documents before a shipment is 
seized. The issuance and acceptance of a retrospective document and the 
seizure of shipments are two separate decision processes. The CITES 
regulations provide the criteria that need to be met for a Management 
Authority to issue or accept a retrospective document. The regulations 
that establish procedures relating to property seizure and forfeiture 
are found in 50 CFR part 12, 7 CFR part 356, and 19 CFR part 162. 
Although these processes are independent, enforcement officials 
consider the issuance or denial of a retrospective CITES document in 
making a decision concerning seizure or forfeiture on a case.
    One commenter thought the FWS should allow import of collected 
material into proper facilities with temporary papers since many 
developing countries do not have the manpower to issue CITES documents 
in a timely manner. Neither the Treaty nor Resolution Conf. 12.3 (Rev. 
CoP13) allows a temporary paper to be used to import CITES specimens. 
The Parties stressed that a Management Authority should not issue CITES 
documents retrospectively except under very limited circumstances. When 
a person anticipates collecting perishable or fragile specimens, he or 
she needs to work with the foreign Management Authority to meet its 
requirements and lay the groundwork to obtain a CITES document within 
the needed timeframe.
    We propose to issue a retrospective document only if the Management 
Authority of the importing country agrees to accept it. APHIS asked us 
to clarify that the provision applies not only to the issuance of 
retrospective documents, but to the acceptance of such documents. We 
agree this section includes the acceptance of documents, and we revised 
the text.
    In 2000, the Canadian CITES Management Authority stated that their 
law allows the issuance or acceptance of retrospective documents only 
when specimens are found to be legal and the importer or exporter can 
demonstrate that he or she was misinformed about permit requirements by 
a Canadian official or an official of the foreign country. We note that 
Canada and a number of other CITES countries interpret this provision 
more strictly than the United States, and travelers may not qualify for 
a retrospective document for specimens, especially live wildlife or 
plants, taken with them to these countries.
    One commenter wrote that we should either define ``personal use'' 
or add ``and is for noncommercial purposes'' to the end of the 
sentence. We agree and have defined personal use as use that is not 
commercial and is for an individual's own consumption or enjoyment (see 
proposed section 23.5).
    One commenter stated that it was unclear who would inform possible 
candidates of retrospective documents. These proposed regulations would 
establish the criteria of who could qualify for a retrospective 
document depending on circumstances. Wildlife and plant inspectors 
could refer an importer to the regulations when the circumstances of 
the import appear to fit those outlined in the regulations. 
Unfortunately, people apply for retrospective documents even though 
they clearly do not meet the criteria. This unrealistically raises 
their hopes and causes additional work for us. We emphasize that CITES 
requires a document be obtained before the activity occurs and the 
proposed issuance and acceptance of retrospective documents is to be 
made only in limited circumstances.
    Length of document validity (section 23.54): Article VI(2) of the 
Treaty states that an export permit can be valid only for a period of 6 
months from the date of issuance. Resolution Conf. 12.3 (Rev. CoP13) 
specifies validity timeframes for re-export certificates (6 months), 
import permits (12 months), certificates of origin (12 months), and 
traveling exhibitions (3 years). Resolution Conf. 10.20 recommends that 
certificates of ownership be valid for no more than 3 years.
    We propose to incorporate the recommended validity timeframes set 
by the resolutions. We also propose to set the term for an 
introduction-from-

[[Page 20193]]

the-sea certificate at 12 months since the activity is similar to 
import. All CITES documents must 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 section 23.73).
    One commenter contended that restrictions imposed by the air 
freight industry and recent European Commission transshipment 
requirements were causing delays in the shipment of sport-hunted 
trophies to such an extent as to cause the trophies to arrive in the 
United States after the export permit had expired. The commenter urged 
us to add a provision to allow for an extension of validity when the 
importer could provide a certified statement from the air carrier that 
outlined the date and routing of the shipment. We decline to adopt this 
suggestion since export permits are limited to a validity period of 6 
months. This timeframe is set by the Treaty, and experience has shown 
it is adequate time for shipments to be made. If some trophy exporters 
are encountering problems with shipping arrangements, they should 
ensure that the shipment is made as soon as the CITES document is 
issued.
    Use of CITES specimens after import (section 23.55): Unless an 
Appendix-I wildlife or plant specimen qualifies for an exemption under 
Article VII of the Treaty, it can be imported only when the intended 
use is not for primarily commercial purposes. In addition, the Parties 
addressed subsequent use of certain Appendix-I sport-hunted trophies by 
recommending that the trophies be ``imported as personal items that 
will not be sold in the country of import'' (Resolution Conf. 10.14 
(Rev. CoP13) for leopards, Resolution Conf. 10.15 (Rev. CoP12) for 
markhor, and Resolution Conf. 13.5 for black rhinoceros).
    Thus, we propose to add this new section that conditions the import 
and subsequent use of CITES wildlife or plant specimens. The import and 
subsequent use of Appendix-I specimens and certain Appendix-II 
specimens, including a transfer, donation, or exchange, may be only for 
noncommercial purposes. Such imports are conditioned by the regulation 
that the specimen and all its parts, products, and derivatives may not 
be imported and subsequently used for any commercial purpose. The 
importer will not be allowed to use or transfer the specimen for 
commercial purposes once in the United States. Any financial benefit or 
gain would include, but not be limited to, the donation of these types 
of specimens, including sport-hunted trophies, where the owner claims a 
tax deduction or benefit on his or her local, State, or Federal tax 
return. Other Appendix-II specimens and any Appendix-III specimen may 
be used for any purpose after import, unless the trade allowed under 
CITES is only for a noncommercial purpose.
    One commenter thought this condition was an important 
clarification, particularly for highly valuable Appendix-I specimens 
that are in high illegal commercial demand. On the other hand, three 
commenters considered it to be unreasonable, illegal, and beyond the 
scope of CITES, and thought we should have no control or interest in 
how the specimen is subsequently used within the United States. Section 
9(c)(1) of the ESA, which contains a prohibition on illegally traded 
specimens, confirms that the FWS's regulatory responsibility does not 
end at import. The commercialization of Appendix-I specimens can result 
in further demand, which is contrary to the intent of allowing limited 
import of Appendix-I specimens. We note that the condition does not 
apply to specimens, such as artificially propagated orchids, that are 
traded under a CITES Article VII exemption.
    One commenter specifically requested that the sale of trophies by 
estates or trusts be allowed. Although we do not consider transfer to 
an heir a change in the use of a specimen, the sale or donation of a 
specimen that results in some form of financial benefit or gain would 
be considered a commercial activity and not allowed.
    One commenter thought requiring a letter of approval from us to use 
or transfer an Appendix-I specimen for a purpose different than the 
purpose for which it was imported goes beyond CITES, would be an 
extraordinary burden, and would be arbitrarily enforced. We have 
deleted this provision from the current proposal because we provide 
clearer guidance on what constitutes commercial, noncommercial, and 
personal use.
    Another commenter suggested the regulations need to require annual 
verification that an individual who imported Appendix-I wildlife or 
plants into the United States under a CITES permit will not 
subsequently use or transfer the specimens for commercial purposes. We 
note that an importer is responsible for ensuring that all requirements 
of the regulations for import are met. If we receive information that 
imported specimens are being commercialized, we will investigate the 
situation. However, we do not plan to require an annual report from an 
importer to verify compliance with the regulations.
    CITES document conditions (section 23.56): Current section 23.18(e) 
would be replaced by this proposed section. 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 authorized activity warrants it. All CITES document conditions 
must be met for a shipment to be lawful.
    Resolution Conf. 8.13 (Rev.) recommends that Parties, where 
possible and appropriate, adopt the use of microchip transponders for 
the secure identification of live Appendix-I wildlife. Because the 
Parties have identified a number of technical issues that need to be 
addressed, we are not proposing that all Appendix-I wildlife be marked 
with microchips. We are proposing, however, that all live Appendix-I 
wildlife be securely marked or uniquely identified. If a microchip is 
used, we may, if necessary, ask the importer, exporter, or re-exporter 
to have equipment on hand to read the microchip at the time of import, 
export, or re-export. One commenter recommended that we add language to 
this condition to clarify that the mark or identification must be done 
in such a way that border officials can verify that the CITES document 
and specimen correspond. We agree and have revised the text.

What Are the Proposed Changes to Subpart D of 50 CFR Part 23--Factors 
Considered in Making Certain Findings?

    Legal acquisition (section 23.60): One of the issuance criteria in 
the current regulations at section 23.15(d)(2) is whether the wildlife 
or plant was acquired lawfully. Under Articles III, IV, and V of the 
Treaty, we must make a legal acquisition finding before issuing 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 issuing certain exemption 
documents under Article VII of the Treaty. These include Resolutions 
Conf. 10.16 (Rev.) and 12.10 (Rev. CoP13) on bred-in-captivity 
wildlife; Conf. 9.19 (Rev. CoP13) and 11.11 (Rev. CoP13) on 
artificially propagated plants; Conf. 10.20 on personally owned live 
wildlife; and 11.15 (Rev. CoP12) on scientific exchange.

[[Page 20194]]

    There are two types of legal acquisition determinations: (a) 
Whether the specimen and its parental stock were traded internationally 
under the provisions of CITES and (b) 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 (see the preamble to Subpart E 
for a discussion of legal acquisition for State or tribal programs). 
The applicant is responsible for providing sufficient information for 
us to make this finding. We received a number of comments on records 
and legal acquisition. See the discussion in the preamble for section 
23.34 for comments on records. We propose to add this new section to 
the regulations to clarify that the amount of information we need to 
make the legal acquisition finding is based on our review of a number 
of general and specific factors.
    General factors include the status of the species; whether the 
specimen was cultivated from exempt plant material, is a hybrid, or was 
bred-in-captivity or artificially propagated; whether the species is 
common in a controlled environment in the United States and has been 
documented to breed or propagate readily in a controlled environment; 
and whether significant illegal trade in the species occurs, specimens 
have been legally imported into the United States, and the range 
country allows commercial export of the species. We also consider a 
number of specific factors, such as whether the specimen was 
confiscated, a donation of unknown origin, or imported previously. 
Thus, we consider not only information provided by the applicant, but 
other relevant trade information, scientific literature, and advice of 
experts. In making a legal acquisition finding, we may also consult 
with foreign Management and Scientific Authorities, the CITES 
Secretariat, other U.S. governmental agencies, and nongovernmental 
experts.
    We propose to hold persons who conduct commercial activities 
involving protected wildlife and plants to a high standard in 
understanding and complying with the requirements of the laws that 
affect their activities. 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 use. We 
believe this proposed system for individuals traveling internationally 
with their personal items or pets is appropriate for the limited number 
of specimens involved, for the low conservation risk posed, and because 
most specimens are purchased from retailers who, as businesses, are 
expected to comply with the laws. We will, however, request additional 
information when noncommercial trade in a particular species raises 
greater conservation concern.
    For the export of specimens that are bred-in-captivity or 
artificially propagated in the United States, we consider whether the 
breeding stock or cultivated parental stock was established under the 
provisions of CITES and national laws according to Resolutions Conf. 
10.16 (Rev.) and 11.11 (Rev. CoP13). In addition, for the registration 
of Appendix-I commercial breeding operations or nurseries, Resolutions 
Conf. 12.10 (Rev. CoP13) and 9.19 (Rev. CoP13) require that a 
Management Authority find that the parental stock was legally acquired. 
We propose to define the terms ``parental stock,'' ``breeding stock,'' 
and ``cultivated parental stock'' (see proposed sections 23.5, 23.63, 
and 23.64, respectively). We agree with two commenters who supported a 
rigorous standard for legal acquisition before a CITES document can be 
issued, especially for Appendix-I specimens, and thought it should 
satisfy the concerns of Appendix-I species range countries regarding 
the laundering of wild-caught specimens through captive-breeding 
programs.
    We also propose to allow the export of donated CITES specimens of 
unknown origin by public institutions on a case-by-case basis under 
limited circumstances. One commenter thought this paragraph should not 
refer to re-export, but should refer to import or introduction from the 
sea because the Scientific Authority is not required to make a non-
detriment finding for re-export, but is required to make such a finding 
for import and introduction from the sea. We clarify that this 
provision applies to export. We did not include import or introduction 
from the sea, because in our experience we have never encountered a 
request to import such specimens. 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 no data exist 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. One commenter thought we should 
include specimens of unknown origin owned by private parties who 
inherited or were given such specimens. We believe it is important to 
limit this provision to public institutions that generally receive 
these kinds of unsolicited donations due to their work with wildlife 
and plants. We emphasize that this provision is only for limited, 
noncommercial international trade with CITES species.
    Non-detriment findings (section 23.61): This proposed section 
explains how the U.S. Scientific Authority makes its non-detriment 
findings, as required under Articles III and IV of the Treaty and 
Resolution Conf. 10.3. Some commenters mistakenly referred to the 
Management Authority as making non-detriment findings, either alone or 
with the Scientific Authority. It is the Scientific Authority that 
advises the Management Authority on whether an export or introduction 
from the sea will not be detrimental to the survival of the species 
being traded, or whether an import of Appendix-I specimens will be for 
purposes that are not detrimental to the survival of the species. If 
the Scientific Authority advises that it is unable to find that the 
issuance of a CITES permit would not be detrimental to the survival of 
the species, the Management Authority may not issue the permit. 
However, if the Scientific Authority advises that the issuance of the 
permit would not be detrimental to the survival of the species, the 
Management Authority decides whether to issue the permit based on other 
requirements of the Treaty.
    One commenter recommended that we should adopt a public comment 
process for making non-detriment findings. We do not agree, and point 
out that no legal requirement exists for us to obtain public comments 
for non-detriment findings on individual permits. Furthermore, 
instituting such a mechanism would result in delays in the processing 
of permits and also be a

[[Page 20195]]

drain on resources. We also believe such a process would be excessive 
for the consideration of permit applications for common Appendix-II 
species and specimens for which adequate information already exists to 
show that there is little or no conservation risk resulting from trade. 
We do, however, remain open to information from the public for any 
species where the information would be useful in evaluating permit 
applications, whether or not a current application is pending for the 
species.
    Two commenters remarked that non-detriment findings for import and 
export were treated exactly alike in the proposed rule and, thus, we 
were not basing the non-detriment finding for import of Appendix-I 
species on the ``purpose'' of the import as required by the Treaty. One 
of the commenters asked that the final rule contain separate sections 
on non-detriment findings for import and export to draw a distinction 
between the two and make the regulations easier to understand. We 
discuss the non-detriment findings for import and export together 
because we are keeping to the essential language of the Treaty, which 
is that the activity must not be detrimental to the survival of the 
species. The finding for the import of an Appendix-I species is based 
on a consideration of purpose for which the specimen will be used upon 
import into the United States. We can determine the potential for 
detriment, even when tying it to the purpose, only if we know the 
biological and management status of the species. Therefore, similar 
types of information are required for both Appendix-I and -II species. 
To avoid redundancy in the proposed regulations, we are not treating 
import and export separately, but we do outline separate additional 
factors used in making non-detriment findings for Appendix-I and -II 
species.
    Two commenters stated that having applicants ``provide sufficient 
information for us to make a finding of non-detriment'' is too 
burdensome on applicants, whereas another commenter stated that this 
appears to allow the applicant to make the non-detriment finding. 
Applicants do not make the non-detriment finding. As discussed above, 
the Scientific Authority makes the non-detriment finding. While 
applicants must demonstrate their eligibility for a permit, in some 
cases the actual burden for applicants to provide information to 
support their application may be small. If an application involves a 
type of trade that is already occurring and for which we have an 
established record of information, an applicant may be required to 
submit little more than a brief description of the proposed activity 
and the origin of the specimen being traded. The amount of information 
required from the applicant increases, however, as information 
otherwise available to us becomes more limited. This is especially true 
when an application involves a species or circumstance that we have not 
previously considered, for example if the species is known to be rare 
and is not commonly in trade.
    We are proposing to identify several factors that we consider in 
making a non-detriment finding. These factors include whether the 
activity represents sustainable use or would result in net harm to the 
status of the species in the wild. One commenter stated that a non-
detriment finding should not be based on ``no net harm'' but on ``no 
harm,'' regardless of countervailing benefits. We believe that ``no net 
harm'' is appropriate because the finding required by CITES is whether 
a proposed activity will be detrimental to the survival of the species, 
not individual animals. For both Appendix-I and -II species, this 
generally involves a determination of whether there is any effect, 
either adverse or beneficial, on the species in the wild, and if so, an 
assessment of the productivity of the species to determine whether the 
removal of specimens from the wild will adversely affect the species' 
long-term viability. However, Appendix-I species require consideration 
of additional factors, such as the effect of the import or export on 
recovery efforts for the species, including long-range strategies to 
ensure the survival of the species. The evaluation of the ``net harm'' 
posed to the survival of the species does not allow the balancing of 
adverse and beneficial effects to reach a ``not detrimental'' finding. 
Instead, all the effects of the proposed trade, whether direct, 
indirect, or cumulative, must be assessed to determine the aggregate 
``net'' effect on the survival of the species before making the 
finding.
    Another commenter stated that, for demonstrating sustainable use, 
the requirement to consider ``scientific information'' represents a 
different standard than using ``the best available biological 
information.'' We consider these terms to be interchangeable, but for 
consistency we propose to use the term ``best available biological 
information.''
    Some commenters believed that the general factors listed in section 
23.61(c) constitute vague criteria that either preclude or require the 
use of adaptive management. We believe that the general factors are 
important considerations and are written broadly to allow flexibility 
in making this finding. The factors do not proscribe or require 
adaptive management, which may be used if it is demonstrated to result 
in sustainable use. See the discussion on sustainable use in the 
preamble for section 23.5.
    One commenter argued that the concept of sustainable use has been 
the subject of debate, and, therefore, it is premature for us to apply 
the general factors. Another recommended that we adopt management 
principles for sustainable use that were developed by the Southern 
Africa Sustainable Use Specialist Group of IUCN-The World Conservation 
Union. We agree there is no universally accepted definition or set of 
criteria for sustainable use, although the term itself has gained wide 
usage. For the very reason that it is subject to different 
interpretations, we propose to establish a definition based on sound 
scientific principles for use in the administration of our permitting 
program.
    One commenter objected to our considering whether removal of an 
Appendix-I species from the wild would stimulate further trade in 
making a non-detriment finding, since it would be subjective and could 
not be proven. We note the preamble of the Treaty provides for the 
Parties to take action in anticipation of the effects of trade, since 
it recognizes the need for cooperation in protection of plants and 
wildlife against over-exploitation. Similarly, Article II of the Treaty 
allows for listing of species in Appendix-I based on a judgment that 
they ``are or may be affected by trade.'' We believe it is reasonable 
to expect that, in some cases, allowing trade in one instance would 
stimulate additional trade, as was the case of market demand for 
leopard skin coats before the listing of leopards under CITES. In their 
actions on particular species, the Parties have also considered that 
allowing trade in a species may stimulate further unsustainable trade 
if adequate controls are lacking.
    One commenter contended that our evaluating the ``biological 
impact'' of the proposed activity is outside the scope of a non-
detriment finding as required by CITES. We do not agree. We consider a 
number of factors in making the non-detriment finding, including 
biological, trade, and management information on the species. The 
information must include not only what is known about the current 
status of the species, but the potential biological impact that the 
proposed import or export will have. For example, we consider whether 
the biological impact is to reduce the population of the species (by 
direct removal of animals) or

[[Page 20196]]

to interfere with reproduction or recruitment (such as by targeting 
breeding animals or a specific age-class for removal or sampling). The 
type and magnitude of the biological impact are weighed against the 
status and needs of the species to determine whether issuance of the 
permit will be detrimental to the survival of the species.
    One commenter recommended that the non-detriment finding should 
include whether the proposed activity: (a) Would sustain the species at 
a level that maintains its role in its ecosystem; (b) is compatible 
with other uses of the species and is not detrimental to other 
populations or species and their habitats and ecosystems; (c) would not 
stimulate illegal trade in other CITES species; and (d) is not wasteful 
and live animals are treated so as to minimize risk of injury, damage 
to health, or cruel treatment, at all times, including from the time of 
capture. In making a non-detriment finding, we consider some of these 
factors and not others. We consider whether the proposed activity 
represents sustainable use of the species. This includes a 
determination of whether the use interferes with the species' ability 
to perform its role or function in its ecosystem (see definition of 
``sustainable use'' in proposed section 23.5). For Appendix-I species, 
we consider alternative uses and potential impacts on conservation 
activities, and for Appendix-II species, the sum of uses impacting the 
species, including the proposed export under consideration. However, as 
long as the use or combination of uses is not detrimental to the 
survival of the species, the potential incompatibility of one use with 
another is irrelevant for CITES purposes. The focus of the non-
detriment finding is on the species for which a permit is being sought, 
and the Treaty includes no explicit provision for considering impacts 
on other species. We do, though, consider the impact on another species 
for species listed in Appendix II under the provisions of Article 
II(2)(b) of the Treaty due to similarity of appearance to other listed 
species, since that is the specific purpose of such a listing (see 
discussion of CITES furbearers in proposed Sec.  23.69 in the 
preamble). For Appendix-I species, we consider whether allowing legal 
trade is likely to stimulate illegal trade for the species involved. 
The Treaty lacks any provision to ensure that harvest is not wasteful, 
as long as it is not detrimental to the survival of the species. In 
addition, the Treaty does not allow for regulation of the treatment of 
live animals except for how they are prepared for shipment and the 
manner in which they are shipped. This does not include capture, which 
is regulated by range countries through domestic law. The Parties do 
consider the type of containers in which the animals are shipped, how 
they are prepared for export, and the mode of shipment, including 
whether transport to the country of import will be accomplished in a 
timely manner.
    Three commenters expressed concern that we would be unable to make 
a non-detriment finding for many orchid species in cultivation taking a 
precautionary approach, due to the lack of definitive information on 
the status of wild orchid populations and their habitats. We agree that 
definitive information on the status of wild populations may be lacking 
for many orchid species, but that may not preclude us from making a 
non-detriment finding. We base our decisions on the best available 
information for all pertinent factors. A lack of information on a 
particular species' status in the wild may be countered by specific 
information on whether the specimens are artificially propagated, 
commonly available, long established in cultivation, or similar factors 
demonstrating a low risk to wild populations.
    Another commenter stated that, for some species, allowing trade may 
promote conservation of the species and preventing trade may not 
constitute a precautionary measure. We agree that in some instances 
allowing controlled trade in a species may create incentives for 
species conservation, including incentives for habitat conservation and 
the generation of funds to support management programs. The use of 
precautionary measures does not argue against trade in such instances, 
but only means that we will be cautious in allowing trade if there is 
uncertainty as to what effect it will have. CITES recognizes that trade 
can be a threat to the survival of species, as stated in Article II of 
the Treaty. Financial or other incentives may result in trade that is 
unsustainable. A species may also be so rare or reproduce at such a 
slow rate that it can sustain only very low levels of exploitation, or 
none at all. Sufficient evidence must exist to show that the level of 
trade will not be detrimental to the survival of the species, either 
because demand for the species can be sustained by the productivity of 
the species, or there is adequate control on harvest and trade to 
prevent over-exploitation.
    This proposed section describes how we use both risk assessment and 
precautionary measures to make a non-detriment finding. There is a 
continuum of how stringent the documentation requirements may be for us 
to make a non-detriment finding. Rarer species will generally require a 
more complete documentation trail to show that they were obtained in a 
manner that was not detrimental to the species. Documentation 
requirements will be strictest for species that have been recently 
discovered, are not established in cultivation or breeding programs, 
are difficult to propagate or breed, and most importantly, could be 
adversely impacted by trade in wild-collected specimens due to a 
restricted range or other factors. We use precautionary measures when a 
review of the available information reveals an absence of essential 
data as to the intensity of the effect of the proposed trade on the 
status of the species in the wild. The lack of information may cause 
the Scientific Authority to be unable to find that the import or export 
will not be detrimental to the survival of the species. This process 
was upheld by the Federal District court in Prima v. DOI, (E.D. La. 
Feb. 19, 1998) when we denied a CITES document based on a lack of 
sufficient information to make a non-detriment finding.
    One commenter stated that risk assessment is contrary to the use of 
precautionary measures and should not be applied because it allows for 
some possibility that an activity will be detrimental to the survival 
of the species. We disagree and note that risk assessment is a way for 
us to decide how much scrutiny and information we need to make a non-
detriment finding. We use precautionary measures where there is 
uncertainty about the impact of trade on the conservation of the 
species. This includes when we lack sufficient information to make a 
non-detriment finding or when the risk is unknown or cannot be 
adequately determined. We believe this approach gives us the 
flexibility we need to effectively implement CITES while ensuring the 
conservation of the species.
    Two commenters stated that the invasive potential of a species and 
the risk of disease transmission should be deleted from the factors we 
consider in evaluating potential detriment because the non-detriment 
finding is limited to the impact of the activity on the species 
involved, not other species. We agree that the invasive potential of a 
species should not be a factor to consider in the non-detriment 
determination and have deleted it from the list of general factors. 
However, we point out that on February 3, 1999, Executive Order 13112 
was issued. It, among other things, directs each Federal agency to (a) 
prevent the

[[Page 20197]]

introduction of invasive species, and (b) not authorize, fund, or carry 
out actions that it believes are likely to cause or promote the 
introduction or spread of invasive species in the United States or 
elsewhere except under special circumstances. We wish to advise the 
public that to comply with the Executive Order we must give special 
attention to permit applications involving potentially invasive 
species. In deciding whether to issue permits, we will consider whether 
any applicable Federal, State, or foreign laws prohibit the import or 
export of invasive species and whether those laws would be violated 
(see proposed section 23.3). We further note that significant attention 
is being focused on the problem of invasive species, both within the 
United States and internationally, and is likely to result in further 
restrictions that would affect the issuance of CITES permits for such 
species.
    Regarding disease transmission, we continue to believe that this is 
a legitimate factor to consider in evaluating non-detriment for imports 
or exports. We will consider the possibility of introducing disease to 
other populations of the species involved, whether in the wild or in 
captivity, and whether spread of the disease could put the survival of 
the species at risk.
    Two commenters advised that we should follow the recommendation 
contained in Resolution Conf. 2.11 (Rev.) on trade in hunting trophies 
of species listed in Appendix I, which is to ``accept the finding of 
the Scientific Authority of the exporting country that the exportation 
of the hunting trophy is not detrimental to the survival of the 
species.'' We note that Resolution Conf. 2.11 (Rev.) further allows the 
importing country's Scientific Authority not to accept the finding of 
the Scientific Authority of the exporting country if ``there are 
scientific or management data to indicate otherwise.'' The resolution 
also reaffirms the complementary findings of the importing and 
exporting countries for Appendix-I species, as provided for in Article 
III of the Convention, by recommending that ``the scientific 
examination by the importing country * * * [be] carried out 
independently of the result of the scientific assessment by the 
exporting country * * * and vice versa.'' What effect the purpose of an 
import may have is impossible to determine without considering 
scientific and management information on the species from the exporting 
country.
    We only question the finding of the exporting country if our 
analysis of the best available biological information shows a problem. 
We can neither accept the finding of the exporting country nor 
ascertain the potential for detriment derived from the purpose of the 
import without knowledge of the exporting country's management program 
for the species (including whether one exists or is being implemented) 
or what scientific information exists on the species itself. We must 
also determine whether the effect of allowing imports for a particular 
purpose can be separated from other potentially detrimental impacts on 
the species, including trade for other purposes.
    Two commenters opposed how we proposed to make a non-detriment 
finding for Appendix-I species when an export quota has been set. They 
argued that, according to Resolution Conf. 9.21 (Rev. CoP13), the 
adoption of export quotas by the Parties for Appendix-I species 
satisfies the requirement for a non-detriment finding on the purpose of 
the import and assures exporting countries that their exports will be 
accepted by importing countries, and they believe no further assessment 
by the importing country's Scientific Authority is required. However, 
another commenter urged us to continue to scrutinize biological and 
management information used as the basis for quotas for Appendix-I 
species adopted by the Parties since this is consistent with Article-
III requirements.
    We are bound to base our non-detriment finding on the best 
available biological and management information, and Resolution Conf. 
9.21 (Rev. CoP13) contains sufficient latitude to allow this. The 
resolution does not require us to accept imports of Appendix-I species 
blindly if the Parties have approved a quota for the species for the 
country of export. Rather, the resolution contains a provision that 
preserves the independent authority of the Scientific Authority of an 
importing country to make its own non-detriment finding if the quota 
has been exceeded or if ``new scientific or management data have 
emerged to indicate that the species'' population in the range State 
concerned can no longer sustain the agreed quota.'' Similar to our 
rationale for obtaining information from range countries for making our 
non-detriment findings on the import of trophies (see above discussion 
relative to Resolution Conf. 2.11 (Rev.)), we will rely on the best 
available scientific and management information on the species for the 
exporting country to determine if the basis for the quota is still 
valid. We modified proposed section 23.61(h) to show that we will use 
the best available biological information, not just the information 
used as the basis for the quota.
    Not for primarily commercial purposes (section 23.62): Under 
Article III of the Treaty, 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 to be used not 
for primarily commercial purposes. The Parties interpreted ``primarily 
commercial purposes'' in Resolution Conf. 5.10. We believe this 
resolution is an accurate interpretation of the Treaty, and we consider 
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 this 
section and define ``commercial'' and ``primarily commercial purposes'' 
in section 23.5. One commenter thought we should not use a key word 
``commercial'' as a descriptor in the definition, but should first 
define ``commercial'' then ``primarily.'' ``Commercial'' is already 
defined in these regulations, and the definition of ``primarily 
commercial purposes'' is based on language taken directly from the 
resolution and is further clarified in this proposed section.
    Another commenter suggested that we explicitly state in the 
definition that the import of sport-hunted trophies to be used by the 
hunter for noncommercial purposes is not considered primarily 
commercial. We do not believe it is appropriate to add this language to 
the general definition of ``primarily commercial purposes.'' We point 
out, though, that in this proposed section ``personal sport-hunted 
trophy'' is specifically listed under the ``personal use'' example.
    For an import or introduction from the sea of an Appendix-I 
specimen to qualify for a CITES document, the noncommercial aspects of 
the import or introduction must clearly predominate. One commenter 
requested that we revise the regulations to clarify that both the 
transaction and the proposed end use are relevant in making the 
finding. The commenter thought the proposal mistakenly suggested that 
direct sales of Appendix-I specimens to collectors would not be subject 
to the prohibition on trade for primarily commercial purposes. We 
clarify that, in most cases, the direct sale of Appendix-I specimens to 
collectors in another country would be considered commercial.
    One commenter expressed concern that the regulation grants too much 
discretion to the permittee when determining whether the transaction is 
for primarily commercial purposes. We

[[Page 20198]]

do not agree. We are responsible for making the finding, but the 
applicant is responsible for providing sufficient information for us to 
make that finding. We evaluate each application on a case-by-case basis 
and take all factors involved into account. The applicant needs to 
provide core information on the purposes for carrying out the proposed 
activity and intended use of the specimen after import or introduction 
from the sea for us to consider.
    One commenter asserted that we strayed from the focus of the CITES 
finding, which is the nature of the use of the specimen, and the 
requirements laid out in the proposed rule are onerous, potentially 
expensive, and counterproductive to the future of conservation programs 
involving Appendix-I species. They thought captive-bred specimens 
should be treated differently from wild-caught specimens; cautioned 
that it would be virtually impossible to accurately assess exact net 
profits over the life of the specimen; and said they did not believe 
there were species, other than the giant panda, that are of such high 
public appeal to warrant these regulations.
    To help address some of these concerns, we revised this proposed 
section to conform to the analytical process used in the legal 
acquisition and non-detriment sections. Instead of outlining a specific 
list of information that each applicant must provide, we outline how we 
make our finding, provide examples of types of transactions in which 
noncommercial aspects may predominate, and outline factors we will 
consider in assessing the level of information we will need to make a 
finding. We also added a paragraph on how, for high-risk activities, we 
will analyze anticipated measurable increases in revenue and other 
economic value that would be incidental to the proposed import or 
introduction from the sea.
    We propose to give less scrutiny and require less detailed 
information when the import or introduction from the sea poses a low 
risk of being primarily commercial, and require more detailed 
information when the proposed activity poses greater risk. Based on our 
experience, we anticipate that we will rarely receive an application 
that involves high-risk activities with anticipated high net profits. 
We anticipate that only under rare instances would we need to ask the 
applicant for a detailed analysis of expected revenues and a statement 
from a licensed, independent certified public accountant that the 
internal accounting system is sufficient to account for and track funds 
generated by the proposed activity. We believe this proposed revision 
is more flexible and a better description of the way we currently make 
this finding. We will still ask applicants to describe their proposed 
activity and intended use. If information raises a reasonable question 
of whether commercial motivation may have influenced the proposed 
import, we will ask for more detailed information.
    One commenter contended that the information requirements exceeded 
the CITES mandate and questioned the legal basis for our asking for a 
description of any funded conservation project or monitoring plan. 
Before we can issue a CITES document, we need sufficient information to 
make the finding that is required under Article III of the Treaty. The 
Parties agreed to an interpretation of ``primarily commercial 
purposes'' in Resolution Conf. 5.10, which calls for an examination of 
all aspects of the intended use of the import or introduction from the 
sea. For high-risk activities, descriptions of any funded conservation 
project and its monitoring plan, including the use of funds, are 
information we need to consider in making our finding. If the 
noncommercial aspects do not clearly predominate, we will consider the 
import or introduction from the sea to be primarily commercial.
    Although we deleted the paragraph on for-profit entities, we will 
still consider the type of entity as a factor in deciding the level of 
information we need to make a finding. In general, the nature of for-
profit organizations, which carry out activities in the pursuit of gain 
or profit, makes it more difficult for us to find that a proposed 
import or introduction from the sea is not to be used for primarily 
commercial purposes.
    Even when an applicant states that public education, scientific 
research, or captive breeding is the primary purpose for the import of 
an Appendix-I species, the likelihood of measurable increases in 
revenue or other economic value that would be generated incidental to 
the declared primary use must be analyzed. In these instances, all net 
profits generated from high-risk activities in the United States must 
be used for the conservation of the Appendix-I species in a range 
country. One commenter strongly supported this requirement, whereas 
another contended that the requirement is more appropriate as part of 
an enhancement finding under the ESA. To clarify, it is possible that 
an import or introduction from the sea, although superficially 
commercial, may qualify as not for primarily commercial purposes 
because anticipated profit may be offset by conservation benefits that 
will be provided through assistance to range countries, research, or 
other considerations that result from the import or introduction from 
the sea as long as the primary motivation for the trade is not 
commercial, and the noncommercial purposes clearly predominate.
    Bred-in-captivity (section 23.63): Paragraphs 4 and 5 of Article 
VII of the Treaty provide exemptions for wildlife bred-in-captivity. To 
establish a standard interpretation of the term ``bred-in-captivity,'' 
the Parties adopted Resolution Conf. 10.16 (Rev.). We propose to 
incorporate provisions of the resolution in this section.
    In making this finding, we consider the conditions under which an 
individual specimen is bred, 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 reliably produced offspring to at least the 
second-generation (F2), or whether it is managed in a way that has been 
demonstrated to result in the reliable production of F2 offspring and 
has produced some F1 offspring.
    One commenter mistakenly thought that the proposed rule requires 
that the entire U.S. population of a species be managed in a manner 
that results in production of F2 offspring, which would be a stricter 
requirement than the resolution. We may consider whether specimens of a 
species qualify as bred-in-captivity for the breeding population of an 
individual operation or any larger conglomerate of breeding operations, 
up to and including the entire U.S. captive population. This approach 
is more flexible and less burdensome for both the public and the FWS.
    The breeding stock of an individual operation may independently 
meet the bred-in-captivity criteria based on its own history and 
production data, including the reliable production of F2 offspring. Few 
operations, however, have sufficient stock to meet the criteria. Also, 
we may limit bred-in-captivity findings to individual operations when 
information on a broader captive population is lacking, when there is 
ongoing import of wild-caught specimens into the United States, or if 
there is illegal trade in the species. Alternatively, by evaluating a 
larger population, we have more extensive information with which to 
make our finding. If we can demonstrate that the entire U.S. population 
or any conglomerate of breeding operations meets the criteria, then all 
specimens within that breeding population can be

[[Page 20199]]

considered to meet the criteria without requiring a review of each 
individual breeding facility.
    Typically, we may consider the entire U.S. captive population of an 
exotic species to meet the bred-in-captivity criteria if, among other 
things, the U.S. population is a ``closed'' population that is not 
augmented through imports of wild-caught specimens. These often are 
populations that can be tracked to a limited parental population that 
qualifies as pre-Convention or was otherwise legally established, and 
for which there is both a lack of evidence of current illegal trade 
into the United States and reliable breeding of the species within the 
United States to F2 or beyond. Thus, we have determined that a number 
of species commonly held in the United States (such as lions, tigers, 
and brown eared pheasants) qualify as bred-in-captivity. We may find, 
however, that only part of the U.S. population qualifies as bred-in-
captivity, such as a population managed cooperatively by zoos, if only 
that part of the population can be shown to meet the criteria.
    Another commenter recommended that we modify the regulations to 
reflect the revision of Resolution Conf. 10.16 (Rev.) that occurred at 
CoP11. We note that the revision to this resolution did not affect the 
proposed regulations, which are consistent with Resolution Conf. 10.16 
(Rev.).
    Artificially propagated (section 23.64): Paragraphs 4 and 5 of 
Article VII of the Treaty provide 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 micropropagation and growth of seedlings in sterile flasks, 
have allowed large quantities of artificially propagated plants to be 
produced. Resolution Conf. 11.11 (Rev. CoP13) addresses ways to reduce 
the paperwork required to trade plants internationally while 
maintaining protection of wild plants.
    This proposed section expands the current regulations at section 
23.18(d)(8), is based on Resolution Conf. 11.11 (Rev. CoP13), and 
incorporates criteria we will use to decide whether plants, including 
cuttings or divisions, grafted plants, and timber, qualify as 
artificially propagated. In making this finding, we consider the 
controlled conditions under which a plant is propagated. Plants grown 
from exempt plant material, including seeds that may have been 
collected from the wild, are considered artificially propagated when 
grown under controlled conditions. For other plants, 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.
    At CoP13, the Parties agreed to amend the definition of 
``artificially propagated'' to allow, in exceptional circumstances, for 
some plants grown from wild-collected seeds or spores to be treated as 
artificially propagated if certain conditions are met. The basis for 
the exception is the practical limitations that arise for long-lived, 
late-maturing species, such as certain trees (e.g., the monkey-puzzle 
tree, Araucaria araucana). The exception is allowed only when the seeds 
or spores are legally collected and propagated in a range country and 
the Scientific Authority of that country has determined not only that 
the collection of the seeds or spores was not detrimental to the 
survival of the species in the wild, but also that allowing trade in 
such specimens has a positive effect on the conservation of wild 
populations. A portion of the plants produced must be used for 
replanting in the wild, to enhance recovery of existing populations or 
to re-establish populations that have been extirpated. Some plants 
produced under such circumstances must also be used to establish a 
cultivated parental stock for future production so that removal of 
seeds or spores from the wild can eventually be reduced or eliminated.
    One commenter questioned why ``the long-term maintenance of 
cultivated parental stock [must be] guaranteed'' for artificially 
propagated plants. As discussed above, the purpose of this provision is 
to encourage the development of artificially propagated stocks to 
reduce trade impacts on wild plant populations. If propagators are not 
maintaining their cultivated parental stock for the long term, then 
continued availability of plants must rely on collection of plants or 
propagules from the wild.
    Another commenter asked why we require a permittee to maintain a 
specific number of parental stock plants. We may condition a permit to 
require a permittee to maintain a specific number of cultivated 
parental stock plants to ensure artificial propagation without 
continued significant augmentation from the wild. Generally, we will 
make a determination of whether the long-term maintenance of cultivated 
parental stock can be guaranteed based on an applicant's description of 
how his or her stock is managed. We do not necessarily require a 
propagator to maintain the same plants indefinitely. Applicants must 
show that they are maintaining sufficient cultivated parental stock 
plants, either by keeping their original plants or by retaining a 
sufficient number of the plants they produce for subsequent 
propagation, so that their operation is essentially self-sustaining or 
augmented primarily with stock from other artificially propagated 
sources.
    One commenter stated that, in determining whether plants were 
artificially propagated, we should not consider whether the cultivated 
parental stock was established according to the provisions of CITES and 
relevant national laws. We think this is an important requirement 
agreed to by the Parties in Resolution Conf. 11.11 (Rev. CoP13). We do 
not make a legal acquisition finding on each plant that is artificially 
propagated. Instead, we make a legal acquisition finding on the origin 
of the cultivated parental stock. This prevents the creation of a 
conduit for illegal specimens to become legitimized. Range countries in 
particular request the assistance of other Parties to ensure that 
specimens are legally acquired.
    We received some comments on the artificially propagated finding 
and how it relates to other issues. See discussions in the preamble of 
recordkeeping (section 23.34), pre-Convention (section 23.45), legal 
acquisition (section 23.60), and non-detriment (section 23.61).
    Suitably equipped to house and care for (section 23.65): Under 
Article III(3)(b) and (5)(b) of the Treaty, we must determine that an 
individual or institution has facilities that are suitably equipped to 
house and care for a live Appendix-I specimen being imported or 
introduced from the sea. These requirements are to ensure that rare 
specimens will survive in a controlled environment.
    This proposed section outlines 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 specimens' arrival in the 
country. We will consider all identified uses of the imported specimens 
that could be reasonably expected to occur, and the housing and care 
requirements for those uses.
    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 (Ara macao), 
we would provide

[[Page 20200]]

less scrutiny 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 and personnel where the specimen would 
be held.
    We also provide the general and specific factors that we consider 
in making this finding. We consider whether a facility supplies 
adequate space, appropriate living conditions, adequate veterinary or 
horticultural care, sufficient security, and properly trained staff to 
care for the specimen being imported. We revised the proposed paragraph 
on the amount of information we would need to assess whether a facility 
has had a reasonable survival rate of specimens. We believe 3 years, 
rather than 5 years, of data on numbers of animals born or plants 
propagated, mortalities, and occurrence of significant disease would 
generally provide sufficient information for us to consider.
    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 
who will maintain the specimen has been identified or properly trained. 
In such a case, we review the information, including construction plans 
or intended staffing, and make the finding based on that information. 
We would, however, condition any resulting permit to require that the 
import could not occur until the facility has been completed, or the 
staff hired and trained, and approved by us.
    One commenter recommended that we implement a public comment 
process for applications requiring findings on suitability of housing 
and care. We decline to adopt this suggestion. There is no legal 
requirement for us to institute such a process, and we believe that it 
could result in unnecessary delays in the issuance of permits. Our 
staff possesses considerable expertise in the housing and care of 
captive wildlife and cultivated plants, maintains extensive contacts 
with relevant experts, and regularly consults current literature on 
captive animal and plant management. If anyone has relevant information 
that may not be readily available on a species that has unusual 
requirements for housing and care in cultivation or captivity, we would 
appreciate receiving it.

What Are the Proposed Changes to Subpart E of 50 CFR Part 23--
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 native CITES species from States or Tribes with appropriate 
conservation management programs and legal controls.
    Export of heavily traded native species (sections 23.68-23.70): 
Certain native species (American ginseng, bobcat, river otter, Canada 
lynx, gray wolf, brown bear, and American alligator) that are managed 
by a State or Tribe conservation program are traded internationally, 
sometimes in high volumes. As for all CITES species, before we can 
issue a CITES document to allow export, we must find that the specimens 
were legally acquired and that the export is not detrimental to the 
survival of the species in the wild. Over the past 25 years, we have 
worked with State and tribal governments to develop procedures that 
allow us to make the necessary findings programmatically rather than on 
a permit-by-permit basis. When States and Tribes provide information 
showing that they have established a management program that ensures a 
sustainable harvest, and that they have the means to identify or mark 
specimens that have been legally taken under their system, we are able 
to make findings for specimens harvested within their jurisdiction, 
thereby approving their program. A tag or certificate issued by the 
State or Tribe demonstrates that a particular specimen was harvested 
under an approved program and that the appropriate findings have been 
made. This alternative to making the legal acquisition and non-
detriment findings on a permit-by-permit basis reduces a potentially 
large workload for exporters as well as for our offices.
    States and Tribes for which programmatic findings have been made 
submit annual reports to us containing information on the previous 
harvest season. In some cases, such as for many furbearer species, we 
make our findings on a multiyear basis. Regular reporting from States 
and Tribes allows us to determine whether our findings remain valid. In 
these sections, we include the types of information we request from the 
States and Tribes on an annual basis to maintain approval of their 
export program.
    Although it was not required, in the past we published State- and 
Tribe-based findings in the Federal Register as a convenient way of 
notifying the public. Since there are now more timely ways to provide 
this information, we have discontinued publication of the findings in 
the Federal Register. A list of States and Tribes with approved CITES 
export programs, copies of recent findings on which the approvals are 
based, and conditions that must be met for lawful export will be posted 
on our Web site or will be available from us.
    American ginseng roots (section 23.68): This proposed section is a 
revision of the current regulations in section 23.51. Most American 
ginseng, both collected from the wild and artificially propagated, is 
exported as roots. Ginseng root is exported in a much larger volume 
than any other native CITES plant species. Ginseng that has been 
legally harvested under State or tribal requirements is certified by 
the appropriate State or tribal authority prior to export. To document 
the legal origin of the material, State or tribal certificates must 
accompany the ginseng until the time of export from the United States.
    In the 2000 proposal, we developed various ginseng categories 
(wild, wild simulated, wild cultivated, cultivated, and cultivated 
woodsgrown) in response to concerns of some States that ginseng 
originating from artificially propagated seeds and cultivated in a 
manner to look more like wild ginseng was being reported as wild rather 
than artificially propagated. In addition, some ginseng dealers and 
exporters did not want to show on their State certificates that the 
wild-looking cultivated ginseng was artificially propagated. In 
meetings with the States and industry on the ginseng trade, we also 
learned that some ginseng reported as ``cultivated woodsgrown'' did not 
meet the criteria for artificially propagated plants, as outlined in 
section 23.64 of this proposed rule. Because of limited manipulation of 
the growing environment by the grower, this misidentification could 
allow certain trade to occur under the exemption for artificially 
propagated plants when in fact the ginseng does not qualify under CITES 
as artificially propagated. Furthermore, we found that few States had 
adopted the various ginseng categories.
    Thus, in this proposed rule we eliminated all categories other than 
wild and artificially propagated because CITES only recognizes these 
two categories. The permits we issue and our annual report to the CITES 
Secretariat use only these two classifications.
    If an applicant wishes to export ginseng as artificially propagated 
even though it visually resembles wild ginseng, he or she must 
demonstrate

[[Page 20201]]

that the ginseng indeed meets the criteria for artificially propagated 
plants. We note that the classification of ginseng as either wild or 
artificially propagated on export permits is only for CITES purposes 
and is not intended to indicate marketing categories or value of the 
roots. Furthermore, it does not preclude the use of additional 
categories by States and Tribes. We continue to monitor the use of 
additional categories by States and Tribes, and we may use such 
information in future decision making on ginseng exports as we evaluate 
the impact of trade on the viability of the wild populations.
    This proposed section no longer asks States or Tribes to provide us 
in their annual reports an estimate of the average age of wild-
harvested plants. Instead, the U.S. Scientific Authority will use 
roots-per-pound information provided by the States as an index to 
indicate shifts in age structure of harvested roots. In addition, we 
propose to change the annual report date from May 31 to May 1 to ensure 
that we receive information in time for us to make required CITES 
findings before the beginning of the next harvest season.
    One commenter questioned what criteria would be used to evaluate 
applications for export and re-export of ginseng from States and Tribes 
without approved programs. We would use the same criteria that are used 
for the evaluation of other requests for export or re-export of CITES 
species (see proposed section 23.36 for export, section 23.37 for re-
export, and section 23.40 for export of artificially propagated 
plants). For export or re-export of such ginseng, the applicant would 
be responsible for providing us with sufficient information to allow us 
to make the required findings. Because a State or Tribe with an 
approved program has provided information on management and harvest 
controls on a State or tribal basis, the time required to process such 
export permit applications is streamlined. However, the time needed to 
process an application to export ginseng from a State or Tribe without 
an approved program would likely be extensive, and making the required 
CITES findings could be problematic depending on the management regimes 
for ginseng harvest in that State or on those tribal lands.
    CITES furbearers (section 23.69): This proposed section 
consolidates and revises the current regulations in sections 23.52 
through 23.56 for furs of certain native species that are sometimes 
traded in high volumes and originate in States or on tribal lands with 
appropriate conservation management programs and legal controls. We 
define ``CITES furbearers'' to include bobcat, river otter, Canada 
lynx, gray wolf, and brown bear. These species are included in Appendix 
II under the provisions of Article II(2)(b) of the Treaty because their 
parts, products, and derivatives are difficult to distinguish from 
certain similar CITES Appendix-I and -II species.
    To streamline the export process for CITES furbearers, we review 
the programs that States and Tribes have set up for management and 
harvest. We approve programs for States and Tribes when they have 
provided information that allows us to make the required non-detriment 
and legal acquisition findings. Our non-detriment finding takes into 
account that the CITES furbearers are listed in Appendix II because of 
their similarity of appearance to other listed species under Article 
II(2)(b) of the Treaty. These species are listed to ensure that trade 
in the species to which they are similar is brought under effective 
control. We are obligated, however, by the Treaty to ensure that a 
species does not decline to the point that it qualifies to be treated 
as an Appendix-II species under Article II(2)(a) of the Treaty.
    Under the current regulations, States and Tribes with approved 
programs must have procedures for placement of CITES export tags on fur 
skins. When a fur skin with a CITES tag is presented for export, the 
tag provides assurance that the fur was harvested under an approved 
CITES export program and that the necessary findings have been made. 
This allows the exporter to more quickly obtain CITES documents from 
either the U.S. Management Authority or certain FWS Law Enforcement 
offices (see proposed section 23.7). One commenter objected to the 
requirement to obtain CITES tags and permits for species listed under 
Article II(2)(b). The Treaty requires CITES documents for the export of 
species listed under II(2)(b) and a document cannot be issued until all 
required findings have been made. However, there may be flexibility in 
whether furbearer skins must be tagged. The utility and effectiveness 
of the current U.S. CITES tagging regime has been the subject of 
ongoing discussions between the FWS and the States and Tribes. Through 
this process we are exploring other ways to determine legal 
acquisition, for example, the possible use of a documentation system in 
lieu of tags, or issuance of a national legal acquisition finding based 
on State and tribal legal and enforcement systems. Any alternative 
system of determining legal acquisition would be as reliable as the 
current system.
    We review the information we receive annually from each State or 
Tribe to determine if our programmatic findings remain correct or if 
the species needs closer monitoring. Article IV(3) of the Convention 
requires the Scientific Authority to monitor trade in any Appendix-II 
species, regardless of whether it is listed under the provisions of 
Article II(2)(a) or II(2)(b). Species listed in Appendix II are not 
designated as being listed for similarity of appearance, and the 
Convention lacks a mechanism for review of Appendix-II species to 
determine if they should continue to be listed under the provisions of 
Article II(2)(b). It is the responsibility of each range country to 
monitor its species listed under Article II(2)(b) and determine whether 
they subsequently qualify under Article II(2)(a).
    Two commenters suggested that for species listed under Article 
II(2)(b) a non-detriment finding on exports from a given country should 
be limited to a determination of whether the tagging program is 
effective in controlling illegal trade in the species to which they are 
similar. We cannot adopt this suggestion because it would not allow us 
to fully meet our obligations under the Treaty. For all Appendix-II 
species being exported, we must determine whether the species is being 
maintained throughout its range at a level consistent with its role in 
the ecosystems in which it occurs and well above the level at which it 
might become eligible for inclusion in Appendix I. Therefore, we must 
obtain sufficient information when a State or tribal program is first 
approved to establish baseline information for monitoring. In part, the 
information required for initial approval of a State or tribal export 
program is necessary to ensure that the population of the species 
managed by that State or Tribe does not qualify for treatment as a 
species listed in Appendix II under the provisions of Article II(2)(a). 
After initial approval, exports are approved as long as the periodic 
submission of information by the State or Tribe, for monitoring 
purposes, shows that there is no significant change in harvest levels, 
management of the species, or status of the species that might lead to 
different treatment of the species.
    Two commenters stated that we require burdensome levels of 
information from States or Tribes seeking approval of export programs 
for species listed because they are similar in appearance to other 
listed species. We believe that the level of information we require for 
approval of exports is appropriate to ensure that the State or Tribe 
implements and maintains a

[[Page 20202]]

management program that is consistent with the continued treatment of 
the species as one listed because of similarity of appearance. When 
making a non-detriment finding, review of a species treated under 
Article II(2)(b) is less rigorous and requires less-detailed 
information than if the species is treated under Article II(2)(a). 
Species treated under Article II(2)(a) require closer review, with the 
possible establishment of quotas and more stringent information 
requirements to support a finding of non-detriment by the Scientific 
Authority.
    One commenter suggested that an export of a native U.S. species 
should be considered to be detrimental to the survival of the species 
only if the species involved is listed, or is a candidate for listing, 
under the ESA. The CITES requirement for making a non-detriment finding 
is wholly independent of any other legal standard, such as those under 
the ESA. Our experience has shown that many people are confused by the 
name of the Treaty, because it refers to ``trade in endangered 
species.'' However, CITES covers many species that are not ESA-listed, 
but which require trade controls to prevent over-exploitation that 
could cause the species to become endangered. This is clarified within 
Article II of the Treaty, which establishes the basis for including 
species in the different CITES Appendices.
    Two commenters requested that the date for submission of the annual 
report be changed since the information was not usually available by 
April 30. We agree that many States do not have these data available 
until later in the year, and we revised the date of submission to 
October 31.
    One commenter thought that the American black bear (Ursus 
americanus) should be included in this section. Although the American 
black bear is listed in CITES Appendix II, the U.S. trade is almost 
entirely sport-hunted trophies taken in Alaska. Therefore, we did not 
include it in this proposed section. To export an American black bear, 
including its parts, products, or derivatives, you should follow the 
procedures in proposed section 23.36.
    Crocodilians (including American alligator) (section 23.70): This 
proposed section revises the current regulations in section 23.57 and 
incorporates Resolution Conf. 11.12 concerning the universal tagging of 
crocodilian skins. The proposed revision extends the tagging 
requirements to all crocodilian skins entering international trade, 
which assists Parties in identifying legal skins. Raw, tanned, or 
finished crocodilian skins may be imported, exported, or re-exported 
only if tagged with a non-reusable tag containing specific information.
    One commenter suggested that the tagging resolution should not be 
implemented until we have an adequate tag, and U.S. States are 
satisfied with the procedure for issuance of replacement tags for 
American alligators outside the United States. We have been working 
with the States to identify problems with U.S. tags and tags from other 
countries where problems have been noted. We will continue to work to 
try and resolve problems resulting from broken, damaged, or defective 
tags. However, many Parties have already implemented the tagging 
resolution. Failure on our part to implement the resolution would leave 
U.S. importers and exporters at a disadvantage in the international 
market because of their inability to trade, and could facilitate 
illegal trade. The requirements of the special rules in 50 CFR part 17 
concerning the American alligator and other threatened crocodilians 
must be met in addition to the requirements of this section.
    One commenter questioned the legality of, and procedures for, 
replacement of broken or detached tags for alligator skins outside the 
United States. Resolution Conf. 11.12 recommends that replacement tags 
be placed on skins where the original tag has been lost or removed. 
Each Party is responsible for setting up its own procedure for 
providing replacement tags. We are proposing a procedure to obtain 
replacement tags in the United States. Current U.S. regulations only 
require that American alligator skins be tagged at the time of export; 
they do not require that skins being re-imported be tagged. Requiring 
that these skins now be tagged on re-import (either with the original 
tag or a replacement tag) should provide better assurances of the 
legality of skins in international trade, as well as ensuring that the 
United States complies with CITES.
    Like American ginseng and native CITES furbearers, we have 
developed specific CITES procedures for States and Tribes with an 
approved conservation program for the American alligator. As part of 
the reporting required under the program, participating States and 
Tribes provide us with information as to how many alligators were taken 
during the wild harvest in the State, and how many alligators were 
harvested from farming facilities. Two commenters objected to the 
section of the proposed rule that requested information concerning 
captive-bred specimens in addition to wild and farmed specimens 
harvested. We did not intend to require the States to change their 
methods of collecting harvest data. Although there is some captive 
breeding of alligators, these specimens represent a small percentage of 
the overall number of alligators harvested. In addition, we have little 
information to determine whether or not such specimens meet the 
conditions of CITES for certification as bred-in-captivity. Therefore, 
we clarified in this proposed rule that we will ask the States to 
continue to report the numbers of wild and farmed (including any 
captive-bred) alligators as they have been doing.
    Sturgeon caviar (section 23.71): At CoP10, all sturgeons that were 
not already included in the CITES Appendices were added to Appendix II. 
This proposed section implements Resolution Conf. 12.7 (Rev. CoP13) on 
the conservation of and trade in sturgeons and paddlefish, including 
labeling of caviar containers, provisions for shared populations 
subject to annual export quotas, and re-export timeframes for caviar.
    To assist Parties in identifying legal caviar in trade, the 
resolution recommends a universal labeling system. Sturgeon caviar may 
be imported, exported, or re-exported only if non-reusable labels 
containing specific information are affixed to primary and secondary 
containers. If caviar is repackaged before export or re-export, the 
containers must be re-labeled to reflect the change.
    To improve monitoring of re-exports in relation to the original 
export permits, the Parties agreed to establish time limits for re-
exporting caviar. We propose to require that any re-export of caviar 
take place within 18 months from the issuance date of the original 
export permit.
    Likewise, to assist in monitoring the level of exports in relation 
to annual export quotas and to address certain unscrupulous trade 
practices, the Parties agreed to place a time limit on export of caviar 
from shared stocks subject to quotas. We propose to allow import of 
sturgeon caviar from shared stocks subject to quotas only during the 
calendar year in which it was harvested.
    One specific recommendation by the Parties is to ``monitor the 
storage, processing and repackaging of specimens of sturgeon and 
paddlefish species in customs free zones and free ports, and for 
airline and cruiseline catering.'' However, the resolution did not 
provide guidance on how Parties should monitor airline and cruiseline 
catering, other than to determine that such shipments are not exempt 
from CITES requirements. In 2000, in an effort to address this issue, 
we proposed

[[Page 20203]]

a registration system for airlines and cruiselines that serve caviar to 
passengers for on-board consumption. However, we have decided not to 
propose such a system here. Although we support the idea of a 
streamlined procedure, after analyzing comments we received and 
consulting with other Parties, we have been unable to develop a system 
that would address the unique circumstances faced by these industries 
and meet CITES requirements for international trade in listed species. 
The Parties will need to agree on any special provisions for airlines 
and cruiselines. We do not believe a workable system can be developed 
by one Party acting alone. For now, movement of caviar (or other CITES 
species) for passenger consumption on airplanes or cruise ships will 
continue to require standard CITES documents.
    One commenter stated that passenger consumption is not an export or 
trade, and that airlines should be exempt from CITES. CITES does not 
provide any exemptions for the movement of caviar internationally 
except for a specific exemption for caviar in personal effects 
shipments. We consider a shipment, including specimens for passenger 
consumption, to be an export as soon as it is consigned to depart from 
areas under the jurisdiction of the United States. In addition, 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.
    Since all sturgeon have been included in the CITES Appendices since 
1998, we no longer accept pre-Convention certificates for caviar. One 
commenter disagreed with the shelf-life determination and stated that 
this was not something to be decided by us, but by the U.S. Food and 
Drug Administration. We note that caviar is perishable and this 
practice is consistent with CITES Notification to the Parties No. 1999/
23, which recommended that no permits or certificates declaring caviar 
as pre-Convention should be accepted after April 1, 1999. To be 
imported legally into the United States, shipments of sturgeon caviar 
must be accompanied by the appropriate export or re-export document.
    Trade in plants (section 23.72): This section clarifies that seeds, 
like other propagules, parts, products, and derivatives, are included 
in the listing of Appendix-I species, except for seeds of certain 
artificially propagated hybrids. Seeds may also be included in a 
listing of Appendix-II or -III species, depending on how the species 
listing is annotated. International shipments of CITES seeds, including 
artificially propagated seeds, must be accompanied by valid CITES 
documents.
    Some plant materials of CITES species are exempt from CITES 
requirements, including certain seeds and flasked seedlings (see 
proposed section 23.92). However, plants grown from exempt plant 
materials are regulated under CITES. In general, any plant grown from 
exempt plant material would be considered artificially propagated if 
grown under controlled conditions, but records should be kept to 
document that the plants came from exempt plant materials.
    We propose to define ``salvaged plant'' for the purposes of this 
section and provide conditions that must be met for obtaining CITES 
documents to trade internationally in salvaged plants. These conditions 
include that the trade in Appendix-I plants and in Appendix-II plants 
whose entry into trade might otherwise have been considered detrimental 
to the survival of the species in the wild must clearly benefit the 
survival of the species and that the import must be by a bona fide 
botanic garden or scientific institution. Salvaged Appendix-I plants 
may not be sold or used to establish a commercial propagating 
operation.
    Timber (section 23.73): The Parties recognize that trade in timber 
may require some variations on standard CITES procedures. Resolution 
Conf. 10.13 (Rev. CoP13) discusses the implementation of the Convention 
for timber species and defines some terms used in annotations to 
certain timber species. Resolution Conf. 12.3 (Rev. CoP13) incorporates 
specific recommendations for timber species listed in Appendix II or 
III that have a substantive annotation regulating either the trade in 
logs, sawn wood, and veneer sheets, or the trade in logs, sawn wood, 
veneer sheets, and plywood. 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 definitions and recommendations into this section.
    Personal sport-hunted trophies (section 23.74): This proposed 
section defines ``sport-hunted trophy'' and outlines the requirements 
for trade in sport-hunted trophies, including the use of a sport-hunted 
trophy after import (see proposed section 23.55). 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 of the Treaty (see proposed 
section 23.35). This practice is re-affirmed in Resolution Conf. 2.11 
(Rev.).
    We propose to define ``sport-hunted trophy'' to provide the public 
with a clear understanding of what we consider to be included in the 
term. The definition does not include handicraft items or items 
manufactured from the trophy used as clothing, curios, ornamentation, 
jewelry, or other utilitarian items. We based this definition on our 
experience with international trade in these items and the commonly 
understood meaning of the term from the dictionary and other wildlife 
regulations. The definition is similar to one used in 50 CFR part 18 
(marine mammals) for sport-hunted polar bear trophies, which was 
developed to ensure that the trade in trophies was consistent with 
CITES. We considered language from a House Committee Report (H.R. Rep. 
No. 439, 103rd Cong., 2nd Sess. (1994)) that states ``trophies normally 
constitute the hide, hair, skull, teeth, and claws of an animal that 
can be used by a taxidermist to create a mount of an animal for display 
or tanned for use as a rug.''
    Several commenters believed that any items manufactured from a 
trophy should be included in the definition. We do not agree that 
utilitarian items manufactured from a trophy should still be considered 
a trophy. We recognize that manufactured items have been included in 
trophy shipments imported in the past, but this practice has caused 
problems in differentiating between commercial and noncommercial 
shipments, particularly with Appendix-I specimens. In a number of 
instances, large quantities of fully manufactured products, such as 
briefcases, handbags, and golf bags, have been imported as parts of a 
``hunting trophy.'' Indeed, one commenter stated that it was routine 
for commercial curios and other items to be packed and shipped with a 
trophy. Since we accord a noncommercial status to personal sport-hunted 
trophies, we must be able to distinguish between a noncommercial trophy 
and commercial products derived from an animal that may or may not have 
been taken by the hunter as a sport-hunted trophy.
    This does not mean that the import or export of utilitarian items 
made from a trophy is not allowed. Provided that the items are not 
identified as a sport-hunted trophy, manufactured items of Appendix-II 
and -III species may be imported into the United States or exported 
from the United States with CITES export or re-export documents that 
indicate an appropriate purpose

[[Page 20204]]

code (e.g., ``P'' for personal or ``T'' for commercial). The purpose 
code ``H'' (sport-hunted) may not be used. However, the Parties have 
established greater controls over the international movement of 
Appendix-I specimens. As with Appendix-II or -III species, manufactured 
items produced from an Appendix-I species outside the United States 
could be imported provided that all of the required findings have been 
made and the items are not identified as a sport-hunted trophy.
    One commenter stated that the definition failed to include hooves, 
penis bones, antlers, or meat, and was especially concerned that the 
definition would prevent a hunter from bringing in the meat of a sport-
hunted animal. We note that the definition is not an all-inclusive list 
of parts of a trophy, but provides examples. It already included bones, 
antlers, and meat, but, based on the commenter's statement, we have 
added hooves to the proposed definition.
    The commenter also stated that blood, skin, and meat samples from a 
sport-hunted trophy imported for scientific research should be 
considered a trophy. We do not agree that these samples are a trophy, 
and the items should be properly treated as research specimens with the 
appropriate permits.
    One commenter opposed the definition because it would not allow a 
sport-hunted trophy to be imported by anyone other than the hunter. We 
believe that the hunter is the individual responsible for the take of a 
personal sport-hunted trophy and, therefore, the individual eligible 
for the import and export permit. This is consistent with other 
regulations on import of personal sport-hunted trophies, including 
polar bears and migratory birds.
    Many commenters were confused by the proposed definition and 
believed that it applied to any sport-hunted trophy in the United 
States, including nonprotected species. They stated that the definition 
would no longer allow them, as taxidermists in the United States, to 
manufacture utilitarian items from a sport-hunted trophy. To clarify, 
these proposed regulations do not apply to non-CITES species nor do 
they restrict the manufacture of utilitarian items from most CITES 
Appendix-II or Appendix-III specimens once a sport-hunted trophy has 
been imported into the United States. The export or re-export of 
utilitarian items manufactured in the United States from most CITES 
Appendix-II or -III sport-hunted trophies is also allowed when the 
appropriate CITES documents have been obtained. However, this is not 
the case with sport-hunted trophies of Appendix-I species or certain 
Appendix-II species (see proposed section 23.55).
    We also propose to include specific conditions for import, export, 
or re-export of leopard, markhor, and black rhinoceros hunting trophies 
as provided in Resolutions Conf. 10.14 (Rev. CoP13), Conf. 10.15 (Rev. 
CoP12), and Conf. 13.5, respectively. In any calendar year, a hunter 
may import no more than two leopard trophies, one markhor trophy, and 
one black rhinoceros trophy. Any tagging or marking requirements for 
skins, horns, or other parts of trophies, mounted or loose, must also 
be met. These requirements are in addition to any requirements in 50 
CFR part 17.
    One commenter recommended that we prohibit the import of all sport-
hunted trophies listed in the CITES Appendices. We decline to accept 
this recommendation. CITES allows a limited trade in Appendix-I sport-
hunted trophies when the permitting requirements are met, and any 
Appendix-II and -III specimens may be traded as sport-hunted trophies 
when the necessary findings are made. We note that some Appendix-II and 
-III species that are traded as sport-hunted trophies are also 
commercially harvested for other purposes. CITES did not intend to ban 
the trade in species just because the specimen is a sport-hunted 
trophy, nor do we have the authority to impose a ban on the import of 
any CITES species without legal or scientific justification.

What Are the Proposed Changes to Subpart F of 50 CFR Part 23--Disposal 
of Confiscated Wildlife and Plants?

    Confiscated specimens (section 23.78): Article VIII(4) and (5) of 
the Treaty outline the requirements for disposal of confiscated live 
specimens, and the Parties adopted Resolution Conf. 10.7, which sets 
out detailed guidance. One commenter suggested we prepare an action 
plan for the disposition of confiscated live wildlife. We recognize 
that the resolution recommends development of such a plan. However, we 
deal with confiscated live specimens on a case-by-case basis because of 
the complexity of the issue, including the variety of species, volume, 
and lack of resources.
    For the United States, the general procedures for disposal of 
forfeited or abandoned property are in 50 CFR part 12, 7 CFR part 356, 
and 19 CFR part 162. These procedures apply to CITES, as well as the 
other laws that we, APHIS, or CBP enforce. We are not proposing to 
revise the regulations concerning disposal of property, 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 FWS Law Enforcement, APHIS, or CBP. One 
commenter suggested that a similar paragraph be included in this 
subpart to explain how we dispose of confiscated dead specimens, 
including plant products and byproducts. Although CITES has not 
addressed the issue of disposal of dead specimens, including their 
parts, products, or derivatives, we revised the regulations to clarify 
that the procedures set out in 50 CFR part 12, 7 CFR part 356, and 19 
CFR part 162 apply to both living and dead specimens.
    Sometimes the country of export requests that a shipment of 
confiscated live specimens be returned. Although under Article VIII of 
the Treaty, 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 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. Two commenters 
stated that euthanasia should not be considered an option for wildlife, 
and one commenter stated that destruction should not be considered an 
option for plants. When other options are not available, we consider 
euthanasia or destruction since it may present the most humane or 
appropriate option.
    Return to the wild of confiscated specimens is rarely possible. It 
can carry enormous risks for existing wild populations, such as 
introduction of disease, and can result in the death of the specimens 
released due to starvation, disease, or predation. Before return to the 
wild is 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 the species in the wild.

[[Page 20205]]

    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 space may benefit those 
individuals, but may detract from conservation efforts as a whole. As a 
result, they are setting conservation priorities for space. Botanical 
gardens are in a similar situation.
    To comply with the intent of Resolution Conf. 9.10 (Rev. CoP13) 
and, in limited circumstances, to return confiscated live Appendix-I 
specimens to the country of export, we propose to add an issuance 
criterion for re-export of confiscated specimens in section 
23.37(c)(5). 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 part 12 allow for the sale of confiscated 
Appendix-II and -III wildlife and plants. When specimens have been 
confiscated and subsequently sold or transferred by the U.S. 
Government, we would consider them legally acquired when the applicant 
provides the appropriate documentation to show the origin of the 
specimens. 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.
    Participation in the Plant Rescue Center Program (section 23.79): 
We propose to add this section to outline how a public institution can 
participate in our Plant Rescue Center Program. Shipments of live 
plants imported into the United States in contravention of CITES are 
confiscated or seized and generally placed with a participating 
institution. We have enlisted more than 60 publicly accessible, 
nonprofit institutions, including botanical gardens, arboretums, 
zoological parks, and research institutions in the United States, to 
cooperate with us in this program.
    Several commenters expressed concerns that the rescue centers did 
not want the plants in most cases, had no place to put them, and were 
ill-equipped to handle them. We disagree with these comments. We 
realize that many CITES plants require specialized care. This was one 
of the reasons we initiated the Plant Rescue Center Program. We require 
information on a rescue center's facilities and the types of plants 
they are able to maintain when it is accepted into the program. Prior 
to placing plants, we contact facilities with the expertise to care for 
them and determine if they are willing and able to care for the seized 
plants. Acceptance of any shipment is voluntary, and a shipment is 
placed only after we receive confirmation from the individual rescue 
center. Some commenters were concerned that there were delays in 
placing plants in rescue centers. Plants may not always be sent to a 
rescue center immediately after they are seized. Some shipments may be 
delayed due to regulatory procedures that APHIS or CBP must follow 
relative to the seizure of property.
    One commenter congratulated us on the establishment of the Plant 
Rescue Center Program and believed that it was an excellent step in 
dealing with the complicated and burdensome task of disposal of seized 
live plants. Another commenter suggested that we continue refining the 
procedures for treatment of orchids in Plant Rescue Centers and make 
provisions for better interim care for plants temporarily held. We plan 
to continue our efforts to provide care for seized plants and to work 
with APHIS and CBP on care of seized plants.
    One commenter stated that the destruction of confiscated plants 
does not further conservation and that the availability of confiscated 
wild and propagated plants for propagation would further conservation. 
The commenter also suggested that if a rescue center rejects 
confiscated orchids, the specimens should be available for sale. We 
received several other comments concerning the ultimate disposition of 
seized plants. We only destroy plants as a last resort. However, the 
manner in which seized items are ultimately handled, including sale, is 
addressed in 50 CFR part 12, 7 CFR part 356, and 19 CFR part 162.

What Are the Proposed Changes to Subpart G of 50 CFR Part 23--CITES 
Administration?

    Roles of the Secretariat and the committees (section 23.84): This 
proposed section outlines the responsibilities of the Secretariat, 
established under Article XII of the Treaty, and the responsibilities 
of the committees, which were established under Resolution Conf. 11.1 
(Rev. CoP13). The committees provide administrative, technical, and 
scientific support to the Parties. Resolution Conf. 11.1 (Rev. CoP13) 
also outlines how regional representatives are selected to serve on the 
various committees and their responsibilities.
    Meetings of the CoP (section 23.85): 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 (section 23.86): This proposed section revises 
sections 23.31 through 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 provide, either through published 
notices in the Federal Register or postings on our Web site, 
information on the location, dates, agenda, proposed amendments to the 
Appendices, proposed resolutions, and public meetings. Since we will 
provide up-to-date information on how to participate in the public 
meetings, including the correct addresses for submission of any written 
comments and a telephone number for further information, we propose not 
to include the addresses and telephone numbers in 50 CFR part 23.
    Development of U.S. documents and negotiating positions for a CoP 
(section 23.87): We propose to reorganize the information in sections 
23.33, 23.35, and 23.38 of the current regulations to show the process 
we follow in developing documents for submission to the CoP and our 
negotiating positions, including how the public can participate in this 
process. We will outline what the United States is considering and our 
proposed negotiating positions on agenda items and proposals from other 
countries either through Federal Register notices or postings on our 
Web site. We will hold one or more public meetings to discuss these 
issues. One commenter wanted a deadline for publication of final 
negotiating positions in the Federal Register. We propose not to 
publish final negotiating positions because some issues are extremely 
complex and require extensive coordination, and our final negotiating 
positions may not be available prior to the CoP. We hold daily 
briefings at the CoP for U.S. observers where we often discuss our 
tentative negotiating positions and any changes to them. We also 
propose to delete section 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 the 
CITES Web site, so the production of a separate report has become 
duplicative and not necessary. We propose to delete section 23.36 in 
the current regulations since this information is incorporated into 
other newly proposed sections.

[[Page 20206]]

    Resolutions and decisions (section 23.88): At each CoP, the Parties 
adopt resolutions and decisions. As noted by the United States Court of 
Appeals for the District of Columbia in Castlewood Products, L.L.C. v. 
Norton (April 30, 2004), the resolutions provide appropriate 
clarification and guidance when interpreting the Treaty and our 
regulations. Decisions typically contain instructions to the permanent 
committees, Parties, or Secretariat on actions that are to be 
implemented, often within a specific timeframe, and then become 
redundant or obsolete. We propose to add this new section to provide 
the legal basis and purpose of resolutions and decisions. We also 
propose to implement Resolution Conf. 4.6 (Rev. CoP13), which 
establishes that a resolution or decision becomes effective 90 days 
after the meeting at which it is adopted, unless the resolution or 
decision specifies a different date.

What Are the Proposed Changes to Subpart H of 50 CFR Part 23--List of 
Species?

    Listing criteria for Appendix I or II (section 23.89): CITES lists 
species in one of three Appendices for which there are different levels 
of regulation, 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 section 23.4). In 1992 at CoP8, 
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--The World 
Conservation Union 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, in Brussels in 
September 1993. From this review, the Parties adopted Resolution Conf. 
9.24, which established specific criteria for listing species. Between 
CoP11 and CoP13, the Parties conducted a full review of the listing 
criteria with regard to the scientific validity of the criteria, 
definitions, notes, and guidelines, and their applicability to 
different groups of organisms. That review resulted in the adoption of 
Resolution Conf. 9.24 (Rev. CoP13). This proposed section adopts the 
revised resolution as it is written. When considering any proposal to 
amend Appendix I or II, the Parties should apply precautionary measures 
so that scientific uncertainty is not used as a reason for failing to 
act in the best interest of the conservation of the species. We propose 
to define the terms ``precautionary measures'' and ``affected by 
trade'' in section 23.5.
    According to Article II of the Treaty, Appendix II should include 
species that could be threatened with extinction if trade is not 
regulated (Article II(2)(a)) and species where trade should be 
regulated because of their similarity of appearance or close 
association with other listed species (Article II(2)(b)). In both 
cases, our goal is to ensure that international trade does not 
adversely affect any listed species. In addition, we wish to ensure 
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 
instructed to regularly review the status of species listed in 
Appendices I and II.
    One commenter recommended that the specific resolution containing 
the criteria for amending Appendix I or II should be referenced within 
this section of the regulation. We have referenced the current 
resolution (Conf. 9.24 (Rev. CoP13)) containing these criteria here in 
the preamble. Because the CITES resolutions are dynamic documents, 
subject to change by the CoP, we have avoided citing them specifically 
in any part of the proposed rule. However, we intend that the listing 
criteria identified in this section will faithfully track the criteria 
and principles set out in Resolution Conf. 9.24 (Rev. CoP13). If that 
resolution is substantially modified at a future CoP, then we may 
propose amendments to this section to maintain our science-based 
interpretation of criteria for the addition or removal of species from 
Appendices I and II.
    Numerous commenters questioned the biological or management basis 
for the inclusion of certain species, such as all orchids, in the CITES 
Appendices. Species were first placed in the Appendices as a negotiated 
part of the Treaty, based on the advice of experts. Subsequently, 
species have been proposed for inclusion based on the criteria in 
effect at the time, and the Parties voted to include them. If anyone 
believes that a species or higher taxonomic group no longer qualifies 
for listing in the CITES Appendices, based on an evaluation of the 
species under the current criteria, then that person is encouraged to 
submit relevant information to us so that we may consider submission of 
a proposal to a future CoP.
    One commenter suggested that criteria for removal from the 
Appendices (delisting) and transfer from Appendix I to Appendix II 
(downlisting) should also be included in this section, not just 
criteria for listing. The criteria for including a species in the 
Appendices (listing) are the same as the criteria for delisting, 
downlisting, and uplisting. If an Appendix-I species no longer meets 
the criteria for listing in Appendix I, then it may be transferred to 
Appendix II. Likewise, if the status of an Appendix-II species changes 
so that it meets the criteria for listing in Appendix I, then it may be 
transferred to Appendix I. If an Appendix-II species no longer meets 
the criteria for listing in Appendix II, then it may be removed from 
the Appendices, unless individual Parties wish to retain the species in 
Appendix III (see proposed section 23.90).
    Listing criteria for Appendix III (section 23.90): Article II(3) of 
the Treaty sets out that Appendix III includes native species that a 
Party lists to obtain international cooperation in controlling trade. 
Under Article XVI of the Treaty, 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 
include the requirement that the species must be native to the listing 
country, be protected under that country's regulations to prevent or 
restrict exploitation and 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 that 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 to determine whether the species 
should be proposed for listing in Appendix II, removed from Appendix 
III, or retained in Appendix III.
    This proposed section incorporates Resolution Conf. 9.25 (Rev.) 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. On December 16, 2005 we published a 
final rule in the Federal Register (70 FR 74700) listing the alligator 
snapping turtle (Macroclemys [=Macrochelys] temminckii) and all species 
of map turtle (Graptemys spp.) in Appendix III. These listings will

[[Page 20207]]

become effective on June 14, 2006. These are the first taxa to be 
listed by the United States in Appendix III.
    Listed species (section 23.91): This proposed section is a revision 
and reorganization of current section 23.23. It provides information on 
how to determine if a species is listed in the CITES Appendices and 
when a listing becomes effective. The official list of CITES species is 
maintained by the CITES Secretariat and can be found on the CITES Web 
site (http://www.cites.org). In the past, we published an unofficial 
list of CITES species in the CFR. Because the official CITES list is 
available on the CITES Web site, we propose to discontinue compilation 
of our unofficial list and its publication in the CFR. We believe this 
is a more practical approach since the unofficial list in the CFR was 
extremely resource intensive to compile and was often outdated because 
the CFR is only published annually.
    Exemptions (section 23.92): This proposed section also is a 
revision of current section 23.23. It provides details on what 
materials are exempt. We propose to add coral sand; coral fragments; 
personal and household effects as provided in proposed section 23.15; 
urine, feces, and synthetically derived DNA as provided in proposed 
section 23.16; and certain marine specimens protected under another 
treaty or international agreement as provided in proposed section 23.39 
as exempt from the requirements of CITES. One commenter suggested we 
include the phrase ``or cultivar'' in paragraph (b) after the word 
``hybrid.'' We do not agree because we consider cultivars to be 
regulated by CITES. At the 53rd Meeting of the Standing Committee in 
June 2005, the issue of the legality of some plant annotations, 
including the annotations concerning cultivars, was discussed. This 
issue will need to be considered by the Parties at the next CoP.

Required Determinations

    Regulatory Planning and Review: The Office of Management and Budget 
(OMB) has determined that this is a significant regulatory action under 
Executive Order 12866 because it may raise novel legal or policy 
issues. Therefore this proposed rule will be reviewed by OMB.
    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. An assessment to 
clarify the costs and benefits associated with this rule follows. The 
purpose of this proposed rule is to clarify and update the regulations 
that implement 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 
168 Parties, must follow under the Convention. As of July 19, 2005, our 
records show there are 5,988 active U.S. CITES documents (the period of 
validity for documents ranges from 6 months to 4 years). In the United 
States, the percentage of CITES documents issued for various uses is 
generally as follows: 34 percent hunting trophies; 19 percent 
commercial wildlife; 18 percent personal use; 8 percent scientific 
research; 6 percent commercial plants; 6 percent zoological parks; 5 
percent breeding; 3 percent circuses; and 1 percent miscellaneous.
    The overwhelming majority of countries that trade internationally 
in wildlife and plants are CITES Parties. Because most of these Parties 
are currently implementing the CITES resolutions, this proposed rule 
should cause little or no impact for importers or exporters. The 
foreign suppliers are, in most cases, already required by their own 
country's laws to follow the CITES resolutions and decisions. In 
addition, if a U.S. importer were to receive a shipment that did not 
comply with all of the requirements of the country of export, the 
import may violate the Lacey Act Amendments of 1981. Exporters need to 
comply with the requirements of the importing country in addition to 
U.S. requirements. If a shipment is not in compliance with all 
applicable laws, it may be seized, detained, or refused clearance at 
its destination. These proposed revisions include clarifications of the 
Convention's provisions that have not previously been published. Thus, 
U.S. businesses are already complying with most of the proposed 
revisions. Proposed revisions that would impact current business 
practices are addressed below.
    We do not expect that this proposed rule would have a significant 
effect on the volume or dollar value of wildlife and plants imported, 
exported, or re-exported to and from the United States. There is no 
indication that this proposed rule would result in statistically 
significant higher or lower levels of trade, permit applications, or 
permit issuance or denial.
    Many of the costs incurred by industry would be associated with 
changes to required information collections. These are annual, 
periodic, or one-time collections. The costs presented represent the 
estimated yearly costs for all types of collections. Refer to the 
``Paperwork Reduction Act'' section for more details. The yearly cost 
associated with new information collections described in the proposed 
rule is $34,063 ($2,813 in value of burden hours + $31,250 in 
application fees). The 10-year quantitative cost is $340,630 ($299,281 
discounted at 3 percent or $255,991 discounted at 7 percent). We do not 
anticipate that this rulemaking would have a significant effect on 
permit application processing time for CITES documents issued under 50 
CFR part 23. We do not expect administrative costs to increase.
    Costs not associated with information collections are more 
difficult to quantify. These costs include (1) The need for operations 
that are breeding Appendix-I wildlife for commercial purposes to become 
registered, (2) the need for facilities that are breeding Appendix-I 
wildlife for noncommercial purposes to participate in a cooperative 
conservation program, (3) conditioned noncommercial use of Appendix-I 
and certain Appendix-II and -III specimens after import into the United 
States, and (4) the need to label sturgeon caviar and re-export caviar 
within 18 months from the date of the issuance of the original export 
permit.
    To comply with Article II of the Treaty, which states that 
Appendix-I specimens ``* * * must be subject to particularly strict 
regulation in order not to endanger further their survival and must 
only be authorized in exceptional circumstances,'' we propose no longer 
to allow the use of Article III of the Treaty for commercial export of 
Appendix-I wildlife. This proposed new provision means that operations 
that are breeding Appendix-I wildlife for commercial purposes under 
Article VII(4) of the Treaty need to become registered. This does not 
affect the sale of specimens within the United States, only the 
commercial export of such specimens, nor does it preclude the export of 
specimens where the export is not commercial, such as scientific, 
conservation, or personal use.
    Wildlife may be exported with an exemption bred-in-captivity 
certificate under Article VII(5). At CoP12, the Parties agreed that 
facilities that are breeding Appendix-I species for noncommercial 
purposes must be participating in a cooperative conservation program 
with one or more of the range countries for that species to qualify for 
such a certificate. We propose to adopt this new provision to ensure 
that trade in Appendix-I species would not be detrimental to the 
survival of the species in the wild. Many Appendix-I species also are 
listed under the Endangered Species Act, and an

[[Page 20208]]

export permit can be issued only when the activity will provide for the 
conservation of the species. Thus, we do not expect administrative 
costs to facilities that want to export Appendix-I species bred for 
noncommercial purposes to increase.
    Unless an Appendix-I wildlife or plant specimen qualifies for an 
exemption under Article VII of the Treaty, it can be imported only when 
the intended use is not for primarily commercial purposes. In addition, 
the Parties agreed that Appendix-I trophies be ``imported as personal 
items that will not be sold in the country of import'' (Resolution 
Conf. 10.14 (Rev. CoP13) for leopards, Resolution Conf. 10.15 (Rev. 
CoP12) for markhor, and Resolution Conf. 13.5 for black rhinoceros). We 
propose to incorporate into 50 CFR part 23 a provision that Appendix-I 
specimens and certain Appendix-II and -III specimens may not be 
imported and subsequently used for a commercial purpose. This provision 
is to prevent commercial use after import when the trade allowed under 
CITES is only for a noncommercial purpose. The provision would apply to 
Appendix-II specimens that are subject to an annotation that allows 
noncommercial trade of sport-hunted trophies, such as the African 
elephant populations of Botswana, Namibia, South Africa, and Zimbabwe. 
Under the regulations proposed here, these types of trophies may be 
imported for personal use only and may not be sold or otherwise 
transferred for economic gain, including for tax benefits, after import 
into the United States. From 2001 to 2003, there were between 265 and 
300 African elephant trophies and between 420 and 450 leopard trophies 
imported into the United States annually.
    We propose to implement changes in requirements for trade in 
sturgeon caviar agreed at CoP12 and CoP13. We will require that all 
caviar be labeled in accordance with Resolution Conf. 12.7 (Rev. CoP13) 
and any re-exports of caviar take place within 18 months from the date 
of issuance of the original export permit. We believe these procedures 
are consistent with current industry practices and will not cause any 
additional burden to applicants.
    The publication of the proposed revisions would assist U.S. 
businesses in complying with CITES requirements when engaging in 
international wildlife trade. Many of the benefits associated with the 
proposed rule are due to clarified regulations. Benefits include (1) 
Streamlining procedures for traveling exhibitions, (2) establishing 
application procedures for registration of operations breeding 
Appendix-I wildlife species for commercial purposes, (3) issuing a 
bred-in-captivity certificate that eliminates the need to obtain an 
import permit, (4) using standardized coral nomenclature to simplify 
procedures and therefore provide relief to entities that trade in coral 
internationally, (5) informing the public about proper CITES documents 
and procedures for international travel with personal live wildlife 
(i.e., pets), (6) streamlining procedures to issue permits for trade 
that would have a negligible impact or no impact on the conservation of 
the permitted species and that is repetitive in nature, (7) simplifying 
procedures for shipment of sample collections under an ATA carnet, (8) 
for certain wildlife hybrids, issuing or accepting a letter that could 
be used repeatedly, in place of requiring a single-use permit, and (9) 
exempting urine, feces, and synthetically derived DNA from CITES 
requirements. These benefits are presented qualitatively below.
    We expect the proposed regulations to provide relief in 
streamlining the CITES document procedures for traveling exhibitions. 
At CoP 8, the Parties agreed to issue CITES documents for live pre-
Convention and bred-in-captivity animals that travel internationally as 
part of an exhibition. The document is to be treated like a passport, 
allowing the exhibitor to use the same CITES document to cross multiple 
borders, rather than having to obtain a new document for each border 
crossing. This CITES document is valid for three years, rather than six 
months like a standard export permit. At CoP 12, the Parties agreed to 
extend these provisions to all traveling exhibitions, not just 
traveling live-animal exhibitions. We propose to incorporate provisions 
for such traveling exhibitions into these regulations and to define the 
term ``traveling exhibition'' to include live animals and plants and 
dead items (e.g., herbarium specimens and museum specimens). We 
estimate that 50 permittees would be affected by this procedure, 
although we do not categorize permittees as traveling exhibitors in our 
records, and, therefore, are not able to quantify the precise effect of 
this relief.
    We also propose to implement Resolution Conf. 12.10 (Rev. CoP13) 
and establish application procedures for an operation breeding 
Appendix-I wildlife species for commercial purposes to register their 
facility for each Appendix-I species. Specimens that originate from 
registered facilities may be granted export permits or re-export 
certificates without the issuance of an import permit. This provides 
some economic relief by allowing specimens from registered facilities 
to be imported for commercial purposes, trade which is otherwise 
prohibited by the Treaty for Appendix-I specimens. The registration fee 
in 50 CFR part 13 is set at $100. To date, the United States has 
registered four commercial Appendix-I breeding operations. Since 2000, 
two facilities have exported a total of 5 shipments per year, on 
average. We anticipate that about 15-20 operations would seek to be 
registered annually.
    We are proposing to implement the definition of ``bred for 
noncommercial purposes'' in Resolution Conf. 12.10 (Rev. CoP13) for 
Appendix-I wildlife. Facilities that are breeding for noncommercial 
purposes must participate in a cooperative conservation program with 
one or more of the range countries for that species. Qualifying 
applicants are issued a bred-in-captivity certificate that eliminates 
the need to obtain an import permit. The number of facilities exporting 
Appendix-I wildlife is relatively small. In 2002, we issued about 100 
CITES documents to export Appendix-I specimens.
    We propose to exempt coral sand and coral fragments from CITES 
requirements, because the Parties have recognized the difficulty in 
identifying these coral specimens. The Parties also agreed to the use 
of higher taxon names (broader classification) for coral rock and live 
and dead coral under certain conditions. We propose to accept a CITES 
document that uses a higher taxon name for coral when the CoP has 
agreed to its use. A current list of acceptable higher taxon names for 
coral is available on the CITES Web site (http://www.cites.org) or from 
us. We anticipate that the use of this standardized nomenclature and 
the exemption of coral sand and coral fragments from CITES requirements 
would simplify procedures and therefore provide relief to entities that 
trade in coral internationally. Because we are uncertain how much of 
the trade would be affected by these changes, we are unable to quantify 
their impact.
    Resolution Conf. 10.20 (``Frequent cross-border movements of 
personally owned live animals'') provides for the issuance of 
certificates for personal live wildlife that would be valid for a 
period of three years and allow for multiple imports, exports, and re-
exports of the covered specimens. Current U.S. regulations do not 
inform the public of this. The proposed rule advises travelers that 
they must have a CITES document in order to travel with their CITES-
listed pets, and it provides procedures for the issuance of these CITES 
documents.

[[Page 20209]]

Individuals importing live CITES wildlife as pets would be required 
under this proposed rule to obtain a CITES document prior to arriving 
in the United States with their pets. Since most Parties require CITES 
documents for international trade of all live specimens, this 
requirement would ensure that pet owners are not inadvertently 
violating the Lacey Act by exporting a CITES species without having 
obtained the required CITES permits. Although we can issue and accept 
retrospective documents under limited circumstances for activities that 
have already occurred, the practice is discouraged. On average, we 
issue about 20 retrospective documents for personal shipments, 
including live wildlife, annually. These revised regulations would not 
impose an additional paperwork or financial burden for pet owners, but 
may actually save time and money by clearly informing travelers of 
CITES requirements.
    This proposed rule would provide relief to permit applicants by 
streamlining procedures to issue permits for trade that would have a 
negligible impact or no impact on the conservation of the permitted 
species and that is repetitive in nature (i.e., the same type of 
specimens or the same actual specimens are exported shipment after 
shipment). Examples include biomedical companies shipping biological 
samples derived from cell lines they maintain and production facilities 
exporting certain native Appendix-II (and potentially Appendix-III) 
species. In the past, in an effort to facilitate the timely movement of 
such specimens, we have issued ``multiple-use'' export documents that 
could be photocopied for use with multiple shipments. However, many 
countries no longer accept photocopied documents. Thus, we propose to 
implement streamlined procedures adopted at CoP12 and issue partially 
completed documents under specific circumstances. The permittee would 
be authorized to complete specifically identified boxes on the document 
and would be required to sign the document to certify that the 
information entered was true and correct. For U.S. documents, an 
applicant would submit the appropriate application form for the 
proposed activity and show that the use of this type of document is 
beneficial to both the applicant and to the Service. We could issue 
multiple partially completed documents when we find that the issuance 
criteria for the proposed activity and the issuance criteria for a 
partially completed document are met. In 2002, we issued about 350 
``multiple-use'' documents. We estimate that applicants would receive 
relief under this proposed rule for approximately 1,000 shipments a 
year.
    This proposed rule would provide relief to applicants who travel 
internationally with collections of display samples, such as sets of 
shoes or reptile skin samples. At CoP13, the Parties agreed to allow 
the in-transit shipment of such collections under specific conditions. 
We propose to issue a CITES document that would allow these sample 
collections to move from one country to another before returning to the 
originating country, rather than requiring the issuance of a re-export 
certificate from each country visited. Such a CITES document must be 
accompanied by a valid ATA carnet. An ATA carnet is an international 
customs document that allows the temporary introduction of goods 
destined for fairs, shows, exhibitions, and other events. We estimate 
that approximately 50 applicants would benefit from this simplified 
procedure.
    Certain wildlife hybrids may be excluded from CITES trade 
requirements under an interpretive resolution. Under the proposed rule, 
we would accept or issue a letter for a qualifying hybrid, in place of 
a permit. Unlike a permit, the letter could be used indefinitely for 
travel with the hybrid animal. We generally receive fewer than 10 
inquiries concerning excluded hybrids annually.
    We propose that urine, feces, and synthetically derived DNA of 
CITES species be exempt from CITES requirements under certain 
circumstances. We consider samples of urine and feces to be wildlife 
byproducts, rather than parts, products, or derivatives and therefore 
do not require CITES permits for the international movement of these 
specimens unless a permit is required by the other country involved in 
the trade. This exemption applies only to synthetically derived DNA. 
DNA extracted directly from blood and tissue samples must comply with 
all CITES permitting requirements. Because we do not maintain records 
on the trade in these specimens we are unable to estimate the impact of 
this exemption.
    b. This proposed rule will not create inconsistencies with other 
agencies' actions. As the lead agency for implementing CITES in the 
United States, we are responsible for monitoring imports and exports of 
CITES wildlife and plants, including their parts, products, and 
derivatives, 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. OMB has determined that this proposed rule raises novel legal or 
policy issues. As a Party to CITES, the United States is committed to 
fully and effectively implementing the Convention. This proposed rule 
clarifies the requirements for the import, export, and re-export of 
CITES specimens and informs individuals and businesses of the current 
requirements.
    Regulatory Flexibility Act: Under the Regulatory Flexibility Act 
(as amended by the Small Business Regulatory Enforcement Fairness Act 
(SBREFA) of 1996), whenever a Federal agency is required to publish a 
notice of rulemaking for any proposed or final rule, it must prepare 
and make available for public comment a regulatory flexibility analysis 
that describes the effect of the rule on small entities (i.e., small 
businesses, small organizations, and small government jurisdictions) (5 
U.S.C. 601 et seq.). However, no regulatory flexibility analysis is 
required if the head of an agency certifies that the rule would not 
have a significant economic impact on a substantial number of small 
entities. Thus, for a regulatory flexibility analysis to be required, 
impacts must exceed a threshold for ``significant impact'' and a 
threshold for a ``substantial number of small entities.'' See 5 U.S.C. 
605(b). SBREFA amended the Regulatory Flexibility Act to require 
Federal agencies to provide a statement of the factual basis for 
certifying that a rule would not have a significant economic impact on 
a substantial number of small entities.
    The U.S. Small Business Administration (SBA) defines a ``small 
business'' as one with annual revenue or employment that meets or is 
below an established size standard. To assess the effects of the rule 
on small entities, we focus on industries that may have businesses that 
import, export, or re-export CITES specimens. Many of these businesses 
can be placed in the following categories: Zoos and Botanical Gardens 
with an SBA size standard of $6.0 million in average annual receipts; 
Merchant wholesalers, nondurable goods, with an SBA size standard of 
100 employees; Leather and allied product manufacturers, with an SBA 
size standard of 500 employees; and Clothing and Clothing Accessories 
Stores, with an SBA size standard ranging from $6.0 million to $7.5 
million in average annual receipts. The U.S. Economic Census does not 
capture the detail necessary to determine the

[[Page 20210]]

number of small businesses that are engaged in international commerce 
in CITES species. However, we expect that the overwhelming majority of 
the entities involved with this type of commerce would be considered 
small as defined by the SBA. The declared value for U.S. trade in CITES 
wildlife (not including plants) was $345 million in 2002 and $394 
million in 2003.
    These proposed new regulations would create no substantial fee or 
paperwork changes in the permitting process. Any increase in costs due 
to information collections is expected to be minimal. Response time for 
new information collections would vary from 6 minutes to 30 minutes per 
response and new application fees range from free to $100. The proposed 
regulatory changes are not major in scope and would create only a 
modest financial or paperwork burden on the affected members of the 
general public.
    This proposed rule also benefits these businesses by providing 
updated and more clearly written regulations for the international 
trade of CITES specimens. We do not expect these benefits to be 
significant under the Regulatory Flexibility Act. 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. The 
requirements that must be met to import, export, and re-export CITES 
species are based on the text of the Convention, which has been in 
effect in the United States since 1975.
    Therefore, we have determined that this rule would 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.). 
An initial Regulatory Flexibility Analysis is not required. 
Accordingly, a Small Entity Compliance Guide is not required.
    Small Business Regulatory Enforcement Fairness Act: This proposed 
rule is not a major rule under 5 U.S.C. 804(2), the Small Business 
Regulatory Enforcement Fairness Act. As discussed above, 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 would not 
have a negative effect on this part of the economy.
    This proposed rule would affect all importers, exporters, and re-
exporters equally, and the benefits of having updated guidance on 
complying with CITES requirements would 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, tribal, or local 
government agencies; or geographic regions. This proposed rule would 
clarify and update the regulations that implement CITES and, as such, 
would provide benefits to all permit applicants in terms of time 
savings. However, this proposed rule may result in a small increase in 
the number of applications and processing fees for circuses, pet owners 
trading in CITES animal species, Appendix-I commercial breeding 
operations, and entities currently exporting under multiple-use 
permits. This rule also proposes to establish processing fees for the 
following application types: Introduction from the sea ($100), and 
registration of Appendix-I commercial breeding operations ($100). We 
anticipate fewer than 30 applicants would be affected annually by these 
new proposed fees.
    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 would enable U.S. importers and exporters of CITES 
species to better understand and comply with the regulations covering 
international trade in CITES wildlife and plants. Without these 
proposed revisions to the regulations, the U.S. importing and exporting 
community may not be able to compete effectively with foreign-based 
companies in the international trade of CITES specimens. This proposed 
rule would assist U.S. businesses in ensuring that they are meeting all 
current CITES requirements thereby decreasing the possibility that 
shipments may be delayed or even seized in another country that has 
implemented CITES resolutions not yet incorporated into U.S. 
regulations.
    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 implementing CITES in the United States, we are 
responsible for monitoring import and export of CITES wildlife and 
plants, including their parts, products, and derivatives, and issuing 
import and export documents under CITES. The structure of the program 
imposes no unfunded mandates. Therefore, this proposed rule has no 
effect on small governments' responsibilities. This rule affects States 
only as described below, concerning export programs for certain CITES 
native species.
    Some 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, Canada lynx, brown bear, and gray wolf. The majority of consumer 
products made from these species are processed and manufactured 
overseas. During 2001-2003, annual exports of animal skins under the 
CITES export programs ranged from approximately $28 to 43 million. 
Annual exports of American ginseng during the same timeframe ranged 
from approximately $41 to 111 million. We are not proposing to change 
the existing regulations for export from these programs (although we 
may eliminate the need for export tags on certain native furbearers) 
and, therefore, do not anticipate any change in economic effects or 
current activities.
    States have the right and responsibility to manage their wildlife 
and plants. Many States have monitored the harvest of CITES species 
since before the Convention came into effect. We have worked with 
States and Indian Tribes to use the information they collect to make 
CITES findings on a State or tribal basis where export program approval 
is requested. This allows us to make findings for all specimens of a 
particular species from a State or Tribe rather than requiring each 
individual applicant to supply the information we need to make legal 
acquisition and non-detriment findings. We supply States and Tribes 
that have approved programs for the export of skins with CITES export 
tags at no charge. These tags are placed on each skin under State-or 
Tribe-monitored conditions or regulations. The presence of a tag on a 
skin indicates that the skin was taken from an approved program and 
that the necessary findings have been made. By making programmatic 
findings, we reduce the amount of paperwork required considerably, and, 
thus, allow exporters of these species to benefit from streamlined 
export procedures. Export from a State or from tribal lands where there 
is not an approved program is also allowed. However, where there is no 
approved program, each applicant must complete the standard application 
for export (rather than the streamlined application for export from 
approved programs) and must provide all information necessary to 
determine that the specimens were

[[Page 20211]]

legally acquired and that their export would not be detrimental to the 
species.
    In the proposed revisions, we provide the criteria we use in making 
decisions to approve a program. However, these proposed criteria are 
consistent with those that we currently employ in making such findings 
and program approval would continue to function as it does now. The 
proposed revisions provide the public with information on how the 
Service makes findings regarding State and tribal programs.
    The proposed changes to the CITES regulations would assist those 
who rely on income from the export of certain native CITES species by 
allowing them 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. 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 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 conducting 
international trade in CITES specimens.
    Federalism: These proposed revisions to Part 23 do not contain 
provisions that have Federalism implications significant enough to 
warrant preparation of a Federalism Assessment under Executive Order 
13132.
    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 potential 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: This proposed rule contains information 
collections for which OMB approval is required under the Paperwork 
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). 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 information collections associated with this proposed rule will be 
used to evaluate applications for CITES documents and registrations. We 
will use the information to make decisions on the issuance, suspension, 
revocation, or denial of CITES documents and registrations.
    The majority of the information collection associated with this 
proposed rule has been approved under OMB control number 1018-0093, 
which expires June 30, 2007. Forms approved under 1018-0093 include 3-
200-19, 3-200-20, 3-200-23 through 3-200-37, 3-200-39, 3-200-43, 3-200-
46 through 3-200-48, 3-200-52, and 3-200-53, 3-200-58, 3-200-64 through 
3-200-66, and 3-200-73. Form 3-200-61 was approved under OMB control 
number 1018-0130. OMB approvals are valid for three years.
    We are also requesting new information collections in conjunction 
with this proposed rule. We have developed new application forms for 
single-use permits under a master file or an annual program file and 
registration of production facilities for export of certain native 
species. The new information collections, including forms 3-200-74 and 
3-200-75, will be submitted to OMB for approval at the same time this 
proposed rule is published. The new information collections and the 
estimated reporting burdens are indicated in the following table.

                                                                  New Information Collections Associated With the Proposed Rule
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                        Total
                                                                          Total        Total      Estimated      Total       Value of   Application  annual  non-
                Form No.                            Activity            number of    number  of   completion     annual       burden     processing   hour  cost            Regulation
                                                                       respondents   responses       time        burden       hours          fee        burden
                                                                                                   (hours)       hours      (dollars)    (dollars)    (dollars)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
3-200-74                                  Single-Use Permits Under a           350        1,000          0.1          100       $2,500         * $5      $30,000  50 CFR 23.51
                                           Master File or an Annual
                                           Program File.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
3-200-75                                  Registration of a                     25           25          0.5         12.5          313         * 50        1,250  50 CFR 23.36, 23.20, 13.11
                                           Production Facility for
                                           Export of Native CITES
                                           Species.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
    Totals                                                                     375        1,025                     112.5        2,813                   31,250
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* These fees have been approved (see 70 FR 18311, April 11, 2005).

    Under the proposed rule we would accept or issue a letter, in place 
of a permit, for international movement of certain wildlife hybrids. 
Unlike a permit, the letter could be used repeatedly for travel with 
the qualifying hybrid animal, thus reducing fees and paperwork. An 
individual may apply for an excluded hybrid letter by completing our 
standard export permit application. One example of trade in hybrids 
that might be eligible for exclusion from CITES is certain domestic 
``Bengal cats'' (a cross between a domestic cat and a CITES-listed 
cat). We generally receive fewer than 10 inquiries concerning excluded 
hybrids annually.
    We are also proposing to make changes to the requirements covering 
trade in sturgeon caviar (which includes paddlefish caviar). While we 
are proposing a number of modifications to 50 CFR part 23 that would 
specifically cover caviar trade, the majority of these requirements are 
already implemented by other CITES Parties that are either exporting 
caviar to the United States, or are receiving imports of caviar from 
the United States. Therefore, our proposed codification of these 
existing requirements would not impose a new burden on traders. We are 
proposing to require the labeling of containers of caviar being 
imported, exported, or re-exported to or from the United States. 
Resolution Conf. 12.7 (Rev. CoP13) recommends guidelines for a 
universal

[[Page 20212]]

labeling system in order to assist Parties in identifying legal caviar 
in trade. Sturgeon caviar may be traded internationally only if non-
reusable labels containing specific information are affixed to primary 
and secondary containers. In 2002, we issued approximately 150 CITES 
documents to export and re-export caviar from the United States.
    CITES Resolution Conf. 12.3 (Rev. CoP13) also requires each live 
animal in a traveling exhibition (such as a circus) that is pre-
Convention or bred-in-captivity to be covered by a CITES document 
specific to that specimen. Currently, circuses are allowed to have one 
document that covers several animals. Under these proposed regulations, 
when a document covering multiple pre-Convention or bred-in-captivity 
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 ($100 per application) for a small 
number of importers and exporters. This requirement would be phased in 
as current documents expire. We estimate that approximately 40 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. 
During the comment period on the 2000 proposal, one circus stated that 
they would not wait for their documents to expire, but would obtain the 
new documents as soon as possible since the new type of documents 
should expedite border crossings.
    The system for providing multiple single-use CITES documents, in 
lieu of a single multiple-use document, will result in increased permit 
fees ($5 per document) for those entities that were utilizing 
photocopied multiple-use CITES documents. We are eliminating multiple-
use documents because many CITES Parties will no longer accept 
photocopied documents. We estimate 350 exporters will be impacted by 
this change.
    We estimate the public burden for all the information collections 
associated with this proposed rule, including those already approved 
under OMB control number 1018-0093 and 1018-0130, will vary from 6 
minutes to 40 hours per response, with the vast majority requiring 1 
hour per response. This estimate includes time for reviewing 
instructions, gathering and maintaining data, and completing and 
reviewing the forms and reports.
    We invite comments on this information collection on: (1) Whether 
or not the collection of information is necessary for the proper 
performance of our management functions involving CITES, including 
whether or not the information will have practical utility; (2) the 
accuracy of our estimate of the burden of the collection of 
information; (3) ways to enhance the quality, utility, and clarity of 
the information to be collected; and (4) ways to minimize the burden of 
the collection of information on respondents.
    National Environmental Policy Act (NEPA): 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 1.9.
    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 trade internationally in CITES species.
    Energy Supply, Distribution or Use: On May 18, 2001, the President 
issued Executive Order 13211 on regulations that significantly affect 
energy supply, distribution, and use. Executive Order 13211 requires 
agencies to prepare Statements of Energy Effects when undertaking 
certain actions. This rule proposes to revise the current regulations 
in 50 CFR part 23 that implement CITES. The proposed regulations 
provide procedures to assist individuals and businesses that import, 
export, and re-export CITES wildlife and plants, and their parts, 
products, and derivatives, to meet international requirements. Although 
this proposed rule is considered a significant regulatory action under 
Executive Order 12866, it is not expected to significantly affect 
energy supplies, distribution, and use. Therefore, this action is a not 
a significant energy action and no Statement of Energy Effects is 
required.
    Clarity of this regulation: Executive Order 12866 requires each 
agency to write regulations that are easy to understand. We invite your 
comments on how to make this rule easier to understand, including 
answers to questions such as the following: (1) Are the requirements of 
the rule clearly stated? (2) Does the rule contain technical language 
or jargon that interferes with its clarity? (3) Does the format of the 
rule (grouping and order of sections, use of headings, paragraphing, 
etc.) aid or reduce its clarity? (4) Would the rule be easier to 
understand if it were divided into more (but shorter) sections? (A 
``section'' appears in bold type and is preceded by the symbol ``Sec.  
'' and a numbered heading; for example, Sec.  23.1 What are the 
purposes of these regulations and CITES?) (5) Is the description of the 
rule in the ``Supplementary Information'' section of the preamble 
helpful in understanding the proposed rule? What else could we do to 
make the rule easier to understand?
    Send a copy of any comments that concern how we could make this 
rule easier to understand to: Office of the Executive Secretariat and 
Regulatory Affairs, Department of the Interior, Room 7229, 1849 C 
Street, NW., Washington, DC 20240. You may also e-mail the comments to 
[email protected].

Public Comments Solicited

    We invite interested organizations and the public to comment on 
this proposed rule. It generally reflects the way we 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 allow the affected public 
to effectively comply with CITES.
    When providing comments, to the extent possible, reference the 
section of the proposed regulations on which you are commenting and 
give the category of your comments. Select one of the following 
categories: (1) International organization; (2) government; (3) 
nongovernmental conservation organization; (4) humane or animal welfare 
organization; (5) wildlife/pet business; (6) other business; or (7) 
private citizen. You may send comments via e-mail to: [email protected]. 
Please submit Internet comments as an ASCII file, avoiding the use of 
special characters and any form of encryption. Also, please reference 
in your e-mail message the following information: ``RIN 1018-AD87''; 
your name and mailing address; and the category of your comments.
    Our practice is to make comments, including names and home 
addresses of respondents, available for public review during regular 
business hours. Any person commenting may request that we withhold 
their name and home address, which we will honor to the extent 
allowable by law. In some

[[Page 20213]]

circumstances, we may also withhold a commenter's identity, as 
allowable by law. If you wish us to withhold your name and address or 
e-mail address, you must state this request prominently at the 
beginning of your comments. We will not, however, consider anonymous 
comments. To the extent consistent with applicable law, we will make 
all submissions from organizations or businesses, and from individuals 
identifying themselves as representatives or officials of organizations 
or businesses, available for public inspection in their entirety.
    Comments and materials received will be available for public 
inspection by appointment, from 7:45 a.m. to 4:15 p.m., at the Division 
of Management Authority (see ADDRESSES section).

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, 
Incorporation by reference, Marine mammals, Plants, Reporting and 
recordkeeping requirements, Transportation, Treaties, Wildlife.

Proposed Regulation Promulgation

    For the reasons given in the preamble, we propose to amend title 
50, chapter I, subchapter B of the CFR 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. 1531-1543; 16 U.S.C. 1361-1384, 1401-1407; 16 
U.S.C. 742a-742j-l; 16 U.S.C. 3371-3378.

    2. In Sec.  10.12, the definition of United States is revised to 
read as follows:


Sec.  10.12  Definitions.

* * * * *
    United States means the several States of the United States of 
America, District of Columbia, Commonwealth of Puerto Rico, American 
Samoa, U.S. Virgin Islands, Guam, Commonwealth of the Northern Mariana 
Islands, Baker Island, Howland Island, Jarvis Island, Johnston Atoll, 
Kingman Reef, Midway Islands, Navassa Island, Palmyra Atoll, and Wake 
Island, or any other territory or possession under the jurisdiction of 
the United States.
* * * * *

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, 1374(g), 1382, 
1538(d), 1539, 1540(f), 3374; 4901-4916; 18 U.S.C. 42; 19 U.S.C. 
1202; 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 for retrospective permits in Sec.  23.53 of this subchapter 
for certain CITES shipments under very specific situations.
    (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 of this subchapter 
must be met.
    (2) A person may submit one application that includes the 
information required in each part of this subchapter, and a single 
permit will be issued if appropriate.
    5. Section 13.11(d) is amended, as set forth below, by:
    a. Revising the first two sentences in paragraph (d)(1); and
    b. Adding to the table in paragraph (d)(4) the following four 
entries in the section ``Endangered Species Act/CITES/Lacey Act'' 
immediately before the last four entries in that section so that all 
entries that begin with the word ``CITES'' are listed together:


Sec.  13.11  Application procedures.

* * * * *
    (d) Fees. (1) Unless otherwise exempted under this paragraph (d), 
you must pay the required permit processing fee at the time that you 
apply for issuance or amendment of a permit. You must pay in U.S. 
dollars. If you submit a check or money order, it must be made payable 
to the ``U.S. Fish and Wildlife Service.''
* * * * *
    (4) User fees. * * *

------------------------------------------------------------------------
                                                              Amendment
         Type of permit              Citation        Fee         fee
------------------------------------------------------------------------
 
                              * * * * * * *
------------------------------------------------------------------------
                 Endangered Species Act/CITES/Lacey Act
------------------------------------------------------------------------
 
                              * * * * * * *
------------------------------------------------------------------------
CITES Introduction from the Sea   50 CFR 23             100           50
------------------------------------------------------------------------
CITES Participation in the Plant  50 CFR 23           (\1\)        (\1\)
 Rescue Center Program
------------------------------------------------------------------------
CITES Registration of Appendix-I  50 CFR 23             100
 Commercial Breeding Operations
------------------------------------------------------------------------
CITES Request for Approval of an  50 CFR 23           (\1\)        (\1\)
 Export program for a State or
 Tribe (American ginseng,
 Certain furbearers, and
 American Alligator)
------------------------------------------------------------------------
 
                              * * * * * * *
------------------------------------------------------------------------


[[Page 20214]]

* * * * *
    6. 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 and address (street address, city, 
county, state, and zip code; and mailing address if different from 
street address); home and work telephone numbers; and, if available, a 
fax number and e-mail address, and:
    (i) If the applicant resides or is located outside the United 
States, an 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, if available, 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 the person responsible for the permit (such as president, 
principal officer, or director);
* * * * *
    7. 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 that was issued under part 
23 of this subchapter (because the CITES document is void upon 
expiration).
* * * * *
    8. 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.

    * * * Permittees who reside or are located in the United States and 
permittees conducting commercial activities in the United States who 
reside or are located outside the United States must maintain records 
at a location in the United States where the records are available for 
inspection.

PART 17--[AMENDED]

    9. 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]

    10. Part 17 is amended by redesignating Sec.  17.8 as Sec.  17.9.
    11. New Sec.  17.8 is added to read as follows:


Sec.  17.8  Import exemption for threatened, CITES Appendix-II wildlife

    (a) Except as provided in a special rule in Sec. Sec.  17.40 
through 17.48 or in paragraph (b) of this section, all provisions of 
Sec. Sec.  17.31 and 17.32 apply to any specimen of a threatened 
species of wildlife that is listed in Appendix II of the Convention.
    (b) Import. Except as provided in a special rule in Sec. Sec.  
17.40 through 17.48, any live or dead specimen of a fish and wildlife 
species listed as threatened under this part may be imported without a 
threatened species permit under Sec.  17.32 provided all of the 
following conditions are met:
    (1) The specimen was not acquired in foreign commerce or imported 
in the course of a commercial activity;
    (2) The species is listed in Appendix II of the Convention.
    (3) The specimen is imported and subsequently used in accordance 
with the requirements of part 23 of this subchapter, except as provided 
in paragraph (b)(4) of this section.
    (4) Personal and household effects (see Sec.  23.5) must be 
accompanied by a CITES document.
    (5) At the time of import, the importer must provide to the FWS 
documentation that shows the specimen was not acquired in foreign 
commerce in the course of a commercial activity.
    (6) All applicable requirements of part 14 of this subchapter are 
satisfied.
    12. In Sec.  17.42, paragraphs (a)(1), (a)(2)(ii)(A), 
(a)(2)(ii)(B), and (c) are revised to read as follows, paragraphs 
(a)(3) and (a)(4) are added, and paragraph (g) is removed and reserved:


Sec.  17.42  Special rules--reptiles.

    (a) American alligator (Alligator mississippiensis)--(1) 
Definitions. For purposes of this paragraph (a) the following 
definitions apply:
    (i) American alligator means any specimen of the species Alligator 
mississippiensis, whether alive or dead, including any skin, part, 
product, egg, or offspring thereof held in captivity or from the wild.
    (ii) The definitions of crocodilian skins and crocodilian parts in 
Sec.  23.70(b) of this subchapter apply to this paragraph (a).
    (2) * * *
    (ii) * * *
    (A) Any skin of an American alligator may be sold or otherwise 
transferred only if the State or Tribe of taking requires skins to be 
tagged by State or tribal officials or under State or tribal 
supervision with a Service-approved tag in accordance with the 
requirements in part 23 of this subchapter; and
    (B) Any American alligator specimen may be sold or otherwise 
transferred only in accordance with the laws and regulations of the 
State or Tribe in which the taking occurs and the State or Tribe in 
which the sale or transfer occurs.
    (3) Import and export. Any person may import or export an American 
alligator specimen provided that it is in accordance with part 23 of 
this subchapter.
    (4) Recordkeeping. (i) Any person not holding an import/export 
license issued by the Service under Sec.  14.91 and who imports, 
exports, or obtains permits under part 23 of this subchapter for the 
import or export of American alligator shall keep such records as are 
otherwise required to be maintained by all import/export licensees 
under Sec.  14.93(d). Such records shall be maintained as in the normal 
course of business, reproducible in the English language, and retained 
for 5 years from the date of each transaction.
    (ii) Subject to applicable limitations of law, duly authorized 
officers at all reasonable times shall, upon notice, be afforded access 
to examine such records required to be kept under paragraph (a)(4)(i) 
of this section, and an opportunity to copy such records.
* * * * *
    (c) Threatened crocodilians--(1) What are the definitions of terms 
used in this paragraph (c)? (i) Threatened crocodilian means any live 
or dead specimen of the following species: yacare caiman (Caiman 
yacare), common caiman (caiman crocodilus crocodilus), brown caiman 
(Caiman crocodilus fuscus, including caiman crocodilus chiapasius), 
saltwater crocodile (Crocodylus porosus) originating in Australia (also 
referred to as Australian saltwater crocodile), and Nile crocodile 
(Crocodylus niloticus).
    (ii) The definitions of crocodilian skins and crocodilian parts in 
Sec.  23.70(b) and re-export in Sec.  23.5 of this subchapter apply to 
this paragraph (c).
    (2) What activities involving threatened crocodilians are 
prohibited by this rule?

[[Page 20215]]

    (i) All provisions of Sec. Sec.  17.31 and 17.32 apply to live 
specimens, including viable eggs, of all threatened crocodilians and to 
any specimen of the Appendix-I Nile crocodile.
    (ii) Except as provided in paragraph (c)(2)(i) of this section, the 
following prohibitions apply to threatened crocodilians.
    (A) Import, export, and re-export. Except as provided in paragraph 
(c)(3) of this section, it is unlawful to import, export, or re-export, 
or attempt to import, export, or re-export without valid permits as 
required under parts 17 and 23 of this subchapter any threatened 
crocodilians, including their skins, parts, and products.
    (B) Commercial activity. Except as provided in paragraph (c)(3) of 
this section, it is unlawful, in the course of a commercial activity, 
to sell or offer for sale, deliver, receive, carry, transport, or ship 
in interstate or foreign commerce any threatened crocodilians, 
including their skins, parts, and products.
    (C) It is unlawful for any person subject to the jurisdiction of 
the United States to commit, attempt to commit, solicit to commit, or 
cause to be committed any acts described in paragraphs (c)(2)(i) and 
(ii)(A) and (B) of this section.
    (3) What activities involving threatened crocodilians are allowed 
by this rule? Except as provided in (c)(2)(i), you may import, export, 
or re-export, or sell or offer for sale, deliver, receive, carry, 
transport, or ship in interstate or foreign commerce and in the course 
of a commercial activity, threatened crocodilian skins, parts, and 
products without a threatened species permit otherwise required under 
Sec.  17.32 provided the requirements of parts 13, 14, and 23 of this 
subchapter and the requirements of paragraphs (c)(3) and (4) of this 
section have been met.
    (i) Skins and parts. Except as provided in (c)(3)(ii) of this 
section, the import, export, or re-export of threatened crocodilian 
skins and crocodilian parts is allowed provided the following 
conditions are met:
    (A) Each crocodilian skin and crocodilian part imported, exported, 
or re-exported must be tagged or labeled in accordance with Sec.  23.70 
of this subchapter.
    (B) Any countries re-exporting crocodilian skins or parts must have 
implemented an administrative system for the effective matching of 
imports and re-exports.
    (C) If a shipment contains more than 25 percent replacement tags, 
the U.S. Management Authority will consult with the Management 
Authority of the re-exporting country before clearing the shipment. 
Such shipments may be seized if we determine that the requirements of 
the Convention have not been met.
    (D) The country of origin and any intermediary country(s) must be 
effectively implementing the Convention. If we receive persuasive 
information from the CITES Secretariat or other reliable sources that a 
specific country is not effectively implementing the Convention, we 
will prohibit or restrict imports from such country(s) as appropriate 
for the conservation of the species.
    (ii) Meat, skulls, scientific specimens, products, and 
noncommercial personal or household effects. The tagging requirements 
in paragraph (c)(3)(i) of this section for skins and parts do not apply 
to the import, export, or re-export of threatened crocodilian meat, 
skulls, scientific specimens, or products or to the noncommercial 
import, export, or re-export of personal effects in accompanying 
baggage or household effects.
    (4) When and how will the Service inform the public of additional 
restrictions in trade of threatened crocodilians? Except in rare cases 
involving extenuating circumstances that do not adversely affect the 
conservation of the species, the Service will issue an information 
bulletin (posted on our websites, http://www.fws.gov/le and http://www.fws.gov/international) announcing additional restrictions in trade 
of specimens of threatened crocodilians if any of the following 
criteria are met:
    (i) The country is listed in a Notification to the Parties by the 
CITES Secretariat as not having designated Management and Scientific 
Authorities.
    (ii) The country is identified in any action adopted by the 
Conference of the Parties to the Convention, the Standing Committee, or 
in a Notification issued by the CITES Secretariat, whereby Parties are 
asked not to accept shipments of specimens of any CITES species from 
the country in question or of any crocodilian species listed in the 
CITES Appendices.
    (iii) We determine, based on information from the CITES Secretariat 
or other reliable sources, that the country is not effectively 
implementing the provisions of the Convention.
    (5) Reporting requirements for yacare caiman range countries. (i) 
Biannual reports. Range countries (Argentina, Bolivia, Brazil, and 
Paraguay) wishing to export specimens of yacare caiman to the United 
States for commercial purposes must provide a biannual report 
containing the most recent information available on the status of the 
species. The first submission of a status report will be required as of 
December 31, 2001, and every two years thereafter on the anniversary of 
that date. For each range country, all of the following information 
must be included in the report.
    (A) Recent distribution and population data, and a description of 
the methodology used to obtain such estimates.
    (B) Description of research projects currently being conducted 
related to the biology of the species in the wild, particularly 
reproductive biology (for example, age or size when animals become 
sexually mature, number of clutches per season, number of eggs per 
clutch, survival of eggs, survival of hatchlings).
    (C) Description of laws and programs regulating harvest, including 
approximate acreage of land set aside as natural reserves or national 
parks that provide protected habitat for yacare caiman.
    (D) Description of current sustainable harvest programs, including 
ranching (captive-rearing of specimens collected from the wild as eggs 
or juveniles) and farming (captive-breeding) programs.
    (E) Current harvest quotas for wild populations.
    (F) Export data for the last two years. Information should be 
organized according to the source of specimens such as wild-caught, 
captive-reared, or captive-bred.
    (ii) Review and restrictions. The U.S. Scientific Authority will 
conduct a review every 2 years, using information in the biannual 
reports and other available information, to determine whether range 
country management programs are effectively achieving conservation 
benefits for the yacare caiman. Based on the best available 
information, we may restrict trade from a range country if we determine 
that the conservation or management status of threatened yacare caiman 
populations has changed, such that continued recovery of the population 
in that country may be compromised. Trade restrictions, as addressed in 
paragraph (c)(4) of this section, may be implemented based on one or 
more of the following factors:
    (A) Failure to submit the reports described above, or failure to 
respond to requests for additional information.
    (B) A change in range country laws or regulations that lessens 
protection for yacare caiman.
    (C) A change in range country management programs that lessens 
protection for the species.
    (D) A documented decline in wild population numbers.

[[Page 20216]]

    (E) A documented increase in poaching.
    (F) A documented decline in habitat quality or quantity.
    (G) Other natural or man-made factors affecting the species' 
recovery.
* * * * *
    13. Part 23 is revised to read as follows:

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 these regulations and CITES?
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
23.13 What is prohibited?
23.14 [Reserved]
23.15 How may I travel internationally with my personal or household 
effects, including tourist souvenirs?
23.16 What are the U.S. CITES requirements for urine, feces, and 
synthetically derived DNA?
23.17 What are the requirements for CITES specimens traded 
internationally by diplomatic, consular, military, and other persons 
exempt from customs duties or inspections?
23.18 What CITES documents are required to export Appendix-I 
wildlife?
23.19 What CITES documents are required to export Appendix-I plants?
23.20 What CITES documents are required for international trade?
23.21 What happens if a country enters a reservation for a species?
23.22 What are the requirements for in-transit shipments?
23.23 What information is required on U.S. and foreign CITES 
documents?
23.24 What code is used to show the source of the specimen?
23.25 What additional information is required on a non-Party CITES 
document?
23.26 When is a U.S. or foreign CITES document valid?
23.27 What CITES documents do I present at the port?
Subpart C--Application Procedures, Criteria, and Conditions
23.32 How do I apply for a U.S. CITES document?
23.33 How is the decision made to issue or deny a request for a U.S. 
CITES document?
23.34 What kinds of records may I use to show the origin of a 
specimen when I apply for a U.S. CITES document?
23.35 What are the requirements for an import permit?
23.36 What are the requirements for an export permit?
23.37 What are the requirements for a re-export certificate?
23.38 What are the requirements for a certificate of origin?
23.39 What are the requirements for an introduction-from-the-sea 
certificate?
23.40 What are the requirements for a certificate for artificially 
propagated plants?
23.41 What are the requirements for a bred-in-captivity certificate?
23.42 What are the requirements for a plant hybrid?
23.43 What are the requirements for a wildlife hybrid?
23.44 What are the requirements to travel internationally with my 
personally owned live wildlife?
23.45 What are the requirements for a pre-Convention specimen?
23.46 What are the requirements for registering an Appendix-I 
commercial breeding operation and commercially exporting specimens?
23.47 What are the requirements for export of an Appendix-I plant 
artificially propagated for commercial purposes?
23.48 What are the requirements for a registered scientific 
institution?
23.49 What are the requirements for an exhibition traveling 
internationally?
23.50 What are the requirements for a sample collection covered by 
an ATA carnet?
23.51 What are the requirements for issuing a partially completed 
CITES document?
23.52 What are the requirements for replacing a lost, damaged, 
stolen, or accidentally destroyed CITES document?
23.53 What are the requirements for obtaining a retrospective CITES 
document?
23.54 How long is a U.S. or foreign CITES document valid?
23.55 How may I use a CITES specimen after import into the United 
States?
23.56 What U.S. CITES document conditions do I need to follow?
Subpart D--Factors Considered in Making Certain Findings
23.60 What factors are considered in making a legal acquisition 
finding?
23.61 What factors are considered in making a non-detriment finding?
23.62 What factors are considered in making a finding of not for 
primarily commercial purposes?
23.63 What factors are considered in making a finding that an animal 
is bred-in-captivity?
23.64 What factors are considered in making a finding that a plant 
is artificially propagated?
23.65 What factors are considered in making a finding that an 
applicant is suitably equipped to house and care for a live 
specimen?
Subpart E--International Trade in Certain Specimens
23.68 How can I trade internationally in roots of American ginseng?
23.69 How can I trade internationally in fur skins and fur skin 
products of bobcat, river otter, Canada lynx, gray wolf, and brown 
bear?
23.70 How can I trade internationally in American alligator and 
other crocodilian skins, parts, products, or derivatives?
23.71 How can I trade internationally in sturgeon caviar?
23.72 How can I trade internationally in plants?
23.73 How can I trade internationally in timber?
23.74 How can I trade internationally in personal sport-hunted 
trophies?
Subpart F--Disposal of Confiscated Wildlife and Plants
23.78 What happens to confiscated wildlife and plants?
23.79 How may I participate in the Plant Rescue Center Program?
Subpart G--CITES Administration
23.84 What are the roles of the Secretariat and the committees?
23.85 What is a Meeting of the Conference of the Parties (CoP)?
23.86 How can I obtain information on a CoP?
23.87 How does the United States develop documents and negotiating 
positions for a CoP?
23.88 What are the resolutions and decisions of the CoP?
Subpart H--Lists of Species
23.89 What are the criteria for listing species in Appendix I or II?
23.90 What are the criteria for listing species in Appendix III?
23.91 How do I find out if a species is listed?
23.92 Are any wildlife or plants, and their parts, products, or 
derivatives, exempt?

    Authority: 27 U.S.T. 1087; 16 U.S.C. 1531 et seq.

Subpart A--Introduction


Sec.  23.1  What are the purposes of these regulations and CITES?

    (a) Treaty. The regulations in this part implement the Convention 
on International Trade in Endangered Species of Wild Fauna and Flora, 
also known as CITES, the Convention, the Treaty, or the Washington 
Convention, TIAS (Treaties and Other International Acts Series) 8249.
    (b) Purpose. The aim of CITES is to regulate international trade in 
wildlife and plants, including parts, products, and derivatives, to 
ensure it is legal and does not threaten the survival of species in the 
wild. Parties, recognize that:
    (1) Wildlife and plants are an irreplaceable part of the natural 
systems

[[Page 20217]]

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) National legislation. We, the U.S. Fish and Wildlife Service 
(FWS), implement CITES through the 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:

------------------------------------------------------------------------
   Question on proposed activity              Answer and action
------------------------------------------------------------------------
(a) Is the wildlife or plant         (1) YES. Continue to paragraph (b)
 species (including parts,            of this section.
 products, derivatives, whether      (2) NO. The regulations in this
 wild- collected, or born or          part do not apply.
 propagated in a controlled
 environment) Listed in Appendix I,
 II, or III of CITES (see Sec.
 23.91)?
------------------------------------------------------------------------
(b) Is the wildlife or plant         (1) YES. The regulations in this
 specimen exempted from CITES (see    part do not apply.
 Sec.   23.92)?                      (2) NO. Continue to paragraph (c)
                                      of this section.
------------------------------------------------------------------------
(c) Do you want to import, export,   (1) YES. The regulations in this
 re-export, engage in international   part apply.
 trade, or introduce from the sea?   (2) NO. Continue to paragraph (d)
                                      of this section.
------------------------------------------------------------------------
(d) Was the intrastate or            (1) YES. The regulations in this
 interstate commerce unlawfully       part apply. See Sec.   23.13(c)
 acquired, illegally traded, or       and (d) and sections 9(c)(1) and
 otherwise subject to conditions      11(a) and possess or want to(b) of
 set out on a CITES document that     the ESA (16 U.S.C. 1538(c)(1) and
 authorized import?                   1540(a) and enter into (b)).
                                     (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. Many 
CITES species are also covered by one or more parts of this subchapter 
or title and have additional requirements:
    (1) Part 15 (exotic birds).
    (2) Part 16 (injurious wildlife).
    (3) Parts 17 of this subchapter and 222, 223, and 224 of this title 
(endangered and threatened species).
    (4) Parts 18 of this subchapter and 216 of this title (marine 
mammals).
    (5) Part 20 (migratory bird hunting).
    (6) Part 21 (migratory birds).
    (7) Part 22 (bald and golden eagles).
    (b) If you are applying for a permit, you must comply with the 
general permit procedures in part 13 of this subchapter. Definitions 
and a list of birds protected under the Migratory Bird Treaty Act can 
be found in part 10 of this subchapter.
    (c) If you are importing (including introduction from the sea), 
exporting, or re-exporting wildlife or plants, you must comply with the 
regulations in part 14 of this subchapter for wildlife or part 24 of 
this subchapter for plants. Activities with plants are also regulated 
by the U.S. Department of Agriculture, Animal and Plant Health 
Inspection Service (APHIS) and Department of Homeland Security, U.S. 
Customs and Border Protection (CBP), in 7 CFR parts 319, 355, and 356.
    (d) You may also need to comply with other Federal, State, tribal, 
or local requirements.


Sec.  23.4  What are Appendices I, II, and III?

    Species are listed by the Parties in one of three Appendices (see 
subpart H of this part), each of which provides a different level of 
protection and is subject to different requirements. Parties regulate 
trade in specimens of Appendix-I, -II, and -III species and their 
parts, products, and derivatives 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. Trade in Appendix-I specimens may take 
place only in exceptional circumstances.
    (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.
    (c) Appendix III includes species listed unilaterally by a range 
country to obtain international cooperation in controlling trade.


Sec.  23.5  How are the terms used in these regulations defined?

    In addition to the definitions contained in part 10 of this 
subchapter, and unless the context otherwise requires, in this part:
    Affected by trade means that either a species is known to be in 
trade and the trade has or may have a detrimental impact on the status 
of the species, or a species is suspected to be in trade or there is 
demonstrable potential international demand for the species that may be 
detrimental to the survival of the species in the wild.
    Annotation means an official footnote to the listing of a species 
in the CITES Appendices. A reference annotation provides information 
that further explains the listing (such as ``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 taxon, and the types of specimens, such as certain 
parts, products, or derivatives that can be traded. A substantive 
annotation may designate export quotas adopted by the CoP. For species 
transferred from Appendix I to II subject to an annotation relating to 
specified types of specimens, other types of specimens that are not 
specifically included in the annotation are considered Appendix-I 
specimens.
    Appropriate and acceptable destination, when used in an Appendix-II 
listing annotation for the export of, or international trade in, live 
animals, means that the Management Authority of the importing country 
has certified, based on advice from the Scientific Authority of that 
country, that the proposed recipient is suitably equipped to house and 
care for the animal (see criteria in Sec.  23.65). Such certification

[[Page 20218]]

must be provided before a CITES document is issued by the Management 
Authority of the exporting or re-exporting country.
    Artificially propagated means a cultivated plant that meets the 
criteria in Sec.  23.64.
    Bred for commercial purposes means any specimen of an Appendix-I 
wildlife species bred-in-captivity for commercial purposes.
    Bred for noncommercial purposes means any specimen of an Appendix-I 
wildlife species bred-in-captivity for noncommercial purposes, where 
each donation, exchange, or loan is conducted between facilities that 
are involved in a cooperative conservation program.
    Bred-in-captivity means wildlife that is captive-bred and meets the 
criteria in Sec.  23.63.
    Captive-bred means wildlife that is the offspring (first (F1) or 
subsequent generations) of parents that either mated or otherwise 
transferred egg and sperm under controlled conditions if reproduction 
is sexual, or of a parent that was maintained under controlled 
conditions when development of the offspring began if reproduction is 
asexual; but does not meet the criteria for bred-in-captivity (see 
Sec.  23.63).
    Certificate means a CITES document or CITES exemption document that 
identifies on its face the type of certificate it is, including re-
export certificate, introduction-from-the-sea certificate, and 
certificate of origin.
    CITES document or CITES exemption document means any certificate, 
permit, or other document issued by a Management Authority of a Party 
or a competent authority of a non-Party whose name and address is on 
file with the Secretariat to authorize the international movement of 
CITES specimens.
    Commercial means related to an activity, including actual or 
intended import, export, re-export, sale, offer for sale, purchase, 
transfer, donation, exchange, or provision of a service, that is 
reasonably likely to result in economic use, gain, or benefit, 
including, but not limited to, profit (whether in cash or in kind), or 
tax benefits.
    Conference of the Parties (CoP) means either the Parties to CITES 
collectively as a group, or the meeting of the Parties to consider 
amendments to the Appendices and resolutions, and other administrative 
issues, to improve the implementation of CITES.
    Cooperative conservation program means a program in which 
facilities produce Appendix-I specimens bred for noncommercial purposes 
and participate in or support a recovery activity for that species in 
one or more of the species' range countries.
    Coral (dead) means pieces of coral in which the skeletons of the 
individual polyps are still intact, but which contain no living coral 
tissue.
    Coral fragments, including coral gravel and coral rubble, means 
loose pieces of broken finger-like coral between 2 and 30 mm in 
diameter that contain no living coral tissue (see Sec.  23.92 for 
exemptions).
    Coral (live) means pieces of coral that are alive.
    Coral rock means hard consolidated material, greater than 30 mm in 
diameter that consists of pieces of coral and possibly also cemented 
sand, coralline algae, or other sedimentary rocks that contain no 
living coral tissue. Coral rock includes live rock and substrate, which 
are terms for pieces of coral rock to which are attached live specimens 
of other invertebrate species or coralline algae that are not listed in 
the CITES Appendices.
    Coral sand means material that consists entirely, or in part, of 
finely crushed coral no larger than 2 mm in diameter and that contains 
no living coral tissue (see Sec.  23.92 for exemptions).
    Country of origin means the country where the wildlife or plant was 
taken from the wild or was born or propagated in a controlled 
environment, except in the case of a plant specimen that qualified for 
an exemption under the provisions of CITES, the country of origin is 
the country in which the specimen ceased to qualify for the exemption.
    Cultivar means a horticulturally derived plant variety that has 
been selected for specific morphological, physiological, or other 
characteristics, such as color, a large flower, or disease resistance.
    Cultivated means a plant grown or tended by humans for human use. A 
cultivated plant can be treated as artificially propagated under CITES 
only if it meets the criteria in Sec.  23.64.
    Export means to send, ship, or carry a specimen out of a country 
(for export from the United States, see part 14 of this subchapter).
    Flasked means plant material obtained in vitro, in solid or liquid 
media, transported in sterile containers.
    Household effect means a dead wildlife or plant specimen that is 
part of a household move and meets the criteria in Sec.  23.15.
    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.  23.42 for plant hybrids and Sec.  
23.43 for wildlife hybrids.
    Import means to bring, ship, or carry a specimen into a country 
(for import into the United States, see part 14 of this subchapter).
    International trade means the import, introduction from the sea, 
export, or re-export across jurisdictional or international boundaries 
for any purpose whether commercial or noncommercial.
    In-transit shipment means the transshipment of any wildlife or 
plant through an intermediary country when the specimen remains under 
customs control and either the shipment meets the requirements of Sec.  
23.22 or the sample collection covered by an ATA carnet meets the 
requirements of Sec.  23.50.
    Introduction from the sea means transportation into a country of 
specimens of any species that were taken in the marine environment not 
under the jurisdiction of any country.
    Live rock see the definition for coral rock.
    Management Authority means a governmental agency officially 
designated by, and under the supervision of, either a Party to 
implement CITES, or a non-Party to serve in the role of a Management 
Authority, including the issuance of CITES documents on behalf of that 
country.
    Noncommercial means related to an activity that is not commercial. 
Noncommercial includes, but is not limited to, personal use.
    Non-Party means a country that has not deposited an instrument of 
ratification, acceptance, approval, or accession to CITES with the 
Depositary Government (Switzerland), or a country that was a Party but 
subsequently notified the Depositary Government of its denunciation of 
CITES and the denunciation is in effect.
    Offspring of first generation (F1) means a wildlife specimen 
produced in a controlled environment from parents at least one of which 
was conceived in or taken from the wild.
    Offspring of second generation (F2) or subsequent generations means 
a wildlife specimen produced in a controlled environment from parents 
that were also produced in a controlled environment.
    Parental stock means the original breeding or propagating specimens 
that produced the subsequent generations of captive specimens.
    Party means a country that has given its consent to be bound by the 
provisions of CITES by depositing an instrument of ratification, 
acceptance, approval, or accession with the

[[Page 20219]]

Depositary Government (Switzerland), and for which such consent is in 
effect.
    Permit means a CITES document that identifies on its face import 
permit or export permit.
    Personal effect means a dead wildlife or plant specimen, including 
a tourist souvenir, that is worn as clothing or accessories or is 
contained in accompanying baggage and meets the criteria in Sec.  
23.15.
    Personal use means use that is not commercial and is for an 
individual's own consumption or enjoyment.
    Precautionary measures means the actions taken that 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 acquired (removed from the 
wild or born or propagated in a controlled environment) before the date 
the provisions of the Convention first applied to the species and that 
meets the criteria in Sec.  23.45, and any product (including a 
manufactured item) or derivative made from such specimen.
    Primarily commercial purposes means an activity whose noncommercial 
aspects do not clearly predominate (see Sec.  23.62).
    Propagule means a structure, such as a cutting, seed, or spore, 
that is capable of propagating a plant.
    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, product, or derivative of any CITES wildlife or plant, unless 
such part, product, or derivative is specifically exempt from the 
provisions of CITES or this part.
    Re-export means to send, ship, or carry out of a country any 
specimen previously imported into that country, whether or not the 
specimen has been altered since import.
    Reservation means the action taken by a Party to inform the 
Secretariat that it is not bound by the effect of a specific listing 
(see Sec.  23.21).
    Scientific Authority means a governmental or independent scientific 
institution or entity officially designated by either a Party to 
implement CITES, or a non-Party to serve the role of a Scientific 
Authority, including making scientific findings.
    Secretariat means the entity designated by the Treaty to perform 
certain administrative functions (see Sec.  23.84).
    Shipment means any CITES specimen in international trade whether 
for commercial or noncommercial use, including any personal item.
    Species means any species, subspecies, hybrid, variety, cultivar, 
color or morphological variant, or geographically separate population 
of that species.
    Specimen means any wildlife or plant, whether live or dead. This 
term includes any readily recognizable part, product, or derivative 
unless otherwise annotated in the Appendices.
    Sustainable use means the use of a species in a manner and at a 
level that maintains wild populations at 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.
    Transit see the definition for in-transit shipment.
    Traveling exhibition means an entity that displays live or dead 
wildlife or plants for entertainment, educational, cultural, or other 
purposes where the entity 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 names and addresses of these offices 
must be sent to the Secretariat to be included in the Directory. In the 
United States, different offices within the FWS have been designated 
the Scientific Authority and Management Authority, which for purposes 
of this section includes FWS Law Enforcement. When offices share 
activities, the Management Authority is responsible for dealing 
primarily with management and regulatory issues and the Scientific 
Authority is responsible for dealing primarily with scientific issues. 
The offices do the following: [FEDREG][VOL]*[/VOL][NO]*[/NO][DATE]*[/
DATE][PRORULES][PRORULE][PREAMB][AGENCY]*[/AGENCY][SUBJECT]*[/
SUBJECT][/PREAMB][SUPLINF][HED]*[/HED][SECTION][SECTNO]*[/
SECTNO][SUBJECT]*[/SUBJECT]

----------------------------------------------------------------------------------------------------------------
                                                                             U.S.  Scientific   U.S.  Management
                                   Roles                                        Authority          Authority
----------------------------------------------------------------------------------------------------------------
(a) Provide scientific advice and recommendations, including advice on      x
 biological findings for applications for certain CITES documents,
 registrations, and export program approvals. Evaluate the conservation
 status of species to determine if a species listing or change in a
 listing is warranted. Interpret listings and review nomenclatural issues.
----------------------------------------------------------------------------------------------------------------
(b) Review applications for CITES documents and issue or deny them based    .................  x
 on findings required by CITES.
----------------------------------------------------------------------------------------------------------------
(c) Communicate with the Secretariat and other countries on scientific,     x                  x
 administrative, and enforcement issues.
----------------------------------------------------------------------------------------------------------------
(d) Ensure that export of Appendix-II specimens is at a level that          x
 maintains a species throughout its range at a level consistent with its
 role in the ecosystems in which it occurs and well above the level at
 which it might become eligible for inclusion in Appendix I.
----------------------------------------------------------------------------------------------------------------
(e) Monitor trade in all CITES species and produce annual reports on CITES  .................  x
 trade.
----------------------------------------------------------------------------------------------------------------
(f) Collect the cancelled foreign export permit or re-export certificate    .................  x
 and any corresponding import permit presented for import of any CITES
 specimen. Collect a copy of the validated U.S. export permit or re-
 export certificate presented for export or re-export of any CITES
 specimen.
----------------------------------------------------------------------------------------------------------------
(g) Produce biennial reports on legislative, regulatory, and                .................  x
 administrative measures taken by the United States to enforce the
 provisions of CITES.
----------------------------------------------------------------------------------------------------------------
(h) Coordinate with State and tribal governments and other Federal          x                  x
 agencies on CITES issues, such as the status of native species,
 development of policies, negotiating positions, and law enforcement
 activities.
----------------------------------------------------------------------------------------------------------------

[[Page 20220]]

 
(i) Communicate with the scientific community, the public, and media about  x                  x
 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.
----------------------------------------------------------------------------------------------------------------
(j) Represent the United States at the meetings of the CoP, on committees   x                  x
 (see subpart G of this part), and on CITES working groups. Consult with
 other countries on CITES issues and the conservation status of species.
 Prepare discussion papers and proposals for new or amended resolutions
 and species listings for consideration at the CoP.
----------------------------------------------------------------------------------------------------------------
(k) Provide assistance to APHIS and CBP for the enforcement of CITES.       x                  x
 Cooperate with enforcement officials to facilitate the exchange of
 information between enforcement bodies and for training purposes.
----------------------------------------------------------------------------------------------------------------
(l) Provide financial and technical assistance to other governmental        x                  x
 agencies and CITES officials of other countries.
----------------------------------------------------------------------------------------------------------------

                                                                                                [FEDREG][VOL]*[/
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Sec.  23.7  What office do I contact for CITES information?

    Contact the following offices to receive information about CITES:

------------------------------------------------------------------------
        Type of information                   Office to contact
------------------------------------------------------------------------
(a) CITES administrative and         U.S. Management Authority, U.S.
 management issues:                   Fish and Wildlife Service, 4401
(1) CITES documents, including        North Fairfax Drive, Room 700,
 application forms and procedures;    Arlington, Virginia 22203, Toll
 list of registered scientific        Free: (800) 358-2104/permit
 institutions and bred-in-captivity   questions, Tel: (703) 358-2095/
 operations; and reservations         other questions, Fax: (703) 358-
(2) Information on the CoP            2281/permits, Fax: (703) 358-2298/
(3) List of CITES species             other issues, E-mail:
(4) Names and addresses of other      [email protected], Web
 countries' Management and            site: http://www.fws.gov/
 Scientific Authority offices         international and http://
(5) Notifications, resolutions, and   www.fws.gov/permits.
 decisions
(6) Standing Committee documents
 and issues
(7) State and tribal export
 programs
------------------------------------------------------------------------
(b) Scientific issues:               U.S. Scientific Authority, U.S.
(1) Animals and Plants Committees     Fish and Wildlife Service, 4401
 documents and issues                 North Fairfax Drive, Room 750,
(2) Findings of non-detriment and     Arlington, Virginia 22203, Tel:
 suitability of facilities, and       (703) 358-1708, Fax: (703) 358-
 other scientific findings            2276, E-mail:
(3) Listing of species in the         [email protected], Web
 Appendices and relevant              site: http://www.fws.gov/
 resolutions                          international.
(4) Names and addresses of other
 countries' Scientific Authority
 offices and scientists involved
 with CITES-related issues
(5) Nomenclatural issues
------------------------------------------------------------------------
(c) Wildlife clearance procedures:   Law Enforcement, U.S. Fish and
(1) CITES replacement tags            Wildlife Service, 4401 North
(2) Information about wildlife port   Fairfax Drive, Mail Stop LE-3000,
 office locations                     Arlington, Virginia 22203, Tel:
(3) Information bulletins             (703) 358-1949, Fax: (703) 358-
(4) Inspection and clearance of       2271, Web site: http://www.fws.gov/
 wildlife shipments involving         le.
 import, introduction from the sea,
 export, and re-export, and filing
 a Declaration of Importation or
 Exportation of Fish or Wildlife
 (Form 3-177)
(5) Validation, certification, or
 cancellation of CITES wildlife
 documents
------------------------------------------------------------------------
(d) APHIS plant clearance             U.S. Department of Agriculture
 procedures:                          APHIS/PPQ, 4700 River Road,
(1) Information about plant port      Riverdale, Maryland 20737-1236,
 office locations                     Toll Free: (877) 770-5990/permit
(2) Inspection and clearance of       questions, Tel: (301) 734-5312/
 plant shipments involving:           other CITES issues, Fax: (301) 734-
(i) Import and introduction from      5786/permit questions, Fax: (301)
 the sea of living plants             734-4300/other CITES issues, Web
(ii) Export and re-export of living   site: http://www.aphis.usda.gov/
 and nonliving plants                 ppq.
(3) Validation or cancellation of
 CITES plant documents for the type
 of shipments listed in paragraph
 (d) of this section
------------------------------------------------------------------------
(e) CBP plant clearance procedures:  Department of Homeland Security,
(1) Inspection and clearance of       U.S. Customs and Border
 plant shipments involving:           Protection, Office of Field
(i) Import and introduction from      Operations, Agricultural
 the sea of nonliving plants          Inspection Policy and Planning,
(ii) Import of living plants from     1300 Pennsylvania Avenue, NW.,
 Canada at designated border ports    Room 5.4 C, Washington, DC 20229,
 (7 CFR 319.37-14(b) and 50 CFR       Tel: (202) 344-3298, Fax: (202)
 24.12(d))                            344-1442.
(2) Cancellation of CITES plant
 documents for the type of
 shipments listed in paragraph
 (e)(1) of this section
------------------------------------------------------------------------

[[Page 20221]]

 
(f) General information on CITES:    CITES Secretariat, Web site: http://
(1) CITES export quota information    www.cites.org.
(2) CITES Guidelines for Transport
(3) Information about the
 Secretariat
(4) Names and addresses of other
 countries' Management and
 Scientific Authority offices
(5) Official documents, including
 resolutions, decisions,
 notification, CoP documents, and
 committee documents
(6) Official list of CITES species
 and species database
(7) Text of the Convention
------------------------------------------------------------------------

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, 3-200-20, 3-
200-23 through 3-200-37, 3-200-39, 3-200-43, 3-200-46 through 3-200-48, 
3-200-52, 3-200-53, 3-200-58, 3-200-61, 3-200-64 through 3-200-66, and 
3-200-73 through 3-200-75 contained in this part under 44 U.S.C. 3501 
et seq. and assigned OMB Control Numbers 1018-0093, 1018-0130, and 
1018-xxxx.
    (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 collect this information to evaluate applications and make 
decisions under this part on whether to issue, suspend, revoke, amend, 
or deny a request for a CITES document or registration.
    (d) We also collect information from States and Tribes seeking 
CITES export program approval and annual reports from States and Tribes 
with approved programs. This information allows us to streamline the 
permitting process for species taken under approved programs. We 
collect information from entities seeking to participate in the Plant 
Rescue Center program and reports from Plant Rescue Centers regarding 
status of confiscated plant shipments. The Office of Management and 
Budget has approved these information collections.
    (e) You must respond to our request for information to receive or 
retain a CITES document, registration, or program approval.
    (f) We estimate the public reporting burden for the collection of 
information under this part to vary from 6 minutes to 40 hours per 
response, with the majority requiring 1 hour or less to complete. This 
estimate includes time for reviewing instructions, gathering and 
maintaining data, and completing and reviewing the forms and reports.
    (g) You may direct comments concerning the accuracy of the burden 
estimate and any suggestions for reducing the burden 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.  23.13  What is prohibited?

    Except as provided in Sec.  23.92, it is unlawful for any person 
subject to the jurisdiction of the United States to conduct any of the 
following activities unless they meet the requirements of this part:
    (a) Import, export, re-export, or engage in international trade 
with any specimen of a species listed in Appendix I, II, or III of 
CITES.
    (b) Introduce from the sea any specimen of a species listed in 
Appendix I or II of CITES.
    (c) Possess any specimen of a species listed in Appendix I, II, or 
III of CITES imported, exported, re-exported, introduced from the sea, 
or traded contrary to the provisions of CITES, the ESA, or this part.
    (d) 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.  23.14  [Reserved]


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

    (a) Purpose. Article VII(3) of the Treaty recognizes a limited 
exemption for the international movement of personal and household 
effects.
    (b) Stricter national measures. The exemption for personal and 
household effects does not apply if a country prohibits or restricts 
the import, export, or re-export of the item.
    (1) You or your shipment must be accompanied by any document 
required by a country under its stricter national measures.
    (2) In the United States, you must obtain any permission needed 
under other regulations in this subchapter (see Sec.  23.3).
    (c) Required CITES documents. You must obtain a CITES document for 
personal or household effects and meet the requirements of this part if 
one of the following applies:
    (1) The Management Authority of the importing, exporting, or re-
exporting country requires a CITES document.
    (2) You or your shipment does not meet all of the conditions for an 
exemption as provided in paragraphs (d) through (f) of this section.
    (3) The personal or household effect for the following species 
exceeds the quantity indicated in paragraphs (c)(3)(i) through (vi) in 
the table below:

------------------------------------------------------------------------
              Species (Appendix
Major group        II only)        Type of specimen       Quantity\1\
------------------------------------------------------------------------
Fishes       (i)                  Sturgeon caviar     250 gm
              Acipenseriformes     (see Sec.
              (sturgeon,           23.71)
              including
              paddlefish)
            ------------------------------------------------------------
             (ii) Hippocampus     Dead specimens,     4
              spp. (seahorses)     parts, products
                                   (including
                                   manufactured
                                   items), and
                                   derivatives
------------------------------------------------------------------------
Reptiles     (iii) Crocodylia     Dead specimens,     4
              (alligators,         parts, products
              caimans,             (including
              crocodiles,          manufactured
              gavial)              items), and
                                   derivatives
------------------------------------------------------------------------

[[Page 20222]]

 
Molluscs     (iv) Strombus gigas  Shells              3
              (queen conch)
            ------------------------------------------------------------
             (v) Tridacnidae       Shells, each of    3 shells,
              (giant clams)        which may be one    exceeding 3 kg
                                   intact shell or
                                   two total not
                                   matching halves
------------------------------------------------------------------------
Plants       (vi) Cactaceae       Rainsticks          3
              (cacti)
------------------------------------------------------------------------
\1\ To import, export, or re-export more than the quantity listed in the
  table, you must have a valid CITES document for the entire quantity.

    (d) Personal effects. You do not need a CITES document to import, 
export, or re-export any legally acquired specimen of a CITES species 
to or from the United States if all of the following conditions are 
met:
    (1) No live wildlife or plant (including eggs or non-exempt seeds) 
is included.
    (2) No specimen from an Appendix-I species is included, except for 
certain worked African elephant ivory as provided in paragraph (f) of 
this section.
    (3) The specimen and quantity of specimens are reasonably necessary 
or appropriate for the nature of your trip or stay and, if the species 
is one listed in paragraph (c)(3) of this section, the quantity does 
not exceed the quantity given in the table.
    (4) You own and possess the specimen for personal use, including 
any specimen intended as a personal gift.
    (5) You are either wearing the specimen as clothing or an accessory 
or taking it as part of your personal baggage, which is being carried 
by you or checked as baggage on the same plane, boat, vehicle, or train 
as you.
    (6) The specimen was not mailed or shipped separately.
    (e) Household effects. You do not need a CITES document to import, 
export, or re-export any legally acquired specimen of a CITES species 
that is part of a shipment of your household effects when moving your 
residence to or from the United States, if all of the following 
conditions are met:
    (1) The provisions of paragraphs (d)(1) through (3) of this section 
are met.
    (2) You own the specimen and are moving it for personal use.
    (3) You import or export your household effects within 1 year of 
changing your residence from one country to another.
    (4) The shipment, or shipments if you cannot move all of your 
household effects at one time, contains only specimens purchased, 
inherited, or otherwise acquired before you changed your residence.
    (f) African elephant worked ivory. You may export or re-export from 
the United States worked African elephant (Loxodonta africana) ivory 
and then re-import it without a CITES document if all of the following 
conditions are met:
    (1) The worked ivory is a personal or household effect that meets 
the requirements of paragraphs (c) through (e) of this section and you 
are a U.S. resident who owned the worked ivory before leaving the 
United States and intend to bring the item back to the United States.
    (2) The ivory is pre-Convention (see Sec.  23.45) (the African 
elephant was first listed in CITES on February 26, 1976).
    (3) You may not sell or transfer the ivory while outside the United 
States.
    (4) The ivory is substantially worked and is not raw. Raw ivory 
means an African elephant tusk, and any piece of tusk, the surface of 
which, polished or unpolished, is unaltered or minimally carved, 
including ivory mounted on a stand or part of a trophy.
    (5) When you return, you are able to provide records, receipts, or 
other documents to show that the ivory is pre-Convention and that you 
owned and registered it before you left the United States. To register 
such an item you must obtain one of the following documents:
    (i) U.S. CITES pre-Convention certificate.
    (ii) FWS Declaration of Importation or Exportation of Fish or 
Wildlife (Form 3-177).
    (iii) Custom and Border Protection Certificate of Registration for 
Personal Effects Taken Abroad (Form 4457).


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

    (a) CITES documents. We do not require CITES documents to trade in 
urine, feces, or synthetically derived DNA.
    (1) You must obtain any collection permit and CITES document 
required by the foreign country.
    (2) If the foreign country requires you to have a U.S. CITES 
document for these kinds of samples, you must apply for a CITES 
document and meet the requirements of this part.
    (b) Urine and feces. Except as provided in paragraph (a) of this 
section, we consider urine and feces to be wildlife byproducts, rather 
than parts, products, or derivatives, and exempt them from the 
requirements of CITES and this part.
    (c) DNA. We differentiate between DNA directly extracted from blood 
and tissue and DNA synthetically derived as follows:
    (1) A DNA sample directly derived from wildlife or plant tissue is 
regulated by CITES and this part.
    (2) A DNA sample synthetically derived that does not contain any 
part of the original template is exempt from the requirements of CITES 
and this part.


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

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


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

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

[[Page 20223]]

[GRAPHIC] [TIFF OMITTED] TP19AP06.001

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

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

[[Page 20224]]

[GRAPHIC] [TIFF OMITTED] TP19AP06.002

Sec.  23.20  What CITES documents are required for international trade?

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

[[Page 20225]]

exporting, or re-exporting a specimen, check with the Management 
Authorities of all countries concerned to obtain any documentation 
required under stricter national measures.
    (c) CITES documents. Except as provided in the regulations in this 
part, you must have a valid CITES document to engage in international 
trade in any CITES specimen.
    (d) CITES exemption documents. The following table lists the CITES 
exemption document that you must obtain before conducting a proposed 
activity with an exempt specimen (other than specimens exempted under 
Sec.  23.92). If one of the exemptions does not apply to the specimen, 
you must obtain a CITES document as provided in paragraph (e) of this 
section. The first column in the following table alphabetically lists 
the type of specimen or activity that may qualify for a CITES exemption 
document. The last column indicates the section of this part that 
contains information on the application procedures, provisions, 
criteria, and conditions specific to each CITES exemption document, as 
follows:

------------------------------------------------------------------------
 Type of specimen or                     CITES exemption
       activity           Appendix           document          Section
------------------------------------------------------------------------
(1) Artificially       I, II, or III  CITES document with          23.40
 propagated plant                      source code ``A'' 1
 (see paragraph
 (d)(4) of this
 section for an
 Appendix-I plant
 propagated for
 commercial purposes)
------------------------------------------------------------------------
(2) Artificially       II or II       Phytosanitary             23.23(f)
 propagated plant                      certificate with
 from a country that                   CITES statement 1
 has provided copies
 of the certificates,
 stamps, and seals to
 the Secretariat
------------------------------------------------------------------------
(3) Bred-in-captivity  I, II, or III  CITES document with          23.41
 wildlife (see                         source code ``C'' 1
 paragraph (d)(5) of
 this section for
 Appendix--I wildlife
 bred for commercial
 purposes)
------------------------------------------------------------------------
(4) Commercially       I              CITES document with          23.47
 propagated Appendix-                  source code ``D''1
 I plant
------------------------------------------------------------------------
(5) Commercially bred  I              CITES document with          23.46
 Appendix-I wildlife                   source code ``D'' 1
 from a breeding
 operation registered
 with the CITES
 Secretariat
------------------------------------------------------------------------
(6) Export of certain  II             CITES document            23.36(e)
 marine specimens                      indicating that the      23.39(e)
 protected under a                     specimen was taken
 pre-existing treaty,                  in accordance with
 convention, or                        provisions of the
 international                         applicable treaty,
 agreement for that                    convention, or
 species                               international
                                       agreement
------------------------------------------------------------------------
(7) Hybrid of plants   I, II, or III  CITES document               23.42
------------------------------------------------------------------------
(8) Hybrid of          I, II, or III  CITES document or            23.43
 wildlife                              certification letter
                                       from a Management
                                       Authority 1
------------------------------------------------------------------------
(9) In-transit         I, II, or III  CITES document               23.22
 shipment (see                         designating importer
 paragraph (d)(13) of                  and country of final
 this section for                      destination
 sample collections
 covered by an ATA
 carnet)
------------------------------------------------------------------------
(10) Introduction      II             Document required by      23.39(d)
 from the sea under a                  applicable treaty,
 pre-existing treaty,                  convention, or
 convention, or                        international
 international                         agreement, if
 agreement for that                    appropriate
 species
------------------------------------------------------------------------
(11) Noncommercial     I, II, or III  A label indicating           23.48
 loan, donation, or                    CITES and the
 exchange of                           registration codes
 specimens between                     of both institutions
 scientific                            and, in the United
 institutions                          States, a CITES
 registered with the                   certificate of
 CITES Secretariat                     scientific exchange
                                       that registers the
                                       institution 3
------------------------------------------------------------------------
(12) Personally owned  I, II, or III  CITES certificate of         23.44
 live wildlife for                     ownership 2
 multiple cross-
 border movement
------------------------------------------------------------------------
(13) Pre-Convention    I, II, or III  CITES document               23.45
 specimen                              indicating pre-
                                       Convention status 1
------------------------------------------------------------------------
(14) Sample            I 4 , II, or   CITES document               23.50
 collection covered     III            indicating sample
 by an ATA carnet                      collection 2
------------------------------------------------------------------------
(15) Traveling         I, II, or III  CITES document               23.49
 exhibition                            indicating pre-
                                       Convention, bred-in-
                                       captivity, or
                                       artificially
                                       propagated status 2
------------------------------------------------------------------------
1 Issued by the Management Authority in the exporting or re-exporting
  country.
2 Issued by the Management Authority in the owner's country of usual
  residence.
3 Registration codes assigned by the Management Authorities in both
  exporting and importing countries.
4 Appendix-I species bred-in-captivity or artificially propagated for
  commercial purposes (see Sec.  Sec.   23.46 and 23.47).

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

[[Page 20226]]



----------------------------------------------------------------------------------------------------------------
                  Appendix                                    Type of CITES document(s) required
----------------------------------------------------------------------------------------------------------------
I                                             Import permit (Sec.   23.35) and export permit (Sec.   23.36) or
                                               re-export certificate (Sec.   23.37).
----------------------------------------------------------------------------------------------------------------
II                                            Export permit (Sec.   23.36) or re-export certificate (Sec.
                                               23.37).
----------------------------------------------------------------------------------------------------------------
III                                           Export permit if the specimen originated in a country that listed
                                               the species; certificate of origin (Sec.   23.38) if the specimen
                                               originated in a country other than the listing country, unless
                                               the listing annotation indicates otherwise; or re-export
                                               certificate for all re-exports (Sec.   23.37).
----------------------------------------------------------------------------------------------------------------

    (f) Introduction-from-the-sea documents. For introduction from the 
sea of Appendix-I or Appendix-II specimens, you must obtain an 
introduction-from-the-sea certificate before conducting the proposed 
activity, unless the exemption in paragraph (d)(10) of this section 
applies (see Sec.  23.39). The export of a specimen that was previously 
introduced from the sea will be treated as an export (see Sec.  23.36 
for export or Sec.  23.36(e) and Sec.  23.39(e) for export of exempt 
specimens). Although an Appendix-III specimen taken from the marine 
environment not under the jurisdiction of any country does not require 
a CITES document to be introduced from the sea, the subsequent 
international trade of the specimen would be considered an export.


Sec.  23.21  What happens if a country enters a reservation for a 
species?

    (a) Purpose. CITES is not subject to general reservations. Articles 
XV, XVI, and XXIII of the Treaty allow a Party to enter a specific 
reservation on a species listed in Appendix I, II, or III, or on parts, 
products, or derivatives of a species listed in Appendix III.
    (b) General provision. A Party can enter a reservation in one of 
the following ways:
    (1) A Party must provide written notification to the Depositary 
Government (Switzerland) on a specific new or amended listing in the 
Appendices within 90 days after the CoP that adopted the listing, or at 
any time for Appendix-III species.
    (2) A country must provide written notification on a specific 
species listing when the country ratifies, accepts, approves, or 
accedes to CITES.
    (c) Requesting the United States take a reservation. You may submit 
information relevant to the issue of whether the United States should 
take a reservation on a species listing to the U.S. Management 
Authority. The request must be submitted within 30 calendar days after 
the last day of the CoP where a new or amended listing of a species in 
Appendix I or II occurs, or at any time for a species (or its parts, 
products, or derivatives) listed in Appendix III.
    (d) Required CITES documents. Except as provided in paragraph 
(d)(2) of this section, Parties treat a reserving Party as if it were a 
non-Party for trade in the species concerned (including parts, 
products, and derivatives, as appropriate). The following table 
indicates when CITES documents must accompany a shipment and which 
Appendix should appear on the face of the document:

------------------------------------------------------------------------
                    If                                  Then
------------------------------------------------------------------------
(1) The shipment is between a Party and a   The shipment must be
 reserving Party, or the shipment is from    accompanied by a valid
 a non-Party to a reserving party and is     CITES document(s) (see Sec.
 in transit through a Party                    23.26) that indicates the
                                             CITES Appendix in which the
                                             species is listed.
------------------------------------------------------------------------
(2) The shipment is from a reserving Party  The shipment must be
 to another reserving Party \1\ or non-      accompanied by a valid
 Party and is in transit through a Party     CITES document (see Sec.
                                             23.26) that indicates the
                                             CITES Appendix in which the
                                             species is listed.\2\
------------------------------------------------------------------------
(3) The shipment is between a reserving     No CITES document is
 Party and another reserving Party \1\ or    required.\2\
 non-Party and is not in transit through a
 Party
------------------------------------------------------------------------
\1\ Both reserving Parties must have a reservation for the same species,
  and if the species is listed in Appendix III, a reservation for the
  same parts, products, and derivatives.
\2\ CITES recommends that reserving Parties treat Appendix-I species as
  if listed in Appendix II and issue CITES documents based on Appendix-
  II permit criteria (see Sec.   23.36). However, the CITES document
  must show the specimen as listed in Appendix I. If the United States
  entered a reservation, such a CITES document would be required.

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


Sec.  23.22  What are the requirements for in-transit shipments?

    (a) Purpose. Article VII(1) of the Treaty allows for a shipment to 
transit an intermediary country that is a Party before reaching its 
final destination without the need for the intermediary Party to issue 
CITES documents. To control any illegal trade, Parties are to inspect, 
to the extent possible under their national legislation, specimens in 
transit through their territory to verify the presence of valid 
documentation. See Sec.  23.50 for in-transit shipment of sample 
collections covered by an ATA carnet.
    (b) Document requirements. An in-transit shipment does not require 
a CITES document from an intermediary country, but must be accompanied 
by all of the following documents:
    (1) Unless the specimen qualifies for an exemption under Sec.  
23.92, a valid original CITES document, or a copy of the valid original 
CITES document, that designates the name of the importer in the country 
of final destination and is issued by the Management Authority of the 
exporting or re-exporting country. A copy of a CITES document is 
subject to verification.
    (2) For shipment of an Appendix-I specimen, a copy of a valid 
import permit that designates the name of the importer in the country 
of final destination, unless the CITES document in paragraph (b)(1) of 
this section is a CITES exemption document (see Sec.  23.20(d)).

[[Page 20227]]

    (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, must meet the following:
    (1) When in an intermediary country, an in-transit shipment must 
stay only for the time needed to immediately transfer the specimen to 
the mode of transport used to continue to the final destination and 
remain under customs control. Other than during immediate transfer, the 
specimen may not be stored in a duty-free, bonded, or other kind of 
warehouse or a free trade zone.
    (2) At any time during transit, an in-transit shipment must not be 
sold, manipulated, or split unless authorized by the Management 
Authority of the intermediary country.
    (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.  
23.21(d).
    (e) Specimen protected by other regulations. Shipment of a specimen 
that is also listed as a migratory bird (part 10 of this subchapter), 
injurious wildlife (part 16 of this subchapter), endangered or 
threatened species (parts 17 of this subchapter and 222-224 of this 
title), marine mammal (parts 18 of this subchapter and 216 of this 
title), or bald or golden eagle (part 22 of this subchapter), and is 
moving through the United States is considered an import, and cannot be 
treated as an in-transit shipment (see Sec.  23.3).


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

    (a) Purpose. Article VI of the Treaty provides standard information 
that must be on a permit and certificate issued under Articles III, IV, 
and V. To identify a false or invalid document, any CITES document, 
including a CITES exemption document issued under Article VII, must 
contain standardized information to allow a Party to verify that the 
specimen being shipped is the one listed on the document and that the 
trade is consistent with the provisions of the Treaty.
    (b) CITES form. A CITES document issued by a Party must be 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.  23.25.
    (c) Required information. Except for a phytosanitary certificate 
used as a CITES certificate for artificially propagated plants in 
paragraph (f) of this section or an excluded wildlife hybrid letter in 
Sec.  23.43, a CITES document issued by a Party or non-Party must 
contain the information set out in this paragraph (listed 
alphabetically). Specific types of CITES documents must also contain 
the additional information identified in paragraph (e) of this section. 
A CITES document is valid only when it contains the following 
information:

------------------------------------------------------------------------
    Required information                      Description
------------------------------------------------------------------------
(1) Appendix                  The CITES Appendix in which the species,
                               subspecies, or population is listed (see
                               Sec.   23.21 when a Party has taken a
                               reservation on a listing).
------------------------------------------------------------------------
(2) Applicant's signature     The applicant's signature if the CITES
                               document includes a place for it.
------------------------------------------------------------------------
(3) Bill of lading, air       As applicable for export or re-export: (i)
 waybill, or flight number     By ocean or air cargo, the bill of lading
                               or waybill number, or (ii) in
                               accompanying baggage, the flight number,
                               as recorded on the CITES document by the
                               inspecting official at the port, if known
                               at the time of validation or
                               certification.
------------------------------------------------------------------------
(4) 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.
                               23.54 for the length of validity for
                               different types of CITES documents.
------------------------------------------------------------------------
(5) Description of the        A complete description of the specimen,
 specimen                      including whether live or the type of
                               goods. The sex and age of a live specimen
                               should be recorded, if possible. Such
                               information must be in English, Spanish,
                               or French on a CITES document from a
                               Party. If a code is used to indicate the
                               type of specimen, it must agree with the
                               Guidelines for preparation and submission
                               of CITES annual reports available from
                               the CITES website or us.
------------------------------------------------------------------------
(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  If the CITES document authorizes the
 wildlife                      export or re-eexport of live wildlife, a
                               statement that the document is valid only
                               if the transport conditions comply with
                               the CITES Guidelines for Transport
                               (available from the CITES website), or,
                               in the case of air transport of wildlife,
                               with the International Air Transport
                               Association Live Animals Regulations. The
                               shipment must comply with the
                               requirements of the Live Animals
                               Regulations (LAR), 32nd edition, October
                               1, 2005, by the International Air
                               Transport Association (IATA), Reference
                               Number: 9105-32, ISBN 92-9195-560-4.\1\
------------------------------------------------------------------------
(8) Identification of the     Any unique identification number or mark
 specimen                      (such as a tag, band, ring, microchip,
                               label, or serial number), including any
                               mark required under these regulations or
                               a CITES listing annotation. For a
                               microchip, the microchip code, trademark
                               of the transponder manufacturer and,
                               where possible, the location of the
                               microchip in the specimen. If a microchip
                               is used, we may, if necessary, ask the
                               importer, exporter, or re-exporter to
                               have equipment on hand to read the
                               microchip at the time of import, export,
                               or re-export.
------------------------------------------------------------------------
(9) Management Authority      The complete name and address of the
                               issuing Management Authority as included
                               in the CITES directory, which is
                               available from the CITES website or us.
------------------------------------------------------------------------
(10) Name and address         The complete name and address, including
                               country, of the exporter and importer.
------------------------------------------------------------------------

[[Page 20228]]

 
(11) Purpose of transaction   The purpose of the transaction, if
                               possible, using one of the codes given in
                               paragraph (d) of this section. The code
                               is determined by the issuing Management
                               Authority through information submitted
                               with an application. This is not required
                               for a certificate of origin.
------------------------------------------------------------------------
(12) Quantity                 The quantity of specimens authorized in
                               the shipment and, if appropriate, the
                               unit of measurement using the metric
                               system:
                              (i) The unit of measurement should be
                               appropriate to the type of specimen and
                               agree with the Guidelines for the
                               preparation and submission of CITES
                               annual reports available from the CITES
                               website or us. General descriptions such
                               as ``one case'' or ``one batch'' are not
                               acceptable.
                              (ii) Weight should be in kilograms. If
                               weight is used, net weight (weight of the
                               specimen alone) must be stated, not gross
                               weight that includes the weight of the
                               container or packaging.
                              (iii) Volume should be in cubic meters for
                               logs and sawn wood and either square
                               meters or cubic meters for veneer and
                               plywood.
                              (iv) For re-export, if the type of good
                               has not changed since being imported, the
                               same unit of measurement as on the export
                               permit must be used, except to change to
                               units that are to be used in the CITES
                               annual report.
------------------------------------------------------------------------
(13) Scientific name          The scientific name of the species,
                               including the subspecies when needed to
                               determine the level of protection of the
                               specimen under CITES, 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 the CITES website or us. A
                               CITES document may contain higher-taxon
                               names in lieu of the species name only
                               under one of the following circumstances:
                              (i) The CoP has agreed that the use of a
                               higher-taxon name is acceptable for use
                               on CITES documents.
                              (A) If the genus cannot be readily
                               determined for coral rock, the scientific
                               name to be used is the order
                               Scleractinia.
                              (B) Live and dead coral must be identified
                               to the level of species except where the
                               CoP has agreed that identification to
                               genus is acceptable. A current list of
                               coral taxa identifiable to genus is
                               available from the CITES website or us.
                              (C) Re-export of worked skins or pieces of
                               Tupinambis species that were imported
                               before August 1, 2000, may indicate
                               Tupinambis spp.
                              (ii) The issuing Party can show the use of
                               a higher- taxon name is well justified
                               and has communicated the justification to
                               the Secretariat.
                              (iii) The item is a pre-Convention
                               manufactured product containing a
                               specimen that cannot be identified to the
                               species level.
------------------------------------------------------------------------
(14) Seal or stamp            The embossed seal or ink stamp of the
                               issuing Management Authority.
------------------------------------------------------------------------
(15) Security stamp           If a Party uses a security stamp, the
                               stamp must be canceled by an authorized
                               signature and a stamp or seal, preferably
                               embossed. The number of the stamp must
                               also be recorded on the CITES document.
------------------------------------------------------------------------
(16) Signature                An original handwritten signature of a
                               person authorized to sign CITES documents
                               for the issuing Management Authority. The
                               signature must be on file with the
                               Secretariat.
------------------------------------------------------------------------
(17) Signature name           The name of the person who signed the
                               CITES document.
------------------------------------------------------------------------
(18) Source                   The source of the specimen. For re-export,
                               unless there is information to indicate
                               otherwise, the source code on the CITES
                               document used for import of the specimen
                               must be used. See Sec.   23.24 for a list
                               of codes.
------------------------------------------------------------------------
(19) Treaty name              Either the full name or acronym of the
                               Treaty, or the CITES logo.
------------------------------------------------------------------------
(20) Type of CITES document   The type of CITES document (import,
                               export, re-export, or other):
                              (i) If marked ``other,'' the CITES
                               document must indicate the type of
                               document, such as artificially
                               propagated, bred-in-captivity,
                               certificate of origin, certificate of
                               ownership, introduction from the sea, pre-
                               Convention, sample collection covered by
                               an ATA carnet, scientific exchange, or
                               traveling exhibition.
                              (ii) If multiple types are authorized on
                               one CITES document, the type that applies
                               to each specimen must be clearly
                               indicated.
------------------------------------------------------------------------
(21) Validation or            The actual quantity of specimens exported
 certification                 or re-exported:
                              (i) Using the same units of measurement as
                               those on the CITES document.
                              (ii) Validated or certified by the stamp
                               or seal and signature of the inspecting
                               authority at the time of export or re-
                               export.
------------------------------------------------------------------------
\1\ The incorporation by reference of the IATA LAR was approved by the
  Director of the Office of the Federal Register in accordance with 5
  U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from IATA, 800
  Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, by
  calling 1-800-716-6326, or ordering through the Internet at http://www.iata.org. Copies may be inspected at the U.S. Management Authority
  or at the Office of the Federal Register, 800 North Capitol Street,
  NW., Suite 700, Washington, DC.

    (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.
G......................................  Botanical garden.
H......................................  Hunting trophy.
L......................................  Law enforcement/judicial/
                                          forensic.

[[Page 20229]]

 
M......................................   Medical research (including
                                          biomedical research).
N......................................  Reintroduction or introduction
                                          into the wild.
P......................................  Personal.
Q......................................  Circus and traveling
                                          exhibition.
S......................................  Scientific.
T......................................  Commercial.
Z......................................  Zoo.
------------------------------------------------------------------------

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

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

    (f) Phytosanitary certificate. A Party may use a phytosanitary 
certificate as a CITES document under the following conditions:
    (1) The Party has provided copies of the certificate, stamps, and 
seals to the Secretariat.
    (2) The certificate is used only when all the following conditions 
are met:
    (i) The plants are being exported, not re-exported.
    (ii) The plants are Appendix-II species or hybrids of one or more 
Appendix-I species or taxa that are not annotated to include hybrids.
    (iii) The plants were artificially propagated in the exporting 
country.
    (3) The certificate contains the following information:
    (i) The scientific name of the species, including the subspecies 
when needed to determine the level of protection of the specimen under 
CITES, using

[[Page 20230]]

standard nomenclature as it appears in the CITES Appendices or the 
references adopted by the CoP.
    (ii) The type (such as live plant or bulb) and quantity of the 
specimens authorized in the shipment.
    (iii) A stamp, seal, or other specific indication stating that the 
specimen is artificially propagated (see Sec.  23.64).


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

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

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

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

    (a) Purpose. Under Article X of the Treaty, a Party may accept a 
CITES document issued by a competent authority of a non-Party only if 
the document substantially conforms to the requirements of the Treaty.
    (b) Additional certifications. In addition to the information in 
Sec.  23.23(c) through (e), a CITES document issued by a non-Party must 
contain the following certifications on the face of the document:

------------------------------------------------------------------------
Activity by a non-
       party                            Certification
------------------------------------------------------------------------
(1) Export          (i) The Scientific Authority has advised that the
                     export will not be detrimental to the survival of
                     the species.
                    (ii) The Management Authority is satisfied that the
                     specimen was legally acquired.
------------------------------------------------------------------------
(2) Import          The import will be for purposes that are not
                     detrimental to the survival of the species.
------------------------------------------------------------------------

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

    (a) Purpose. Article VIII of the Treaty provides that Parties take 
appropriate measures to enforce the Convention to prevent illegal 
trafficking in wildlife and plants.
    (b) Original CITES documents. A separate original or a true copy of 
a CITES document must be issued before the import, introduction from 
the sea, export, or re-export occurs, and the document must accompany 
each shipment. No copy may be used in place of an original except as 
provided in Sec.  23.23(e)(3) or when a shipment is in transit (see 
Sec.  23.22). Fax or electronic copies are not acceptable.
    (c) Acceptance of CITES documents. We will accept a CITES document 
as valid for import, introduction from the sea, export, and re-export 
only if the document meets the requirements of this section, Sec. Sec.  
23.23 through 23.25, and the following conditions:

[[Page 20231]]



------------------------------------------------------------------------
    Key phrase           Conditions for an acceptable CITES document
------------------------------------------------------------------------
(1) Altered or      The CITES document has not been altered (including
 modified CITES      by rubbing or scratching out), added to, or
 document            modified in any way unless the change is validated
                     on the document by the stamp and signature of the
                     issuing Management Authority, or if the document
                     was issued as a partially completed document, the
                     Management Authority lists on the face of the
                     document which blocks must be completed by the
                     permit holder.
------------------------------------------------------------------------
(2) CITES document  U.S. and foreign CITES documents must meet the
                     general provisions and criteria in subparts C and
                     E.
------------------------------------------------------------------------
(3) Conditions      All conditions on the CITES document are met.
------------------------------------------------------------------------
(4) Extension of    The validity of a CITES document may not be extended
 validity            except as provided in Sec.   23.73 for certain
                     timber species.
------------------------------------------------------------------------
(5) Fraudulent      The CITES document is authentic and does not contain
 CITES document or   erroneous or misleading information.
 CITES document
 containing false
 information
------------------------------------------------------------------------
(6) Humane          Live wildlife or plants were transported in
 transport           compliance with the CITES Guidelines for Transport
                     or, in the case of air transport of wildlife, the
                     International Air Transport Association Live
                     Animals Regulations.
------------------------------------------------------------------------
(7) Management      The CITES document was issued by a Party or non-
 Authority and       Party that has designated a Management Authority
 Scientific          and Scientific Authority and has provided
 Authority           information on these authorities to the
                     Secretariat.
------------------------------------------------------------------------
(8) Name of         A CITES document is specific to the name on the face
 importer and        of the document and may not be transferred or
 exporter            assigned to another person.
------------------------------------------------------------------------
(9) Phytosanitary   A phytosanitary certificate can be used to export
 certificate         artificially propagated plants only if the issuing
                     Party has provided copies of the certificates,
                     stamps, and seals to the Secretariat.
------------------------------------------------------------------------
(10) Registered     (i) The operation is in the Secretariat's register.
 commercial         (ii) Each specimen is specifically marked, and the
 breeding            mark is described on the CITES document.
 operation for
 Appendix-I
 wildlife
------------------------------------------------------------------------
(11) Registered     The operation is included in the Secretariat's
 commercial          register.
 nursery for
 Appendix-I plants
------------------------------------------------------------------------
(12) Retrospective  A CITES document was not issued retrospectively
 CITES documents     except as provided in Sec.   23.53.
------------------------------------------------------------------------
(13) Shipment       The contents of the shipment match the description
 contents            of specimens provided on the CITES document,
                     including the units and species. A shipment cannot
                     contain more or different specimens or species than
                     certified or validated on the CITES document at the
                     time of export or re-export (the quantity of each
                     specimen validated or certified may be less, but
                     not more, than the quantity stated at the time of
                     issuance).
------------------------------------------------------------------------
(14) Quota          For species with a quota on file with the
                     Secretariat, the quantity exported from a country
                     does not exceed the quota.
------------------------------------------------------------------------
(15) Wild-          A wild-collected wildlife specimen (indicated on the
 collected           CITES document with a source code of ``W'') is not
 wildlife specimen   coming from a country that is outside the range of
                     the species, unless we have information indicating
                     that the species has been established in the wild
                     in that country through accidental introduction or
                     other means.
------------------------------------------------------------------------

    (d) Verification of a CITES document. We may request verification 
of a CITES document from the Secretariat or a foreign Management 
Authority before deciding whether to accept it under some 
circumstances, including, but not limited to, the following:
    (1) We receive reliable information that indicates the need for 
CITES document verification.
    (2) We have reasonable grounds to believe that a CITES document is 
not valid or authentic because the species is being traded in a manner 
detrimental to the survival of the species or in violation of foreign 
wildlife or plant laws, or any applicable Management or Scientific 
Authority finding has not been made.
    (3) The re-export certificate refers to an export permit that does 
not exist or is not valid.
    (4) We have reasonable grounds to believe that the document is 
fraudulent, contains false information, or has unauthorized changes.
    (5) We have reasonable grounds to believe that the specimen 
identified as bred-in-captivity or artificially propagated is a wild 
specimen or otherwise does not qualify for these exemptions.
    (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.
    (8) For a replacement CITES document, we need clarification of the 
reason the document was issued.


Sec.  23.27  What CITES documents do I present at the port?

    (a) Purpose. Article VIII of the Treaty provides that Parties 
establish an inspection process that takes place at a port of exit and 
entry. Inspecting officials must verify that valid CITES documents 
accompany shipments and take enforcement action when

[[Page 20232]]

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 part 14 of this 
subchapter and for plants in 7 CFR parts 319, 352, and 355. 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 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                             Surrender original
                                            export or re-export     Surrender copy upon       upon import or
         Type of CITES document                validation or        export or re-export    introduction from the
                                               certificaion                                         sea
----------------------------------------------------------------------------------------------------------------
Bred-in-captivity certificate             Required                Required                Required.
----------------------------------------------------------------------------------------------------------------
Certificate for artificially propagated   Required                Required                Required.
 artificially propagated plants
----------------------------------------------------------------------------------------------------------------
Certificate of origin                     Required                Required                Required.
----------------------------------------------------------------------------------------------------------------
Certificate of ownership                  Required                Required                Not required; submit
                                                                                           copy.
----------------------------------------------------------------------------------------------------------------
Export permit                             Required                Required                Required.
----------------------------------------------------------------------------------------------------------------
Hybrid, excluded wildlife hybrid letter   Required 1              Required                Not required; submit
                                                                                           copy.
----------------------------------------------------------------------------------------------------------------
Import permit                             Not required            Required                Required.
----------------------------------------------------------------------------------------------------------------
Introduction-from-the-sea certificate     Not applicable          Not applicable          Required.
----------------------------------------------------------------------------------------------------------------
Multiple-use document                     Required 2              Required                Not required; submit
                                                                                           copy.
----------------------------------------------------------------------------------------------------------------
Pre-Convention document                   Required                Required                Required.
----------------------------------------------------------------------------------------------------------------
Re-export certificate                     Required                Required                Required.
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I commercial          Required                Required                Required.
 breeding operation, export permit
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I nursery, export     Required                Required                Required.
 permit
----------------------------------------------------------------------------------------------------------------
Registered scientific institution CITES   Not required 3          Not required            Not required.
 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.
----------------------------------------------------------------------------------------------------------------
Sample collection covered by an ATA       Required                Required                Not required; submit
 carnet, CITES document                                                                    copy.
----------------------------------------------------------------------------------------------------------------
Traveling exhibition certificate          Required                Required                Not required; submit
                                                                                           copy.
----------------------------------------------------------------------------------------------------------------
\1\ Certification letter may not require validation.
\2\ Orginal must be available for inspection, but permit conditions will indicate whether an original or copy is
  to be validated.
\3\ Original label must be affixed to the package, which must be presented for inspection at the time of export,
  re-export, or import.

Subpart C--Application Procedures, Criteria, and Conditions


Sec.  23.32  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 to the appropriate office shown 
on the top of the form.
    (b) To determine the type of CITES document needed for your 
shipment, go to Sec. Sec.  23.18 through 23.20 for further guidance.
    (c) If a species is also regulated under another part of this 
subchapter (such as endangered or threatened, 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 part 13 
of this subchapter.
    (e) You should review the criteria in 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

[[Page 20233]]

calendar days, we will abandon your application. If you wish to apply 
for a permit at a later time, you must submit a new application.


Sec.  23.33  How is the decision made 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 Sec.  13.21(b) of this subchapter 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 
findings).
    (b) As needed, the U.S. Management Authority, including FWS Law 
Enforcement, will forward a copy of the application to the U.S. 
Scientific Authority; State, tribal, or other Federal government 
agencies; or other applicable experts. We may also query the 
Secretariat and foreign Management and Scientific Authorities for 
information to use in making the required findings.
    (c) You must provide sufficient 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.  23.34  What kinds of records may I use to show the origin of a 
specimen when I apply for a U.S. CITES document?

    (a) When you apply for a U.S. CITES document, you will be asked to 
provide information on the origin of the specimen that will be covered 
by the CITES document.
    (1) You need to provide sufficient information for us to determine 
if the issuance criteria in this part are met (see the sections in this 
subpart for each type of CITES document).
    (2) We require less detailed information when the import, 
introduction from the sea, export, or re-export poses a low risk to a 
species in the wild and more detailed information when the proposed 
activity poses greater risk to a species in the wild (see Subpart D of 
this part for factors we consider in making certain findings).
    (b) Information you may want to provide in a permit application 
includes, but is not limited to, the following:

------------------------------------------------------------------------
Source of specimen                    Types of records
------------------------------------------------------------------------
(1) Captive-bred    (i) Records that identify the breeder or propagator
 or cultivated \1\   of the specimens that have been identified by
                     birth, hatch, or propagation date and for wildlife
                     by sex, size, band number, or other mark, or for
                     plants by size or other identifying feature:
                    (A) Signed and dated statement by the breeder or
                     propagator that the specimen was bred or propagated
                     under controlled conditions.
                     (B) Name and address of the breeder or propagator
                     as shown by documents such as an International
                     SpeciesInventory System (ISIS) record, veterinary
                     certificate, or plant nursery license.
                    (ii) Records that document the breeding or
                     propagating of specimens at the facility:
                    (A) Number of wildlife (by sex and age-or size-
                     class) or plants at the facility.
                    (B) How long the facility has been breeding or
                     propagating the species.
                    (C) Annual production and mortalities.
                    (D) Number of specimens sold or transferred
                     annually.
                    (E) Number of specimens added from other sources
                     annually.
                    (F) Transaction records with the date, species,
                     quantity of specimens, and name and address of
                     seller.
                    (G) Marking system, if applicable.
                    (H) Photographs or video of facility, including for
                     wildlife any activities during nesting and
                     production and rearing of young, and for plants,
                     different stages of growth.
------------------------------------------------------------------------
(2) Confiscated or  Copy of remission decision, legal settlement, or
 seized              disposal action after forfeiture or abandonment
                     that demonstrates the applicant's legal possession.
------------------------------------------------------------------------
(3) Exempt plant    Records that document how you obtained the exempt
 material            plant material, including the name and address of
                     the person from whom you received the plant
                     material.
------------------------------------------------------------------------
(4) Imported        (i) A copy of the cancelled CITES document that
 previously          accompanied the shipment into the United States.
                    (ii) For wildlife, copies of a cleared Declaration
                     for Importation or Exportation of Fish or Wildlife
                     (Form 3-77) for each shipment.
------------------------------------------------------------------------
(5) Pre-Convention   Records that show the specimen was acquired before
                     the date the provisions of the Convention first
                     applied to it, such as:
                    (i) Receipt or invoice.
                    (ii) Catalog, inventory list, photograph, or art
                     book.
                    (iii) Statement from a qualified appraiser attesting
                     to the age of a manufactured product.
                    (iv) CBP (formerly U.S. Customs Service) import
                     documents.
                    (v) Phytosanitary certificate.
                    (vi) Veterinary document or breeding or propagation
                     logs.
------------------------------------------------------------------------
(6) Sequential      (i) Records that specifically identify the specimen,
 ownership or        give the name and address of the owner, and show
 purchase            the specimen's origin (pre-Convention, previously
                     imported, wild-collected, or born or propagated in
                     a controlled environment in the United States).
                    (ii) Records that document the history of all
                     transfers in ownership (generally not required for
                     pre-Convention specimens).
------------------------------------------------------------------------
(7) Unknown         A complete description of the circumstances under
 origin, for         which the specimen was acquired (where, when, and
 noncommercial       from whom l the specimen was acquired), including
 purposes            efforts made to obtain information on the origin of
                     the specimen.
------------------------------------------------------------------------

[[Page 20234]]

 
(8) Wild-collected  Records, such as permits, licenses, and tags, that
                     demonstrate the specimen or the parental stock was
                     legally removed from the wild under relevant
                     foreign, Federal, tribal, State, or local wildlife
                     or plant conservation laws or regulations:
                    (i) If taken on private or tribal land, permission
                     of the landowner if required under applicable law.
                    (ii) If taken in a national, State, or local park,
                     refuge, or other protected area, permission from
                     the applicable agency, if required.
------------------------------------------------------------------------
\1\ If the wildlife was born in captivity from an egg collected from the
  wild or from parents that mated or exchanged genetic material in the
  wild, or the plant was propagated from a propagule collected from a
  wild plant, see paragraph (b)(8) of this section.

    (c) If you intend to engage in international trade with a CITES 
specimen in the future, you should keep sufficient records to establish 
your eligibility for a CITES document for as long as you possess the 
specimen and, if you sell, donate, or transfer ownership of the 
specimen, by providing records to the new owner on the origin of the 
specimen.


Sec.  23.35  What are the requirements for an import permit?

    (a) Purpose. Article III(3) of the Treaty sets out the conditions 
under which a Management Authority can issue an import permit.
    (b) U.S. application forms. Complete the appropriate form for the 
proposed activity and submit it to the U.S. Management Authority:

------------------------------------------------------------------------
Type of application for an import permit for an Appendix-I
                         specimen                             Form No.
------------------------------------------------------------------------
(1) CITES:
    Southern African Leopard, African Elephant, and         3-200-19
     Namibian Southern White Rhinoceros Sport-hunted
     Trophies
    Appendix-I Plants                                       3-200-35
    Appendix-I Wildlife                                     3-200-37
    Appendix-I Biological Samples                           3-200-29
------------------------------------------------------------------------
(2) Endangered Species Act and CITES:
    ESA Plants                                              3-200-36
    ESA Sport-hunted Trophies                               3-200-20
    ESA Wildlife                                            3-200-37
------------------------------------------------------------------------
(3) Marine Mammal Protection Act and CITES:
    Marine Mammals                                          3-200-43
------------------------------------------------------------------------
(4) Wild Bird Conservation Act and CITES:
    Personal Pet Bird                                       3-200-46
    Under an Approved Cooperative Breeding Program          3-200-48
    Scientific Research or Zoological Breeding/Display      3-200-47
------------------------------------------------------------------------

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

------------------------------------------------------------------------
 Criteria for an import permit for an Appendix-I specimen     Section
------------------------------------------------------------------------
(1) The proposed import would be for purposes that are     23.61
 not detrimental to the survival of the species.
------------------------------------------------------------------------
(2) The specimen will not be used for primarily            23.62
 commercial purposes.
------------------------------------------------------------------------
(3) The recipients are suitably equipped to house and      23.65
 care for any live wildlife or plant to be imported.
------------------------------------------------------------------------
(4) The scientific name of the species is the standard     23.23
 nomenclature in the CITES Appendices or the references
 adopted by the CoP.
------------------------------------------------------------------------

    (d) U.S. standard conditions. You must meet all of the provisions 
on use after import in Sec.  23.55 and the standard conditions in Sec.  
23.56.
    (e) Prior issuance of an import permit. For Appendix-I specimens, 
the Management Authority of the exporting country may:
    (1) Issue an export permit for live or dead specimens or a re-
export certificate for live specimens only after the Management 
Authority of the importing country has either issued an import permit 
or confirmed in writing that an import permit will be issued.
    (2) Accept oral confirmation from the Management Authority of the 
importing country that an import permit will be issued in an emergency 
situation where the life or health of the specimen is threatened and no 
means of written communication is possible.
    (3) Issue a re-export certificate for a dead specimen without 
confirmation that the import permit has been issued.


Sec.  23.36  What are the requirements for an export permit?

    (a) Purposes. Articles III, IV, and V of the Treaty set out the 
conditions under which a Management Authority may issue an export 
permit for an Appendix-I, -II, or -III specimen. Article XIV sets out 
the conditions under which a Management Authority may issue a document 
for export of certain Appendix-II marine specimens protected under a 
pre-existing treaty, convention, or international agreement.

[[Page 20235]]

    (b) U.S. application forms. Complete the appropriate form for the 
proposed activity and submit it to the U.S. Management Authority. Form 
3-200-26 may also be submitted to FWS Law Enforcement at certain ports 
or regional offices:

------------------------------------------------------------------------
         Type of application for an export permit             Form No.
------------------------------------------------------------------------
(1) CITES:
    American Ginseng                                        3-200-34
    Appendix-I Plants Artificially Propagated for           3-200-33
     Commercial Purposes
    Biological Specimens                                    3-200-29
    Captive-born Raptors                                    3-200-25
    Captive-born Wildlife (except raptors)                  3-200-24
    Export of Skins/Products of Bobcat, Canada Lynx, River  3-200-26
     Otter, Brown Bear, Gray Wolf, and American Alligator
     Taken under an Approved State or Tribal Program
    Personal Pets, One-time Export                          3-200-46
    Plants                                                  3-200-32
    Registration of a Native Species Production Facility    3-200-75
    Single-use Permits under a Master File or an Annual     3-200-74
     Program File
    Trophies by Taxidermists                                3-200-28
    Wildlife, Removed from the Wild                         3-200-27
------------------------------------------------------------------------
(2) Endangered Species Act and CITES:
    ESA Plants                                              3-200-36
    ESA Wildlife                                            3-200-37
------------------------------------------------------------------------
(3) Marine Mammal Protection Act and CITES:
    Biological Samples                                      3-200-29
    Live Captive-held Marine Mammals                        3-200-53
    Take from the Wild for Export                           3-200-43
------------------------------------------------------------------------

    (c) Criteria. The criteria in this paragraph (c) apply to the 
issuance and acceptance of U.S. and foreign export permits except as 
provided for certain marine specimens in paragraph (d) of this section. 
When applying for a U.S. permit or certificate, you must provide 
sufficient information for us to find that your proposed activity meets 
all of the following criteria:

----------------------------------------------------------------------------------------------------------------
                                                             Appendix of the specimen
        Criteria for an export permit         ------------------------------------------------------   Section
                                                       I                II                III
----------------------------------------------------------------------------------------------------------------
(1) The wildlife or plant was legally          Yes               Yes               Yes                     23.60
 acquired
----------------------------------------------------------------------------------------------------------------
(2) The proposed export would not be           Yes               Yes               n/a                     23.61
 detrimental to the survival of the species
----------------------------------------------------------------------------------------------------------------
(3) An import permit has already been issued   Yes               n/a               n/a                     23.35
 or the Management Authority of the importing
 country has confirmed that it will be issued
----------------------------------------------------------------------------------------------------------------
(4) The scientific name of the species is the  Yes               Yes               Yes                     23.23
 standard nomenclature in the CITES
 Appendices or the references adopted by the
 CoP
----------------------------------------------------------------------------------------------------------------
(5) Live wildlife or plants will be prepared   Yes               Yes               Yes                     23.23
 and shipped so as to minimize risk of
 injury, damage to health, or cruel treatment
 of the specimen
----------------------------------------------------------------------------------------------------------------
(6) The specimen originated in a country that  n/a               n/a               Yes                     23.20
 listed the species
----------------------------------------------------------------------------------------------------------------
(7) For wildlife with the source code ``W''    Yes               n/a               n/a               ...........
 or ``F,'' the export is for noncommercial
 purposes (See Sec.   23.46 for the export of
 specimens that originated at an Appendix-I
 commercial breeding operation that is
 registered with the Secretariat.)
----------------------------------------------------------------------------------------------------------------

    (d) Export of certain exempt marine specimens. Article XIV(4) and 
(5) of the Treaty provide a limited exemption for Appendix-II marine 
species that are protected under another treaty, convention, or 
international agreement that was in force at the time CITES entered 
into force. When all of the following conditions are met, export of 
exempt Appendix-II marine wildlife or plants requires only that the 
shipment is accompanied by a document issued by the Management 
Authority of the exporting country indicating that the specimens were 
taken in accordance with the provision of the other international 
treaty, convention, or agreement:
    (1) The exporting country is a CITES Party and is a party to an 
international treaty, convention, or agreement that

[[Page 20236]]

affords protection to the species and was in force on July 1, 1975.
    (2) The ship that harvested the specimen is registered in the 
exporting country.
    (3) The specimen was taken within waters under the jurisdiction of 
the exporting country or in the marine environment not under the 
jurisdiction of any country.
    (4) The specimen was taken in accordance with the other 
international treaty, convention, or agreement, including any quotas.
    (5) The shipment is accompanied by any official document required 
under the other international treaty, convention, or agreement or 
otherwise required by law.
    (e) Export of exempt specimens from the United States. To export a 
specimen exempted under paragraph (d) of this section, you must obtain 
a CITES document from the U.S. Management Authority that indicates the 
specimen was taken in accordance with the provisions of another 
international treaty, convention, or agreement that was in force on 
July 1, 1975.
    (f) U.S. application for export of exempt specimens. To apply for a 
CITES exemption document under paragraph (e) of this section, complete 
the appropriate form for your activity and submit it to the U.S. 
Management Authority.
    (g) Criteria. The criteria in this paragraph (g) apply to the 
issuance and acceptance of U.S. and foreign export documents. To obtain 
a U.S. CITES document for export of specimens exempted under paragraph 
(d) of this section you must provide sufficient information for us to 
find that your proposed export meets all of the following issuance 
criteria:
    (1) The specimen was taken in accordance with the provisions of an 
applicable international treaty, convention, or agreement that was in 
force on July 1, 1975.
    (2) The scientific name of the CITES species is in the standard 
nomenclature in the CITES Appendices or references adopted by the CoP 
(see Sec.  23.23).


Sec.  23.37  What are the requirements for a re-export certificate?

    (a) Purposes. Articles III, IV, and V of the Treaty set out the 
conditions under which a Management Authority may issue a re-export 
certificate for an Appendix-I, -II, or -III specimen.
    (b) U.S. application forms. Complete the appropriate form for the 
proposed activity and submit it to the U.S. Management Authority. Form 
3-200-73 may also be submitted to Law Enforcement at certain ports or 
regional offices:

------------------------------------------------------------------------
      Type of application for a re-export certificate         Form No.
------------------------------------------------------------------------
(1) CITES:
    Biological Specimens                                    3-200-29
    Plants                                                  3-200-32
    Single-use Permits under a Master File or an Annual     3-200-74
     Program File
    Trophies by Taxidermists                                3-200-28
    Wildlife                                                3-200-73
------------------------------------------------------------------------
(2) Endangered Species Act and CITES:
    ESA Plants                                              3-200-36
    ESA Wildlife                                            3-200-37
------------------------------------------------------------------------
(3) Marine Mammal Protection Act and CITES:
    Biological Samples                                      3-200-29
    Live Captive-held Marine Mammals                        3-200-53
------------------------------------------------------------------------

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

----------------------------------------------------------------------------------------------------------------
                                                             Appendix of the specimen
     Criteria for a re-export certificate     ------------------------------------------------------   Section
                                                       I                II                III
----------------------------------------------------------------------------------------------------------------
(1) The wildlife or plant was legally          Yes               Yes               Yes                     23.60
 acquired
----------------------------------------------------------------------------------------------------------------
(2) The scientific name of the species is the  Yes               Yes               Yes                     23.23
 standard nomenclature in the CITES
 Appendices or the references adopted by the
 CoP
----------------------------------------------------------------------------------------------------------------
(3) For a live specimen, an import permit has  Yes               n/a               n/a                     23.35
 already been issued or the Management
 Authority of the importing country has
 confirmed that it will be issued. This
 criterion does not apply to a specimen with
 the source code ``D.''
----------------------------------------------------------------------------------------------------------------
(4) Live wildlife or plants will be prepared   Yes               Yes               Yes                     23.23
 and shipped so as to minimize risk of
 injury, damage to health, or cruel treatment
 of the specimen
----------------------------------------------------------------------------------------------------------------
(5) For re-export of a confiscated specimen,   Yes               Yes               n/a                     23.61
 the proposed re-export would not be
 detrimental to the survival of the species
----------------------------------------------------------------------------------------------------------------
(6) For wildlife with the source code ``W''    Yes               n/a               n/a               ...........
 or ``F,'' the re-export is for noncommercial
 purposes
----------------------------------------------------------------------------------------------------------------


[[Page 20237]]

Sec.  23.38  What are the requirements for a certificate of origin?

    (a) Purpose. Article V(3) of the Treaty requires that a shipment of 
Appendix-III specimens be accompanied by a certificate of origin when 
the shipment is not from a country that listed the species in Appendix 
III and is not a re-export.
    (b) U.S. application forms. For a certificate of origin, complete 
one of the following forms and submit it to the U.S. Management 
Authority:
    (1) Form 3-200-27 for wildlife removed from the wildlife.
    (2) Form 3-200-24 for captive-born wildlife.
    (3) Form 3-200-32 for plants.
    (c) Criteria. The criteria in this paragraph (c) apply to the 
issuance and acceptance of U.S. and foreign certificates of origin. 
When applying for a U.S. certificate, 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 country of export, which is not 
a country that listed the species in Appendix III. In the case of a 
listing that is annotated to cover only a certain population, no CITES 
document is required if the listed population does not occur in the 
country of export. For U.S. applicants, the country of origin must be 
the United States.
    (2) The scientific name of the species is the standard nomenclature 
in the CITES Appendices or the references adopted by the CoP (see Sec.  
23.23).
    (3) Live wildlife or plants will be prepared and shipped so as to 
minimize risk of injury, damage to health, or cruel treatment of the 
specimen (see Sec.  23.23).


Sec.  23.39  What are the requirements for an introduction-from-the-sea 
certificate?

    (a) Purpose. Articles III(5), IV(6), and IV(7) of the Treaty set 
out the conditions under which a Management Authority may issue a 
certificate of introduction from the sea.
    (b) U.S. application form. Complete Form 3-200-31 and submit it to 
the U.S. Management Authority.
    (c) Criteria. The criteria in this paragraph (c) apply to the 
issuance and acceptance of U.S. certificates. You must provide 
sufficient information for us to find that your proposed activity meets 
all of the following criteria:

----------------------------------------------------------------------------------------------------------------
                                                             Appendix of the specimen
    Criteria for an introduction-from-the-sea     ----------------------------------------------     Section
                   certificate                               I                      II
----------------------------------------------------------------------------------------------------------------
(1) The specimen was taken in the marine           Yes                    Yes
 environment not under the jurisdiction of any
 country
----------------------------------------------------------------------------------------------------------------
(2) The proposed introduction from the sea would   Yes                    Yes                    23.61
 not be detrimental to the survival of the
 species
----------------------------------------------------------------------------------------------------------------
(3) The specimen will not be used for primarily    Yes                    n/a                    23.62
 commercial purposes
----------------------------------------------------------------------------------------------------------------
(4) The recipients are suitably equipped to house  Yes                    n/a                    23.65
 and care for live wildlife or plants
----------------------------------------------------------------------------------------------------------------
(5) The scientific name of the species is the      Yes                    Yes                    23.23
 standard nomenclature in the CITES Appendices or
 the references adopted by the CoP
----------------------------------------------------------------------------------------------------------------
(6) Live wildlife or plants will be prepared and   Yes                    Yes                    23.23
 shipped so as to minimize risk of injury, damage
 to health, or cruel treatment of the specimen
----------------------------------------------------------------------------------------------------------------

    (d) Exemption. As allowed under Article XIV(4) and (5) of the 
Treaty, you may directly introduce into the United States any Appendix-
II wildlife or plant taken in the marine environment that is not under 
the jurisdiction of any country without a CITES 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 in the 
United States.
    (3) The specimen was taken in accordance with the other 
international treaty, convention, or agreement, including any quotas.
    (4) The shipment is accompanied by any official document required 
under the other international treaty, convention, or agreement or 
otherwise required by U.S. law.
    (e) Export of exempt specimens. To export a specimen exempted under 
paragraph (d) of this section, you must obtain a CITES document from 
the U.S. Management Authority that indicates the specimen was taken in 
accordance with the provisions of the other international treaty, 
convention, or agreement that was in force on July 1, 1975. See 
requirements in Sec.  23.36 (e)--(g).
    (f) Appendix III. Introduction-from-the-sea certificate 
requirements do not apply to Appendix-III species.


Sec.  23.40  What are the requirements for a certificate for 
artificially propagated plants?

    (a) Purpose. Article VII(5) of the Treaty grants an exemption to 
plants that are artificially propagated when a Management Authority 
issues a certificate.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of a certificate for artificially 
propagated Appendix-I, -II, or -III plants:
    (1) The certificate for artificially propagated plants and any 
subsequent re-export certificate must show the source code as ``A'' for 
artificially propagated.
    (2) For an Appendix-I specimen that satisfies the requirements of 
this section, no CITES import permit is required.
    (c) U.S. application form. Complete Form 3-200-33 and submit it to 
the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign certificates. When applying 
for a U.S. certificate, you must provide sufficient information for us 
to find that your proposed activity meets all of the following 
criteria:

[[Page 20238]]



----------------------------------------------------------------------------------------------------------------
                                                          Appendix of the specimen
     Criteria for a certificate for     ------------------------------------------------------------   Section
     artificially propagated plants               I                  II                  III
----------------------------------------------------------------------------------------------------------------
(1) The plant was artificially           Yes                 Yes                 Yes                       23.64
 propagated
----------------------------------------------------------------------------------------------------------------
(2) The plant specimen is one of the     Yes                 n/a                 n/a
 following:
    (i) Was propagated for
     noncommercial purposes.
    (ii) Is part of a traveling
     exhibition.
    (iii) Is a hybrid of one or more
     Appendix-I species or taxa that is
     not annotated to include hybrids
     in the listing and was propagated
     for commercial or noncommercial
     purposes.
----------------------------------------------------------------------------------------------------------------
(3) The scientific name of the species   Yes                 Yes                 Yes                       23.23
 is the standard nomenclature in the
 CITES Appendices or the references
 adopted by the CoP
----------------------------------------------------------------------------------------------------------------
(4) The live plant will be prepared and  Yes                 Yes                 Yes                       23.23
 shipped so as to minimize risk of
 injury, damage to health, or cruel
 treatment of the specimen
----------------------------------------------------------------------------------------------------------------

    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, you must meet all of the following conditions:
    (1) You may not export or re-export a plant (including its parts, 
products, or derivatives) under this certificate if the plant was 
removed from the wild or grown directly from a wild seed, except for 
plants grown from exempt plant materials that qualify as artificially 
propagated.
    (2) You may not export an Appendix-I species that was propagated 
for commercial purposes under this certificate, except for hybrids of 
one or more Appendix-I species or taxa that are not annotated to 
include hybrids in the listing.
    (3) You may export a native plant 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 a specimen under a higher-taxon name only if you 
identified the taxon in your application and we approved it on this 
certificate.


Sec.  23.41  What are the requirements for a bred-in-captivity 
certificate?

    (a) Purpose. Article VII(5) of the Treaty grants an exemption to 
wildlife that is bred-in-captivity when a Management Authority issues a 
certificate.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of a certificate for Appendix-I, -
II, or -III wildlife that was bred-in-captivity:
    (1) The certificate and any subsequent re-export certificate must 
show the source code as ``C'' for bred-in-captivity.
    (2) For an Appendix-I specimen that satisfies the requirements of 
this section, no CITES import permit is required.
    (c) U.S. application form. Complete Form 3-200-24 and submit it to 
the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign certificates. When applying 
for a U.S. certificate, you must provide sufficient information for us 
to find that your proposed activity meets all of the following 
criteria:

----------------------------------------------------------------------------------------------------------------
                                               Appendix of the  specimen
 Criteria for a bred-in-captivity  ------------------------------------------------            Section
            certificate                    I              II              III
----------------------------------------------------------------------------------------------------------------
(1) The wildlife was bred-in-       Yes             Yes             Yes             23.63
 captivity
----------------------------------------------------------------------------------------------------------------
(2) The wildlife specimen was bred  Yes             n/a             n/a             23.5
 for noncommercial purposes or is
 part of a traveling exhibition
----------------------------------------------------------------------------------------------------------------
(3) The scientific name of the      Yes             Yes             Yes             23.23
 species is the standard
 nomenclature in the CITES
 Apendices or the references
 adopted by the CoP
----------------------------------------------------------------------------------------------------------------
(4) Live wildlife will be prepared  Yes             Yes             Yes             23.23
 and shipped so as to minimize
 risk of injury, damage to health,
 or cruel treatment of the
 specimen
----------------------------------------------------------------------------------------------------------------

Sec.  23.42  What are the requirements for a plant hybrid?

    General provisions. Except as provided in Sec.  23.92, the export, 
re-export, or import of a plant hybrid of a CITES species must be 
accompanied by a valid CITES document that shows the Appendix of the 
specimen as follows:

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

[[Page 20239]]

 
(b) Is one or more of the Appendix-  (1) YES. The hybrid is listed in
 I species or taxa in paragraph (a)   Appendix I.
 of this section annotated to        (2) NO. The hybrid is listed in
 include hybrids?                     Appendix I, but may be granted a
                                      certificate for artificially
                                      propagated plants even if
                                      propagated for commercial
                                      purposes.
------------------------------------------------------------------------
(c) Is the specimen a hybrid that    (1) YES. Consider the specimen to
 includes two or more CITES species   be listed in the more restrictive
 or taxa in its lineage?              Appendix, with Appendix I being
                                      the most restrictive and Appendix
                                      III the least.
                                     (2) NO. Continue to paragraph (d)
                                      of this section.
------------------------------------------------------------------------
(d) Is the specimen a hybrid that    (1) YES. Consider the specimen to
 includes one CITES species or        be listed in the Appendix in which
 taxon in its lineage?                the species or taxon is listed in
                                      the CITES Appendices.
                                     (2) NO. The hybrid is not regulated
                                      by CITES.
------------------------------------------------------------------------

Sec.  23.43  What are the requirements for a wildlife hybrid?

    (a) Definition. For the purposes of this section, recent lineage 
means the last four generations of a specimen's ancestry (direct line 
of descent).
    (b) U.S. and foreign general provisions. Except as provided in 
paragraph (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:

----------------------------------------------------------------------------------------------------------------
                                                                                   Then the specimen is  listed
          If at least one specimen in the recent lineage is listed in:                          in:
----------------------------------------------------------------------------------------------------------------
(1) Appendix I                                                                    Appendix I
----------------------------------------------------------------------------------------------------------------
(2) Appendix II, and an Appendix-I species is not included in the recent lineage  Appendix II
----------------------------------------------------------------------------------------------------------------
(3) Appendix III, and an Appendix-I or -II species is not included in the recent  Appendix III
 lineage
----------------------------------------------------------------------------------------------------------------

    (c) Wildlife hybrid excluded from regulation. A wildlife hybrid 
that does not have a CITES species in its recent lineage must be 
accompanied by either a CITES document or an excluded wildlife hybrid 
letter issued by us or a foreign Management Authority. This requirement 
does not apply to a domestic dog or domestic cat that has no CITES 
species in its recent lineage. The CITES document or letter must 
describe the specimen, provide the scientific name, and certify that 
the wildlife contains no CITES species in the last four generations of 
its ancestry.
    (d) U.S. application for wildlife hybrid. To apply for a CITES 
document or an excluded wildlife hybrid letter, complete the 
appropriate form for the proposed activity (see Sec. Sec.  23.18 
through 23.20) and submit it to the U.S. Management Authority.
    (e) Criteria. For export of a hybrid that contains a CITES species 
in its recent lineage, you must meet the requirements of Sec.  23.36. 
For an excluded wildlife hybrid letter, you must provide sufficient 
information for us to find that your proposed activity meets all of the 
following issuance criteria:
    (1) The wildlife hybrid does not include any CITES species in its 
recent lineage.
    (2) The scientific name of the CITES species in the lineage of the 
hybrid is the standard nomenclature in the CITES Appendices or 
references adopted by the CoP (see Sec.  23.23).


Sec.  23.44  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 
authorizes frequent cross-border movements of personally owned live 
wildlife for personal use.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of a certificate of ownership for 
frequent international travel with live wildlife for personal use:
    (1) The certificate must be obtained from the Management Authority 
in the country of the owner's primary residence.
    (2) Parties should treat the certificate like a passport for import 
to and export or re-export from each country and should not collect the 
original certificate at the border.
    (3) If offspring are born or an additional specimen is acquired 
while the owner is outside his or her country of primary residence, the 
owner 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.
    (4) Upon returning home, the owner may apply for a certificate of 
ownership for wildlife born or acquired overseas.
    (c) U.S. application form. Complete Form 3-200-64 and submit it to 
the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign certificates. When applying 
for a U.S. certificate, you must provide sufficient information for us 
to find that your proposed activity meets all of the following 
criteria:
    (1) The traveler owns the live wildlife and it will accompany the 
owner.
    (2) The cross-border movement will be frequent and for personal 
use, including, but not limited to, companionship or use in a 
noncommercial competition such as falconry.
    (3) To apply for a U.S. certificate, the owner resides in the 
United States.
    (4) The wildlife was legally acquired (see Sec.  23.60).
    (5) The owner does not intend to sell, donate, or transfer the 
wildlife while traveling internationally.
    (6) The scientific name of the species is the standard nomenclature 
in the CITES Appendices or the references adopted by the CoP (see Sec.  
23.23).
    (7) The Management Authority of the country of import has agreed to 
the cross-border movement.
    (8) The wildlife is securely marked or uniquely identified in such 
a manner

[[Page 20240]]

that the border official can verify that the specimen and CITES 
document correspond.
    (9) The wildlife is transported and cared for in a way that 
minimizes risk of injury, damage to health, or cruel treatment of the 
specimen (see Sec.  23.23).
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, all of the following conditions must be met:
    (1) You must accompany the wildlife during any cross-border 
movement.
    (2) You must transport the wildlife for personal use only.
    (3) You must not sell, donate, or transfer the specimen while 
traveling internationally.
    (4) You must present the certificate to the official for validation 
at each border crossing.
    (5) If the certificate is lost, stolen, or accidentally destroyed, 
you must obtain a replacement certificate from the issuing Management 
Authority.
    (6) If you no longer own the live wildlife, you must immediately 
return the original document to the issuing Management Authority and 
report on the disposition of the wildlife, such as death, sale, or 
transfer.


Sec.  23.45  What are the requirements for a pre-Convention specimen?

    (a) Purpose. Article VII(2) of the Treaty exempts a pre-Convention 
specimen from standard permitting requirements in Articles III, IV, and 
V of the Treaty when the exporting or re-exporting country is satisfied 
that the specimen was acquired before the provisions of CITES applied 
to it and issues a CITES document to that effect.
    (b) U.S. and foreign general provisions. The following general 
provisions apply to the issuance and acceptance of pre-Convention 
documents:
    (1) Trade in a specimen under the pre-Convention exemption is 
allowed only if the importing county will accept a pre-Convention 
certificate.
    (2) The pre-Convention date is the date the species was first 
listed under CITES regardless of whether the species has subsequently 
been transferred from one Appendix to another.
    (3) For a pre-Convention Appendix-I specimen, no CITES import 
permit is required.
    (4) The pre-Convention exemption does not apply to offspring or 
cell lines of any wildlife or plant born or propagated after the date 
the species was first listed under CITES.
    (c) U.S. application form. Complete Form 3-200-23 (wildlife) or 
Form 3-200-32 (plants) and submit it to the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign certificates. When applying 
for a U.S. certificate, you must provide sufficient information for us 
to find that the specimen meets all of the following criteria:
    (1) The specimen was removed from the wild or born or propagated in 
a controlled environment before the date CITES first applied to it, or 
is a product (including a manufactured item) or derivative made from 
such specimen.
    (2) The scientific name of the species is the standard nomenclature 
in the CITES Appendices or the references adopted by the CoP (see Sec.  
23.23).
    (3) Live wildlife or plants will be prepared and shipped so as to 
minimize risk of injury, damage to health, or cruel treatment of the 
specimen.
    (4) For the re-export of a pre-Convention specimen previously 
imported under a CITES document, the wildlife or plant was legally 
imported.


Sec.  23.46  What are the requirements for registering an Appendix-I 
commercial breeding operation and commercially exporting specimens?

    (a) Purpose. Article VII(4) of the Treaty provides that Appendix-I 
specimens that are bred-in-captivity for commercial purposes shall be 
deemed to be listed in Appendix II. This means that an Appendix-I 
specimen originating from a commercial breeding operation that is 
registered with the CITES Secretariat may be traded under an export 
permit or re-export certificate based on Appendix-II criteria. The 
specimen is still listed in Appendix I and is not eligible for any 
exemption granted to an Appendix-II species or taxon, including any 
exemption granted by an annotation (see Sec.  23.92).
    (b) U.S. and foreign general provisions. The following provisions 
apply to the registration of U.S. and foreign Appendix-I commercial 
breeding operations:
    (1) If the Management Authority is satisfied that the operation in 
its country meets the conditions for registration in paragraph (d) of 
this section, it will send the request to register a breeding operation 
to the Secretariat.
    (2) The Secretariat will verify that the application is complete 
and notify the Parties of the request.
    (3) If any Party objects to or expresses concern about the 
registration within 90 days from the date of the Secretariat's 
notification, the Secretariat will refer the application to the Animals 
Committee. The Committee has 60 days to respond to objections. The 
Secretariat will provide the recommendations of the Committee to the 
Management Authority of the Party that submitted the application and 
the Party that objected to the registration, and will facilitate a 
dialogue for resolution of the identified problems within 60 days.
    (4) If the objection is not withdrawn or the identified problems 
are not resolved, approval of the registration will require a two-
thirds majority vote by the 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 only 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 Management 
Authority that submitted the registration request with a full 
explanation of the reasons for rejection and indicate the specific 
conditions that must be met before the registration can be resubmitted 
for further consideration.
    (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) 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. Once 
an operation has been deleted, it must re-apply and meet the 
registration requirements to be reinstated.
    (10) The Management Authority, in collaboration with the Scientific 
Authority, of a country where any registered operation is located must 
monitor the operation to ensure that it continues to meet the 
registration requirements. The Management Authority will advise the 
Secretariat of any major change in the nature of the operation or in 
the types of products being produced for export, and the Animals 
Committee will review the operation to determine whether it should 
remain registered.
    (11) A Party may unilaterally request the removal of a registered 
operation within its jurisdiction by notifying the Secretariat.
    (12) An Appendix-I specimen may not be imported for purposes of 
establishing or augmenting a commercial breeding operation, unless the 
specimen is pre-Convention (see Sec.  23.45) or was bred at a 
commercial breeding operation that is

[[Page 20241]]

registered with the CITES Secretariat as provided in this section.
    (c) U.S. application to register. Complete Form 3-200-65 and submit 
it to the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
registration of U.S. and foreign Appendix-I commercial breeding 
operations. For your breeding operation to be registered in the United 
States, you must provide sufficient information for us to find that 
your proposed activity meets all of the following criteria:

------------------------------------------------------------------------
     Criteria for registering an Appendix-I breeding
                        operation                             Section
------------------------------------------------------------------------
(1) The operation breeds wildlife for commercial                   23.5
 purposes
------------------------------------------------------------------------
(2) The parental stock was legally acquired                        23.60
------------------------------------------------------------------------
(3) The wildlife meets bred-in-captivity criteria                  23.63
------------------------------------------------------------------------
(4) Where the establishment of a breeding operation       ..............
 involves the removal of animals from the wild
 (allowable only under exceptional circumstances), the
 operation must demonstrate to the satisfaction of the
 Management Authority on advice of the Scientific
 Authority and of the Secretariat that the removal is or
 was not detrimental to the conservation of the species
------------------------------------------------------------------------
(5) The potential escape of specimens or pathogens from   ..............
 the facility may not pose a risk to the ecosystem and
 native species
------------------------------------------------------------------------
(6) The scientific name of the species is the standard             23.23
 nomenclature in the CITES Appendices or the references
 adopted by the CoP
------------------------------------------------------------------------
(7) The breeding operation will make a continuing,        ..............
 meaningful contribution to the conservation of the
 species, as warranted by the conservation needs of the
 species
------------------------------------------------------------------------
(8) The operation will be carried out at all stages in a  ..............
 humane (non-cruel) manner
------------------------------------------------------------------------

    (e) Standard conditions of the registration. In addition to the 
conditions in Sec.  23.56, you must meet all of the following 
conditions:
    (1) You must uniquely mark all specimens from the breeding 
operation in the manner proposed at the time of registration. Birds may 
be marked with closed bands, although other methods may be used.
    (2) You may not import Appendix-I specimens for primarily 
commercial purposes (such as to establish a commercial captive-breeding 
operation) except from breeding operations registered for that species.
    (3) You must provide information to the Management Authority 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) U.S. and foreign general provisions for export of specimens 
that originated in a registered breeding operation. The following 
provisions apply to the issuance and acceptance of export permits for 
Appendix-I specimens bred at an operation registered with the CITES 
Secretariat:
    (1) An export permit may be issued to the registered operation or 
to persons who have purchased a specimen that originated at the 
registered operation if the specimen has the unique mark applied by the 
operation. If a microchip is used, we may, if necessary, ask the 
importer, exporter, or re-exporter to have equipment on hand to read 
the microchip at the time of import, export, or re-export.
    (2) The export permit, and any subsequent re-export certificate, 
must show the specimen as listed in Appendix I and the source code as 
``D,'' and give the identification number of the registered breeding 
operation where the specimen originated.
    (3) No CITES import permit is required for a qualifying specimen.
    (g) U.S. application form. Complete Form 3-200-24 and submit it to 
the U.S. Management Authority.
    (h) Criteria. The criteria in this paragraph (h) apply to the 
issuance and acceptance of U.S. and foreign export permits. When 
applying for a U.S. permit, you must provide sufficient information for 
us to find that your proposed activity meets all of the following 
criteria:

------------------------------------------------------------------------
              Criteria for an export permit                   Section
------------------------------------------------------------------------
(1) The specimen was bred at an Appendix-I breeding                23.46
 operation that is registered with the CITES Secretariat
------------------------------------------------------------------------
(2) The proposed export would not be detrimental to the            23.61
 survival of the species
------------------------------------------------------------------------
(3) Live wildlife will be prepared and shipped so as to            23.23
 minimize risk of injury, damage to health, or cruel
 treatment of the specimen
------------------------------------------------------------------------

Sec.  23.47  What are the requirements for export of an Appendix-I 
plant 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 deemed 
to be listed in Appendix II. This means that an Appendix-I specimen 
originating from a commercial nursery that is registered with the CITES 
Secretariat or that meets the requirements of this section may be 
traded under an export permit or re-export certificate based on 
Appendix-II criteria. The specimen is still listed in Appendix I and is 
not eligible for any exemption granted to an Appendix-II species or 
taxon, including any exemption granted by an annotation.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of export permits for Appendix-I 
specimens artificially propagated for commercial purposes:
    (1) An Appendix-I specimen may not be imported for purposes of 
establishing or augmenting a nursery or commercial propagating 
operation, unless the specimen is pre-Convention (see Sec.  23.45) or 
was propagated at a nursery that is registered with the CITES 
Secretariat or a commercial propagating

[[Page 20242]]

operation that qualifies under paragraph (d) of this section and the 
CITES document indicates the source code as ``D.''
    (2) An export permit may be issued to a CITES-registered nursery, 
to a commercial propagating operation that qualifies under paragraph 
(d) of this section, or to persons who have purchased a specimen that 
originated at such a nursery or operation. No CITES import permit is 
required for a qualifying specimen.
    (3) The export permit, and any subsequent re-export certificate, 
must show the specimen as listed in Appendix I and the source code as 
``D,'' and if from a nursery registered with the Secretariat, give the 
identification number of the registered nursery where the specimen 
originated.
    (c) U.S. application form. Complete Form 3-200-33 or Form 3-200-74 
(for additional single-use permits under a master file or an annual 
export program file). Complete Form 3-200-32 for one-time export. 
Submit the completed form to the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign export permits. When 
applying for a U.S. permit, you must provide sufficient information for 
us to find that your proposed activity meets all of the following 
criteria:

------------------------------------------------------------------------
              Criteria for an export permit                   Section
------------------------------------------------------------------------
(1) The specimen was propagated for commercial purposes            23.5
------------------------------------------------------------------------
(2) The parental stock was legally acquired                        23.60
------------------------------------------------------------------------
(3) The proposed export would not be detrimental to the            23.61
 survival of the species
------------------------------------------------------------------------
(4) The plant was artificially propagated                          23.64
------------------------------------------------------------------------
(5) The scientific name of the species is the standard             23.23
 nomenclature in the CITES Appendices or the references
 adopted by the CoP
------------------------------------------------------------------------
(6) The live plant will be prepared and shipped so as to           23.23
 minimize risk of injury, damage to health, or cruel
 treatment of the specimen
------------------------------------------------------------------------

    (e) Nursery registration. [Reserved]


Sec.  23.48  What are the requirements for a registered scientific 
institution?

    (a) Purpose. Article VII(6) of the Treaty grants an exemption that 
allows international trade in certain specimens for noncommercial loan, 
donation, or exchange between registered scientific institutions.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the registration of scientific institutions and acceptance of 
shipments from registered scientific institutions:
    (1) The receiving and sending scientific institutions must be 
registered with the Management Authority in their country. Scientists 
who wish to use this exemption must be affiliated with a registered 
scientific institution.
    (i) When a Management Authority is satisfied that a scientific 
institution has met the criteria for registration, it will assign the 
institution a five-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.
    (ii) The Management Authority must communicate the name, address, 
and assigned code to the Secretariat, which maintains a register of 
scientific institutions and provides that information to all Parties.
    (2) A registered scientific institution does not need separate 
CITES documents for the noncommercial loan, donation, or exchange of 
preserved, frozen, dried, or embedded museum specimens, herbarium 
specimens, or live plant material with another registered institution. 
The shipment must have an external label that contains information 
specified in paragraph (e)(5) of this section.
    (c) U.S. application to register as a scientific institution. To 
register, complete Form 3-200-39 and submit it to the U.S. Management 
Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
registration of U.S. and foreign institutions for scientific exchange. 
To be issued a certificate of scientific exchange as a registered U.S. 
scientific institution, you must provide sufficient information for us 
to find that your institution meets all of the following criteria:
    (1) Collections of wildlife or plant specimens are permanently 
housed and professionally curated, and corresponding records are kept.
    (2) Specimens are accessible to all qualified users, including 
those from other institutions.
    (3) Specimens are properly accessioned in a permanent catalog.
    (4) Records are permanently maintained for loans and transfers to 
and from other institutions.
    (5) Specimens are acquired primarily for research that is to be 
reported in scientific publications, and CITES specimens are not used 
for commercial purposes or as decorations.
    (6) Collections are prepared and arranged in a way that ensures 
their accessibility to researchers.
    (7) Specimen labels, permanent catalogs, and other records are 
accurate.
    (8) Specimens are legally acquired and lawfully possessed under a 
country's wildlife and plant laws.
    (9) Appendix-I specimens are permanently and centrally housed under 
the direct control of the institution.
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, any activity conducted under a certificate of scientific 
exchange must meet all of the following conditions:
    (1) Both scientific institutions involved in the exchange must be 
registered by the applicable Management Authorities (or the Secretariat 
in the case of a non-Party), and be included in the Secretariat's 
register of scientific institutions.
    (2) An institution may send and receive only preserved, frozen, 
dried, or embedded museum specimens, herbarium specimens, or live plant 
materials that have been permanently and accurately recorded by one of 
the institutions involved in the exchange and that are traded as a 
noncommercial loan, donation, or exchange.
    (3) An institution may use specimens acquired under a certificate 
of scientific exchange and their offspring only for scientific research 
or educational display at a scientific institution and may not use 
specimens for commercial purposes.
    (4) The institution must keep records to show that the specimens 
were legally acquired.

[[Page 20243]]

    (5) A customs declaration label must be affixed 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 
registered 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.
    (6) A registered institution may destroy samples during analysis, 
provided that a portion of the sample is maintained and permanently 
recorded at a registered scientific institution for future scientific 
reference.


Sec.  23.49  What are the requirements for an exhibition traveling 
internationally?

    (a) Purpose. Article VII(7) of the Treaty grants an exemption for 
specimens that qualify as bred-in-captivity, artificially propagated, 
or pre-Convention and are part of a traveling exhibition.
    (b) U.S. and foreign general provisions. The following general 
provisions apply to the issuance and acceptance of a certificate for an 
exhibition to travel internationally with live wildlife and plants, or 
their parts, products, or derivatives:
    (1) The Management Authority in the country of the exhibition's 
primary place of business must have determined that the specimens are 
bred-in-captivity, artificially propagated, or pre-Convention and 
issued a traveling-exhibition certificate.
    (2) The certificate must indicate that the wildlife or plant is 
part of a traveling exhibition.
    (3) A separate certificate must be issued for each live wildlife 
specimen; a CITES document may be issued for more than one specimen for 
a traveling exhibition of live plants and dead parts, products, or 
derivatives of wildlife and plants.
    (4) The certificate is not transferable.
    (5) Parties should treat the certificate like a passport for import 
and export or re-export from each country, and should not collect the 
original certificate at the border.
    (6) Parties should check specimens closely to determine that each 
specimen matches the certificate and ensure that each live specimen is 
being transported and cared for in a manner that minimizes the risk of 
injury, damage to health, or cruel treatment of the specimen.
    (7) If offspring are born or a new specimen is acquired while the 
exhibitor is in another country, the exhibitor must obtain the 
appropriate CITES document for the export or re-export of the specimen 
from the Management Authority of that country.
    (8) Upon returning home, the exhibitor may apply for a traveling 
exhibition certificate for wildlife born overseas or for wildlife or 
plants acquired overseas.
    (c) U.S. application form. Complete Form 3-200-30 for wildlife and 
Form 3-200-32 for plants, and submit it to the U.S. Management 
Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign certificates. When applying 
for a U.S. certificate, you must provide sufficient information for us 
to find that your proposed activity meets all of the following 
criteria:
    (1) The traveling exhibition must be for frequent cross-border 
movement, and must return at the end of the tour to the country in 
which the exhibition is based before the certificate expires.
    (2) The cross-border movement must be for exhibition, and not for 
breeding, propagating, or activities other than exhibition.
    (3) The owner of the exhibition resides in and the exhibition is 
based in the country that issued the certificate.
    (4) The specimen meets the criteria for a bred-in-captivity 
certificate, certificate for artificially propagated plants, or pre-
Convention certificate.
    (5) The exhibitor does not intend to sell or otherwise transfer the 
wildlife or plant while traveling internationally.
    (6) The wildlife or plant is securely marked or identified in such 
a way that border officials can verify that the certificate and 
specimen correspond. If a microchip is used, we may, if necessary, ask 
the importer, exporter, or re-exporter to have equipment on hand to 
read the microchip at the time of import, export, or re-export.
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, you must meet all of the following conditions:
    (1) The certificate may be used by you, and you must not transfer 
or assign it to another person or traveling exhibition.
    (2) You must transport the specimen internationally only for 
exhibition, not for breeding, propagating, or activities other than 
exhibition.
    (3) You must present the certificate to the official for validation 
at each border crossing.
    (4) For live plants, the quantity of plants must be reasonable for 
the purpose of the exhibit.
    (5) You must not sell or otherwise transfer the specimen, or any 
offspring born to such specimen, while traveling internationally.
    (6) If the certificate is lost, stolen, or accidentally destroyed, 
you may obtain a replacement certificate only from the issuing 
Management Authority.
    (7) If you no longer own the wildlife or plants, or no longer plan 
to travel as an exhibitor, the original certificate must be immediately 
returned to the issuing Management Authority.


Sec.  23.50  What are the requirements for a sample collection covered 
by an ATA carnet?

    (a) Purpose. Article VII(1) of the Treaty allows for the transit of 
specimens through or within a Party country while the specimens remain 
under customs control.
    (b) Definition. For purposes of this section, sample collection 
means a set of legally acquired parts, products, or derivatives of 
Appendix-II or -III species, or Appendix-I species bred or artificially 
propagated for commercial purposes, that will:
    (1) Cross international borders only for temporary exhibition or 
display purposes and return to the originating country.
    (2) Be accompanied by a valid ATA carnet and remain under customs 
control.
    (3) Not be sold or otherwise transferred while traveling 
internationally.
    (c) U.S. and foreign general provisions. The following general 
provisions apply to the issuance and acceptance of a CITES document for 
the movement of sample collections:
    (1) The Management Authority in the country where the sample 
collection originated must issue a CITES document that:
    (i) Clearly specifies that the document was issued for a ``sample 
collection.''
    (ii) Includes the condition in block 5, or an equivalent place, of 
the document that it is valid only if the shipment is accompanied by a 
valid ATA carnet and that the specimens must not be sold, donated, or 
otherwise transferred while outside the originating country.
    (2) The number of the accompanying ATA carnet must be recorded on 
the CITES document and, if this number is not recorded by the 
Management Authority, it must be entered by a customs or other CITES 
enforcement official responsible for the original endorsement of the 
CITES document.
    (3) The name and address of the exporter or re-exporter and 
importer

[[Page 20244]]

must be identical, and the names of the countries to be visited must be 
indicated in block 5, or an equivalent place.
    (4) The date of validity must not be later than that of the ATA 
carnet and the period of validity must not exceed 6 months from the 
date of issuance.
    (5) At each border crossing, Parties must verify the presence of 
the CITES document, but allow it to remain with the shipment, and 
ensure that the ATA carnet is properly endorsed with an authorized 
stamp and signature by a customs official.
    (6) The exporter or re-exporter must return the sample collection 
to the originating country prior to the expiration of the CITES 
document.
    (7) Parties should check the CITES document and sample collection 
closely at the time of first export or re-export and upon its return to 
ensure that the contents of the sample collection have not been 
changed.
    (8) For import into and export from the United States, the shipment 
must comply with the requirements of part 14 of this subchapter.
    (d) U.S. application form. Complete Form 3-200-29 for wildlife and 
Form 3-200-32 for plants, and submit it to the U.S. Management 
Authority.
    (e) Criteria. The criteria in this paragraph (e) apply to the 
issuance and acceptance of U.S. and foreign documents. When applying 
for a U.S. document, you must provide sufficient information for us to 
find that your proposed activity meets all of the following criteria:
    (1) The specimens meet the definition of a sample collection as 
provided in paragraph (b) of this section.
    (2) The wildlife or plant specimens must be securely marked or 
identified in such a way that border officials can verify that the 
CITES document, ATA carnet, and specimens correspond.
    (f) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, you must meet all of the following conditions:
    (1) You must transport the sample collection only for temporary 
exhibition or display purposes.
    (2) You must not transfer or assign the CITES document to another 
person.
    (3) You must not sell, donate, or transfer specimens while 
traveling internationally.
    (4) You must present the CITES document and the ATA carnet to the 
official for validation at each border crossing.
    (5) You must return the sample collection to the United States 
prior to the expiration of the CITES document.
    (6) If the CITES document is lost, stolen, or accidentally 
destroyed, you may obtain a replacement certificate only from the U.S. 
Management Authority.
    (7) If you no longer own the sample collection, or no longer plan 
to travel with the sample collection, you must immediately return the 
original document to the U.S. Management Authority.


Sec.  23.51  What are the requirements for issuing a partially 
completed CITES document?

    (a) Purpose. Under Article VIII(3), Parties are to ensure that 
CITES specimens are traded with a minimum of delay.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of partially completed CITES 
documents.
    (1) A Management Authority may issue partially completed CITES 
documents only when:
    (i) The permitted trade will have a negligible impact or no impact 
on the conservation of the species.
    (ii) All provisions of CITES have been met.
    (iii) The specimens are one of the following:
    (A) Biological samples.
    (B) Pre-Convention specimens.
    (C) Specimens that qualify as bred-in-captivity or artificially 
propagated.
    (D) Appendix-I specimens from registered commercial breeding 
operations.
    (E) Appendix-I plants artificially propagated for commercial 
purposes.
    (F) Other specimens that the Management Authority determines 
qualify for partially completed documents.
    (2) A Management Authority may register applicants for species that 
may be traded under partially completed documents.
    (3) Partially completed CITES documents require the permit holder 
to:
    (i) Enter specific information on the CITES document or its annex 
as conditioned on the face of the CITES document.
    (ii) Enter scientific names on the CITES document only if the 
Management Authority included an inventory of approved species on the 
face of the CITES document or an attached annex.
    (iii) Sign the CITES document, which acts as a certification that 
the information entered is true and accurate.
    (4) CITES documents issued for biological samples may be validated 
at the time of issuance provided that upon export the container is 
labeled with the CITES document number and indicates it contains CITES 
biological samples.
    (c) U.S. application form. Complete the appropriate form for the 
proposed activity (see Sec. Sec.  23.18 through 23.20) and submit it to 
the U.S. Management Authority.
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign CITES documents. When 
applying for a U.S. CITES document, you must provide sufficient 
information for us to find that your proposed activity meets the 
criteria in subpart C for the appropriate CITES document and the 
following criteria:
    (1) The use of partially completed documents benefits both the 
permit holder and the issuing Management Authority.
    (2) The proposed activity will have a negligible impact or no 
impact upon the conservation of the species.
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56 and any standard conditions in this part that apply to the 
specific CITES document, the following conditions must be met:
    (1) You must enter the information specified in block 5, either on 
the face of the CITES document or in an annex to the document.
    (2) You may not alter or enter any information on the face of the 
CITES document or in an annex to the document that is not authorized in 
block 5, or an equivalent place.
    (3) If you are authorized to enter a scientific name, it must be 
for a species authorized in block 5, or an equivalent place, or in an 
attached annex of the CITES document.
    (4) You must sign the CITES document to certify that all 
information entered by you is true and correct.


Sec.  23.52  What are the requirements for replacing a lost, damaged, 
stolen, or accidentally destroyed CITES document?

    (a) Purpose. A Management Authority may issue a duplicate document, 
either a copy of the original or a re-issued original, when a CITES 
document has been lost, damaged, stolen, or accidentally destroyed. 
These provisions do not apply to a document that has expired or that 
requires amendment. To amend or renew a CITES document, see part 13 of 
this subchapter.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of a replacement CITES document:
    (1) The permittee must notify the issuing Management Authority that 
the document was lost, damaged, stolen, or accidentally destroyed.
    (2) The issuing Management Authority must be satisfied that the 
CITES document was lost, damaged, stolen, or accidentally destroyed.

[[Page 20245]]

    (3) The issuing Management Authority should immediately inform the 
Management Authority in the country of destination and, for commercial 
shipments, the Secretariat.
    (4) If the replacement CITES document is a copy, it must indicate 
that it is a ``replacement'' and a ``true copy of the original,'' 
contain a new dated original signature of the issuing Management 
Authority, and give the reason for replacement.
    (5) If the replacement CITES document is a newly issued original 
document, it must indicate that it is a ``replacement,'' include the 
number and date of issuance of the document being replaced, and give 
the reason for replacement.
    (c) U.S. application procedures. To apply for a replacement CITES 
document, you must do all of the following:
    (1) Complete application Form 3-200-66 and submit it to the U.S. 
Management Authority.
    (2) Consult the list to find the types of information you need to 
provide (more than one circumstance may apply to you):

------------------------------------------------------------------------
        If                                  Then
------------------------------------------------------------------------
(i) If the          Provide copies of:
 shipment has       (A) Any correspondence you have had with the shipper
 already occurred    or importing country's Management Authority
                     concerning the shipment.
                    (B) For wildlife, the validated CITES document and
                     cleared Declaration for Importation or Exportation
                     of Fish or Wildlife (Form 3-177).
                    (C) For plants, the validated CITES document.
------------------------------------------------------------------------
(ii) The original   Submit a signed, dated, and notarized statement
 CITES document no   that:
 longer exists      (A) Provides the CITES document number and describes
                     the circumstances that resulted in the loss or
                     destruction of the original CITES document.
                    (B) States whether the shipment has already
                     occurred.
                    (C) Requests a replacement U.S. CITES document.
------------------------------------------------------------------------
(iii) An original   Submit the original damaged CITES document and a
 CITES document      signed, dated, and notarized statement that:
 exists but has     (A) Describes the circumstances that resulted in the
 been damaged        CITES document being damaged.
                    (B) States whether the shipment has already
                     occurred.
                    (C) Requests a replacement U.S. CITES document.
------------------------------------------------------------------------

    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S and foreign documents. When applying for 
a U.S. replacement document, you must provide sufficient information 
for us to find that your proposed activity meets all of the following 
criteria:
    (1) The circumstances for the lost, damaged, stolen, or 
accidentally destroyed CITES document are reasonable.
    (2) If the shipment has already been made, the wildlife or plant 
was legally exported or re-exported, and the Management Authority of 
the importing country has indicated it will accept the replacement 
CITES document.
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, the following conditions apply:
    (1) If the original CITES document is found, you must return it to 
the U.S. Management Authority.
    (2) A CITES document issued for a shipment that has already 
occurred does not require validation.
    (f) Validation. For an export or re-export that has not left the 
United States, follow the procedures in Sec.  23.27. If the shipment 
has left the United States and is in a foreign country, submit the 
unvalidated 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. We do not 
require validation on replacement documents issued by foreign 
Management Authorities.


Sec.  23.53  What are the requirements for obtaining a retrospective 
CITES document?

    (a) Purpose. Retrospective CITES documents may be issued and 
accepted in certain limited situations to authorize an export or re-
export after that activity has occurred, but before the shipment is 
cleared for import.
    (b) U.S. and foreign general provisions. The following provisions 
apply to the issuance and acceptance of a retrospective CITES document:
    (1) A retrospective document may not be issued for Appendix-I 
specimens except for certain specimens for personal use as specified in 
paragraph (d)(7) of this section.
    (2) The exporter or re-exporter must notify the Management 
Authority in the exporting or re-exporting country of the 
irregularities that have occurred.
    (3) A retrospective document may be one of the following:
    (i) An amended CITES document where it can be shown that the 
issuing Management Authority made a technical error.
    (ii) A newly issued CITES document where it can be shown that the 
applicant was misinformed by CITES officials or the circumstances in 
(d)(7) of this section apply and a shipment has occurred without a 
document.
    (4) Retrospective documents can only be issued after consultation 
between the Management Authorities in both the exporting or re-
exporting country and the importing country, including a thorough 
investigation of circumstances and agreement between them that criteria 
in paragraph (d) of this section have been met.
    (5) The issuing Management Authority must provide all of the 
following information on any retrospective CITES document:
    (i) A statement that it was issued retrospectively.
    (ii) A statement specifying the reason for the issuance.
    (iii) In the case of a document issued for personal use, a 
condition restricting sale of the specimen within 6 months following 
the import of the specimen.
    (6) The issuing Management Authority must send a copy of the 
retrospective CITES document to the Secretariat.
    (7) In general, except when the exporter or re-exporter and 
importer have demonstrated they were not responsible for the 
irregularities, any person who has been issued a CITES document in the 
past will not be eligible to receive a retrospective document.
    (c) U.S. application. Complete application Form 3-200-58 and submit 
it to the U.S. Management Authority. In addition, submit one of the 
following:
    (1) For a shipment that occurred under a document containing a

[[Page 20246]]

technical error, the faulty CITES document.
    (2) For a shipment that occurred without a CITES document, a 
completed application form for the type of activity you conducted (see 
Sec. Sec.  23.18 through 23.20).
    (d) Criteria. The criteria in this paragraph (d) apply to the 
issuance and acceptance of U.S. and foreign documents. When applying 
for a U.S. document, you must provide sufficient information for us to 
find that your activity meets all of the following criteria:
    (1) The specimens were exported or re-exported without a CITES 
document or with a CITES document that contained technical errors as 
provided in paragraph (d)(6)(ii) of this section.
    (2) The specimens were presented to the appropriate official for 
inspection at the time of import and a request for a retrospective 
CITES document was made at that time.
    (3) The export or re-export and import of the specimens was 
otherwise in compliance with CITES and the relevant national 
legislation of the countries involved.
    (4) The importing Management Authority has agreed to accept the 
retrospectively issued CITES document.
    (5) The specimens must be Appendix-II or -III wildlife or plants, 
except as provided in paragraph (d)(7) of this section.
    (6) Except as provided in paragraph (d)(7) of this section, the 
exporter or re-exporter and importer were not responsible for the 
irregularities that occurred and have demonstrated one of the 
following:
    (i) The Management Authority or officials designated to clear CITES 
shipments misinformed the exporter or re-exporter or the importer about 
the CITES requirements. In the United States, this would be an employee 
of the FWS (for any species) or APHIS or CBP (for plants).
    (ii) The Management Authority unintentionally made a technical 
error that was not prompted by information provided by the applicant 
when issuing the CITES document.
    (7) In the case of specimens for personal use, you must either show 
that you qualify under paragraph (d)(6) of this section, or that a 
genuine error was made and that there was no attempt to deceive. The 
following specimens for personal use may qualify for issuance of a 
retrospective document:
    (i) Personal or household effects.
    (ii) Live Appendix-II or -III specimens or live pre-Convention 
Appendix-I specimens that you own for your personal use, accompanied 
you, and number no more than two.
    (iii) Parts, products, or derivatives of an Appendix-I species that 
qualify as pre-Convention when the following conditions are met:
    (A) You own and possess the specimen for personal use.
    (B) You either wore the specimen as clothing or an accessory or 
took it as part of your personal baggage, which was carried by you or 
checked as baggage on the same plane, boat, car, or train as you.
    (C) The quantity is reasonably necessary or appropriate for the 
nature of your trip or stay.
    (e) U.S. standard conditions. In addition to the conditions in 
Sec.  23.56, the following condition applies: A CITES document issued 
for a shipment that has already occurred does not require validation.
    (f) Validation. Submit the original unvalidated retrospective CITES 
document to the appropriate foreign authority. We will not validate the 
retrospective CITES document for a shipment that has already been 
shipped to a foreign country, and we do not require validation on 
retrospective documents issued by foreign Management Authorities.


Sec.  23.54  How long is a U.S. or foreign 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 on the expiration date) noted on the face of the 
document.
    (1) An export permit and re-export certificate will be valid for no 
longer than 6 months from the issuance date.
    (2) An import permit, introduction-from-the-sea certificate, and 
certificate of origin will be valid for no longer than 12 months from 
the issuance date.
    (3) A traveling-exhibition certificate and certificate of ownership 
will be valid for no longer than 3 years from the issuance date.
    (4) Other CITES documents will state the length of their validity, 
but no U.S. CITES document will be valid for longer than 3 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.  23.73.


Sec.  23.55  How may I use a CITES specimen after import into the 
United States?

    You may use CITES specimens after import into the United States for 
the following purposes:

------------------------------------------------------------------------
        If the species is listed in           Allowed use after import
------------------------------------------------------------------------
(a) Appendix I except for specimens         The specimen may be used,
 imported with a CITES exemption document    including a transfer,
 listed in paragraph (d) of this section     donation, or exchange, only
                                             for noncommercial purposes.
------------------------------------------------------------------------
(b) Appendix II with an annotation for
 noncommercial use where other specimens
 of that species are treated as listed in
 Appendix I
------------------------------------------------------------------------
(c) Appendix II and threatened under the
 ESA, except as provided in a special rule
 in for Sec.  Sec.   17.40 through 17.48
 or under a permit granted under Sec.
 Sec.   17.32 or 17.52
------------------------------------------------------------------------
(d) Appendix I, specimens imported with a   The specimen may be used for
 CITES exemption document as follows:        any purpose, except if the
(1) U.S.-issued certificate for personally   regulations in this part or
 owned wildlife                              other parts of this
(2) Pre-Convention certificate               subchapter allowed the
(3) Export permit or re-export certificate   import only for
 for wildlife from a registered commercial   noncommercial purposes,
 breeding operation                          then the import and
(4) Export permit or re-export certificate   subsequent use must be only
 for a plant from a registered nursery or    for noncommercial purposes.
 under a permit with a source code of
 ``D.''
(5) U.S.-issued traveling-exhibition
 certificate
------------------------------------------------------------------------

[[Page 20247]]

 
(e) Appendix II, other than those in
 paragraphs (b) and (c) of this section.
------------------------------------------------------------------------
(f) Appendix III.
------------------------------------------------------------------------

Sec.  23.56  What U.S. CITES document conditions do I need to follow?

    (a) General conditions. The following general conditions apply to 
all U.S. CITES documents:
    (1) You must comply with the provisions of part 13 of this 
subchapter as conditions of the document, as well as other applicable 
regulations in this subchapter, including, but not limited to, any that 
require permits. You must comply with all applicable local, State, 
Federal, tribal, and foreign wildlife or plant conservation laws.
    (2) For export and re-export of live wildlife and plants, transport 
conditions must comply with the CITES Guidelines for Transport or, in 
the case of air transport of live wildlife, with the International Air 
Transport Association Live Animals Regulations.
    (3) 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.
    (4) 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. 
Such mark or identification must be made in a way that the border 
official can verify that the specimen and CITES document correspond. If 
a microchip is used, we may, if necessary, ask the importer, exporter, 
or re-exporter to have equipment on hand to read the microchip at the 
time of import, export, or re-export.
    (b) Standard conditions. You must comply with the standard 
conditions provided in this part for specific types of CITES documents.
    (c) Special conditions. We may place special conditions on a CITES 
document 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 Considered in Making Certain Findings


Sec.  23.60  What factors are considered in making a legal acquisition 
finding?

    (a) Purpose. Articles III, IV, and V of the Treaty require a 
Management Authority to make a legal acquisition finding before issuing 
export permits and re-export certificates. The Parties have agreed that 
a legal acquisition finding must also be made before issuing certain 
CITES exemption documents.
    (b) Types of legal acquisition. Legal acquisition refers to whether 
the specimen and its parental stock were:
    (1) 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; 
and
    (2) If previously traded, traded internationally in accordance with 
the provisions of CITES.
    (c) How we make our findings. We make a finding that a specimen was 
legally acquired in the following way:
    (1) The applicant must provide sufficient information for us to 
make a legal acquisition finding.
    (2) We make this finding after considering all available 
information.
    (3) The amount of information we need to make the finding is based 
on our review of general factors described in paragraph (d) of this 
section and additional specific factors described in paragraphs (e) 
through (k) of this section.
    (4) As necessary, we consult with foreign Management and Scientific 
Authorities, the CITES Secretariat, State conservation agencies, 
Tribes, FWS Law Enforcement, APHIS or CBP, and other appropriate 
experts.
    (d) Risk assessment. We review the general factors listed in this 
paragraph and additional specific factors in paragraphs (e) through (k) 
of this section to assess the level of scrutiny and amount of 
information we need to make a finding of legal acquisition. We give 
less scrutiny and require less detailed information when there is a low 
risk that specimens to be exported or re-exported were not legally 
acquired, and give more scrutiny and require more detailed information 
when the proposed activity poses greater risk. We consider the 
cumulative risks, recognizing that each aspect of the 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 III.
    (2) Origin of the specimen: From wild-collected to born or 
propagated in a controlled environment to bred-in-captivity or 
artificially propagated.
    (3) Source of the propagule used to grow the plant: From 
documentation that the plant was grown from a non-exempt seed or 
seedling to documentation that the plant was grown from an exempt seed 
or seedling.
    (4) Origin of the species: From species native to the United States 
or its bordering countries of Mexico or Canada to non-native species 
from other countries.
    (5) Volume of legal trade: From low to high occurrence of legal 
trade.
    (6) Volume of illegal trade: From high to low occurrence of illegal 
trade.
    (7) Type of trade: From commercial to noncommercial.
    (8) Trade by range countries: From range countries that do not 
allow commercial export, or allow only limited noncommercial export of 
the species, to range countries that allow commercial export in high 
volumes.
    (9) Occurrence of the species in a controlled environment in the 
United States: From uncommon to common in a controlled environment in 
the United States.
    (10) Ability of the species to be bred or propagated readily in a 
controlled environment: From no documentation that the species can be 
bred or propagated readily in a controlled environment to widely 
accepted information that the species is commonly bred or propagated.
    (11) Genetic status of the specimen: From a purebred species to a 
hybrid.
    (e) Captive-bred wildlife or a cultivated plant. For a specimen 
that is captive-bred or cultivated, we may consider whether the 
parental stock was legally acquired.
    (f) Confiscated specimen. For a confiscated Appendix-II or -III 
specimen, we consider whether information shows that the transfer of 
the confiscated specimen or its offspring met the conditions of the 
remission decision, legal settlement, or disposal action after 
forfeiture or abandonment.
    (g) Donated specimen of unknown origin. For an unsolicited specimen 
of unknown origin donated to a public institution (see Sec.  10.12 of 
this subchapter), we consider whether:
    (1) The public institution follows standard recordkeeping practices 
and has made reasonable efforts to obtain supporting information on the 
origin of the specimen.

[[Page 20248]]

    (2) The public institution provides sufficient information to show 
it made a reasonable effort to find a suitable recipient in the United 
States.
    (3) The export will provide a conservation benefit to the species.
    (4) No persuasive information exists on illegal transactions 
involving the specimen.
    (5) The export is noncommercial, with no money or barter exchanged 
except for shipping costs.
    (6) The institution has no history of receiving a series of rare 
and valuable specimens or a large quantity of wildlife or plants of 
unknown origin.
    (h) Imported previously. For a specimen that was previously 
imported into the United States, we consider any reliable, relevant 
information we receive concerning the validity of a CITES document, 
regardless of whether the shipment was cleared by FWS, APHIS, or CBP.
    (i) Personal use. For a wildlife or plant specimen that is being 
exported or re-exported for personal use by the applicant, we consider 
whether:
    (1) The specimen was acquired in the United States and possessed 
for strictly personal use.
    (2) The number of specimens is reasonably appropriate for the 
nature of your export or re-export as personal use.
    (3) No persuasive evidence exists on illegal transactions involving 
the specimen.
    (j) Sequential ownership. For a specimen that was previously 
possessed by someone other than the applicant, we may consider the 
history of ownership for a specimen and its parental stock, breeding 
stock, or cultivated parental stock.
    (k) Wild-collected in the United States. For a specimen collected 
from the wild in the United States, we consider the site where the 
specimen was collected, whether the species is known to occur at that 
site, the abundance of the species at that site, and if necessary, 
whether permission of the appropriate management agency or landowner 
was obtained to collect the specimen.


Sec.  23.61  What factors are considered in making a non-detriment 
finding?

    (a) Purpose. Articles III and IV of the Treaty require that, before 
we issue a CITES document, we find that a 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 specimen 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, nonsustainable use and any 
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) Biological and management information demonstrates that the 
proposed activity represents sustainable use.
    (2) The removal of the animal or plant from the wild is part of a 
biologically based sustainable-use management plan that is designed to 
eliminate over-utilization of the species.
    (3) If no sustainable-use management plan has been established, the 
removal of the animal or plant from the wild would not contribute to 
the over-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 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, 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 recovery of the species.
    (3) Would not 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, and other scientific management 
information.
    (1) We consult with the States, Tribes, other Federal agencies, 
scientists, other experts, and the range countries of the species.
    (2) We consult with the Secretariat and other Parties to monitor 
the level of trade that is occurring in the 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 take precautionary 
measures 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 and require more detailed information 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 to born or 
propagated in a controlled environment to bred-in-captivity or 
artificially propagated.
    (3) Source of the propagule used to grow the plant: From 
documentation that the plant was grown from a non-exempt seed or 
seedling to documentation that the plant was grown from an exempt seed 
or seedling.
    (4) Origin of the species: From native species to non-native 
species.
    (5) Volume of legal trade: From low to high occurrence of legal 
trade.
    (6) Volume of illegal trade: From high to low occurrence of illegal 
trade.
    (7) Type of trade: From commercial to noncommercial.
    (8) Genetic status of the specimen: From a purebred species to a 
hybrid.
    (9) Risk of disease transmission: From high to limited risk of 
disease transmission.
    (10) Basis for listing: From listed under Article II(1) or II(2)(a) 
of the Treaty to listed under Article II(2)(b).
    (h) Quotas for Appendix-I species. When an export quota has been 
set by the CoP for an Appendix-I species, we will consider the 
scientific and management aspects used as the basis of the quota 
together with the best available biological information when we make 
our non-detriment finding. We

[[Page 20249]]

will contact the Scientific and Management Authorities of the exporting 
country for further information if needed.


Sec.  23.62  What factors are considered in making a finding of not for 
primarily commercial purposes?

    (a) Purpose. Under Article III(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. 
Trade in Appendix-I species must be subject to particularly strict 
regulation and authorized only in exceptional circumstances.
    (b) How we make our findings. We must find that the intended use of 
the Appendix-I specimen is not for primarily commercial purposes before 
we can issue a CITES document.
    (1) We will make this decision on a case-by-case basis considering 
all available information.
    (2) The applicant must provide sufficient information to satisfy us 
that the intended use is not for primarily commercial purposes.
    (3) The definitions of ``commercial'' and ``primarily commercial 
purposes'' in Sec.  23.5 apply.
    (4) We will look at all aspects of the intended use of the 
specimen. If the noncommercial aspects do not clearly predominate, we 
will consider the import or introduction from the sea to be for 
primarily commercial purposes.
    (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 from the sea may have some commercial aspects, such as the 
exchange of money to cover the costs of shipment and care of specimens 
during transport, it is the intended use of the specimen, including the 
purpose of the export, that must not be for primarily commercial 
purposes.
    (6) We will conduct an assessment of factors listed in paragraph 
(d) of this section. For high-risk activities involving an anticipated 
measurable increase in revenue and other economic value due to 
incidental aspects of the intended use, we will conduct an analysis as 
described in paragraph (e) of this section.
    (7) All net profits generated in the United States from high-risk 
activities must be used for the conservation of the Appendix-I species 
in a range country.
    (c) Examples. The following are examples of types of transactions 
in which the noncommercial aspects of the intended use of the specimen 
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 circumstances commonly encountered and do not cover all 
situations where import or introduction from the sea could be found to 
be not for primarily commercial purposes.
    (1) Personal use. Import or introduction from the sea of an 
Appendix-I specimen for personal use generally is considered to be not 
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 from the sea of 
an Appendix-I specimen by a scientist or scientific institution may be 
permitted in situations where 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 from the sea by government 
agencies or nonprofit institutions for purposes of conservation, 
education, or training. For example, a specimen could be imported or 
introduced from the sea primarily to train customs staff in effective 
CITES control, such as for identification of certain types of 
specimens.
    (4) Biomedical industry. Import or introduction from the sea 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 from the sea 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 from the sea 
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 or artificial propagation programs. The import 
of an Appendix-I specimen for purposes of establishing a commercial 
operation for breeding or artificial propagation is considered to be 
for primarily commercial purposes. As a general rule, import or 
introduction from the sea of an Appendix-I specimen for a captive-
breeding or artificial propagation program must have as a priority the 
long-term protection and recovery of the species in the wild. The 
captive-breeding or artificial propagation 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 or artificial propagation operation plans to sell 
surplus specimens to help offset the costs of its program, import or 
introduction from the sea would be allowed only if any profit would be 
used to support the captive-breeding or artificial propagation 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 from the sea 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 from the 
sea through a professional dealer by a qualified applicant may be 
acceptable if the ultimate intended use would be for one of the 
purposes set out in paragraphs (c)(2), (3), and (5) of this section and 
where a binding contract, conditioned on the issuing of permits, is in 
place.
    (d) Risk assessment. We review the factors listed in this paragraph 
(d) to assess the level of scrutiny and amount of information we need 
to make a finding of whether the intended use of the specimen is not 
for primarily commercial purposes. We give less scrutiny and require 
less detailed information when the import or introduction from the sea 
poses a low risk of being primarily commercial, and give more scrutiny 
and require more detailed information when the proposed activity poses 
greater risk. We consider the cumulative risks, recognizing that each 
aspect of the international trade has a continuum of risk from high to 
low associated with it as follows:
    (1) Type of importer: From for-profit entity to private individual 
to nonprofit.
    (2) Ability of the proposed uses to generate revenue: From the 
ability to generate measurable increases in revenue or other economic 
value to no anticipated increases in revenue or other economic value.
    (3) Appeal of the species: From high public appeal to low public 
appeal.
    (4) Occurrence of the species in the United States: From uncommon 
to common in a controlled environment in the United States.
    (5) Intended use of offspring: From commercial to noncommercial.

[[Page 20250]]

    (e) Analysis of anticipated revenues and other economic value. We 
will analyze revenues and other economic value anticipated to result 
from the use of the specimen for high-risk activities.
    (1) We will examine the proposed use of any net profits generated 
in the United States. We consider net profit to include 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 from the sea, to the extent that 
such funds or other valuable considerations exceed the reasonable 
expenses that are properly attributable to the proposed activity.
    (2) We will consider any conservation project to be funded and, if 
the species was or is to be taken from the wild, how the project 
benefits the species in its native range, including agreements, 
timeframes for accomplishing tasks, and anticipated benefits to the 
species.
    (3) We will consider any plans to monitor a proposed conservation 
project, including expenditure of funds or completion of tasks.
    (4) In rare cases involving unusually high net profits, we will 
require the applicant to provide a detailed analysis of expected 
revenue (both direct and indirect) and expenses to show anticipated net 
profit, and a statement from a licensed, independent certified public 
accountant that the internal accounting system is sufficient to account 
for and track funds generated by the proposed activities.


Sec.  23.63  What factors are considered in making a finding that an 
animal is bred-in-captivity?

    (a) Purpose. Article VII(4) and (5) of the Treaty provide 
exemptions that allow for the special treatment of wildlife that was 
bred-in-captivity (see Sec. Sec.  23.41 and 23.46).
    (b) Definitions. The following terms apply when determining whether 
specimens qualify as ``bred-in-captivity:''
    (1) A controlled environment means one that is actively manipulated 
for the purpose of producing specimens of a particular species; that 
has boundaries designed to prevent specimens, including eggs or 
gametes, from entering or leaving the controlled environment; and has 
general characteristics that may include artificial housing, waste 
removal, provision of veterinary care, protection from predators, and 
artificially supplied food.
    (2) Breeding stock means an ensemble of captive wildlife used for 
reproduction.
    (c) Bred-in-captivity criteria. For a specimen to qualify as bred-
in-captivity, we must be satisfied that 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 parent was in a controlled 
environment when development of the offspring began.
    (3) The breeding stock meets all of the following criteria:
    (i) Was established in accordance with the provisions of CITES and 
relevant national laws.
    (ii) Was established in a manner not detrimental to the survival of 
the species in the wild.
    (iii) Is maintained with only occasional introduction of wild 
specimens as provided in paragraph (d) of this section.
    (iv) Has consistently produced offspring of second or subsequent 
generations in a controlled environment, or is managed in a way that 
has been demonstrated to be capable of reliably producing second-
generation offspring and has produced first-generation offspring.
    (d) Addition of wild specimens. A very limited number of wild 
specimens (including eggs or gametes) may be introduced into a breeding 
stock if all of the following conditions are met:
    (1) The specimens were acquired in accordance with the provisions 
of CITES and relevant national laws.
    (2) The specimens were acquired in a manner not detrimental to the 
survival of the species in the wild.
    (3) The specimens were added either to prevent or alleviate 
deleterious inbreeding, with the number of specimens added as 
determined by the need for new genetic material, or to dispose of 
confiscated animals.


Sec.  23.64  What factors are considered in making a finding that a 
plant is artificially propagated?

    (a) Purpose. Article VII(4) and (5) of the Treaty provide special 
treatment of plants that were artificially propagated (see Sec. Sec.  
23.40 and 23.47).
    (b) Definitions. The following terms apply when determining whether 
specimens qualify as ``artificially propagated:''
    (1) Controlled conditions means a nonnatural environment that is 
intensively manipulated by human intervention for the purpose of plant 
production. General characteristics of controlled conditions may 
include, but are not limited to, tillage, fertilization, weed and pest 
control, irrigation, or nursery operations such as potting, bedding, or 
protection from weather.
    (2) Cultivated parental stock means the ensemble of plants grown 
under controlled conditions that are used for reproduction.
    (c) Artificially propagated criteria. Except as provided in 
paragraphs (f) and (g) of this section, for a plant specimen to qualify 
as artificially propagated, we must be satisfied that the plant 
specimen was grown under controlled conditions from a seed, cutting, 
division, callus tissue, other plant tissue, spore, or other propagule 
that either is exempt from the provisions of CITES or has been derived 
from cultivated parental stock. The cultivated parental stock meets all 
of the following criteria:
    (1) Was established in accordance with 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 in sufficient quantities for propagation so as to 
minimize or eliminate the need for augmentation from the wild, with 
such augmentation occurring only as an exception and limited to the 
amount necessary to maintain the vigor and productivity of the 
cultivated parental stock.
    (d) Cutting or division. A plant grown from a cutting or division 
is considered to be artificially propagated only if the traded specimen 
does not contain any material collected from the wild.
    (e) Grafted plant. A grafted plant is artificially propagated only 
when both the rootstock and the material grafted to it have been taken 
from specimens that were artificially propagated in accordance with 
paragraph (c) of this section. A grafted specimen that consists of taxa 
from different Appendices is treated as a specimen of the taxon listed 
in the more restrictive Appendix.
    (f) Timber. Timber taken from trees planted and grown in a 
monospecific plantation is considered artificially propagated if the 
seeds or other propagules from which the trees are grown were legally 
acquired and obtained in a non-detrimental manner.
    (g) Exception for certain plant specimens grown from wild-collected 
seeds or spores. Plant specimens grown from wild-collected seeds or 
spores may be considered artificially propagated only when all of the 
following conditions have been met:
    (1) Establishment of a cultivated parental stock for the taxon 
presents significant difficulties because

[[Page 20251]]

specimens take a long time to reach reproductive age.
    (2) The seeds or spores are collected from the wild and grown under 
controlled conditions within a range country, which must also be the 
country of origin of the seeds or spores.
    (3) The Management Authority of the range country has determined 
that the collection of seeds or spores was legal and consistent with 
relevant national laws for the protection and conservation of the 
species.
    (4) The Scientific Authority of the range country has determined 
that collection of the seeds or spores was not detrimental to the 
survival of the species in the wild, and allowing trade in such 
specimens has a positive effect on the conservation of wild 
populations. In making these determinations, all of the following 
conditions must be met:
    (i) The collection of seeds or spores for this purpose must be 
limited in such a manner as to allow regeneration of the wild 
population.
    (ii) A portion of the plants produced must be used to establish 
plantations to serve as cultivated parental stock in the future and 
become an additional source of seeds or spores and thus reduce or 
eliminate the need to collect seeds from the wild.
    (iii) A portion of the plants produced must be used for replanting 
in the wild, to enhance recovery of existing populations or to re-
establish populations that have been extirpated.
    (5) Operations propagating Appendix-I species for commercial 
purposes must be registered with the CITES Secretariat in accordance 
with the Guidelines for the registration of nurseries exporting 
artificially propagated specimens of Appendix-I species.


Sec.  23.65  What factors are considered in making a finding that an 
applicant is suitably equipped to house and care for a live specimen?

    (a) Purpose. Under Article III(3)(b) and (5)(b) of the Treaty, an 
import permit or introduction-from-the-sea certificate for live 
Appendix-I specimens can be issued only if we are satisfied that the 
recipients are suitably equipped to house and care for them.
    (b) General principles. We will follow these general principles in 
making a decision on whether an applicant has facilities that would 
provide proper housing to maintain the specimens for the intended 
purpose and the expertise to provide proper care and husbandry or 
horticultural practices.
    (1) All persons who would be receiving a specimen must be 
identified in an application and their facilities approved by us, 
including persons who are likely to receive a specimen within 1 year 
after it arrives in the United States.
    (2) The applicant must provide 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 use the best available information on the requirements of 
the species in making a decision and will consult with experts and 
other Federal and State agencies, as necessary and appropriate.
    (4) The degree of scrutiny that we give an application is based on 
the 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) Enclosures constructed and maintained so as to provide 
sufficient space to allow each animal to make normal postural and 
social adjustments with adequate freedom of movement. Inadequate space 
may be indicated by evidence of malnutrition, poor condition, debility, 
stress, or abnormal behavior patterns.
    (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, as appropriate, that 
can house the wildlife on a long-term basis if necessary.
    (4) Provision of water and nutritious food of a nature and in a way 
that are appropriate for the species.
    (5) Staff who are trained and experienced in providing proper daily 
care and maintenance for the species being imported or introduced from 
the sea, or for a closely related species.
    (6) Readily available veterinary care or veterinary staff 
experienced with the species or a closely related species, including 
emergency care.
    (d) Specific factors considered for plants. In addition to the 
general provisions in paragraph (e) of the section, we consider the 
following factors in evaluating suitable housing and care for plants:
    (1) Sufficient space, appropriate lighting, and other environmental 
conditions that will ensure proper growth and reproduction.
    (2) Ability to provide appropriate culture, such as water, 
fertilizer, and pest and disease control.
    (3) 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 paragraphs (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 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, 
alternatively, closely related species at the facility, including 
number of births or plants propagated, mortalities for the previous 3 
years, significant injuries to wildlife or damage to plants, occurrence 
of significant disease outbreaks during the previous 3 years, and 
measures taken to prevent similar mortalities, injuries, damage, or 
diseases. Significant injuries, damage, or disease outbreaks are those 
that are permanently debilitating or re-occurring.
    (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 specimen are 
completed or the staff is identified or properly trained, we will:
    (1) Review all available information, including construction plans 
or intended staffing, and make a finding based on this information.
    (2) Place a condition on any permit that the import cannot occur 
until the facility has been completed or the staff hired and trained, 
and approved by us.

Subpart E--International Trade in Certain Specimens


Sec.  23.68  How can I trade internationally in roots of American 
ginseng?

    (a) U.S. and foreign general provisions. Whole plants and roots 
(whole, sliced, and parts, excluding manufactured parts, products, and 
derivatives, such as powders, pills, extracts, tonics, teas, and 
confectionery) of American ginseng (Panax quinquefolius), whether wild 
or artificially propagated, are included in Appendix II. Cultivated 
American ginseng that does not meet the requirements of artificially 
propagated

[[Page 20252]]

will be considered wild for export purposes. The import, export, or re-
export of ginseng roots must meet the requirements of this section and 
other requirements of this part (see subparts B and C for prohibitions 
and application procedures). For specimens that were harvested from a 
State or Tribe without an approved CITES export program, see Sec.  
23.36 for export permits and Sec.  23.37 for re-export certificates.
    (b) Export approval of State and tribal programs. States and Tribes 
set up and maintain ginseng management and harvest programs designed to 
monitor and protect American ginseng from over-harvest. When a State or 
Tribe with a management program provides us with the necessary 
information, we make programmatic findings and have specific 
requirements that allow export under CITES. For wild ginseng, a State 
or Tribe must provide sufficient information for us to determine that 
its management program and harvest controls are appropriate to ensure 
that ginseng harvested within its jurisdiction is legally acquired and 
that export will not be detrimental to the survival of the species in 
the wild. For artificially propagated ginseng, a State or Tribe must 
provide sufficient information for us to determine that ginseng grown 
within its jurisdiction meets the definition of artificially propagated 
and the State or Tribe must have procedures in place to minimize the 
risk that the roots of wild-collected plants would be claimed as 
artificially propagated.
    (1) A State or Tribe seeking initial CITES export program approval 
for wild or artificially propagated American ginseng must submit the 
following information on the adoption and implementation of regulatory 
measures to the U.S. Management Authority:
    (i) Laws or regulations mandating licensing or registration of 
persons buying and selling ginseng in that State or on tribal lands.
    (ii) A requirement that ginseng dealers maintain records and 
provide copies of those records to the appropriate State or tribal 
management agency upon request. Dealer records must contain: the name 
and address of the ginseng seller, date of transaction, whether the 
ginseng is wild or artificially propagated and dried or green at time 
of transaction, weight of roots, State or Tribe of origin of roots, and 
identification numbers of the State or tribal certificates used to ship 
ginseng from the State or Tribe of origin.
    (iii) A requirement that State or tribal personnel will inspect 
roots, ensure legal harvest, and have the ability to determine the age 
of roots of all wild-collected ginseng harvested in the State or on 
tribal lands. State or tribal personnel may accept a declaration 
statement by the licensed or registered dealer or grower that the 
ginseng roots are artificially propagated.
    (iv) A requirement that State or tribal personnel will weigh 
ginseng roots unsold by March 31 of the year after harvest and give a 
weight receipt to the owner of the roots. Future export certification 
of this stock must be issued against the weight receipt.
    (v) A requirement that State or tribal personnel will issue 
certificates of origin for wild and artificially propagated ginseng. 
Certificates of origin must contain at a minimum:
    (A) State of origin.
    (B) Serial number of certificate.
    (C) Dealer's State or tribal license or registration number.
    (D) Dealer's shipment number for that harvest season.
    (E) Year of harvest of ginseng being certified.
    (F) Designation as wild or artificially propagated.
    (G) Designation as dried or fresh (green) roots.
    (H) Weight of roots.
    (I) Statement of State or tribal certifying official verifying that 
the ginseng was obtained in that State or on those tribal lands in 
accordance with all relevant laws for that harvest year.
    (J) Name and title of State or tribal certifying official.
    (2) In addition, a State or Tribe seeking initial CITES export 
program approval for wild American ginseng must submit the following 
information to the U.S. Management Authority:
    (i) An assessment of the condition of the population and trends, 
including a description of the types of information on which the 
assessment is based, for example, an analysis of population 
demographics; population models; or analysis of past harvest levels or 
indices of abundance independent of harvest information, such as field 
surveys.
    (ii) Historic, present, and potential distribution of wild ginseng 
on a county-by-county basis.
    (iii) Phenology of ginseng, including flowering and fruiting 
periods.
    (iv) Habitat evaluation.
    (v) If available, copies of any ginseng management or monitoring 
plans or other relevant reports that the State or Tribe has prepared as 
part of its existing management program.
    (3) A State or Tribe with an approved CITES export program must 
complete Form 3-200-61 and submit it to the U.S. Management Authority 
by May 1 of each year to provide information on the previous harvest 
season.
    (c) U.S. application process. Application forms and a list of 
States and Tribes with approved ginseng programs can be obtained from 
our website or by contacting us.
    (1) To export wild or artificially propagated ginseng harvested 
under an approved State or tribal program, complete Form 3-200-34 or 
Form 3-200-74 for additional single-use permits under an annual program 
file.
    (2) To export wild ginseng harvested from a State or Tribe that 
does not have an approved program, complete Form 3-200-32. To export 
artificially propagated ginseng from a State or Tribe that does not 
have an approved program, complete Form 3-200-33.
    (3) To re-export ginseng, complete Form 3-200-32.
    (4) For information on issuance criteria for CITES documents, see 
Sec.  23.36 for export permits, Sec.  23.37 for re-export certificates, 
and Sec.  23.40 for certificates for artificially propagated plants.
    (d) Conditions for export. Upon export, roots must be accompanied 
by a certificate of origin containing the information specified in 
paragraph (b)(1)(v) of this section.


Sec.  23.69  How can I trade internationally in fur skins and and fur 
skin products of bobcat, river otter, Canada lynx, gray wolf, and brown 
bear?

    (a) U.S. and foreign general provisions. For purposes of this 
section, CITES furbearers means bobcat (Lynx rufus), river otter 
(Lontra canadensis), Canada lynx (Lynx canadensis), gray wolf (Canis 
lupus), and brown bear (Ursus arctos) that are included in Appendix II 
based on Article II(2)(b) of the Treaty (see Sec.  23.89). The import, 
export, or re-export of fur skins and fur skin products must meet the 
requirements of this section and the other requirements of this part 
(see subparts B and C for prohibitions and application procedures). For 
specimens that were harvested from a State or Tribe without an approved 
CITES export program, see Sec.  23.36 for export permits and Sec.  
23.37 for re-export certificates.
    (b) Export approval of State and tribal programs. States and Tribes 
set up and maintain management and harvest programs designed to monitor 
and protect CITES furbearers from over-harvest. When a State or Tribe 
with a management program provides us with the necessary information, 
we make programmatic findings and have specific requirements that allow 
export under CITES. A State or Tribe must provide sufficient 
information for us to determine that its management program and harvest 
controls are appropriate to ensure that CITES furbearers harvested

[[Page 20253]]

within its jurisdiction are legally acquired and that export will not 
be detrimental to the survival of the species in the wild.
    (1) A State or Tribe seeking initial CITES export program approval 
must submit the following information to the U.S. Management Authority:
    (i) An assessment of the condition of the population and 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.
    (ii) Current harvest control measures, including laws regulating 
harvest, seasons and methods.
    (iii) Total allowable harvest of the species.
    (iv) Distribution of harvest.
    (v) Indication of how frequently harvest levels are evaluated.
    (vi) Tagging or marking requirements for fur skins.
    (vii) Habitat evaluation.
    (viii) If available, copies of any furbearer management plans or 
other relevant reports that the State or Tribe has prepared as part of 
its existing management program.
    (2) A State or Tribe with an approved CITES export program must 
submit a CITES furbearer activity report to the U.S. Management 
Authority by October 31 of each year that provides information 
regarding harvest during the previous year. This report may reference 
information provided in previous years if the information has not 
changed. A furbearer activity report, at a minimum, should include the 
following:
    (i) For each species, the number of specimens taken and the number 
of animals tagged, if different.
    (ii) An assessment of the status of each species for which export 
is approved with an indication of whether the population is stable, 
increasing, or decreasing, and at what rate (if known). If population 
levels are decreasing, the activity report should include the State or 
Tribe's professional assessment of the reason for the decline and any 
steps being taken to address it.
    (iii) Information on, and a copy of, any changes in laws or 
regulations affecting these species.
    (iv) If available, copies of relevant reports that the State or 
Tribe has prepared during the year in question as part of its existing 
management programs for CITES furbearers.
    (c) CITES tags. Unless an alternative method has been approved, 
each CITES fur skin to be exported or re-exported must have a U.S. 
CITES tag permanently attached.
    (1) The tag must be inserted through the skin and permanently 
locked in place using the locking mechanism of the tag.
    (2) The legend on the CITES tag must include the US-CITES logo, an 
abbreviation for the State or Tribe of harvest, a standard species code 
assigned by the Management Authority, and a unique serial number.
    (3) Fur skins with broken, cut, or missing tags may not be 
exported. Replacement tags must be obtained before the furs are 
presented for export or re-export. To obtain a replacement tag, either 
from the State or Tribe that issued the original tag or from us, you 
must provide information to show that the fur was legally acquired.
    (i) When a tag is broken, cut, or missing you may contact the State 
or Tribe of harvest for a replacement tag. If the State or Tribe cannot 
replace it, you may apply to FWS Law Enforcement for a replacement tag. 
If the tag is broken or cut, you must give us the tag. If the tag is 
missing, you must provide details concerning how the tag was lost. If 
we are satisfied that the fur was legally acquired, we will provide a 
CITES replacement tag.
    (ii) A replacement tag must meet all of the requirements in 
paragraph (c) of this section, except the legend will include only the 
US-CITES logo, FWS-REPL, and a unique serial number.
    (4) Tags are not required on fur skin products.
    (d) Documentation requirements. The U.S. CITES export permit or an 
annex attached to the permit must contain all information that is given 
on the tag.
    (e) U.S. application process. Application forms and a list of 
States and Tribes with approved furbearer programs can be obtained from 
our website or by contacting us.
    (1) To export fur skins taken under an approved State or tribal 
program, complete Form 3-200-26 and submit it to either FWS Law 
Enforcement or the U.S. Management Authority.
    (2) To export fur skins that were not harvested under an approved 
program, complete Form 3-200-27 and submit it to the U.S. Management 
Authority.
    (3) To re-export fur skins, complete Form 3-200-73 and submit it 
either to FWS Law Enforcement or the U.S. Management Authority.
    (4) For information on issuance criteria for CITES documents, see 
Sec.  23.36 for export permits and Sec.  23.37 for re-export 
certificates.
    (f) Conditions for export. Upon export, each fur skin, other than a 
fur skin product, must be clearly identified in accordance with 
paragraph (c) of this section.


Sec.  23.70  How can I trade internationally in American alligator and 
other crocodilian skins, parts and products?

    (a) U.S. and foreign general provisions. For the purposes of this 
section, crocodilian means all species of alligator, caiman, crocodile, 
and gavial of the order Crocodylia. The import, export, or re-export of 
any crocodilian skins, parts, or products must meet the requirements of 
this section and the other requirements of this part (see subparts B 
and C for prohibitions and application procedures). For American 
alligator specimens harvested from a State or Tribe without an approved 
CITES export program, see Sec.  23.36 for export permits and Sec.  
23.37 for re-export certificates.
    (b) Definitions. Terms used in this section are defined as follows:
    (1) Crocodilian skins means whole or partial skins, flanks, 
chalecos, and bellies (including those that are salted, crusted, 
tanned, partially tanned, or otherwise processed), including skins of 
sport-hunted trophies.
    (2) Crocodilian parts means body parts with or without skin 
attached (including tails, throats, feet, meat, skulls, and other 
parts) and small cut skin pieces.
    (c) Export approval of State and tribal programs for American 
alligator. States and Tribes set up and maintain management and harvest 
programs designed to monitor and protect American alligators from over-
harvest. When a State or Tribe with a management program provides us 
with the necessary information, we make programmatic findings and have 
specific requirements that allow export under CITES. A State or Tribe 
must provide sufficient information for us to determine that its 
management program and harvest controls are appropriate to ensure that 
alligators harvested within its jurisdiction are legally acquired and 
that the export will not be detrimental to the survival of the species 
in the wild.
    (1) A State or Tribe seeking initial CITES export program approval 
must submit the following to the U.S. Management Authority:
    (i) An assessment of the condition of the wild population and a 
description of the types of information on which the assessment is 
based, for example, an analysis of carcass demographics, population 
models, analysis of past harvest levels as a function of skin

[[Page 20254]]

prices or harvester effort, or indices of abundance independent of 
harvest information, such as nest surveys, spotlighting surveys, or 
nuisance complaints.
    (ii) Current harvest control measures, including laws regulating 
harvest, seasons, and methods.
    (iii) Total allowable harvest of the species.
    (iv) Distribution of harvest.
    (v) Indication of how frequently harvest levels are evaluated.
    (vi) Tagging or marking requirements for skins and parts.
    (vii) Habitat evaluation.
    (viii) Information on nuisance alligator management programs.
    (ix) Information on alligator farming programs, including whether 
collecting and rearing of eggs or hatchlings is allowed, what factors 
are used to set harvest levels, and whether any alligators are returned 
to the wild.
    (x) If available, copies of any alligator management plans or other 
relevant reports for American alligator that the State or Tribe has 
prepared as part of its existing management program.
    (2) A State or Tribe with an approved CITES export program must 
submit an American alligator activity report to the U.S. Management 
Authority by July 1 of each year to provide information regarding 
harvests during the previous year. This report may reference 
information provided in previous years if the information has not 
changed. An American alligator activity report, at a minimum, should 
include the following:
    (i) The total number of skins from wild or farmed alligators that 
were tagged by the State or Tribe.
    (ii) An assessment of the status of the alligator population with 
an indication of whether the population is stable, increasing, or 
decreasing, and at what rate (if known). If population levels are 
decreasing, activity reports should include the State or Tribe's 
professional assessment of the reason for the decline and any steps 
being taken to address it.
    (iii) For wild alligators, information on harvest, including 
harvest of nuisance alligators, 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.
    (iv) For farmed alligators, information on whether collecting and 
rearing of eggs or hatchlings is allowed, what factors are used to set 
harvest levels, and whether any alligators are returned to the wild.
    (v) Information on, and a copy of, any changes in laws or 
regulations affecting the American alligator.
    (vi) If available, copies of relevant reports that the State or 
Tribe has prepared during the reporting period as part of its existing 
management program for the American alligator.
    (3) We provide CITES export tags to States and Tribes with approved 
CITES export programs. American alligator skins and parts must meet the 
marking and tagging requirements of paragraphs (d), (e), and (f) of 
this section.
    (d) Tagging of crocodilian skins. You may import, export, or re-
export any crocodilian skin only if a non-reusable tag is inserted 
through the skin and locked in place using the locking mechanism of the 
tag. A mounted sport-hunted trophy must be accompanied by the tag from 
the skin used to make the mount.
    (1) Except as provided for a replacement tag in paragraph 
(d)(3)(ii) of this section, the tag must:
    (i) Be self-locking, heat resistant, and inert to chemical and 
mechanical processes.
    (ii) Be permanently stamped with the two-letter ISO code for the 
country of origin, a unique serial number, a standardized species code 
(available on our Web site), and the year of production or harvest. For 
American alligator, the export tags include the US-CITES logo, an 
abbreviation for the State or Tribe of harvest, a standard species code 
(MIS = Alligator mississippiensis), the year of taking, and a unique 
serial number.
    (iii) If the year of production or harvest and serial number appear 
next to each other on a tag, the information should be separated by a 
hyphen.
    (2) Skins and flanks must be individually tagged, and chalecos must 
have a tag attached to each flank.
    (3) Skins with broken, cut, or missing tags may not be exported. 
Replacement tags must be obtained before the skins are presented for 
import, export, or re-export. To obtain a replacement tag, either from 
the State or Tribe of harvest (for American alligator) or from us, you 
must provide information to show that the skin was legally acquired.
    (i) In the United States, when an American alligator tag is broken, 
cut, or missing you may contact the State or Tribe of harvest for a 
replacement tag. If the State or Tribe cannot replace it, you may apply 
to FWS Law Enforcement for a replacement tag. To obtain replacement 
tags for crocodilian skins other than American alligator in the United 
States, contact FWS Law Enforcement. If the tag is broken or cut, you 
must give us the tag. If the tag is missing, you must provide details 
concerning how the tag was lost. If we are satisfied that the skin was 
legally acquired, we will provide a CITES replacement tag.
    (ii) A replacement tag must meet all of the requirements in 
paragraph (d)(1) of this section except that the species code and year 
of production or harvest will not be required, and for re-exports the 
country of re-export must be shown in place of the country of origin. 
In the United States, the legend will include the US-CITES logo, FWS-
REPL, and a unique serial number.
    (e) Meat and skulls. Except for American alligator, you may import, 
export, or re-export crocodilian meat and skulls without tags or 
markings. American alligator meat and skulls may be imported, exported, 
or re-exported if packaged and marked or tagged in accordance with 
State or tribal laws as follows:
    (1) Meat from legally harvested and tagged alligators must be 
packed in permanently sealed containers and labeled as required by 
State or tribal laws or regulations. Bulk meat containers must be 
marked with any required State or tribal parts tag or bulk meat tag 
permanently attached and indicating, at a minimum, State or Tribe of 
origin, year of take, species, original U.S. CITES tag number for the 
corresponding skin, weight of meat in the container, and identification 
of State licensed processor or packer.
    (2) Each American alligator skull must be marked as required by 
State or tribal law or regulation. This marking must include, at a 
minimum, reference to the corresponding U.S. CITES tag number on the 
skin.
    (f) Tagging or labeling of crocodilian parts other than meat, 
skulls, and scientific specimens. You may import, export, or re-export 
crocodilian parts when the following conditions are met:
    (1) Parts must be packed in transparent sealed containers.
    (2) Containers must be clearly marked with a non-reusable parts tag 
or label that includes all of the information in paragraph (d)(1)(ii) 
of this section and a description of the contents, the total weight 
(contents and container), and the number of the CITES document.
    (3) Tags are not required on crocodilian products.
    (g) Documentation requirements. The CITES document or an annex 
attached to the document must contain all information that is given on 
the tag or label.
    (h) U.S. application process. Application forms and a list of 
States and Tribes with approved American

[[Page 20255]]

alligator programs can be obtained from our Web site or by contacting 
us.
    (1) To export American alligator specimens taken under an approved 
State or tribal program, complete Form 3-200-26 and submit it to either 
FWS Law Enforcement or the U.S. Management Authority.
    (2) To export American alligator specimens that are not from an 
approved program, complete Form 3-200-27 and submit it to the U.S. 
Management Authority.
    (3) For information on issuance criteria for CITES documents, see 
Sec.  23.36 for export permits and Sec.  23.37 for re-export 
certificates.
    (i) Conditions for import, export, or re-export. Upon import, 
export, or re-export, each crocodilian skin must be clearly identified 
by a tag in accordance with paragraph (d) of this section. Crocodilian 
parts, other than meat, skulls, and scientific specimens, must be 
packaged and clearly identified with a parts tag in accordance with 
paragraph (f) of this section. Crocodilian products do not require a 
tag. American alligator meat and skulls must be packaged and tagged, 
labeled, or marked in accordance with paragraph (e) of this section.


Sec.  23.71  How can I trade internationally in sturgeon caviar?

    (a) U.S. and foreign general provisions. For the purposes of this 
section, sturgeon caviar means the processed roe of any species of 
sturgeon, including paddlefish (Order Acipenseriformes). The import, 
export, or re-export of sturgeon caviar must meet the requirements of 
this section and the other requirements of this part (see subparts B 
and C for prohibitions and application procedures).
    (b) Labeling. You may import, export, or re-export sturgeon caviar 
only if labels are affixed to containers prior to export or re-export 
in accordance with this paragraph.
    (1) The following definitions apply to caviar labeling:
    (i) Non-reusable label means any label or mark that cannot be 
removed without being damaged or transferred to another container.
    (ii) Primary container means any container in direct contact with 
the caviar.
    (iii) Secondary container means the receptacle into which primary 
containers are placed.
    (iv) Processing plant means a facility in the country of origin 
responsible for the first packaging of caviar into a primary container.
    (v) Repackaging plant means a facility responsible for receiving 
and repackaging caviar into new primary containers.
    (vi) Lot identification number means a number that corresponds to 
information related to the caviar tracking system used by the 
processing plant or repackaging plant.
    (2) The caviar processing plant in the country of origin must affix 
a non-reusable label on the primary container that includes all of the 
following information:
    (i) Standardized species code; for hybrids, the species code for 
the male is followed by the code for the female and the codes are 
separated by an ``x'' (codes are available on our website).
    (ii) Source code.
    (iii) Two-letter ISO code of the country of origin.
    (iv) Year of harvest.
    (v) Processing plant code and lot identification number.
    (3) If caviar is repackaged before export or re-export, the 
repackaging plant must affix a non-reusable label to the primary 
container that includes all of the following information:
    (i) The standardized species code, source code, and two-letter ISO 
code of the country of origin.
    (ii) Year of repackaging and the repackaging plant code, which 
incorporates the two-letter ISO code for the repackaging country if 
different from the country of origin.
    (iii) Lot identification number or CITES document number.
    (4) The exact quantity of caviar must be indicated on any secondary 
container along with a description of the contents in accordance with 
international customs regulations.
    (c) Documentation requirements. Unless the sturgeon caviar 
qualifies as a personal or household effect under Sec.  23.15, the 
CITES document or an annex attached to the document must contain all 
information that is given on the label. The exact quantity of each 
species of caviar must be indicated on the CITES document.
    (d) Export quotas. Commercial shipments of sturgeon caviar from 
stocks shared between different countries may be imported only if all 
of the following conditions have been met:
    (1) The relevant countries have established annual export quotas 
for the shared stocks that were derived from catch quotas agreed among 
the countries and based on an appropriate regional conservation 
strategy and monitoring regime.
    (2) The quotas have been communicated to the CITES Secretariat and 
the Secretariat has confirmed that the quotas have been agreed by all 
relevant countries.
    (3) The CITES Secretariat has communicated these annual quotas to 
CITES Parties.
    (4) The caviar is exported during the calendar year in which it was 
harvested and processed.
    (e) Re-exports. Any re-export of sturgeon caviar must occur within 
18 months from the date of issuance of the original export permit.
    (f) Pre-Convention. Sturgeon caviar may not be imported, exported, 
or re-exported under a pre-Convention certificate.
    (g) Pressed caviar. Pressed caviar, the combined roe of one or more 
species remaining after the processing and preparation of higher-
quality caviar, may only be imported into or exported from the United 
States if the exact quantity of roe from each species is known and is 
indicated on the CITES document.
    (h) U.S. application forms. Application forms can be obtained from 
our website or by contacting us. For CITES document requirements, see 
Sec.  23.36 for export permits and Sec.  23.37 for re-export 
certificates. For export, complete Form 3-200-27 and submit it to the 
U.S. Management Authority. For re-export, complete Form 3-200-26 and 
submit it to FWS Law Enforcement.


Sec.  23.72  How can I trade internationally in plants?

    (a) U.S. and foreign general provisions: In addition to the 
requirements of this section, the import, export, or re-export of CITES 
plant specimens must meet the other requirements of this part (see 
subparts B and C for prohibitions and application procedures).
    (b) Seeds. International shipments of seeds of any species listed 
in Appendix I, except for seeds of certain artificially propagated 
hybrids (see Sec.  23.92), or seeds of species listed in Appendix II or 
III with an annotation that includes seeds must be accompanied by a 
valid CITES document. International shipments of CITES seeds that are 
artificially propagated also must be accompanied by a valid CITES 
document.
    (c) A plant propagated from exempt plant material. A plant grown 
from exempt plant material is regulated by CITES.
    (1) The proposed shipment of the specimen is treated as an export 
even if the exempt plant material from which it was derived was 
previously imported. The country of origin is the country in which the 
specimen ceased to qualify for the exemption.
    (2) Plants grown from exempt plant material qualify as artificially

[[Page 20256]]

propagated provided they are grown under controlled conditions.
    (3) To export plants grown from exempt plant material under 
controlled conditions, complete Form 3-200-33 for a certificate for 
artificially propagated plants.
    (d) Salvaged plants. (1) For purposes of this section, salvaged 
plant means a plant taken from the wild as a result of some 
environmental modification in a country where a Party has done all the 
following:
    (i) Ensured the environmental modification program does not 
threaten the survival of CITES plant species, and that protection of 
Appendix-I species in situ is considered a national and international 
obligation.
    (ii) Established salvaged specimens in cultivation after concerted 
attempts have failed to ensure that the environmental modification 
program would not put at risk wild populations of CITES species.
    (2) International trade in salvaged Appendix-I plants, and 
Appendix-II plants whose entry into trade might otherwise have been 
considered detrimental to the survival of the species in the wild, may 
be permitted only when all the following conditions are met:
    (i) Such trade would clearly benefit the survival of the species in 
the wild or in captivity.
    (ii) Import is for the purposes of care and propagation.
    (iii) Import is by a bona fide botanic garden or scientific 
institution.
    (iv) Any salvaged Appendix-I plant will not be sold or used to 
establish a commercial operation for artificial propagation after 
import.


Sec.  23.73  How can I trade internationally in timber?

    (a) U.S. and foreign general provisions: In addition to the 
requirements of this section, the import, export, or re-export of 
timber species listed under CITES must meet the other requirements of 
this part (see subparts B and C for prohibitions and application 
procedures).
    (b) Definitions. The following definitions apply to parts, 
products, and derivatives that appear in the annotations to certain 
timber species in the CITES Appendices. These definitions are based on 
the tariff classifications of the Harmonized System of the World 
Customs Organization.
    (1) Logs means all wood in the rough, whether or not stripped of 
bark or sapwood, or roughly squared for processing, notably into sawn 
wood, pulpwood, or veneer sheets.
    (2) Sawn wood means wood simply sawn lengthwise or produced by a 
profile-chipping process. Sawn wood normally exceeds 6 mm in thickness.
    (3) Veneer sheets means thin layers or sheets of wood of uniform 
thickness, usually 6 mm or less, usually peeled or sliced, for use in 
making plywood, veneer furniture, veneer containers, or similar 
products.
    (4) Plywood means wood material consisting of three or more sheets 
of wood glued and pressed one on the other and generally disposed so 
that the grains of successive layers are at an angle.
    (c) The following exceptions apply to Appendix-II or -III timber 
species that have a substantive annotation that designates either logs, 
sawn wood, and veneer sheets, or logs, sawn wood, veneer sheets, and 
plywood:
    (1) Change in destination. When a shipment of timber destined for 
one country is redirected to another, the Management Authority in the 
country of import may change the name and address of the importer 
indicated on the CITES document under the following conditions:
    (i) The quantity imported is the same as the quantity certified by 
a stamp or seal and signature of the Management Authority on the CITES 
document at the time of export or re-export.
    (ii) The number of the bill of lading for the shipment is on the 
CITES document, and the bill of lading is presented at the time of 
import.
    (iii) The import takes place before the CITES document expires, and 
the period of validity has not been extended.
    (iv) The Management Authority of the importing country includes the 
following statement in block 5, or an equivalent place, of the CITES 
document: ``Import into [name of country] permitted in accordance with 
[cite the appropriate section number from the current permit and 
certificate resolution] on [date].'' The modification is certified with 
an official stamp and signature.
    (v) The Management Authority sends a copy of the amended CITES 
document to the country of export or re-export and the Secretariat.
    (2) Extension of CITES document validity. A Management Authority in 
the country of import 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:
    (i) The shipment has arrived in the port of final destination 
before the CITES document expires, is being held in customs bond, and 
is not considered imported.
    (ii) The time extension does not exceed 6 months from the date of 
expiration of the CITES document and no previous extension has been 
issued.
    (iii) The Management Authority has included in block 5, or an 
equivalent place, of the CITES document the date of arrival and the new 
date of expiration on the document, and certified the modification with 
an official stamp and signature.
    (iv) The shipment is imported into the country from the port where 
the Management Authority issued the extension and before the amended 
CITES document expires.
    (v) The Management Authority sends a copy of the amended CITES 
document to the country of export or re-export and to the Secretariat.


Sec.  23.74  How can I trade internationally in personal sport-hunted 
trophies?

    (a) U.S. and foreign general provisions. Except as provided for 
personal and household effects in Sec.  23.15, the import, export, or 
re-export of sport-hunted trophies of species listed under CITES must 
meet the requirements of this section and the other requirements of 
this part (see subparts B and C for prohibitions and application 
procedures).
    (b) Sport-hunted trophy means raw or tanned parts of a specimen 
that was taken by a hunter, who is also the importer, exporter, or re-
exporter, during a sport hunt for personal use. It may include the 
bones, claws, hair, head, hide, hooves, horns, meat, skull, teeth, 
tusks, or any taxidermied part, including, but not limited to, a rug or 
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.
    (c) Use after import. You may use your sport-hunted trophy after 
import into the United States as provided in Sec.  23.55.
    (d) Quantity and tagging. The following provisions apply to the 
issuance and acceptance of U.S. and foreign CITES documents:
    (1) The number of trophies that may be imported in any calendar 
year for the following species is:
    (i) No more than two leopard (Panthera pardus) trophies.
    (ii) No more than one markhor (Capra falconeri) trophy.
    (iii) No more than one black rhinoceros (Diceros bicornis) trophy.
    (2) Each trophy imported, exported, or re-exported must be marked 
or tagged in the following manner:
    (i) Leopard and markhor: Each raw or tanned skin must have a self-
locking tag

[[Page 20257]]

inserted through the skin that indicates the country of origin, the 
number of the specimen in relation to the annual quota, and the 
calendar year in which the specimen was taken in the wild.
    (ii) Black rhinoceros: Parts of the trophy, including, but not 
limited to, skin, skull, or horns, whether mounted or loose, should be 
individually marked with reference to the country of origin, species, 
the number of the specimen in relation to the annual quota, and the 
year of export.
    (3) The export permit or re-export certificate or an annex attached 
to the permit or certificate must contain all the information that is 
given on the tag.

Subpart F--Disposal of Confiscated Wildlife and Plants


Sec.  23.78  What happens to confiscated wildlife and plants?

    (a) Purpose. Article VIII of the Treaty provides for confiscation 
or return to the country of export of specimens that are traded in 
violation of CITES.
    (b) Disposal options. Part 12 of this subchapter provides the 
options we have for disposing of forfeited and abandoned live and dead 
wildlife and plants. These include maintenance in captivity either in 
the United States or in the country of export, return to the wild under 
limited circumstances, and sale of certain Appendix-II or -III 
specimens. Under some conditions, euthanasia or destruction may be 
necessary.
    (1) We use a plant rescue center program to dispose of confiscated 
live plants. Participants in this program may also assist APHIS, CBP, 
and FWS Law Enforcement in holding seized specimens as evidence pending 
any legal decisions.
    (2) We dispose of confiscated live wildlife on a case-by-case basis 
at the time of seizure and forfeiture, and consider the quantity, 
protection level, and husbandry needs of the wildlife.
    (c) Re-export. We may issue a re-export certificate for a CITES 
specimen that was forfeited or abandoned when the certificate indicates 
the specimen was confiscated and when the re-export meets one of the 
following purposes:
    (1) For any CITES species, the return of a live specimen to the 
Management Authority of the country of export, placement of a live 
specimen in a rescue center, or use of the specimen for law 
enforcement, judicial, or forensic purposes.
    (2) For an Appendix-II or -III species, the disposal of the 
specimen in an appropriate manner that benefits enforcement and 
administration of the Convention.
    (d) Consultation process. FWS and APHIS may consult with the 
Management Authority in the country of export or re-export and other 
relevant governmental and nongovernmental experts before making a 
decision on the disposal of confiscated live specimens that have been 
forfeited or abandoned to FWS, APHIS, or CBP.


Sec.  23.79  How may I participate in the Plant Rescue Center Program?

    (a) Purpose. We have established the Plant Rescue Center Program to 
place confiscated live plants quickly to prevent physical damage to the 
plants.
    (b) Criteria. Institutions interested in participating in this 
program must be:
    (1) Nonprofit, open to the public, and have the expertise and 
facilities to care for confiscated exotic plant specimens. A 
participating institution may be a botanical garden, arboretum, 
zoological park, research institution, or other qualifying institution.
    (2) Willing to transfer confiscated plants from the port where they 
were confiscated to their facilities at their own expense.
    (3) Willing to return the plants to the U.S. Government if the 
country of export has requested their return. The U.S. Government will 
then coordinate the plants' return to the country of export.
    (4) Willing to accept and maintain a plant shipment as a unit until 
it has received authorization from us to incorporate the shipment into 
its permanent collection or transfer a portion of it to another 
participating institution.
    (c) Participation. Institutions wishing to participate in the Plant 
Rescue Center Program should contact the U.S. Management Authority. 
They must provide a brief description of the greenhouse or display 
facilities, the names and telephone numbers of any individuals 
authorized to accept plants on behalf of the institution, and the 
mailing address where the plants should be sent. In addition, 
interested institutions must indicate if they are limited with regard 
to the type of plants they are able to maintain or the quantities of 
plants they can handle at one time.

Subpart G--CITES Administration


Sec.  23.84  What are the roles of the Secretariat and the committees?

    (a) Secretariat. The Secretariat is headed by the Secretary-
General. Its functions are listed in Article XII of the Treaty and 
include:
    (1) Arranging and staffing meetings of the Parties.
    (2) Performing functions as requested in relation to listings in 
the Appendices.
    (3) Undertaking scientific and technical studies, as authorized by 
the CoP, to contribute to implementation of the Convention.
    (4) Studying reports of the Parties and requesting additional 
information as appropriate to ensure effective implementation of the 
Convention.
    (5) Bringing to the attention of the Parties matters relevant to 
the Convention.
    (6) Periodically publishing and distributing to the Parties current 
editions of the Appendices as well as information on the identification 
of specimens of species listed in the Appendices.
    (7) Preparing annual reports to the Parties on its work and on the 
implementation of the Convention.
    (8) Making recommendations for the implementation of the aims and 
provisions of the Convention, including the exchange of scientific and 
technical information.
    (9) Performing other functions entrusted to it by the Parties.
    (b) Committees. The Parties have established four 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 CoPs.
    (i) This committee oversees development and execution of the 
Secretariat's budget, advises other committees, appoints working 
groups, and carries out activities on behalf of the Parties between 
CoPs.
    (ii) Regional representatives are countries that are elected by 
their respective geographic regions at the CoP.
    (2) The Animals Committee and the Plants Committee provide advice 
and guidance to the CoP, the other committees, working groups, and the 
Secretariat on all matters relevant to international trade in species 
included in the Appendices.
    (i) These committees also assist the Nomenclature Committee in the 
development and maintenance of a standardized list of species names; 
provide assistance with regard to identification of species listed in 
the Appendices; cooperate with the Secretariat to assist Scientific 
Authorities; compile and evaluate data on Appendix-II species that are 
considered significantly affected by trade; periodically review the 
status of wildlife and plant species listed in the Appendices; advise 
range countries on

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management techniques when requested; draft resolutions on wildlife and 
plant matters for consideration by the Parties; deal with issues 
related to the transport of live specimens; and report to the CoP and 
the Standing Committee.
    (ii) Regional representatives are individuals, who are elected by 
their respective geographic regions at the CoP.
    (3) The Nomenclature Committee is responsible for developing or 
identifying standard nomenclature references for wildlife and plant 
taxa and making recommendations on nomenclature to Parties, the CoP, 
other committees, working groups, and the Secretariat. The Nomenclature 
Committee is made up of one zoologist and one botanist, who are 
appointed by the CoP.


Sec.  23.85  What is a Meeting of the Conference of the Parties (CoP)?

    (a) Purpose. Article XI of the Treaty provides general guidelines 
for meetings of the countries that have ratified, accepted, approved, 
or acceded to CITES. The Parties currently meet for 2 weeks every 3 
years. At these meetings, the Parties consider amendments to the 
Appendices and resolutions and decisions to improve the 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, it 
works with the Secretariat to set the date and specific venue. The 
Secretariat then notifies the Parties of the date for the next CoP.
    (c) Attendance at a CoP. All Parties may participate and vote at a 
CoP. Non-Party countries may participate, but may not vote. 
Organizations 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 must apply to the CITES Secretariat 
for approval to attend a CoP as an observer.
    (2) National organizations must apply to the Management Authority 
of the country where they are located for approval to attend a CoP as 
an observer.


Sec.  23.86  How can I obtain information on a CoP?

    As we receive information on an upcoming CoP from the CITES 
Secretariat, we will notify the public either through published notices 
in the Federal Register or postings on our website. We will provide:
    (a) 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 
that they believe the United States should submit for consideration at 
the CoP.
    (b) Information on times, dates, and locations of public meetings.
    (c) Information on how international and national organizations may 
apply to participate as observers.


Sec.  23.87  How does the United States develop documents and 
negotiating positions for a CoP?

    (a) In developing documents and negotiating positions for a CoP, 
we:
    (1) Will provide for at least one public meeting.
    (2) Consult with appropriate Federal, State, and tribal agencies, 
foreign governmental agencies, scientists, experts, and others.
    (3) Seek public comment through published Federal Register notices 
or postings on our website that:
    (i) Solicit recommendations on potential proposals to amend the 
Appendices, draft resolutions, and other documents for U.S. submission 
to the CoP.
    (ii) Announce proposals to amend the Appendices, draft resolutions, 
and other documents that the United States is considering submitting to 
the CoP.
    (iii) Provide the CoP agenda and a list of the amendments to the 
Appendices proposed for the CoP, a summary of our proposed negotiating 
positions on these items, and the reasons for our proposed positions.
    (4) Consider comments received in response to notices or postings 
provided in paragraph (a)(3) of this section.
    (b) We submit the following documents to the Secretariat for 
consideration at the CoP:
    (1) Draft resolutions and other documents at least 150 days before 
the CoP.
    (2) Proposals to amend the Appendices at least 150 days before the 
CoP if all range countries have been consulted, or 330 days before the 
CoP if the range countries are not consulted.
    (c) The Director may modify or suspend any of these procedures if 
they would interfere with the timely or appropriate development of 
documents for submission to the CoP and U.S. negotiating positions.
    (d) We may receive additional information at a CoP or circumstances 
may develop that have an impact on our tentative negotiating positions. 
As a result, the U.S. representatives to a CoP may find it necessary to 
modify, reverse, or otherwise change any of those positions where to do 
so would be in the best interests of the United States or of the 
conservation of the species.


Sec.  23.88  What are the resolutions and decisions of the CoP?

    (a) Purpose. Under Article XI of the Treaty, the Parties agree to 
resolutions and decisions that clarify and interpret the Convention to 
improve its effectiveness. Resolutions are generally intended to 
provide long-standing guidance, whereas decisions typically contain 
instructions to a specific committee, Parties, or the Secretariat. 
Decisions are often intended to be implemented by a specific date, and 
then they expire.
    (b) Effective date. A resolution or decision adopted by the Parties 
becomes effective 90 days after the meeting at which it was adopted, 
unless otherwise specified in the resolution or decision.

Subpart H--Lists of Species


Sec.  23.89  What are the criteria for listing species in Appendix I or 
II?

    (a) Purpose. Article XV of the Treaty sets out the procedures for 
amending CITES Appendices I and II. A species must meet trade and 
biological criteria listed in the CITES resolution for amendment of 
Appendices I and II. When determining whether a species qualifies for 
inclusion in or removal from Appendix I or II, or transfer from one 
Appendix to another, we will:
    (1) Consult with States, Tribes, range countries, relevant experts, 
other Federal agencies, and the general public.
    (2) Utilize the best available biological information.
    (3) Evaluate that information against the criteria in paragraphs 
(b) through (f) of this section.
    (b) Listing a species in Appendix I. Any species qualifies for 
inclusion in Appendix I if it is or may be affected by trade and meets, 
or is likely to meet, at least one biological criterion for Appendix I.
    (1) These criteria are:
    (i) The size of the wild population is small.
    (ii) Area of distribution is restricted.
    (iii) There is an observed, inferred, or projected marked decline 
in the population size in the wild.

[[Page 20259]]

    (2) Factors to be considered include, but are not limited to, 
population and range fragmentation; habitat availability or quality; 
area of distribution; taxon-specific vulnerabilities due to life 
history, behavior, or other intrinsic factors, such as migration; 
population structure and niche requirements; threats from extrinsic 
factors such as the form of exploitation, introduced species, habitat 
degradation and destruction, and stochastic events; or decreases in 
recruitment.
    (c) Listing a species in Appendix II due to actual or potential 
threats. Any species qualifies for inclusion in Appendix II if it is or 
may be affected by trade and meets at least one of the criteria for 
listing in Appendix II based on actual or potential threats to that 
species. These criteria are:
    (1) It is known, or can be inferred or projected, that the 
regulation of trade is necessary to avoid the species becoming eligible 
for inclusion in Appendix I in the near future.
    (2) It is known, or can be inferred or projected, that the 
regulation of trade in the species is required to ensure that the 
harvest of specimens from the wild is not reducing the wild population 
to a level at which its survival might be threatened by continued 
harvest or other influences.
    (d) Listing a species in Appendix II due to similarity of 
appearance or other factors. Any species qualifies for inclusion in 
Appendix II if it meets either of the criteria for listing in Appendix 
II due to similarity of appearance or other factors. These criteria 
are:
    (1) The specimens of the species in the form in which they are 
traded resemble specimens of a species listed in Appendix II due to 
criteria in paragraph (c) of this section or in Appendix I, such that 
enforcement officers who encounter specimens of such similar CITES 
species are unlikely to be able to distinguish between them.
    (2) There are compelling reasons other than those in paragraph 
(d)(1) of this section to ensure that effective control of trade in 
currently listed species is achieved.
    (e) Other issues. We will evaluate any potential changes to the 
Appendices, taking into consideration other issues, including but not 
limited to, split-listing, annotation, listings of higher taxa and 
hybrids, and specific listing issues related to plants and commercially 
exploited aquatic species.
    (f) Precautionary measures. We will evaluate any potential 
transfers from Appendix I to II or removal of species from the 
Appendices in the context of precautionary measures.
    (g) Proposal. If a Party determines that a taxon qualifies for 
inclusion in or removal from Appendix I or II, or transfer from one 
Appendix to another, a proposal may be submitted to the Secretariat for 
consideration by the CoP.
    (1) The proposal should indicate the intent of the specific action 
(such as inclusion in Appendix I or II); be specific and accurate as to 
the parts and derivatives to be included in the listing; ensure that 
any proposed annotation is consistent with existing annotations; state 
the criteria against which the proposal is to be judged; and provide a 
justification for the basis on which the species meets the relevant 
criteria.
    (2) The proposal must be in a prescribed format. Contact the U.S. 
Scientific Authority for a copy.


Sec.  23.90  What are the criteria for listing species in Appendix III?

    (a) Purpose. Article XVI of the Treaty sets out the procedures for 
amending Appendix III.
    (b) General procedure. A Party may unilaterally, at any time, 
submit a request to list a species in Appendix III to the CITES 
Secretariat. The listing will become effective 90 days after the 
Secretariat notifies the Parties of the request.
    (c) Criteria for listing. For a Party to list a species in Appendix 
III, all of the following criteria must be met:
    (1) The species must be native to the country listing the species.
    (2) The species must be protected under that country's laws or 
regulations to prevent or restrict exploitation and control trade, and 
the laws or regulations are being implemented.
    (3) The species is in international trade, and there are 
indications that the cooperation of other Parties would help to control 
illegal trade.
    (4) The listing Party must inform the Management Authorities of 
other range countries, the known major importing countries, the 
Secretariat, and the Animals Committee or the Plants Committee that it 
is considering the listing and seek their opinions on the potential 
effects of the listing.
    (d) Annotation. The listing Party may annotate the Appendix-III 
listing to 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 rule in the Federal Register to 
solicit comments from the public.
    (3) If after evaluating the comments received and available 
information we determine the species should be listed in Appendix III, 
we will publish a final rule in the Federal Register and notify the 
Secretariat of the listing.
    (f) Removing a species from Appendix III. We will monitor the 
international trade in Appendix-III species listed by us and 
periodically evaluate whether each species continues to meet the 
listing criteria in paragraph (c) 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. As a 
general guide, we will consider removal when exports involve 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.  23.89(b) through (d) of this section for listing in 
Appendix I or II, we will consider whether to submit a proposal to 
amend the listing at the next CoP.


Sec.  23.91  How do I find out if a species is listed?

    (a) CITES list. The official CITES list includes species of 
wildlife and plants placed in Appendix I, II, and III in 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 (http://www.cites.org).
    (b) Effective date. Amendments to the CITES list are effective as 
follows:
    (1) Appendix-I and -II species listings adopted at the CoP are 
effective 90 days after the last day of the CoP, unless otherwise 
specified in the proposal.
    (2) Appendix-I and -II species listings adopted between CoPs by 
postal procedures are effective 120 days after the Secretariat has 
communicated comments and recommendations on the listing to the Parties 
if the Secretariat does not receive an objection to the proposed 
amendment from a Party.
    (3) Appendix-III species listings are effective 90 days after the 
date the Secretariat has communicated such listings to the Parties. A 
listing Party may withdraw a species from the list at any time by 
notifying the Secretariat.

[[Page 20260]]

The withdrawal is effective 30 days after the Secretariat has 
communicated the withdrawal to the Parties.


Sec.  23.92  Are any wildlife or plants, and their parts, products, or 
derivatives, exempt?

    (a) All living or dead wildlife and plants in Appendix I, II, and 
III and all their readily recognizable parts, products, and derivatives 
must meet the requirements of CITES and this part, except as indicated 
in paragraph (b) of this section.
    (b) The following are exempt from the requirements of CITES and do 
not need CITES documents:
    (1) Appendix-III wildlife. Any part, product, or derivative of an 
Appendix-III wildlife species that is specifically excluded by an 
annotation in the CITES list.
    (2) Appendix-II or -III plants. Any part, product, or derivative of 
an Appendix-II or -III plant species that is not specifically included 
by an annotation in the CITES list.
    (3) Plant hybrids.
    (i) Seeds and pollen (including pollinia), cut flowers, and flasked 
seedlings or tissue cultures of Appendix-I artificially propagated 
hybrids produced from one or more Appendix-I species or taxa that are 
not annotated to specifically include hybrids in the CITES list.
    (ii) Appendix-II or -III plant species or taxon, and its parts, 
products, and derivatives, with an annotation that specifically 
excludes hybrids.
    (4) Flasked seedlings of Appendix-I orchids. Flasked seedlings of 
an Appendix-I orchid species that has been artificially propagated.
    (5) Marine specimens listed in Appendix II that are protected under 
another treaty, convention or international agreement which was in 
force on July 1, 1975 as provided in Sec.  23.39 (d).
    (6) Coral sand and coral fragments as defined in Sec.  23.5.
    (7) Personal and household effects as provided in Sec.  23.15.
    (8) Urine, feces, and synthetically derived DNA as provided in 
Sec.  23.16.

    Dated: November 30, 2005.
Craig Manson,
Assistant Secretary for Fish and Wildlife and Parks.
    Note: This document was received at the Federal Register on 
April 4, 2006.
[FR Doc. 06-3444 Filed 4-18-06; 8:45 am]
BILLING CODE 4310-55-P