[Federal Register Volume 72, Number 163 (Thursday, August 23, 2007)]
[Rules and Regulations]
[Pages 48402-48494]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-3960]



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Part IV





Department of the Interior





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Fish and Wildlife Service



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50 CFR Parts 10, 13, 17, and 23



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

  Federal Register / Vol. 72, No. 163 / Thursday, August 23, 2007 / 
Rules and Regulations  

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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 Implementing the Convention on 
International Trade in Endangered Species of Wild Fauna and Flora 
(CITES)

AGENCY: Fish and Wildlife Service, Interior.

ACTION: Final rule.

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SUMMARY: In this final rule, we, the Fish and Wildlife Service (FWS), 
revise the regulations that implement the Convention on International 
Trade in Endangered Species of Wild Fauna and Flora (CITES), a treaty 
that regulates international trade in certain protected species. CITES 
uses a system of 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. In this final rule, we have 
retained most of the general information in the current 50 CFR part 23, 
but reorganized the sections and added provisions from certain 
applicable resolutions and decisions adopted by the CITES Conference of 
the Parties (CoP) at its second through thirteenth meetings (CoP2 - 
CoP13). The 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: This regulation is effective September 24, 2007. Incorporation 
by reference of CITES's Guidelines for transport and preparation for 
shipment of live wild animals and plants and the International Air 
Transport Association Live Animals Regulations listed in this rule is 
approved by the Director of the Federal Register as of September 24, 
2007.

FOR FURTHER INFORMATION CONTACT: Chief, Division of Management 
Authority, Fish and Wildlife Service, 4401 North Fairfax Drive, Room 
700, Arlington, Virginia 22203; telephone, (703) 358-2093; fax, (703) 
358-2280; or email, [email protected].

SUPPLEMENTARY INFORMATION:

What Acronyms and Abbreviations Are Used in This Rule?

AECA African Elephant Conservation Act (16 U.S.C. 4201-4245)
APHIS U.S. Department of Agriculture, Animal and Plant Health 
Inspection Service
ATA A combination of the French and English words ``Admission 
temporaire/Temporary Admission'' used in the name of a type of 
international customs document, the ATA carnet
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 Conference of the Parties or a meeting of the Conference of the 
Parties
ESA Endangered Species Act of 1973, as amended (16 U.S.C. 1531 et 
seq.)
FOIA Freedom of Information Act (5 U.S.C. 552)
FWS U.S. Fish and Wildlife Service
IATA LAR International Air Transport Association Live Animals 
Regulations
ISO International Organization for Standardization
USDA U.S. Department of Agriculture
WBCA Wild Bird Conservation Act (16 U.S.C. 4901 et seq.)

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 171 countries 
have ratified, accepted, approved, or acceded to CITES; these countries 
are known as Parties.
    Proposed rule and comments received: We published a proposed rule 
on April 19, 2006 (71 FR 20167), to revise the regulations that 
implement CITES. We accepted public comments on the proposed rule for 
60 days, until June 19, 2006. In response to several requests from the 
public, we reopened the public comment period for an additional 30 days 
on June 28, 2006 (71 FR 36742). The 2006 proposed rule was a reproposal 
of revisions proposed on May 8, 2000 (65 FR 26664), which were not 
finalized. We summarized and addressed comments received on the 2000 
proposal in the 2006 proposed rule. Please refer to the preamble to the 
April 19, 2006, proposed rule for a discussion of those comments.
    We received 344 letters in response to the 2006 proposed rule (71 
FR 20167). We received comments from individuals, organizations, and 
State natural resource agencies. Of the comments we received, 240 
letters were from Bengal cat enthusiasts and breeders, 33 were from 
State natural resource agencies and regional associations, 21 were from 
falconers and falconer organizations, and 13 were from fur trapper 
organizations.
    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 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 
78 resolutions in effect. This 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 website (http://www.cites.org).
    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 (16 U.S.C. 
1361-1407), and Lacey Act Amendments of 1981 (16 U.S.C. 3371-3378).
    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

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species, the Secretariat provides that information to other Parties 
through a notification. These notifications are available to the public 
on the CITES website (see Sec.  23.7).
    Plain language: We used plain language in writing these regulations 
to make them clearer and easier to use. We believe the regulations use 
an appropriate level of language to lay out the technical requirements 
of a multilateral treaty.
    General comments: A number of commenters commended us for revising 
the U.S. CITES implementing regulations and also provided comments on 
specific sections of the 2006 proposed rule (71 FR 20167). We have 
addressed comments specific to a particular section in the appropriate 
section of this preamble. One State agricultural agency noted that, for 
the aquaculture industry in that State, our changes will help simplify 
and clarify the documentation process for dealing with CITES species.
    One commenter expressed general opposition to international trade 
in wildlife. We appreciate the comment, but we will not address it here 
as it is outside the scope of this rulemaking.
    Another commenter suggested changes to specific clearance 
procedures at a port of entry. Those comments were outside the scope of 
this rule, and we encourage the commenter to provide input when the FWS 
proposes changes to 50 CFR part 14, which includes the specific 
clearance procedures pertaining to the import, export, and transport of 
wildlife.
    One commenter asked that we establish a ``compliance service'' 
where individuals could receive assistance in filling out and filing 
the required forms and documents. The commenter noted that the IRS 
provides such a service and that we should do the same. We believe that 
such assistance already exists on our website, where we provide 
information to guide applicants through the required agency permits, 
answer frequently asked questions, and direct them to the relevant 
offices for specific information. In addition, applicants can request 
information and permit application forms from the U.S. Management 
Authority and wildlife inspection offices. See Sec.  23.7 for contact 
information.
    One commenter argued that all applications for trade in Appendix-I 
and -II species should be subject to public notice and review. We 
disagree. Most of the applications we receive involve commonly traded 
Appendix-II species. As outlined in this rule, the FWS has established 
specific procedures for making the required determinations under CITES. 
We do not believe that requesting public comments on all applications 
involving CITES species would provide a greater level of insight or 
provide information that is not already available to us.
    One commenter recommended adding a provision that would allow for 
disclosures to be made without penalty and offered the example of 
identifying merchandise that should have been declared but was not 
discovered until after the shipment was imported. We did not accept 
this recommendation because we believe such a provision would undermine 
our enforcement efforts and our obligations under CITES. 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.
    One commenter argued that the regulations should allow for 
electronic submission of CITES information and payment of permitting 
fees. We recognize the need to keep pace with technology and are 
actively pursuing an electronic interface in partnership with other 
Federal agencies to streamline CITES procedures for the trade 
community. We are also working on an electronic permitting system that 
would allow submission of applications for CITES documents and 
applicable fees. Nothing in these regulations would prevent us from 
allowing electronic submission when we have the technology in place.

Section-by-Section Analysis

    The following parts of the preamble explain the final rule, discuss 
the substantive issues of sections for which we received comments, 
outline significant changes from the 2006 proposed rule (71 FR 20167), 
and provide responses to public comments.

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

    Definitions (Sec.  10.12): We provide a definition of the United 
States to correctly reflect areas under U.S. jurisdiction. One 
commenter suggested that the term United States be replaced with 
regulated territory because of potential confusion due to more common 
meanings of the term. United States is the term consistently used in 
conservation statutes administered by the FWS to define the 
jurisdictional scope of the statute. We believe that consistency 
between the term used in these regulations and the term used by 
Congress will reduce, not increase, confusion.
    Application procedures (Sec.  13.11): As noted in our final rule on 
FWS permit fees (70 FR 18311), we will not charge a fee to any Federal, 
tribal, State, or local government agency. Therefore, we will not 
charge a fee to a State or Tribe seeking to gain approval of a CITES 
export program. We also will not 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 United States fulfill its CITES 
implementing responsibilities.
    Thirty-five commenters, representing individual State natural 
resource agencies, State natural resource agency organizations, and 
trapper organizations, supported not requiring application fees to 
establish a CITES export program. One commenter opposed our decision 
not to charge a fee to government agencies seeking approval of a CITES 
export program. It is our longstanding policy not to charge a fee to 
Federal, tribal, State, or local governments. Another commenter stated 
that fees should be raised to reflect the actual value of the wildlife 
specimen in trade and that no applicant should be exempt from paying an 
application fee. Thirteen trapper organizations did not agree that 
small-scale trappers should be charged permit application fees. In 
addition, one commenter argued that publicly supported, nonprofit 
conservation organizations should be exempt from any application fees. 
The FWS fee structure is based on the nature of the activities being 
permitted, as well as the level of complexity and the time required to 
process applications and maintain active permit files. For further 
discussion of our application fees see 70 FR 18311, April 11, 2005.
    U.S. address for permit applicants (Sec.  13.12): This section 
requires 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 may request a CITES document from us 
for a shipment the entity owns but is shipping 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. Foreign 
visitors who are requesting a CITES document may provide a temporary 
address, such as a hotel, since they do not permanently reside within 
the United States.
    For commercial activities conducted by applicants who 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. We 
consider any transaction

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involving a seller and a buyer, or any retail or wholesale transaction 
that provides a valuable consideration in exchange for the transfer of 
a wildlife or plant specimen as a commercial activity. However, we do 
not consider a hunter who exports his or her personal sport-hunted 
trophy to be involved in a commercial activity under this section.
    Two commenters agreed with these requirements, but one of them 
suggested that, for non-resident applicants who could only provide a 
temporary address, we should also require their permanent address in 
their country of residence, as well as a permanent U.S. address of an 
agent or attorney. We require a permanent U.S. address for the 
applicant's agent for commercial transactions. We do not require a 
foreign address for noncommercial transactions. However, most 
noncommercial transactions carried out by non-U.S. residents consist of 
personal effects or personally hunted trophies that are being sent to 
the individual's home, and the applicant's foreign address is typically 
included on the application.
    One commenter asked that we clarify that the U.S. address does not 
need to be a domiciliary address or residence. For U.S. residents who 
are applying as individual applicants, the address they provide must be 
the physical address of their residence. In some cases, however, for 
permits for personal or household effects being held in the United 
States pending issuance of a permit, the U.S. address may be a 
relative, the storage facility, or the agent. For organizations or 
companies applying for a permit, we require the company's physical 
address where the records regarding the application are maintained.
    One commenter recommended that the requirements of 50 CFR 13.12 be 
brought into compliance with CBP's Filing Identification Number (FIN) 
(19 CFR 24.5). We did not accept this suggestion. The CBP Filing 
Identification Number is associated with account-based import 
activities specific to the importing requirements of CBP. The 
application process carried out by the FWS is a transactional-based 
activity that requires the identification of both companies and 
individuals. In addition, we do not have access to CBP's database that 
contains the FIN data, and therefore we could not utilize the system on 
a daily basis, as would be required to carry out our permitting 
process.
    Continuation of permitted activity during renewal (Sec.  13.22(c)): 
This paragraph sets out the general permit procedures that allow 
continuation of the permitted activity after the submission of an 
application for renewal. The regulations in 50 CFR part 13 follow the 
Administrative Procedure Act (5 U.S.C. 558(c)). We received one comment 
suggesting that all businesses should be required to renew permits 
before they expire. For an activity of a continuing nature, when a 
permittee has made timely and sufficient application for renewal of a 
permit, the permit does not expire until the agency has made a final 
determination on the application.
    CITES documents, however, do not cover an activity of a continuing 
nature and are considered void upon expiration. This section clarifies 
that a permittee may not use a CITES document once it has expired. For 
other permits of a continuing nature, however, we have retained the 
process that allows the permittee to conduct permitted activities 
during renewal if the conditions outlined in 50 CFR part 13 are met. 
One commenter supported this approach. Another commenter thought we 
should allow an extension of the period of validity of CITES documents 
after they have expired, while the renewal process is underway. The 
commenter did not believe that the Treaty or current resolutions 
support our policy not to allow extensions. We disagree. Article VI of 
the Treaty and Resolution Conf. 12.3 (Rev. CoP13) provide specific 
periods of validity for most permits and certificates. In addition, 
Resolution Conf. 12.3 (Rev. CoP13) states that, once a CITES document 
has expired, the permit or certificate is void. While the resolution 
does not address a period of validity for all of the certificates 
discussed, for consistency, we have established specific periods of 
validity for each type of CITES document (see Sec.  23.54). CITES 
documents that have not been used may be reissued. However, permittees 
must contact us prior to the expiration date, return the unused permit, 
and give us sufficient time to review the reissuance request and issue 
a new permit or certificate.
    Maintenance of records (Sec.  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, 
Sec.  13.46 outlines the requirement that permittees who reside or are 
located in the United States, as well as permittees who reside or are 
located outside the United States but are conducting commercial 
activities within the United States, maintain records in this country. 
We received 31 comments in support of this change. One of these 
commenters also recommended that we establish a timeframe during which 
permittees must maintain records. A timeframe of 5 years is already 
codified in Sec.  13.46. However, as discussed under Sec.  23.34, since 
we must make specific findings based on information provided primarily 
by an applicant, it may be advisable to maintain records for longer 
than 5 years in some cases (see discussion on Sec.  23.34).
    Import exemption for threatened, Appendix-II wildlife (Sec.  17.8): 
This section puts into regulation the exemption under the ESA, section 
9(c)(2), for import of CITES Appendix-II wildlife that is also 
classified as threatened under the ESA, 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 the import 
prohibitions; 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, 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. This exemption does not apply to 
species that have a special rule in 50 CFR part 17.
    Two commenters voiced their support for this section. Another 
commenter argued that the exemption for certain threatened species that 
are also listed in Appendix II is inconsistent with the ESA. As we 
discussed in the 2006 proposed rule (71 FR 20167), Congress provided 
this exemption, and we believe that this section accurately implements 
it.
    One commenter suggested that we add a definition of ``in the course 
of a commercial activity.'' As noted by the commenter, commercial 
activity is defined in section 3 of the ESA. Therefore, we do not 
believe it is necessary to define the full term ``in the course of a 
commercial activity.''
    This same commenter suggested that a purchase for scientific use, 
such as an acquisition by a museum, should be covered by the exemption 
under 17.8(b) and that the exemption should apply to any specimen used 
for science as long as the collection and sale are legal in the country 
of origin. We disagree. The exemption under section 9(c)(2) of the ESA 
applies only if the importation is not made in the course of a 
commercial activity, regardless of who is commercializing the specimen. 
Many imports for scientific use are likely to meet the exemption, but 
the purchase of

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a specimen for scientific use is likely to qualify as commercial and 
thus require issuance of an ESA permit prior to importation.
    Two commenters asserted that the requirement for documentation is 
overly broad and suggested that the FWS describe the type of 
documentation that would be acceptable. Because of the wide variety of 
imports that may qualify, and to provide flexibility to the importer, 
we did not list what form of documentation would be required. We will 
accept any documentation from the importer regarding the acquisition of 
the specimen that shows that it was not acquired in foreign commerce in 
the course of commercial activity. Such documentation may include, for 
example: proof of a personal sport hunt, documents related to museum or 
zoological exchange, inheritance documents, or scientific collecting 
permits.
    One commenter stated that requiring such documentation violates the 
exemption under section 9(c)(2) of the ESA. We agree that the exemption 
allows a qualifying specimen to be imported into the United States 
without first having obtained an ESA import permit, but it remains the 
burden of the importers to show that they qualify for the exemption, 
including by obtaining and presenting all required CITES documentation, 
fulfilling all document requirements under section 9(d), (e), and (f), 
and showing that the importation is not being made in the course of a 
commercial activity.
    One commenter argued that the exemption should only apply when the 
importer can prove that both the acquisition of the specimen and the 
importation are noncommercial. We agree, and we require the importer to 
meet both criteria in Sec.  17.8(b)(1). In Sec.  17.8(b)(5), we 
specifically require documentation showing that the specimen was not 
acquired in foreign commerce in the course of a commercial activity. 
Importers of any wildlife specimens, whether CITES specimens or not, 
must show the purpose of import under general government importation 
requirements. We are able to determine from this documentation whether 
the import is in the course of a commercial activity. However, 
documentation showing the specimen was not acquired in foreign commerce 
does not typically accompany a shipment. Therefore, we specifically 
require that such documentation be provided to us.
    Special rule for threatened crocodilians (Sec.  17.42(c)): In 
accordance with this special rule, we allow meat of saltwater 
crocodiles (Crocodylus porosus) originating in Australia and of 
Appendix-II Nile crocodiles (C. niloticus) to be traded without tags, 
and we clarify that this includes all forms of 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 special rule prohibits import into 
the United States of live specimens and viable eggs of any threatened 
crocodilians without an ESA import permit.
    One commenter disagreed with our assertion that international trade 
in meat of saltwater crocodiles originating in Australia and Appendix-
II Nile crocodiles poses no significant conservation risk and could 
therefore be traded without tags. We note that the crocodilian product 
most common in international trade is skin and U.S. import data for 
2002 - 2005 show no imports of saltwater or Nile crocodile meat. 
Therefore, we continue to believe that this type of trade does not pose 
a significant conservation threat. In addition, there is no CITES 
requirement for tagging of crocodilian meat.
    The special rule includes reporting requirements for range 
countries. In our final yacare caiman (Caiman yacare) rule published on 
May 4, 2000 (65 FR 25867), we noted that the FWS depends primarily on 
range countries to monitor yacare caiman. To assist us in monitoring 
the status of yacare caiman, we require that the governments of range 
countries wishing to export specimens to the United States for 
commercial purposes provide a report every 2 years that includes the 
most recent information available on the status of the species. This 
information assists us in determining the current conservation status 
of the species and is used to determine if the species is recovering 
and may warrant delisting. We also have 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.
    Three commenters supported amendments to the special rule regarding 
reporting requirements for range countries of the yacare caiman in 
Sec.  17.42(c). They urged us to include similar reporting requirements 
if additional crocodilian species are reclassified as threatened under 
the ESA and are included in the special rule. We will consider 
monitoring and reporting requirements for other crocodilians on a case-
by-case basis, because the conservation needs may vary by species or 
population.
    One commenter argued that we should require yacare caiman 
monitoring data to be submitted annually instead of biennially and 
should expand the list of the types of monitoring data required. We 
believe that the final rule to reclassify the yacare caiman (65 FR 
25867, May 4, 2000) adequately justifies reporting requirements for 
range countries of the species.

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

    This subpart describes our responsibilities under CITES.
    Scope (Sec.  23.2): This 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 under 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 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. 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. Further, we clarify that intrastate 
or interstate movement of specimens traded contrary to CITES involves 
possession of unlawfully traded specimens and is, therefore, 
prohibited. We note that these prohibitions are not new with this final 
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.
    More than 25 State fish and wildlife resource management agencies 
and regional fish and wildlife agency associations endorsed our 
inclusion of a series of questions to assist the regulated community in 
determining when CITES applies to a proposed activity and our 
clarification regarding intrastate and

[[Page 48406]]

interstate movement of specimens traded contrary to CITES.
    One commenter expressed support for the provision making the 
possession of and trade in illegally acquired specimens and their 
offspring illegal and encouraged us to specify that requirement in more 
detail in the regulation. However, another commenter expressed concern 
regarding our position on the possession of and trade in offspring of 
illegally imported specimens. The commenter also was concerned about 
the possible harm to offspring caused by shipping them back to the 
country of origin. We continue to maintain that any possession of 
offspring of illegal specimens is considered illegal, and we will take 
appropriate action when we become aware of such situations. However, we 
consider the health and well being of a live specimen that has been 
confiscated or forfeited to us in determining whether to place it in a 
facility in the United States or return it to the country of origin.
    Other applicable regulations (Sec.  23.3): In this section we 
reference applicable regulations in other parts of subchapter B and 
title 50, since many CITES species are covered by one or more other 
laws. We also notify the public about the possible application of 
State, tribal, and local regulations. More than 25 State fish and 
wildlife resource management agencies and regional fish and wildlife 
agency associations endorsed the addition of a new paragraph notifying 
the regulated community of the additional requirement for complying 
with State, tribal, and local requirements when engaging in activities 
with CITES species.
    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. 1535(f); Man Hing Ivory & Imports, Inc. v. Deukmejian, 702 
F.2d 760 (9th Cir. 1983). One commenter disagreed with this assertion 
and stated that it is contrary to the standard rules regarding the 
relationship between State and Federal laws. Our statement reflects the 
decision of the United States Court of Appeals for the Ninth Circuit in 
the referenced case, which held that section 6(f) of the ESA, together 
with an FWS regulation on African elephants (Loxodonta africana), 
preempted a State prohibition on trade in African elephant products by 
a trader who had secured all necessary Federal permits.
    Definitions (Sec.  23.5): Whenever possible we define 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 in which they are used.
    Definition of ``applicant'': Although one commenter believed that 
we should define the term applicant here to be only a person who owns 
the specimen(s) subject to trade, we have not defined applicant in this 
part because the general permit regulations in 50 CFR 13.1 provide 
sufficient guidance. 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 party responsible for meeting the terms and 
conditions of the permit.
    Definitions of ``bred for commercial purposes'' and ``bred for 
noncommercial purposes'': We defined 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 specimens of 
species included in Appendix II (see Sec.  23.46). It also provides in 
Article VII(5) that specimens that are bred in captivity may be issued 
an exemption certificate (see Sec.  23.41). Although the Treaty does 
not use the term ``bred for noncommercial purposes'' in paragraph 5, 
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. 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 the species.
    One commenter sought clarification on whether an Appendix-I animal 
bred and raised on a U.S. game ranch, where efforts are being made to 
conserve the species, would constitute a specimen bred for commercial 
purposes. If the game ranch was conducting activities that would 
categorize the facility as commercial (e.g., sale, purchase, or 
exchange of animals resulting in an economic gain), then the animals 
bred on the ranch would be considered bred for commercial purposes. 
This would apply even if the game ranch were carrying out activities 
that benefited the species within its natural range, such as 
participation in a cooperative conservation program.
    One commenter did not understand how any facility breeding 
Appendix-I species could engage in noncommercial breeding activities. 
The commenter believed that, due to the difficulty of distinguishing 
between commercial breeding and noncommercial breeding, the FWS should 
combine the two activities under a single bred-in-captivity definition 
and require that all facilities breeding Appendix-I or -II species 
become registered. We disagree. Since the Treaty does not prohibit or 
control the commercial breeding of Appendix-II species, there is no 
reason to establish a registration process for facilities breeding 
Appendix-II species. We are confident that the application review 
process established for the export of Appendix-II specimens is adequate 
to provide the necessary oversight and control of commercial breeding 
facilities for Appendix-II species. For Appendix-I species, the Treaty 
makes a distinction between commercial and noncommercial breeding, and 
the Parties have enacted resolutions to implement this distinction. 
Consequently, these regulations outline the criteria for determining 
when a breeding activity is commercial versus noncommercial, and 
provide a mechanism to register commercial breeding operations with the 
Secretariat. To eliminate any confusion and underscore the distinction 
between commercial and noncommercial breeding, we have added a sentence 
to the definition of ``bred for commercial purposes'' to clarify that 
any captive-bred Appendix-

[[Page 48407]]

I specimen that does not meet the definition of ``bred for 
noncommercial purposes'' is considered to be bred for commercial 
purposes. For the same reason, we have made a minor amendment to the 
definition of ``bred for noncommercial purposes'' to make it clear that 
to qualify as noncommercial each donation, exchange, or loan of the 
specimen must be noncommercial.
    Definition of ``commercial'': Three commenters argued that the 
definition of commercial is too broad and that it is inconsistent with 
the definition of commercial activity in the ESA, which implements the 
Convention. We disagree. The new regulatory definition is consistent 
with the term defined in the ESA. The Convention regulates trade in 
listed species, and commercial activity under the ESA relates to ``all 
activities of industry and trade, including, but not limited to, the 
buying or selling of commodities and activities conducted for the 
purpose of facilitating such buying and selling.'' The definition of 
commercial in Sec.  23.5 is also consistent with CITES Resolution Conf. 
5.10, which explains that an activity should be considered commercial 
if its purpose is to obtain an economic benefit, including profit, and 
is directed toward resale, exchange, provision of a service, or other 
form of economic use or benefit. The definition is also consistent with 
the use of the term in Resolution Conf. 12.10. All CITES resolutions 
that address commercializing a specimen focus on use of the specimen in 
a manner that results in economic benefit.
    A number of commenters provided specific examples of transactions 
that they thought should qualify as noncommercial, such as purchase of 
a specimen for scientific purposes at a yard sale or estate sale; 
purchase from a person who is not a collector; or sale by a museum. 
Determination of whether a specific use qualifies as commercial or 
noncommercial must be made on a case-by-case basis taking into 
consideration all of the facts and circumstances. However, we note 
that, consistent with Resolution Conf. 5.10, the determination is 
focused on the use of the specimen, not the nature of the transaction. 
Trade may involve the exchange of some funds to compensate a party for 
costs such as care and maintenance of a specimen, storage costs, or 
taxidermy work, which themselves do not necessarily make the trade 
commercial.
    One commenter argued that for trade to be commercial, both parties 
must have commercial interests. We disagree. Economic enrichment can 
result when just the importer or just the exporter is obtaining an 
economic gain or benefit from the trade. The definitions of commercial 
and noncommercial in this part are used to distinguish trade and uses 
of specimens for which commercial uses must be limited from those for 
which commercial uses are not limited. The FWS cannot fulfill its 
treaty responsibilities unless it examines all ways in which a specimen 
can be commercialized.
    One commenter argued that including a donation that is used as a 
tax deduction as commercial in essence amends the Internal Revenue Code 
and asserted that whether something is eligible for a tax deduction is 
not a matter for the FWS to decide. We are not interpreting or amending 
the Internal Revenue Code. We are not describing what may or may not be 
eligible as a charitable contribution, but rather, we are fulfilling 
our responsibility not to authorize uses of certain CITES specimens 
that are primarily commercial in nature. Although we believe that in 
some cases a tax deduction may qualify as an economic gain or benefit, 
we have removed the phrase, ``or tax benefits'' from this definition, 
to eliminate confusion. See also our responses to comments received on 
Sec.  23.55.
    One commenter also challenged that part of the definition that 
applies to the intended, as well as the actual, use of the specimen. 
Determinations under CITES cannot be limited to the current, immediate 
action being taken with the specimen, but may also require 
consideration of subsequent actions that the person intends to take at 
the time of the determination. For example, a person may be personally 
importing a specimen in a manner that at first appears to be 
noncommercial, but if there is evidence to show that the person intends 
to sell the specimen and obtain a profit once the specimen is located 
within the United States,then the purpose is commercial. The definition 
is written to make clear that the FWS looks at all actions that the 
person intends to take involving the specimen, not simply the current, 
most immediate action.
    Definitions of ``household effects'' and ``personal effects'': One 
commenter supported our definitions of household effect and personal 
effect to mean only dead wildlife or plant specimens.
    Definition of ``introduction from the sea'': We define this term 
with the language in Article I(e) of the Treaty. 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 has prepared a document on introduction from the sea, 
based on discussions at the workshop, for consideration by the Parties 
at CoP14, to be held in June 2007. We recognize that the Parties may 
decide on an interpretation of introduction from the sea in the future, 
but in the meantime the regulations clarify when the prohibition 
applies, and when and what types of CITES documents are needed for 
international trade.
    One commenter suggested that we adopt the definition of ``the 
marine environment not under the jurisdiction of any State'' agreed by 
the 2005 workshop. This definition, although agreed by the workshop, is 
still under discussion in CITES and will be considered by the Parties 
at CoP14. We believe it is likely that changes will be made to the 
definition at the CoP and that it would be premature for us to adopt a 
definition before it has been accepted by the Parties.
    Definition of ``parental stock'': Based on the language in 
Resolution Conf. 9.19 (Rev. CoP13) on nursery registration and 
Resolution Conf. 12.10 (Rev. CoP13) on registration of operations that 
breed Appendix-I wildlife for commercial purposes, we use the term 
``parental stock'' to mean the original breeding or propagating 
specimens that produced subsequent generations of captive or cultivated 
specimens. Two commenters supported our definition.
    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. While the 
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

[[Page 48408]]

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. Several 
commenters supported our definition of precautionary measures. One 
asked that we provide additional clarification on what information we 
will use to determine whether or not to issue a permit. Section 23.33 
addresses the process we use when evaluating an application. In 
addition, Sec. Sec.  23.60, 23.61, and 23.62 address the processes for 
making the required findings under CITES. We direct the commenters to 
those sections for more detailed discussion on how we implement the use 
of precautionary measures.
    Definition of ``ranching'': We have not defined this term. At 
CoP13, the Animals and Plants Committees (committees established by the 
Parties to provide 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. 
This work is still ongoing. One commenter suggested that we develop a 
working definition of ranching until the Parties come to an agreed 
definition. We believe that it would be premature, and result in 
additional confusion, to adopt a definition before the production 
systems discussions are concluded.
    Definition of ``readily recognizable'': We base our definition of 
readily recognizable on Resolution Conf. 9.6 (Rev.). Two commenters 
supported our definition.
    Definition of ``sustainable use'': We 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 to implement the WBCA. The 
wording has been slightly edited to be consistent with language used in 
these regulations.
    We believe that sustainable use is the essence of a CITES non-
detriment finding, and these 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. (See preamble discussion on non-detriment findings (Sec.  
23.61)). Three commenters supported our definition of sustainable use.
    One commenter believed that it was unnecessary for us to state in 
the preamble to the 2006 proposed rule (71 FR 20167) that sustainable 
use can include adaptive management but that, ``adaptive management 
does not...imply that when there are gaps in information the assumption 
would be that trade would be sustainable.'' Our intent is not to 
minimize the value of adaptive management. However, adaptive management 
is not the only information considered when determining if trade would 
be sustainable. When making non-detriment findings, we will consider 
all relevant biological and trade information (see Sec.  23.61).
    One commenter agreed with us that sustainable use is the essence of 
a CITES non-detriment finding. However, the commenter noted that not 
all permit applications are for activities that have an impact on wild 
populations. We agree and take this into consideration when making non-
detriment findings. Even if a specimen is considered captive bred under 
the Treaty, certain conditions must be met, including that the founder 
stock was acquired legally and in a manner non-detrimental to the 
survival of the species (see Sec. Sec.  23.46, 23.63).
    One commenter stated that certain phrases in our definition could 
be interpreted in multiple ways, and asked us to provide additional 
discussion of several phrases, including ``biologically viable,'' 
``long term,'' and ``role or function in its ecosystem.'' We do not 
believe that these phrases require additional clarification because 
they are concepts that are inherent to conservation and wildlife 
management. Furthermore, they are not defined in the Treaty or in 
resolutions agreed by the Parties. We use these concepts for guidance 
in making non-detriment findings.
    Definition of ``traveling exhibition'': We revised the definition 
of traveling exhibition for clarity, in response to comments received 
(see preamble discussion for Sec.  23.49).
    Management and Scientific Authorities (Sec.  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, the 
Secretary of the Interior is designated as the CITES Management 
Authority and Scientific Authority, and these authorities have been 
delegated by the Secretary and the Director of the FWS to different 
offices within the FWS. This section summarizes the major roles of 
these authorities in the United States. The roles include a wide range 
of activities, such as the issuance and denial of permits; 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). 
Although other Federal agencies, as part of a larger federal 
involvement in international affairs, also play a role in CITES 
efforts, for example in communicating with the Secretariat and 
representing the United States at CITES meetings, they are not part of 
the Management Authority or the Scientific Authority for the United 
States.
    A number of State fish and wildlife resource management agencies 
noted that the inclusion of this section summarizing the major roles of 
the Management and Scientific Authorities was very useful to the 
regulated community. Additionally, some of these commenters remarked on 
the need to clarify the process by which a non-Party designates 
competent authorities to fulfill the role of a Management and 
Scientific Authority to engage in international trade in CITES species. 
We decline to make a change in response to this comment because this 
section is intended to outline the roles of a Management Authority and 
a Scientific Authority rather than outline the process by which they 
are designated.
    Contact information (Sec.  23.7): The table in this section 
outlines the type of information available from the U.S. Management 
Authority, U.S. Scientific Authority, the FWS Office of 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

[[Page 48409]]

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 noted the absence in this section of the contact 
information for the appropriate office in the U.S. Department of 
Agriculture for live animal clearance procedures. Another commenter 
suggested that we include contact information in this section for APHIS 
Veterinary Services, National Center for Import and Export (NCIE), and 
the Centers for Disease Control (CDC) because imports of live wildlife 
and wildlife products may also be regulated by these offices. The 
commenter pointed out that this information would be useful to the 
large number of pet bird owners who travel into and out of the United 
States with their pet birds. Since neither NCIE nor the CDC has direct 
responsibility for the inspection or clearance of shipments of live 
CITES specimens, we have declined to include their contact information 
in this section.
    Information collection (Sec.  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 (44 U.S.C. 3501 et seq.). 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 mistakenly thought that our estimate for the 
amount of time it takes to complete an application was an estimate of 
the length of time it takes to obtain a permit.

What Are the Changes to Subpart B of 50 CFR Part 23--Prohibitions, 
Exemptions, and Requirements?

    In this 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 must 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 (Sec.  23.13): This section implements the 
international trade prohibitions under CITES. We list introduction from 
the sea separately from import to clarify that CITES treats these 
activities differently. We include the phrase ``engage in international 
trade'' in 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.
    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.
    Three commenters expressed their support for the clarification in 
Sec.  23.13 that trade in violation of the regulations by a person 
subject to U.S. jurisdiction is prohibited even if the specimen is not 
imported into or exported from the United States. They noted that this 
will ensure that actions by U.S. citizens do not undermine the purposes 
of CITES outside the United States. One commenter opposed this part of 
the section, stating that it was contrary to elemental principles of 
national jurisdiction to hold a U.S. citizen legally responsible for 
conducting an activity outside the United States that is a violation of 
U.S. law when the activity is consistent with the law of the foreign 
country.
    As long as a U.S. citizen engages in trade in a CITES specimen 
outside the United States consistent with all the requirements of CITES 
and the foreign countries' domestic laws implementing CITES, it would 
not be a violation of U.S. law. Section 9 of the ESA makes clear that 
citizens of the United States have a responsibility to comply with all 
applicable CITES procedures when they engage in trade in CITES 
specimens outside the United States. Given that 171 countries are 
parties to CITES, a U.S. citizen trading a CITES specimen between two 
foreign countries is likely to need CITES documentation from one or 
both of those countries. Failure to obtain and present the required 
CITES documentation would be a violation of the ESA.
    One commenter was concerned with our response in the 2006 proposed 
rule (71 FR 20167) to a previous comment that an applicant's failure to 
provide adequate documentation showing legality of a specimen, while 
not necessarily evidence that the specimen was traded contrary to 
CITES, might prevent us from making the required findings or being able 
to issue the necessary CITES documents for subsequent import, export, 
or re-export. The commenter suggested that the FWS establish procedures 
or describe the kinds of evidence we will accept in lieu of positive 
documentation.
    We have not specified the type of documentation that an applicant 
must present in order for us to make necessary findings and issue the 
required documents because it is not possible to describe the full 
variety of information that could be used to show that a proposed 
activity is consistent with CITES requirements. In each case, the 
applicant must present enough information to allow the FWS to make the 
required determination, but the source of this information and the 
level of detail needed to make the finding will vary. See Sec.  23.34 
for more detail.
    Personal and household effects (Sec.  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 clarified the current regulations (Sec.  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 without 
CITES documents. 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 defined personal effect and household effect in 
Sec.  23.5. We clarified that we consider qualifying tourist souvenirs 
to be personal effects.
    Six commenters supported, in general, the clarification regarding 
personal and household effects, and several of those commenters 
supported specific provisions regarding Appendix-I and live specimens. 
They believed the clarification would help prevent abuses of the 
personal and household effects exemption. Three commenters, however, 
urged us to ease restrictions on individuals traveling with legally 
acquired CITES species. Although the commenters did not provide 
specific suggestions, we note that these regulations already provide an

[[Page 48410]]

exemption from CITES documentation for many individuals traveling with 
legally acquired CITES specimens. Another commenter believed that the 
trade in specimens under the exemption for personal and household 
effects creates a loophole that may adversely impact imperiled species. 
We disagree that this exemption has an adverse effect on listed taxa. 
As noted above, Article VII(3) provides for this exemption under 
certain circumstances, and the Parties have adopted additional 
guidelines through resolution.
    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 website (see Sec.  23.7). 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 Amendments of 1981, however, the 
United States requires an export permit if such a permit is required by 
the other Party involved in the trade, 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. One commenter 
believed the United States should impose stricter measures and require 
CITES documents for all personal and household effects. Such a 
requirement would be burdensome and provide little conservation value 
in most cases. Therefore, we declined to make a change based on this 
suggestion. However, these regulations allow for stricter measures 
under other U.S. laws (e.g., the ESA) for those species that warrant 
greater scrutiny. We believe this will allow for greater oversight when 
there appears to be a conservation value in doing so.
    One commenter requested that we provide clarification regarding the 
restrictions imposed by the Lacey Act Amendments of 1981 and notify 
other CITES Parties of this requirement. The commenter also argued that 
the Lacey Act covered all foreign CITES species. We state in Sec.  
23.15(b) that the personal and household effects exemption does not 
apply if the country prohibits or restricts the import, export, or re-
export of the item. In addition, we state that a personal or household 
effects shipment must be accompanied by any document required by a 
country under its stricter national measures. Both ofthese restrictions 
are imposed upon shipments because of our obligations under the Lacey 
Act Amendments of 1981 to provide support for other countries' stricter 
measures, and actions may be taken based upon information received from 
those countries about such restrictions.
    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, seahorses, 
crocodilian products, giant clam and queen conch shells, and cactus 
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.
    One commenter supported our efforts to enforce the quantity 
limitations and agreed that when the quantities exceed the limit, a 
CITES document is required for the entire quantity.
    We 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 for personal use 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, and so not to create conflicts with U.S. laws, we 
require CITES documents for all Appendix-I specimens, except for 
certain worked items made from African elephant ivory (see Sec.  
23.15(f)). One commenter requested clarification as to whether 
Appendix-I species could qualify for the personal or household effects 
exemption, and if so, indicated that they should only be pre-
Convention. Section 23.15(d)(2) states that no specimens from an 
Appendix-I species are included except for certain worked African 
elephant ivory. Section 23.15(f) on worked African elephant ivory 
states that the ivory must be pre-Convention.
    We clarify that personal effects must be personally owned by the 
traveler for exclusively noncommercial purposes, the quantity and 
nature 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. 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.
    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 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 allow a person to make as many 
shipments as needed to accomplish the move as long as they occur within 
1 year of the person's change in residence. A person is not precluded 
from shipping his or her household effects after 1 year, although such 
a shipment would require the appropriate CITES documents.
    Two commenters believed that allowing 1 year after a move from one 
country to another to import or export household effects was too long, 
and allowed for potential abuse of the system. Based upon years of 
experience with CITES household moves, which have previously had no 
timeframe under U.S. regulations, we believe the 1-year timeframe is 
reasonably appropriate for completing the shipment of household goods 
to a new residence while preventing abuse of the exemption.
    The AECA and ESA include stricter U.S. legislation concerning 
international trade in African elephant ivory. We allow U.S. residents 
to travel out of and return to the United States with pre-Convention 
worked African elephant ivory as personal or household effects under 
certain conditions, including that the items are registered. 
Registration consists of obtaining a U.S. CITES pre-Convention 
certificate, FWS Wildlife

[[Page 48411]]

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 must 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 adopted 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.
    One commenter did not support this exemption because of concerns 
regarding the illegal trade in ivory. The commenter believed the 
exemption sets a bad precedent and should be deleted. We believe that 
the measures we have put in place, including registration of personally 
owned pre-Convention worked African elephant ivory before leaving the 
United States, provide sufficient safeguards.
    Urine, feces, and synthetically derived DNA (Sec.  23.16): 
International trade in these specimens is 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. We do not believe that trade in urine, feces, and 
synthetically derived DNA samples will adversely affect the 
conservation of, or effective regulation of trade in, CITES species and 
their parts, products, or derivatives.
    At CoP12 and CoP13, there were proposals to annotate the Appendices 
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. If a country requires 
CITES documents, we will process an application for these specimens.
    Three commenters generally supported and two commenters generally 
opposed the exemption for urine, feces, and synthetically derived DNA 
in Sec.  23.16. One commenter agreed that urine and feces should be 
exempt, but wanted to see a statement to ensure that collection methods 
for urine or feces posed no harm to listed species. Two commenters 
expressed concern about the exemption because of the potential need to 
capture and restrain listed species to collect samples. We have 
exempted urine and feces from CITES requirements and will therefore not 
require a statement on collection method. However, as noted in the 2006 
proposed rule (71 FR 20167), we believe that it is important that 
researchers collect samples in a manner that does not harm the wildlife 
and complies with the laws of the country where the collection occurs. 
Researchers should contact the foreign Management Authority or other 
relevant wildlife authorities to obtain information on collection and 
export requirements prior to collection of urine or feces. Another 
commenter endorsed the exemption and described non-CITES restrictions 
placed on U.S. researchers regarding collection of these samples. The 
commenter added that such research oversight is also prevalent in other 
countries, often through legislation.
    One commenter said that the United States should resist 
promulgating regulations that are more lenient than those agreed to by 
the Parties and noted that there is no resolution that provides for 
this exemption. In the 2006 proposed rule (71 FR 20167), we noted that 
the Parties have not agreed on whether urine, feces, or synthetically 
derived DNA are regulated by CITES. Where there is a lack of clarity or 
no agreement, the United States is left to make its own interpretation 
of the provisions of the Treaty. In our view, these are byproducts and 
are not recognizable parts or derivatives as defined in Article I of 
the Treaty. The commenter was also concerned that this exemption could 
lead to illegal trade in non-synthetic DNA labeled as synthetically 
derived DNA. We note that this exemption reflects a practice of the FWS 
that has been in effect since 1994. We have received no information to 
indicate that this practice has led to an increase in illegal trade in 
falsely declared DNA, nor do we expect this to occur in the future.
    One commenter asked whether ambergris was covered under the 
provisions of either CITES or the MMPA. Because it is a byproduct, we 
do not consider ambergris to be covered by CITES provisions. The 
applicability of MMPA provisions to trade in ambergris is outside the 
scope of this rule.
    Diplomats and other customs-exempt persons (Sec.  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 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. One commenter strongly supported the 
requirement for CITES documentation even if a person receives duty-free 
or inspection waiver privileges. The commenter further emphasized that 
U.S. officials have the legal authority to confiscate specimens of 
CITES species if a diplomat attempts to import or export them, or 
transit through the United States with them, without appropriate 
documentation.
    Required CITES documents (Sec. Sec.  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 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 organized the information on what types of CITES documents are 
required into two decision trees and two tables. 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 the regulations that explains the application 
procedures, general provisions, issuance and acceptance criteria, and 
conditions for each type of document. One commenter agreed with this 
approach and stated that the decision trees and tables in these 
sections were extremely useful.
    One commenter supported the statement in Sec.  23.20(f) that an 
introduction-from-the-sea certificate must be obtained before 
conducting the proposed activity and the clarification that 
international trade following introduction from the sea is considered 
an export, not a re-export.
    Another commenter expressed concern that the document requirements 
for Appendix-III specimens that originate in a country other than the 
listing country are not clear. We have addressed this comment under the 
preamble discussion pertaining to certificates of origin (Sec.  23.38).

[[Page 48412]]

    Export of Appendix-I wildlife (Sec.  23.18): The decision tree 
clarifies that international trade in Appendix-I wildlife may not be 
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 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-for-primarily-
commercial-purposes 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 no longer allow 
the use of Article III of the Treaty to export Appendix-I wildlife 
unless the export is for noncommercial purposes. We also 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 captive-bred Appendix-I 
wildlife will be given a source code ``F,'' rather than a ``C,'' and 
the export will be allowed only if the export is for noncommercial 
purposes and an import permit has been granted.
    One commenter thought that the use of the double negative in the 
decision tree for export of Appendix-I wildlife in Sec.  23.18 leads 
the casual reader to assume that noncommercial trade is not allowed. 
The purpose of the decision tree is to walk the reader through the 
requirements for trading in Appendix-I specimens under different 
scenarios, and it is important to read it through in full.
    Two commenters strongly supported the requirement that to qualify 
for an exemption under Article VII(4) and (5) as bred in captivity, the 
specimen must have been bred at a CITES-registered facility or bred for 
noncommercial purposes. However, one of these commenters questioned how 
the terms ``not primarily commercial'' and ``noncommercial purposes'' 
were used. See the discussion regarding the definition of 
``commercial'' in Sec.  23.5.
    Reservations (Sec.  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 such 
shipments do not transit a Party country. Trade with Parties that have 
not taken the same reservation requires CITES documents.
    This section emphasizes what types of documents are required from 
Parties that have taken a reservation on a species listing. We 
incorporated 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 
incorporated Resolution Conf. 9.7 (Rev. CoP13), which clarifies the 
requirements in 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.
    We explain how a person can provide relevant information and 
request that the United States consider taking a reservation. 
Additionally, we note that if the United States entered a reservation 
to the listing of a species in Appendix I, we will require a CITES 
document that meets 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 
country has implemented CITES through its domestic legislation 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).
    One commenter argued that the United States should prohibit all 
trade in Appendix-I species involving non-Parties or Parties with a 
reservation if that trade involves a U.S. citizen or if the specimen is 
to be imported into, exported from, or otherwise transit a U.S. port. 
We believe that this comment is adequately addressed in the 2006 
proposed rule (71 FR 20167), and refer the commenter to that document 
for further clarification.
    In-transit (Sec.  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 transshipping 
them through intermediary countries. 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 define an in-transit shipment as the 
transshipment 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 Sec.  23.50 for 
sample collections covered by an ATA carnet. In-transit shipments, 
other than sample collections (Sec.  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 country. In 1989, the CoP noted that, if valid CITES export 
documents were required to accompany shipments

[[Page 48413]]

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 regulations reflect the recommendations of the CoP to prevent 
misuse of the in-transit exemption. A copy of the valid original 
document may be used for in-transit shipments. However, transshippers 
should be aware 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.
    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, and arrives in the United States before continuing on to 
another country is considered an import and must meet all import 
requirements.
    One commenter stated that the regulations should require a ``firmer 
control of original CITES documents by carriers.'' The commenter 
suggested that the carrier should permit the shipment to be held at the 
destination for no additional charge when the documents are lost by the 
carrier. The scope of these regulations does not address how carriers 
control shipping documents or the charges that are assessed by carriers 
for storage of shipments pending clearance. One commenter suggested 
that we include a statement that all in-transit wildlife shipments of 
CITES species must comply with IATA regulations. As stated in Sec.  
23.26, all shipments, including in-transit shipments, must meet the 
IATA requirements. Therefore, we believe it is unnecessary to restate 
that in-transit shipments must comply with the humane transport 
requirements.
    Required information on CITES documents (Sec.  23.23): This section 
details what information must be included on CITES documents. 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 had concerns regarding our response in the preamble 
to a comment stating that ``documents that do not contain the required 
information may be considered invalid and rejected by any Party.'' One 
commenter requested clarification of specifically what would trigger a 
rejection by the FWS, and the other commenter indicated that the 
statement was too ambiguous and left too much discretion to the port 
official. Section 23.23 of the rule details the information required on 
a permit, and Sec.  23.26 provides guidance on when we consider a U.S. 
or foreign CITES document to be valid.
    Most of the information in this 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. 
A number of commenters appreciated the inclusion of this section, and 
stated that it would provide a ``valuable addition to the regulated 
community.''
    CITES forms (Sec.  23.23(b)): This section states that CITES 
documents issued by a Party must be on a form printed in one or more of 
the three working languages of CITES (English, French, or Spanish). One 
commenter stated that, to ensure that our customs and wildlife 
inspectors are able to understand all statements made on the face of a 
CITES document, we should require that all CITES documents for 
shipments coming into the United States be printed in English only. 
Similarly, the commenter stated that each Party should designate one of 
the three working languages in which all CITES documents accompanying 
shipments into that Party's country should be printed. While we agree 
that having English as the only language appearing on incoming 
documents would be easier for our inspectors, CITES allows for 
documents to be printed in any of the three working languages and we 
cannot regulate the activities of foreign countries through our 
domestic regulations.
    Required information (Sec.  23.23(c)): One commenter raised a 
concern that, while the customs declaration label that is required on 
the outside of a container of CITES specimens moving from one 
registered scientific institution to another registered scientific 
institution (Sec.  23.48(e)(5)) may constitute a CITES document, it is 
unlike other CITES documents with regard to the information it must 
contain. We agree with the commenter that, like phytosanitary 
certificates, the customs declaration label must contain specific 
language and information that is not the same as what is required on 
other CITES documents. We have amended the language in Sec.  23.23(c) 
to exclude these labels.
    Bill of lading or air waybill (Sec.  23.23(c)(3)): Although a 
suggestion was made after we first proposed these regulations in 2000 
to require that the air waybill or bill of lading information appear on 
the face of CITES documents, we declined to make this mandatory because 
the specific information is not always known at the time the CITES 
document is validated. One commenter on the 2006 proposed rule (71 FR 
20167) supported this approach, agreeing that such information is not 
always available.
    Dates (Sec.  23.23(c)(4)): Over the years, we have received many 
questions about the ``valid until'' date. In this final rule, 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. One commenter expressed 
a concern that, due to situations beyond an importer's control, such as 
delayed transport or prolonged customs procedures, shipments may not 
arrive prior to the expiration date of a document. The commenter argued 
that, if an importer allows a reasonable period of time for the 
shipment to arrive in the United States, the documents should be 
accepted regardless of the expiration date. We cannot accept this 
suggestion. The Treaty establishes the period of validity for some 
documents, and the Parties, through resolution, have established a 
specific time period for which other documents are valid. We strongly 
urge importers and exporters to

[[Page 48414]]

be aware of the expiration date of their documents and to request 
replacement documents if they do not believe that the shipment can be 
completed before the document expires.
    Humane transport (Sec.  23.23(c)(7)): We require that CITES export 
and re-export documents for live wildlife contain a specific condition 
that the document is only valid if the transport complies with certain 
humane transport standards. One commenter indicated that three sections 
(Sec. Sec.  23.23, 23.26, 23.36) do not contain the same language with 
respect to humane transport. The commenter suggested the language used 
in Sec.  23.36 should be used in all sections because it reiterates 
CITES language. We declined to make a change based on this suggestion 
because each section has a different purpose and requires different 
language. Section 23.23 provides the wording that must be included on a 
CITES document, Sec.  23.26 lays out the condition for acceptance of a 
shipment, and Sec.  23.36 provides the criteria for issuance of a 
permit.
    We do, however, make a change to Sec. 23.23(c)(7) to incorporate by 
reference CITES's Guidelines for transport and preparation for shipment 
of live wild animals and plants. We inadvertently omitted this 
necessary incorporation by reference in our proposed rule, and we are 
correcting that omission in this final rule.
    Identification of specimen (Sec. 23.23(c)(8)): We require that the 
CITES document accompanying a shipment contain information on any 
unique number or mark that is used to identify a specimen in that 
shipment. If the specimen has a microchip, the specific information 
concerning the code, trademark of the transponder manufacturer, and 
location of the chip must 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 supported the provision that an importer or 
exporter must provide equipment to read a microchip, if requested. 
Another commenter did not support this approach and argued that the FWS 
should provide any required equipment. This commenter also did not 
believe that we should require that unique markings or microchip 
numbers be identified on the face of the CITES documents. The commenter 
thought this requirement would be burdensome to exporters that use 
microchips, whereas those exporters who do not use microchips would not 
have the same documentation burden. On an application for a CITES 
document, the applicant is asked to identify the specimens to be 
imported or exported. If the applicant uses a unique mark or microchip 
as a form of identification, we will use that as a means of identifying 
the specimen. Because a CITES document is issued for specific 
specimens, the use of identification marks or microchips ensures that 
the specimens identified in the application are the specimens presented 
at the time of import or export. Requiring that the unique marks or 
microchips be identified on the face of the CITES document allows for 
such identification. With regard to the FWS purchasing microchip 
readers, there currently is no industry standard for microchip readers 
and the cost to purchase every type for each wildlife inspection 
station would be prohibitive.
    Purpose of transaction (Sec.  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. One commenter expressed confusion over the fact that 
the regulatory language at Sec.  23.23(c)(11) uses the words ``if 
possible'' and therefore allows for the possibility that the purpose of 
the transaction may not appear on the face of a CITES document. We have 
amended the text to remove the ambiguity and to clarify that the 
purpose of the transaction must be identified on the face of the CITES 
document, either through use of one of the purpose of transaction codes 
in Sec.  23.23(d) or through a written description.
    Quantity (Sec.  23.23(c)(12)): We require that standardized units 
are used on all documents. 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. To monitor trade effectively, we need records on quantities 
that accurately reflect the volume of that trade.
    One commenter agreed with the requirement that appropriate units be 
used on documents. However, the commenter believed that we should 
include a table of all of the units accepted by the Parties. We decline 
to accept this comment since the accepted units, which are identified 
by species or commodity, are too numerous to list. The accepted units 
are identified in the annual report format guidelines that are 
available on the CITES website or from us (see Sec.  23.7).
    Signature (Sec.  23.23(c)(16)): We require that the signatures of 
individuals authorized to sign CITES documents for a Management 
Authority 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. One commenter believed that this requirement would be 
impractical. We disagree and note that this is not a new requirement. 
Resolution Conf. 12.3 (Rev. CoP13) recommends that Parties communicate 
to the Secretariat the names of the persons empowered to sign CITES 
documents and submit examples of their signatures. The FWS provides 
this information to the Secretariat for documents issued by the United 
States and verifies signatures with the Secretariat when questions 
arise about the validity of foreign documents.
    Validation (Sec.  23.23(c)(21)): We require CITES documents to 
indicate the actual quantity exported or re-exported, whether the 
shipment is physically inspected upon export or not. One commenter 
expressed concerns that this section requires a CITES permit to be 
validated prior to leaving the country; otherwise it is not considered 
a valid permit. The commenter stated that the majority of countries do 
not validate their export permits and that this will become an 
enforcement burden to the wildlife inspection program to either re-
export the shipment for lack of validation or seize the item(s). The 
commenter questioned if there is a plan to notify all CITES Parties of 
this new requirement to lessen the burden. We are aware of the lack of 
implementation of this CITES requirement by some countries, and plan to 
focus outreach efforts on this issue before the rule enters into 
effect. However, we are also aware that receipt of a CITES document 
without validation is not necessarily due to an exporting or re-
exporting country having chosen not to validate, but may be because 
these shipments have evaded export controls. The lack of validation is 
quite often a violation of the exporting or re-exporting country's 
CITES laws, and we are committed to ensuring that shipments of CITES 
species are legally traded.
    One commenter had concerns that the FWS would seize specimens if 
the authorized quantity had been changed without the validation stamp. 
The commenter suggested that, if a mark-out occurs and a new quantity 
is written by the Management Authority of the exporting country, the 
quantity should be verified through a physical inspection by the FWS 
without action taken against the importer. We disagree with this 
comment. If any alteration of

[[Page 48415]]

the CITES document occurs, this must be identified by the stamp and 
signature of a person authorized to sign CITES documents for the 
issuing Management Authority or the document is considered invalid. 
Without the stamp and signature verifying the originator of the 
changes, we can only assume such changes were not authorized, and we 
must take appropriate action.
    One commenter raised a concern about requiring validation or 
certification of a customs declaration label used to identify specimens 
being moved between registered scientific institutions. We have revised 
this section to exclude these labels from the validation requirement.
    Additional information (Sec.  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 expressed concern over how quotas are handled by 
the Parties and believed that this section should include additional 
language that would provide greater control over quotas. Although we 
recognize that the Parties are currently evaluating the uses of quotas, 
this section was not intended to address those concerns. This section 
provides the additional language required on CITES documents when the 
specimens identified on the document fall under an established quota. 
Therefore, we have not made the changes to this section requested by 
the commenter.
    Phytosanitary certificates (Sec.  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 this time, we do not allow the use of phytosanitary 
certificates in lieu of CITES certificates for export of plants 
artificially propagated in the United States. One commenter believed 
there was a contradiction in this last statement. To clarify, although 
the United States does not issue phytosanitary certificates in lieu of 
CITES certificates, we will accept them from other Parties that have 
issued such documents, provided the phytosanitary certificate was 
properly issued and meets the requirements set out in this section.
    Source of the specimen (Sec.  23.24): The source of a specimen is 
needed by Management and Scientific Authorities to make the findings 
required to issue CITES documents and is an important component in 
analyzing data and monitoring trade. We provide a list of standardized 
codes that Management Authorities use on CITES documents to identify 
the source of the specimen. In addition, we provide the definition for 
each code, and explain that the source code ``O'' for pre-Convention 
specimens should be used in conjunction with another source code. The 
U.S. Management Authority will determine the appropriate code to use 
when issuing a document, based on information provided in an 
application.
    We often receive questions about the difference between the source 
codes ``C'' and ``F.'' Wildlife bred in captivity can be given the 
source code ``C'' and traded under an Article-VII exemption certificate 
only if the specimen meets the requirements adopted by the CoP for bred 
in captivity (see Sec.  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 Sec.  23.18.
    Two commenters expressed concern that use of the source code ``F'' 
for Appendix-I specimens that were commercially bred at a facility that 
was not registered with the CITES Secretariat would negatively impact 
their commercial operations. As discussed further in Sec.  23.46, 
specimens that are produced for commercial purposes at a registered 
commercial breeding operation are afforded a specific exemption under 
Article VII(4) of the Treaty. These specimens are given the source code 
``D'' on CITES documents. If a commercial breeding operation for 
Appendix-I species does not meet the requirements set out in Sec.  
23.46 to be registered with the CITES Secretariat, its specimens would 
not be eligible for the exemption under Article VII(4), and therefore 
any international trade of such specimens would be subject to the 
provisions of Article III of the Treaty.
    Additional information required on non-Party documents (Sec.  
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 a 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, they adopted Resolution Conf. 9.5 (Rev. CoP13). This 
resolution recommends that Parties accept documents from non-Parties 
only if they contain certain basic information, including 
certifications that a competent authority has made the findings 
required under Articles III, IV, or V of the Treaty. Therefore, we have 
incorporated 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. One commenter expressed concern that a 
certification from a non-Party that findings have been made in 
accordance with the Convention did not guarantee that findings were 
accurate or scientifically sound. We believe that the requirements in 
Resolution Conf. 9.5 (Rev. CoP13) and Resolution Conf. 12.3 (Rev. 
CoP13) are sufficient to ensure that trade with non-Parties is 
conducted in accordance with CITES. As noted elsewhere in this rule, if 
we have concerns regarding a CITES document issued by another country, 
we will investigate the situation further.
    Valid CITES documents (Sec.  23.26): Article VIII of the Treaty 
outlines measures that Parties shall 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 do not re-enter illegal trade, Parties are urged 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.
    One commenter stated that the FWS should impose rules that make it 
clear that a CITES shipment not accompanied by the required CITES 
documents would be deemed illegal and disposed of pursuant to the FWS 
laws and policies with all costs borne by the importer, exporter, or 
re-exporter. We believe the rule clearly identifies the CITES 
prohibitions. The commenter further stated that if such a rule is not 
imposed, the FWS should require that countries issuing permits for 
shipments to the United States should submit electronic copies of the 
documents to ensure that a record of all trade is available. We 
disagree with this suggestion because such a requirement has not been 
agreed upon by the CoP

[[Page 48416]]

and would be overly burdensome for both the United States and other 
CITES Parties.
    We included 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, noting that we 
should accept a document if it is not procured by fraud and meets 
Article VI of the Treaty. One commenter argued that if we had a dispute 
with a country about a permit we should address our concerns to that 
country, and that the Convention does not give us the authority to 
refuse entry of shipments or reject permits in the absence of fraud or 
falsification of the permit.
    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. In addition, violations of CITES consist of more than fraud or 
falsified documents, and the Treaty requires Parties to penalize trade 
in, and possession of, specimens traded contrary to the Convention. As 
decided by the United States District Court for the District of 
Columbia in Castlewood Products v. Norton (Apr. 16, 2003), and affirmed 
by the Court of Appeals for the District of Columbia Circuit (Apr. 30, 
2004), the role of all CITES Parties is to ensure that international 
trade in CITES specimens meets the provisions of the Convention, and 
the Government has the authority to decline to accept export permits at 
face value when reason is shown to doubt their validity. We note that 
the United States receives thousands of CITES shipments annually for 
which CITES documents are accepted as issued. We focus our verification 
efforts on those shipments and CITES documents for which the available 
information indicates a problem may exist.
    One commenter believed that the FWS relies too heavily on the 
assumption that an exporting or re-exporting country is issuing 
accurate and scientifically defensible non-detriment findings. The 
commenter argued that the FWS must mandate import permits for all 
Appendix-I and Appendix-II wildlife or mandate internal reviewof export 
permits to make concurrence determinations, with no exceptions. The 
commenter also stated that the regulations should set specific 
requirements with which foreign Scientific and Management Authorities 
must comply when completing and issuing their findings. The imposition 
of a CITES import permit requirement for Appendix-II wildlife and of 
specific criteria for other countries to use in making their non-
detriment findings goes beyond what is required under the Treaty. We 
have full authority to question a non-detriment finding when we have 
reason for concern. Requiring import permits for Appendix-II specimens 
would add significantly to our workload, but would not provide 
significant benefit.
    Acceptance of CITES documents (Sec.  23.26(c)): We present the 
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.
    Annual reports (Sec.  23.26(c)(2)), Convention implementation 
(Sec.  23.26(c)(5)), Legal acquisition (Sec.  23.26(c)(9)), and Non-
detriment (Sec.  23.26(c)(12)): Three commenters urged us to include 
regulatory provisions to implement recommended trade suspensions. When 
the Standing Committee or the CoP recommends a temporary trade 
suspension, based on the results of the Review of Significant Trade, 
non-submission of annual reports, the status of adequate national 
legislation, or ongoing enforcement or implementation problems, Parties 
are informed of the decision through a Notification to the Parties 
issued by the Secretariat. All three commenters indicated that 
temporary suspensions are a valuable tool for ensuring compliance by 
CITES countries. Two commenters stated that implementation of CITES 
trade suspensions is a responsibility of the United States in its role 
as a major importer of CITES species, and one commenter urged 
regulatory language requiring immediate implementation of CITES trade 
suspensions. One commenter also suggested that we add a specific key 
phrase to Sec.  23.26(c) for CITES trade suspensions.
    While we believe the regulations as proposed allow us to implement 
any temporary suspensions of trade, we agree that adding language to 
Sec.  23.26(c) will provide useful clarification for the public. CITES 
trade suspensions are based on failure to comply with basic Treaty 
requirements, and we realize that the basic Treaty requirements are 
scattered throughout many sections of the regulations. Therefore, to 
provide clarity, we have added four additional key phrases to Sec.  
23.26(c), annual reports, Convention implementation, legal acquisition, 
and non-detriment, as conditions that must be met before we consider a 
CITES document valid. The addition of these key phrases also ensures 
continuity with Sec.  23.26(d) which outlines when we might verify a 
CITES document with the Secretariat or a foreign Management Authority. 
Although we indicate that these key phrases form the basis for 
acceptance of CITES documents, in addition to requirements in other 
sections, we will not generally question findings made by a Party for 
each individual shipment. We seek additional information where there is 
reason to question a shipment or a pattern of trade.
    Management Authority and Scientific Authority (Sec.  23.26(c)(10)): 
One commenter supported the requirement that non-Parties designate 
Management and Scientific Authorities.
    Quotas (Sec.  23.26(c)(14)): Quotas may be established voluntarily 
by Parties, adopted by the CoP through a resolution or proposal to 
amend Appendix 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 quotas each year, and 
we require that, for a given species, the quantity exported not exceed 
the quota. One commenter agreed with this requirement.
    Ranched specimen: We received one comment related to a provision 
that appeared in the 2000 proposed rule (65 FR 26664) regarding not 
allowing international trade in ranched specimens involving non-Parties 
or Parties with a reservation on a species downlisted from Appendix I 
to Appendix II subject to ranching. Resolution Conf. 10.18 included 
language addressing this potential trade restriction. However, 
Resolution Conf. 11.16, which replaced Resolution Conf. 10.18, does not 
include this provision. Since the Parties excluded this provision when 
revising the ranching resolution, we did not include the restriction in 
this rule.
    Shipment contents (Sec.  23.26(c)(18)): This paragraph specifies 
that the contents of the shipment must match the description of 
specimens on the CITES document and that the shipper may not substitute 
a new specimen to replace the one authorized. One commenter believed it 
was reasonable to allow a scientist who had obtained a permit for 
several specimens of a particular species to substitute different 
specimens of the same species without having to amend the permit. We

[[Page 48417]]

disagree. Findings are made based on information provided by the 
applicant for specific specimens, and therefore the specimens in a 
shipment must correspond to what was authorized.
    Verification of CITES documents (Sec.  23.26(d)): This paragraph 
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.
    Verification of CITES documents can be a lengthy process and 
depends on the issue, the means of communication, and the cooperation 
of the countries involved. Failure by a country to respond through 
normal channels of communication or failure to provide sufficient 
information to determine validity of documents may result in refusal of 
a shipment.
    We rely on Parties and non-Parties to make appropriate findings, 
and we seek additional information only when we have a specific reason 
to do so. The Plants and Animals Committees, through the Review of 
Significant Trade process, regularly evaluate whether Parties are 
properly making non-detriment findings. Four commenters questioned why 
we both rely on Parties and non-Parties to make appropriate findings 
and also allow the Animals and Plants Committees to regularly evaluate 
whether Parties are properly making non-detriment findings. The 
commenters suggested that we delegate the process to the Committees. We 
wish to clarify that Parties and non-Parties are required under CITES 
to make legal acquisition and non-detriment findings for the CITES 
documents they issue. Although the Plants and Animals Committees 
regularly evaluate whether Parties are properly making non-detriment 
findings, this is only done for selected species determined to be 
subject to significant levels of trade. Such evaluations are done at 
the species level, usually range-wide, not for individual permits, and 
not at the specific request of a country. Individual permit findings 
cannot possibly be made by the Plants and Animals Committees, which 
generally meet only annually. We may request information on non-
detriment findings made by other countries, including the underlying 
basis for quotas established by Parties, when we have a question 
regarding a shipment or a pattern of trade.
    Several commenters indicated that if the United States questions a 
non-detriment finding there should be official notice to the public and 
the regulated community before a contrary determination is made. 
Although we encourage the public to provide relevant information if 
they have concerns about a finding made for a particular shipment, we 
decline to add a requirement that we solicit public comment whenever we 
have reason to question a non-detriment finding. We believe it is 
unnecessary and would undermine any timely and appropriate enforcement 
action that may be warranted.
    One commenter strongly supported the regulations regarding 
verification of documents and noted that the issuance of a permit 
without making the relevant findings is inconsistent with Articles III 
and IV of the Treaty and therefore constitutes noncompliance. Another 
commenter recognized that the FWS has the authority to respond to 
violations, but believed that where a document is apparently valid, and 
not procured fraudulently, importers should have a reasonable 
expectation of a procedural standard for ``looking behind'' the 
document to determine its validity. We agree and have provided detailed 
information about when we would question the validity of a permit and 
seek verification. The commenter further stated that the failure to 
make adequate findings by ignoring, omitting, or failing to review 
relevant information is no different. The commenter argued that the 
regulation confirms the FWS' authority to look behind a facially valid 
permit. The commenter urged us to retain the proposed language in the 
final rule because it facilitates proper implementation of the 
Convention and the holding of the United States District Court for the 
District of Columbia in Castlewood Products v. Norton (Apr. 16, 2003).
    One commenter argued that a CITES export permit must be regarded as 
the only authorization necessary to trade in CITES species. We agree 
that as signatories to CITES, the Parties have an obligation to issue 
export permits in accordance with the requirements of the Convention. 
However, 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. This 
position was affirmed by the United States District Court for the 
District of Columbia in Castlewood v. Norton and the Court of Appeals 
for the District of Columbia.
    One commenter suggested we include in Sec.  23.26(d)(5) a statement 
allowing us to request verification of a CITES document when we have 
reasonable grounds to believe that the specimen was produced from 
illegally acquired parental stock. We agree and have revised the 
regulations accordingly.
    One commenter stated that the verification process outlined in the 
2006 proposed rule (71 FR 20167) would be grossly unfair to importers. 
We disagree. These regulations provide a greatly expanded explanation 
of what CITES documents are required for trade, the information that 
must be contained on a CITES document, when we consider a document 
valid, and what importers should present at the port of entry. We 
believe that this section will assist the regulated public in 
determining what they must do to comply with CITES if they wish to 
import or export CITES species.
    Presentation of CITES documents at the port (Sec.  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 provide a table outlining the type of U.S. and foreign 
documents they must present for validation or certification, or that 
they must surrender, when importing, introducing from the sea, 
exporting, or re-exporting CITES species.
    One commenter made a general statement that we should modify these 
regulations to reflect reality and allow uniform application of the 
rules, in particular with respect to the validation and clearance 
process. We believe the regulations governing the CITES approval and 
validation process are appropriate as written. Article VIII of the 
Treaty requires the Parties to establish an inspection process that 
takes place at the ports of exit and entry to ensure that wildlife 
shipments are in compliance with CITES. The validation process is an 
important component of CITES that enables U.S. inspection authorities 
to confirm the authenticity of permits and ensure that wildlife 
shipments were legally shipped from the exporting country. Such 
determinations are needed to ensure the proper enforcement of U.S. laws 
and regulations. Specific problems with clearance procedures in a 
foreign country should be addressed to the appropriate Management 
Authority. One commenter supported our clarification in the 2006 
proposed rule (71 FR 20167) that CITES documents for wildlife in 
personal accompanying baggage should be submitted as soon as possible 
to the FWS if Customs or Agriculture officials fail to collect the 
documents at the time of arrival of the passenger.

[[Page 48418]]

    One commenter correctly noted that the documentation that 
accompanies shipments of CITES specimens moving between registered 
scientific institutions is not processed at the port in the same manner 
as other CITES documents. We have removed the registered scientific 
institution CITES label from the table in Sec.  23.27(b) and added a 
new paragraph (Sec.  23.27(d)) to describe the port requirements for 
such shipments. In addition, we inadvertently omitted the process for 
presenting phytosanitary certificates for shipments of artificially 
propagated plants and have corrected that by adding the necessary 
language to the table in Sec.  23.27(c).

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

    This subpart provides information on how to apply for a U.S. CITES 
document. It also contains general provisions and criteria that apply 
to both U.S. and foreign CITES documents.
    Application procedures (Sec.  23.32): This section gives a general 
overview of the application process for U.S. CITES documents. Much of 
the information that appears in this section also appears in 50 CFR 13, 
General Permit Procedures, and is repeated here for the convenience of 
the regulated public. One commenter appreciated this reiteration of the 
application process for 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 Sec. Sec.  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.
    One commenter disapproved of our intent in Sec.  23.32(f)(2) to 
abandon any application after 45 days when the applicant has not 
responded to our request for additional information and of the fact 
that we will not re-open an application file once it has been 
abandoned. This procedure is not new. Part 13 of this subchapter 
identifies the process for abandoned application files, and it is 
repeated in this section for emphasis. We receive over 6,000 permit 
applications annually, and we work closely with applicants to avoid the 
need to abandon any application file. In the past, we have received 
requests to re-open files months, and even years, after a file has been 
abandoned. Such requests are burdensome, and we have found that it is 
more efficient to create a new file. As a result, once abandoned we 
will not re-open an application file.
    Decisions on applications (Sec.  23.33): This 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 believed that we were inconsistent when we stated in 
the 2006 proposed rule (71 FR 20167) that we may consult with outside 
experts and others before making required findings, yet we also stated 
that 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 (Sec.  23.26(d)). We believe that the commenter misunderstood 
our point in this section with regard to consultation with outside 
experts. We may consult with outside experts to assist us in making our 
required findings. This is separate from the issue of whether or not we 
will accept the findings made by a foreign CITES authority.
    One commenter was concerned that the burden of proof is on the 
applicant to establish that the issuance criteria are met. The 
commenter noted that the FWS is more likely to have access to certain 
information than the applicant (e.g., biological status of the 
species). While it is true that in some cases we may have access to 
more information than many applicants, we do not believe that it is the 
burden of the government to obtain the information necessary to prove 
that the issuance criteria have been met. We inform the applicant of 
the basis of any denial decision and indicate what information is 
lacking. If the missing information is difficult for an individual 
applicant to obtain (e.g., foreign government management plans), we 
will do our best to obtain such data during the course of reviewing an 
application. However, it is the applicant's responsibility to prove 
that he or she meets the issuance criteria.
    We received several comments on the process for appeal when an 
application has been denied. We refer the commenters to the 2006 
proposed rule (71 FR 20167), where we addressed this issue, and note 
that the general permit procedures in part 13 of this subchapter 
provide the process for review if an application is denied. The 
procedures in part 13 cover all applications processed by the FWS, 
including applications for activities under CITES.
    Records (Sec.  23.34): This section provides examples of the kinds 
of records individuals and businesses may want to keep if they intend 
to trade in CITES species internationally. 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. 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; or is commonly imported. We give less scrutiny and require less 
information when there is a low risk that a specimen was illegally 
acquired and give more scrutiny and require more detailed information 
when the risk is greater.
    One commenter was concerned with our response in the 2006 proposed 
rule (71 FR 20167) to a previous comment that an applicant's failure to 
provide adequate documentation showing legality of a specimen, while 
not necessarily evidence that the specimen was traded contrary to 
CITES, might prevent us from making the required findings or being able 
to issue the necessary CITES documents for subsequent import, export, 
or re-export. The commenter suggested that the FWS establish procedures 
or describe the kinds of evidence we will accept in lieu of positive 
documentation.

[[Page 48419]]

    We have not specified the type of documentation that an applicant 
must present in order for us to make necessary findings because it is 
not possible to describe the full range of information an applicant 
could use to show that their activity is consistent with CITES 
requirements. In each case, the applicant must present enough 
information to allow the FWS to make the required determinations, but 
the source of this information and the level of detail needed to make 
the findings will vary.
    One commenter was concerned that an importer might be unable to 
show proof of legal import because the documents were retained by CBP 
and not forwarded to the FWS. The retention of copies by the importer 
at the time of import is separate from whether CBP transfers paperwork 
for follow-up investigation or storage by the FWS. Commercial importers 
must retain copies of documents for their files. Noncommercial 
importers are encouraged to retain copies of any documents submitted to 
the government for clearance as an ordinary part of the process whether 
or not they intend to submit applications in the future. All importers 
should also be aware that there are recordkeeping obligations under 
customs laws (19 U.S.C. 1508 and 1509) and customs regulations (19 CFR 
part 163).
    General requirements for standard CITES documents (Sec. Sec.  
23.35-23.39): The basic requirements for U.S. and foreign CITES 
documents have not changed since the Treaty took effect in 1975. 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 of these sections provides 
information to help an applicant determine which application form to 
use. The forms can be obtained from our website or requested by phone, 
mail, or e-mail (see Sec.  23.7).
    These sections list the issuance criteria for each type of document 
and reference 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.
    Prior issuance of an import permit (Sec.  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), 
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 stated that we should require the Management 
Authority of the exporting country to acquire a copy of the import 
permit before issuing an export permit or re-export certificate. The 
commenter was concerned that, due either to limited resources or lack 
of interest, a country will not make the required findings if they know 
in advance that the importing country will allow the import. We believe 
that countries strive to fulfill the requirements of the Treaty to the 
best of their abilities and that it is unlikely that an importing 
country would issue an import permit based solely on the fact that the 
exporting country issued an export permit. The commenter also contended 
that allowing the importing country to provide a ``letter of intent'' 
or written assurance that an import permit will be issued will lead to 
situations where the import permit will not be issued by the time the 
import actually occurs, placing border officials in a difficult 
situation. It is the responsibility of the exporter to obtain all the 
necessary documents before engaging in international trade. We concur 
with Resolutions Conf. 10.14 (Rev. CoP13) and 10.15 (Rev. CoP12) that 
allowing importing countries to provide written assurance that an 
import permit will be issued provides a workable solution that allows 
the administrative needs of both the importing and exporting countries 
to be met. If the U.S. Management Authority receives a written 
confirmation that appears unusual or inappropriate, we will investigate 
the situation further.
    Export permits (Sec.  23.36): To comply with Article II of the 
Treaty, the export of Appendix-I wildlife that qualifies for source 
code ``W'' or ``F'' must be for noncommercial purposes (see discussion 
in the preamble for Sec.  23.18). This provision means that facilities 
that are commercially breeding Appendix-I wildlife must become 
registered under Sec.  23.46 before they can export Appendix-I 
specimens. This does not affect the sale of specimens within the United 
States, nor does it preclude the export of specimens where the purpose 
is noncommercial, such as for science, conservation, or personal use.
    Two commenters expressed their support for registering breeding 
facilities for Appendix-I wildlife and allowing the export of wildlife 
from these registered facilities for commercial purposes. However, one 
commenter thought that measures such as registering breeding facilities 
create loopholes and do not provide benefit to Appendix-I species in 
the wild. CITES allows for commercial trade in Appendix-I specimens 
from registered breeding operations, and we do not believe that this 
requirement creates a loophole. The commenter also wanted assurances 
that an Appendix-I specimen bred for noncommercial purposes (i.e., not 
from a registered breeding facility) would only be traded 
internationally for noncommercial purposes over its lifetime. We will 
not authorize commercial trade of an Appendix-I specimen that does not 
qualify for an exemption under which such trade would be allowed. 
Additionally, we expect that countries that are party to CITES will 
abide by the provisions of the Convention, however we do not have 
control over trade that does not involve the United States.
    We address the exemption in Article XIV(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. One commenter 
appreciated the clarification in Sec.  23.36(d) of the requirements for 
CITES documents for certain marine specimens exempted under Article 
XIV(4) and (5).
    We added a new application form to the table in (b) for export of 
caviar or meat from wild-caught sturgeon and paddlefish (Form 3-200-
76). This form was developed after the 2006 proposed rule (71 FR 20167) 
was published.
    Certificate of origin (Sec.  23.38): A certificate of origin allows 
the export of a specimen of a species listed in Appendix III when the 
specimen originated in a non-listing country. This

[[Page 48420]]

section provides specific information on the application form and 
issuance criteria for a certificate of origin.
    One commenter expressed concern regarding documentation 
requirements for trade in Appendix-III specimens. While he believed 
that the requirements were clear for specimens originating in the 
listing country, he stated that there is no uniform format for 
certificates of origin, which results in considerable variation in 
these documents, with some countries no longer issuing any documents 
for the export of Appendix-III specimens. He also noted that acceptance 
of these documents by the United States varies at different ports of 
entry and asked that we ``formulate clear rules which reflect the 
ongoing customs and regulations of other countries.''
    Sections 23.23 to 23.27 provide clear descriptions of the 
information requirements for CITES documents, including certificates of 
origin. These requirements implement the current resolution on permits 
and certificates, and therefore reflect what has been agreed by the 
CITES Parties. Some countries have taken reservations for certain 
Appendix-III species, and we refer the commenter to Sec.  23.21 for an 
explanation of document requirements when a country has elected to take 
a reservation on an Appendix-III listing.
    Introduction from the sea (Sec.  23.39): Article XIV(4) and (5) 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(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.
    One commenter was concerned that allowing the use of other 
treaties, conventions, or international agreements to exempt specimens 
from CITES requirements may reduce their overall protection by allowing 
trade that may not be permissible under CITES. He stated that the FWS 
should identify all such agreements in force on July 1, 1975, and 
provide an analysis comparing and contrasting requirements imposed by 
these other agreements in relationship to CITES requirements. We 
disagree. The exemption in Article XIV(4) and (5) for certain Appendix-
II marine species is limited in scope and was purposely written into 
the Treaty to avoid conflicts with pre-existing treaties, conventions, 
and agreements. Changing or eliminating this exemption would require 
amending the Treaty, which we do not believe is practicable or 
warranted.
    Another commenter believed that guidance was lacking on when an 
introduction-from-the- sea certificate is required. Introduction from 
the sea is defined in Sec.  23.5, and Sec.  23.20(f) and Sec.  23.39 
explain clearly that unless the specimen qualifies for an exemption 
under Article XIV(4) and (5), the introduction from the sea of an 
Appendix-I or -II specimen requires an introduction- from-the-sea 
certificate. Criteria for issuance and acceptance of introduction-from-
the-sea certificates are provided in Sec.  23.39.
    Bred-in-captivity certificates (Sec.  23.41): This 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 Sec.  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 adopted 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 will be allowed only when the export is for noncommercial 
purposes (see the discussion in the preamble for Sec.  23.18). We also 
adopted the recommendations of Resolution Conf. 10.16 (Rev.) for 
specimens bred in captivity (see Sec.  23.63). Appendix-I wildlife that 
qualifies for a bred-in-captivity certificate does not need a CITES 
import permit.
    One commenter asked if we could issue bred-in-captivity 
certificates for Appendix-II and -III specimens that are part of a 
traveling exhibition, or for Appendix-I specimens in foreign-based 
traveling exhibitions performing in the U.S. As stated above, such 
certificates may be issued for any purpose, including traveling 
exhibitions, for Appendix-II or -III specimens. However, we generally 
do not issue bred-in-captivity certificates for specimens in a 
traveling exhibition. Traveling exhibitions are addressed by Article 
VII(7) of the Treaty and we refer the commenter to the procedures for 
traveling exhibitions described in Sec.  23.49. The same commenter 
asked whether we could issue a bred-in-captivity certificate to 
facilitate import of an Appendix-I specimen that had been bred for 
noncommercial purposes in a foreign country. A Party cannot issue a 
bred-in-captivity certificate for a specimen outside of its national 
jurisdiction.
    The commenter also expressed concern that issuance of a bred-in-
captivity certificate bypasses the requirements in Article III, IV, and 
V to make a legal acquisition finding and the requirements in Article 
III and IV to make a finding that the export would not be detrimental 
to the survival of the species. These findings are made through our 
adoption of the standard interpretation of the term ``bred in 
captivity'' in Resolution Conf. 10.16 (Rev.). We refer the commenter to 
Sec.  23.63 on the procedures for evaluating the breeding stock from 
which the specimen was derived.
    The Parties have agreed that facilities that are breeding Appendix-
I species for noncommercial purposes must be participating in a 
cooperative conservation program with one or more range countries for 
the species. The commenter noted that we have not provided a specific 
definition of what constitutes a cooperative conservation program. We 
amended the definition in Sec.  23.5 slightly to make it clear that the 
program must be conducted in cooperation with one or more of the range 
countries for the species. However, we defined ``cooperative 
conservation program'' in general terms because we did not want to 
limit what might be considered under such a program. These programs may 
include a wide variety of activities, and we cannot adequately address 
every variation in this rule. Instead, using our professional judgment 
and through communication with range countries and species experts, we 
will evaluate each breeding situation to determine if the activities 
being conducted constitute active participation in a cooperative 
conservation program.
    The commenter also expressed concern that the issuance of bred-in-
captivity certificates would facilitate fraudulent activities by 
providing a loophole for the international movement

[[Page 48421]]

of wild-caught specimens. We disagree. We believe that the procedures 
we use to review applications for bred-in-captivity certificates and 
our close coordination with law enforcement, both domestically and 
internationally, are a strong deterrent to such fraudulent activities.
    General information on hybrids (Sec. Sec.  23.42 and 23.43): At 
CoP2, the Parties recognized that it can be difficult to distinguish 
between purebred and hybrid specimens in trade. 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 (Sec.  23.42): Resolution Conf. 11.11 (Rev. CoP13) 
contains provisions on trade in plant hybrids. 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 Sec.  23.92). 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.
    Two commenters stated that plant hybrids should be exempt from 
CITES document requirements. See the general discussion of hybrids 
above for the basis of applying CITES requirements to hybrids of CITES 
species. The same commenters believed that the exemption for certain 
hybrids when the specimens are traded in shipments containing 20 or 
more plants of the same hybrid is unfair to small growers. This 
exemption was adopted by the Parties as a listing annotation for 
certain orchid species. The appropriateness of specific species 
listings and listing annotations is addressed by the CoP and is beyond 
the scope of these regulations.
    Wildlife hybrids (Sec.  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. 
Therefore, in general, wildlife hybrids of CITES species must be 
accompanied by a CITES document, issued by the Management Authority of 
the country of export or re-export.
    The Parties agreed to a limited exception for certain wildlife 
hybrids under specific conditions. When the hybrid specimen is a cross 
between a CITES species and a non-CITES species, and no purebred CITES 
specimen appears in the previous four generations of its ancestry, it 
is exempt from CITES requirements. A hybrid of species included in a 
higher-taxon listing, such as parrots, falcons, or sturgeons, would not 
be exempted under this provision because the crosses are generally 
between two CITES species within that higher-taxon listing. We expect 
that the wildlife hybrid exemption will apply only rarely.
    A specimen that qualifies as an exempt wildlife hybrid does not 
require CITES documents. However, at the time of import, export, or re-
export you must provide sufficient information to demonstrate to CITES 
border officials that your wildlife specimen contains no purebred CITES 
species in the previous four generations of its lineage, and you must 
follow the clearance requirements for wildlife in part 14 of this 
subchapter.
    Initially, we had proposed that either a CITES document or an 
``excluded hybrid letter,'' issued by a Management Authority, must 
accompany any exempt wildlife hybrid being imported into or exported 
from the United States. One commenter questioned how the United States 
could require that a CITES document or a letter accompany an exempt 
hybrid when other CITES Parties do not require such documentation. 
After further review, we have decided to eliminate this document 
requirement. However, as previously stated, individuals traveling with 
or shipping exempt wildlife hybrids should be aware that they must 
provide information to clearly demonstrate to border officials that the 
specimen qualifies as an exempt wildlife hybrid.
    We received over 200 comments in support of this section as 
proposed. While not specifically stated in most of these comments, it 
was clear that the commenters were under the impression that Bengal 
cats, a hybrid cross between domestic cats and Asian leopard cats 
(Prionailurus bengalensis), would be automatically exempt from CITES 
document requirements. Although some Bengal cat specimens may qualify 
as exempt hybrids, if you cannot clearly demonstrate that your specimen 
meets the qualifications for the exemption, you must obtain a CITES 
document for international trade.
    One commenter expressed a need for a clear definition of when an 
exotic specimen becomes domesticated. While we recognize the possible 
value of this comment, this rule is not intended to address that issue.
    Some commenters stated that hybrid falcons should be exempt from 
CITES controls because international trade in such specimens has no 
impact on the conservation of wild raptor populations. Trade in hybrids 
is controlled by CITES because of the difficulty in distinguishing 
purebred and hybrid specimens. See the general discussion of hybrids 
above for the basis of applying CITES requirements to hybrids of CITES 
species.
    Personally owned live wildlife (Sec.  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 agreed that personally owned, live 
wildlife that is registered by the Management Authority in the country 
where the owner usually resides may be moved internationally using a 
certificate of ownership, under specific conditions.
    We have implemented 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.
    Five commenters supported the idea of issuing certificates of 
ownership, or ``passports.'' One commenter, while supporting the 
concept, stated that the certificates should be called ``certificates 
of stewardship'' since wildlife should not be ``owned,'' but should 
only be held in ``trust.'' We decline to make a change based on this 
suggestion since the title of this CITES document was agreed upon by 
the Parties.
    Seven other commenters also supported the issuance of certificates 
of ownership, but did not believe that the owners of birds covered 
under the MBTA should be required to notify us when their birds have 
died or been sold since they must report such events to their Regional 
Migratory Bird Management office via Form 3-186A. While we are working 
with the regional migratory bird offices to ensure quick and accurate 
exchange of information, we have not developed a reliable means

[[Page 48422]]

to share data that are submitted by permittees on Form 3-186A. As a 
result, and because of the different records management systems for 
handling information submitted by permittees and different uses of the 
data, it is necessary that both the Division of Migratory Bird 
Management and the U.S. Management Authority are notified of deaths or 
transfers. Many CITES ``passports'' are issued for bird species that 
are not covered by the MBTA, and therefore would not require the 
submission of information to a Regional Migratory Bird Management 
office. We require that all ``passport'' holders notify us of any 
change in the status of their personally owned live wildlife.
    Two additional commenters supported the issuance of ``passports,'' 
but questioned the length of validity of such documents. Both 
commenters believed that certificates of ownership should be valid 
until the animal dies or has been transferred. They stated that a 3-
year period of validity would create a burden on the permittee. The 3-
year period of validity was agreed upon by the Parties and is specified 
in Resolution Conf. 12.3 (Rev.CoP13). We therefore cannot issue these 
certificates for longer than 3 years.
    Two commenters believed that the process for obtaining certificates 
of ownership and for moving animals across international borders should 
be simplified. In particular, the commenters stated that the movement 
of CITES pets across the U.S.-Canadian border should not require 
clearance by an FWS Wildlife Inspector, but should be handled solely by 
CBP officials. While we strive to minimize any inconvenience at the 
port, this particular comment cannot be addressed by these regulations. 
The clearance process is addressed in 50 CFR 14, which is not being 
revised as part of this rulemaking.
    Two commenters believed that the issuance of certificates of 
ownership, particularly for raptors, would facilitate the illegal 
movement of specimens that were not obtained legally. They did not 
think that the process under which these certificates are issued would 
allow for adequate control of specimens, particularly of Appendix-I 
species, since only the exporting country needs to issue a certificate. 
The applicant must provide adequate documentation to show that the 
specimen was legally obtained before a certificate of ownership can be 
issued. In addition, when applying for a certificate of ownership, the 
applicant must confirm that he or she does not intend to sell or 
transfer the specimen while outside of the United States. Finally, 
since border officials of both the exporting/re-exporting and the 
importing countries must inspect the wildlife and the accompanying 
certificate, fraudulent activity would be detected. We believe that 
this provides sufficient control of the trade in these specimens to 
minimize illegal activities.
    One commenter stated that live specimens should not be considered 
personal or household effects. We agree and refer the commenter to the 
definitions of these terms in Sec.  23.5. The commenter also suggested 
that Sec.  23.44(d)(5) be amended to state that the applicant ``will 
not sell, donate, or transfer the wildlife while traveling 
internationally'' instead of ``does not intend to sell, donate, or 
transfer the wildlife while traveling internationally'' and that this 
restriction should also be expanded to limit sale, donation, or 
transfer within the applicant's usual country of residence. Section 
23.44(d) lists criteria for the issuance and acceptance of certificates 
of ownership and indicates that an applicant must provide sufficient 
information for us to determine that he or she does not intend to sell 
or otherwise transfer the wildlife while traveling internationally 
(Sec.  23.44(d)(5)). Section 23.44(e) lists U.S. standard conditions 
for certificates of ownership, including Sec.  23.44(e)(3), which 
states that the certificate holder ``must not sell, donate, or transfer 
the specimen while traveling internationally.'' Expansion of this 
restriction to cover activities within an applicant's country of 
residence is beyond the scope of CITES and these regulations.
    Pre-Convention specimen (Sec.  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. One commenter supported the use of the date on which the 
species was first listed in the Appendices to determine the pre-
Convention status of a specimen, as recommended in the resolution. We 
define the term ``pre-Convention'' in Sec.  23.5 and clarify in this 
section the general provisions that apply to the acceptance and 
issuance of pre-Convention documents.
    The pre-Convention status applies to the specimen, not to when it 
was possessed by the current owner. 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.
    Even antiques that are at least 100 years old that clearly qualify 
as pre-Convention must be accompanied by pre-Convention documents. 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.
    We 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, and provide sufficient 
documentation of legal acquisition and the date when the cell line was 
established. Although most cell lines do not qualify as pre-Convention, 
they may qualify for other types of CITES exemption certificates.
    One commenter expressed concern that international trade will be 
restricted if cell lines are not traded as pre-Convention specimens. 
The commenter also argued that our suggestion in the 2006 proposed rule 
(71 FR 20167) that these specimens may qualify for trade under another 
CITES exemption document, such as a bred-in-captivity certificate, 
would be confusing because it differs from the interpretation of other 
authorities. As discussed previously, the pre-Convention status applies 
to a specimen that was removed from the wild or born or propagated in a 
controlled environment before the first date that CITES applied to the 
specimen. Cell lines that are continually growing and being harvested 
would therefore not qualify for a pre-Convention certificate. We 
believe that this is an accurate interpretation of the Treaty 
requirements and disagree that it will result in a restriction of 
trade.

[[Page 48423]]

 Based on our experience with this trade, we do not believe that 
shipping cell lines under another type of CITES document, other than a 
pre-Convention certificate, will be problematic for foreign CITES 
authorities or that it will create difficulties for the industry.
    Registration of commercial breeding operations for Appendix-I 
species (Sec.  23.46): Article VII(4) of the Treaty provides that 
specimens of Appendix-I species bred for commercial purposes will be 
deemed to be specimens of species included in Appendix II for CITES 
document requirements. A Management Authority may grant an export 
permit or a re-export certificate without requiring the prior issuance 
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 both commercial and conservation 
purposes is increasing. These regulations 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 include whether the species 
qualifies as bred in captivity (see Sec.  23.63).
    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, very few U.S. operations have chosen to 
complete the process of registering. Most U.S. commercial breeders are 
applying for permits under Article III of the Treaty. We will 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 Sec.  23.18).
    One commenter opposed the registration requirement for commercial 
captive-breeding operations for Appendix-I species because of the 
ongoing discussion among CITES Parties about which facilities should be 
registered, the conservation value of registration, and obstacles to 
registration. In addition, the commenter noted the refusal of the 
European Union to implement the registration requirement. Another 
commenter opposed our implementation of Resolution Conf. 12.10 (Rev. 
CoP13) because it would weaken the protection of Appendix-I species. 
The United States has always supported the registration system and 
worked with other Parties to craft the current language in the 
resolution. We recognize that certain Appendix-I species are widely 
bred in captivity to the second generation without the addition of wild 
stock. The registration system encourages the captive breeding of 
Appendix-I species, discourages take of specimens from the wild, may 
provide conservation benefits, and is the only mechanism by which such 
species can be traded commercially.
    Several commenters argued that small falcon breeders should not be 
required to register. The Parties agreed, in Resolution Conf. 12.10 
(Rev. CoP13), that the exemption in Article VII(4) should be 
implemented through the registration of operations breeding Appendix-I 
species for commercial purposes. Therefore, any breeding operation, 
regardless of size, that wishes to qualify for the exemption and engage 
in commercial international trade of Appendix-I species, must be 
registered.
    One commenter suggested that Sec.  23.46(d)(7) should include ``in 
the wild'' or ``in situ'' at the end of the sentence to clarify that 
any breeding operation for Appendix-I species should benefit in situ 
conservation. We decline to adopt this suggestion because we believe 
that both in situ and ex situ activities can contribute to improving 
the conservation status of wild populations. The commenter also 
requested that we list guidelines or provide examples of appropriate 
conservation activities. We have not included a list because meaningful 
conservation activities will vary by taxon.
    Several commenters urged us to amend Sec.  23.46(b)(12) to permit 
the take of wild breeding stock of Appendix-I birds by registered 
facilities to augment the captive population, as provided for in Sec.  
23.63 for noncommercial breeders. These birds would be used for 
maintaining genetic diversity and providing birds for conservation 
efforts, such as State reintroduction programs for peregrine falcons 
(Falco peregrinus). In the United States, take of wild specimens may be 
authorized with appropriate permits (e.g., State permits, Migratory 
Bird Treaty Act permits). However, under Article III(3)(c), wild stock 
may not be imported to augment the captive population of a registered 
commercial breeding operation, and we therefore decline to make a 
change based on this suggestion. We have amended Sec.  23.46(d)(4) to 
clarify that, where the establishment of a commercial breeding 
operation for Appendix-I wildlife involves the removal of animals from 
the wild, it may only be allowed under exceptional circumstances and 
only for native species.
    Three commenters opposed our decision not to publish the receipt of 
an application to register commercial breeding operations for Appendix-
I species in the Federal Register, which would allow the public to 
comment. Another commenter suggested we publish the first application 
received for a species. As described in the 2006 proposed rule (71 FR 
20167), there is no legal requirement to obtain public comments on 
CITES applications, we make determinations on whether specimens qualify 
as bred in captivity for other CITES documents without obtaining public 
comments, and further review is conducted by the CITES Secretariat and 
the CITES Parties. Publication in the Federal Register would result in 
delays in the registration process. Once the Secretariat makes the 
application available, the Parties have 90 days in which to comment. 
Thus, even without a public comment period within the United States, 
registration of an operation may take a minimum of several months. We 
acknowledge that members of the public will not have an opportunity to 
comment on the applications. However, we will consult outside experts 
if necessary, and we believe that the evaluation by the FWS, the 
Secretariat, and the Parties is sufficient to make a determination as 
to whether an operation qualifies to be registered.
    One commenter expressed concern that registered captive-breeding 
operations could be used to launder illegal specimens and that the 
Service should develop strict regulations for identifying specimens 
bred at a registered operation. We believe that the criteria and 
oversight provided in Sec.  23.46 and the marking requirements in Sec.  
23.56(a)(4) minimize the potential for laundering and appropriately 
implement Resolution Conf. 12.10 (Rev. CoP13).
    Exporting Appendix-I plants commercially (Sec.  23.47): The Parties 
recognize that the artificial propagation of plants is essentially 
different from

[[Page 48424]]

captive breeding of wildlife and requires a different approach. 
Artificial propagation of native plants can provide an economic 
alternative to traditional agriculture in countries of origin. By 
making specimens readily available, artificial propagation may have a 
positive effect on the conservation of wild populations by reducing 
pressure from collection, 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 specimens of species included 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 issuance 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.
    Two commenters thought that a registration system should be 
provided for facilities that propagate Appendix-I plants, similar to 
the registration system for wildlife. This issue was addressed in the 
2006 proposed rule (71 FR 20167). Although we recognize that there may 
be some advantages to developing a registration process, we have not 
incorporated such a process into the regulations due to the complex 
issues resulting from the decentralized system of regulating nurseries 
in the United States. Instead, we have reserved Sec.  23.47(e) for 
nursery registration, because we will need to work with nurseries, 
other State and Federal 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 these specimens.
    Registered scientific institutions (Sec.  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 allows 
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 section incorporates the standards 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 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.
    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.
    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 Sec.  23.3).
    We received two comments on this section. One commenter was 
philosophically opposed to the use of CITES species by a scientific 
institution for research, but supported the statement that CITES 
specimens obtained by scientific institutions cannot be used for 
commercial purposes. Both commenters supported the requirement that 
specimens be permanently recorded as being part of an institution's 
collection but not necessarily formally acquisitioned by the sending 
institution. However, the commenters expressed concern that the 
requirement that Appendix-I specimens be centrally and permanently 
housed means that the specimens must be kept segregated from other 
specimens in the institution's collection and would preclude the 
donation of such specimens to other institutions. We interpret this 
requirement to mean that Appendix-I specimens are to be maintained in a 
way that they will not be used in a manner incompatible with the 
principles of CITES. Appendix-I specimens do not need to be separated 
from the rest of the collection provided that they are incorporated 
into the institution's record system. They may reside anywhere that is 
under the control of the registered scientific institution. This may 
include field stations, offsite storage facilities, or other facilities 
managed by the institution. As noted in the 2006 proposed rule (71 FR 
20167), a specimen could be donated to another registered institution 
provided a record of the transaction is maintained.
    Both commenters supported allowing the use of samples or subsamples 
from specimens that are maintained by registered institutions. One 
commenter was concerned that exchange of such samples could be 
inhibited by other countries' Management Authorities. We agree that 
this is a possibility and recommend that foreign Management Authorities 
be consulted prior to shipment. The other commenter suggested that we 
add a definition of ``sample.'' We do not think such a definition is 
necessary as the meaning of this term is commonly understood.
    Traveling exhibitions (Sec.  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. In Resolution Conf. 8.16, the 
Parties agreed to require traveling live-animal exhibitions to be 
accompanied by CITES

[[Page 48425]]

certificates to verify such registration, address technical problems, 
and prevent potential fraud. At CoP12, the Parties agreed to extend 
these provisions to all traveling exhibitions, not just traveling live-
animal exhibitions. We describe provisions for traveling exhibitions in 
this section and define the term ``traveling exhibition'' in Sec.  
23.5.
    A traveling-exhibition certificate acts like a passport. The 
exhibitor (i.e., the entity responsible for the specimens in a 
traveling exhibition) must obtain a separate certificate for each live 
animal. In the 2006 proposed rule (71 FR 20167), we specified that the 
certificate could only be issued to an exhibitor who owns the 
specimens. Based on comments received, we have revised our definition 
and the language in this section to indicate that the entity 
responsible for the specimens in a traveling exhibition may obtain the 
certificate. 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 
include a number of conditions to ensure that these certificates are 
used only for temporary cross-border movement by the exhibitor. A 
certificate 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 listed in Appendix I. 
We require under the general conditions (see Sec.  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.
    We received four comments on this section. One commenter welcomed 
the incorporation of the traveling-exhibition certificate into the 
regulations, stating that it will streamline the permitting process and 
result in smoother border crossings and more reliable recordkeeping. 
Another commenter strongly supported the requirement that the cross-
border movement authorized under a traveling-exhibition certificate may 
not be for any purpose other than exhibition and the requirements in 
Sec.  23.49(d)(6) regarding marking.
    Another commenter requested that this section be amended to allow 
the use of traveling- exhibition certificates for activities other than 
exhibition, including research and conservation of museum specimens. We 
decline to make a change based on this suggestion. Article VII(7) 
provides an exemption for traveling exhibitions and the Parties agreed 
in Resolution Conf. 12.3 (Rev. CoP13) that traveling-exhibition 
certificates should be issued ``for exhibition purposes only.'' Article 
VII providesother exemptions and special provisions that may be 
appropriately used for other purposes, including international 
transport of museum specimens and specimens for research.
    The same commenter stated that it was not always clear who should 
obtain the traveling- exhibition certificate, particularly when a 
specimen is loaned for an exhibition hosted by one or more 
institutions, rather than by the owner of the specimen, and suggested 
that the certificate should be issued to the owner of the specimen 
rather than to the traveling exhibition. The resolution specifies that 
the certificate be issued for specimens that are part of a traveling 
exhibition; it does not specify that the owners of the specimens must 
receive the certificates. Since there must be an entity responsible for 
the traveling exhibition and its specimens, a certificate is issued to 
that entity, which we refer to as the ``exhibitor.'' We have amended 
Sec.  23.49 to clarify that it is the exhibitor who must obtain the 
certificate and to ensure that the terms ``exhibitor,'' ``traveling 
exhibition,'' and ``exhibition'' are used consistently. We likewise 
revised the definition of ``traveling exhibition'' in Sec.  23.5 so 
that it corresponds more precisely to use of the term in this section.
    The same commenter believed the word ``frequent'' should be deleted 
from the criteria for issuance and acceptance of traveling-exhibition 
certificates as it is not required by Resolution Conf. 12.3 (Rev. 
CoP13). We agree and have amended Sec.  23.49(d)(1) accordingly.
    Another commenter suggested that we strengthen the requirement for 
humane transport by including a reference to IATA LAR and the CITES' 
Guidelines for transport and preparation for shipment of live wild 
animals and plants in this section and requiring that any animal 
covered by a traveling-exhibition certificate also have a health 
certificate issued by a licensed veterinarian. Section 23.23(c)(7) 
requires that transport conditions for live animals comply with the 
CITES'Guidelines for transport and preparation for shipment of live 
wild animals and plants or, for air transport, with IATA LAR. We do not 
believe it is necessary to repeat those requirements here. The issuance 
of health certificates is beyond the scope of these regulations, but we 
note that Sec.  23.3 informs the public that in addition to the 
requirements in part 23, they may also need to comply with other 
Federal, State, tribal, or local requirements.
    The same commenter suggested that we ``explicitly require'' the 
exhibitor to return with the same number of specimens as originally 
exported, that the specimens be microchipped, and that the exhibitor 
provide the necessary equipment to read the chips. Section 23.49(e) 
requires that an entity may not sell or otherwise transfer a specimen 
covered by a traveling-exhibition certificate while traveling 
internationally. We do not believe that we need to require that all 
specimens be microchipped because the regulations as written provide 
sufficient means for border officials to ensure that each specimen 
exported or imported is the specimen indicated on the certificate.
    Sample collections Sec.  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 these 
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. One commenter supported the provisions 
allowing the movement of merchandise subject to CITES regulations on an 
ATA carnet.
    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

[[Page 48426]]

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. For import into and export or re-
export from the United States, the shipment must comply with the FWS 
requirements for wildlife in part 14 of this subchapter and APHIS/CBP 
requirements for plants in part 24 of this subchapter and 7 CFR parts 
319, 355, and 356.
    Partially completed CITES documents (Sec.  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 implement these procedures and issue single-use documents that 
are partially completed under specific circumstances for exports that 
are repetitive in nature (i.e., when the same types of specimens or the 
same specimens are exported shipment after shipment).
    An applicant should submit the appropriate application form for the 
proposed activity (see Sec. Sec.  23.18-23.20) and show that the use of 
this type of document is beneficial and appropriate. Upon review of the 
application, if appropriate, we will create a master file or annual 
program file for native species that contains all of the relevant 
information about the proposed activity. We will issue single-use 
partially 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.
    We received two comments on this section. While both commenters 
generally supported the concept of partially completed documents, one 
suggested limiting the use of such documents to pre-Convention 
specimens due to concern that wild-caught live animals could be 
mislabeled and shipped fraudulently as captive-bred animals. Further, 
the commenter suggested that such documents should not be used for 
animals in traveling exhibitions. We did not adopt these suggestions. 
Partially completed documents are issued for specific taxa and specific 
types of specimens. The permittee is authorized to fill in the 
destination and, in the case of specimens from an approved-taxa list, 
the quantity of specimens in the shipment and an inventory page.
    The other commenter requested that we consider the use of partially 
completed documents for import of scientific specimens that were 
removed from the wild under the authority of the exporting government's 
wildlife management offices. The regulations as written allow us to 
issue and accept documents issued under the provisions of this section 
for wild-collected scientific specimens in limited situations.
    Replacement documents (Sec.  23.52): We adopted 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 them. One of 
the 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.
    A replacement document must indicate on its face the reason the 
document was replaced. Since we sometimes receive a replacement 
document that does not provide this information, we may verify the 
validity of such a document with the issuing Management Authority 
before deciding if we will accept the document as a valid replacement. 
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.
    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.
    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 will 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 FWS Wildlife 
Declaration (Form 3-177) or a copy of the validated CITES document for 
plants, and include a condition on the document describing this policy 
so the importing country can accept it as valid.
    One commenter requested that we allow copies of the stamped 
original CITES document and the FWS Wildlife Declaration (Form 3-177) 
to be used for clearance purposes when documents are misplaced at the 
port after declarations have been submitted to the FWS. We decline to 
address this request since the provision proposed by the commenter is 
outside the scope of these regulations and has already been addressed 
through changes in port procedures.
    Retrospective documents (Sec.  23.53): A retrospective document 
authorizes an export or re-export after that activity has occurred, but 
before the shipment is cleared for import. 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 arrive at the port and 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. This section allows for the issuance and 
acceptance of retrospective documents based on the resolution. We 
generally limit issuance of retrospective documents to noncommercial 
items and, even then, only in certain prescribed circumstances, which 
are clarified in this section. 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

[[Page 48427]]

to the exporter or re-exporter or the importer, or, 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.
    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.
    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 Sec.  23.7(e)).
    We will issue a retrospective document only if the Management 
Authority of the importing country agrees to accept it. The provision 
applies not only to the issuance of retrospective documents, but to the 
acceptance of such documents. We note that a number of 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.
    Several commenters supported the general concept and appreciated 
the recognition that there are circumstances when issuance of 
retrospective documents is warranted. Two other commenters were opposed 
to the issuance of retrospective documents except to ensure humane 
treatment of live specimens. While we agree that issuance of 
retrospective documents should be very limited, we believe it is 
warranted under the specific circumstances described in Sec.  23.53.
    Two commenters asked howshipments are treated pending review of the 
circumstances to determine whether a retrospective permit can be 
issued. These determinations are made by our enforcement officials on a 
case-by-case basis. We refer the commenters to the general import/
export requirements for wildlife in part 14 of this subchapter and the 
requirements for plants in part 24 of this subchapter and 7 CFR parts 
319, 355, and 356.
    One commenter asked why we limited the issuance of retrospective 
permits for Appendix-I specimens to certain shipments for personal use. 
The Parties have agreed that Appendix-I specimens must be subject to 
particularly strict regulation and that trade in these specimens should 
be authorized only in ``exceptional circumstances.'' As stated in the 
2006 proposed rule (71 FR 20167), we expect commercial traders to know 
the laws that apply to their business, including CITES requirements, 
and to carefully inspect their documents for technical errors. 
Consequently, we limit the issuance of retrospective permits for 
Appendix-I specimens to certain pre-Convention Appendix-I specimens for 
personal use that meet the requirements in Sec.  23.53(d)(7). Another 
commenter suggested that we add to the rule the language from the 
preamble stating that we expect commercial importers and exporters to 
know the law. We decline to adopt this suggestion because we believe 
that Sec.  23.53(b)(7) adequately describes that expectation.
    Another commenter suggested that we clarify that the provision 
restricting sale of specimens within 6 months following import under a 
retrospective document (Sec.  23.53(b)(5)(iii)) applies only to 
Appendix-II and -III species. We decline to adopt this suggestion. The 
restriction on sale applies only to specimens imported for personal use 
and therefore may apply to a pre-Convention Appendix-I specimen under 
certain circumstances (see Sec.  23.53(d)(7)).
    Two commenters requested clarification and additional details 
regarding the issuance process and what kind of information an 
applicant would need to provide to obtain a retrospective document. We 
refer the commenters to the discussion on this section in the 2006 
proposed rule (71 FR 20167).
    One commenter incorrectly stated that the provisions in this 
section would ``absolutely eliminate'' any possibility for a hunter to 
receive a retrospective permit if he or she had ever received a CITES 
permit before. While we generally will not issue a retrospective 
document to an individual who has received CITES documents in the past, 
we recognize that there may be situations where the importer or 
exporter was not responsible for whatever irregularity occurred and may 
therefore qualify for a retrospective document (see Sec.  23.53(b)(7)).
    Period of document validity (Sec.  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 the period of validity 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.
    This section incorporates the recommended periods of validity 
established in the Treaty and the resolutions. We also set the term for 
an introduction-from-the-sea certificate at 12 months since the 
activity is similar to import. All CITES documents must specify the 
period 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 period of validity is authorized is for certain 
timber species under limited circumstances (see Sec.  23.73).
    Several commenters suggested that the periods of validity specified 
in this section for permits and certificates are too short. Another 
stated that the period of validity for traveling-exhibition 
certificates is too long. One commenter acknowledged that the periods 
of validity for CITES documents are set out in the Treaty and in 
Resolution Conf. 12.3 (Rev. CoP13), but urged us to ask the Parties to 
revisit this issue. We believe the established timeframes are 
reasonable for the activities permitted, and we do not believe it is 
appropriate to amend the Treaty or necessary to amend the resolutions 
in this regard.
    Another commenter believed that the use of the phrase ``no longer 
than...'' in

[[Page 48428]]

Sec.  23.54(b) to describe the period of validity of CITES documents 
creates uncertainty for the regulated public. The commenter requested 
that the section be amended to state that a document is valid for 6 
months, 3 years, etc., as appropriate, unless the FWS places a special 
condition on the document to address some unusual circumstance. In 
general, we issue CITES documents for the maximum period of validity 
allowed for the activity. We did not adopt the commenter's suggestion 
because Sec.  23.54 provides the maximum period of validity for a CITES 
document, but a document may be issued for a shorter period of time.
    Use of CITES specimens after import (Sec.  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 leopard, Resolution Conf. 10.15 (Rev. CoP12) for 
markhor, and Resolution Conf. 13.5 for black rhinoceros).
    This section provides conditions for the import and subsequent use 
of certain CITES specimens. The import and subsequent use of Appendix-I 
specimens and certain Appendix-II specimens, including transfer, 
donation, or exchange, may be only for noncommercial purposes. Such 
imports are conditioned that the specimen and all its parts, products, 
and derivatives may not be imported and subsequently used for any 
commercial purpose. 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 noncommercial purposes.
    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.
    Two commenters supported the restriction on subsequent use of most 
imported Appendix-I species and Appendix-II species with an annotation 
prohibiting commercial trade as an important means of conserving these 
species. One of these commenters was concerned, however, that there is 
no mechanism, such as a reporting requirement, by which the FWS will 
track use of specimens over time. We have decided against adding any 
type of periodic reporting requirement on subsequent use of imported 
specimens. The regulations are clear, however, that such specimens may 
be used only for noncommercial purposes, and any use inconsistent with 
this standard would be a violation of the regulations. As noted in the 
2006 proposed rule (71 FR 20167), the FWS will investigate any 
situation for which we receive information that such an imported 
specimen is being commercialized.
    The same commenter expressed confusion over statements in the 2006 
proposed rule (71 FR 20167) that certain specimens may only be imported 
when they are not to be used for primarily commercial purposes and that 
such specimens may be used only for noncommercial purposes. This 
commenter asked for clarification for what appeared to be two different 
standards.
    Prior to importation of an Appendix-I specimen, the Management 
Authority must be satisfied that the specimen is not to be used for 
primarily commercial purposes. We cannot make a finding of not for 
primarily commercial purposes if the specimen could be commercialized 
following import. Therefore, this section is clear that any subsequent 
use of such specimens must be noncommercial.
    One commenter argued that provisions in this section would prevent 
future donations of specimens for educational purposes. As explained in 
the 2006 proposed rule (71 FR 20167), certain specimens may only be 
imported when the use is not for primarily commercial purposes. Thus, 
any subsequent use may be only for noncommercial purposes. Nothing in 
the section prevents a person from donating or transferring an 
Appendix-I specimen or a specimen of a species listed in Appendix-II 
with an annotation prohibiting commercial trade. These specimens can 
still be donated, consistent with any other requirements of law, as 
long as there is no economic use, gain, or benefit by either the person 
or institution receiving the donation or the person making the 
donation. (See also the discussion in the preamble under Sec.  23.5 on 
the definition of ``commercial.'')
    Another commenter argued that it is only the purpose of the import 
at the time of import that is regulated by CITES and any later use is 
irrelevant. Nothing in the language of the Convention requiring the 
finding that the specimen ``is not to be used for primarily commercial 
purposes'' indicates that this examination is limited to the immediate 
use by the importer. As we indicated in the 2006 proposed rule (71 FR 
20167), the commercialization of Appendix-I specimens following import 
can result in further demand, which is contrary to the intent of 
allowing trade in Appendix-I specimens only under ``exceptional 
circumstances.'' Appendix-II species that are annotated to allow trade 
only for noncommercial purposes face similar commercial pressures. We 
can only determine that the use will not be for ``primarily commercial 
purposes'' when we know that the specimen will not be subsequently used 
for economic gain or benefit.
    One commenter disagreed with the provisions in paragraph (d) of the 
table that allow for any use with certain types of Appendix-I specimens 
and questioned how concerns regarding commercialization of Appendix-I 
species will not be realized if commercial use of such specimens is not 
prohibited. All of the situations listed under Sec.  23.55(d) represent 
provisions under Article VII of the Convention that provide exemptions 
from the requirements otherwise imposed for Appendix-I species under 
Article III. These exemptions represent situations in which the Parties 
have found that commercialization, or the potential for 
commercialization, of certain types of specimens does not pose a threat 
to species whose trade must otherwise be limited to noncommercial uses.
    CITES document conditions (Sec.  23.56): 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 requiring that all Appendix-I wildlife be marked 
with microchips. We do require, 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

[[Page 48429]]

equipment on hand to read the microchip at the time of import, export, 
or re-export. One commenter supported the requirement that Appendix-I 
specimens be securely marked or uniquely identified.

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

    Legal acquisition (Sec.  23.60): 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 wildlife bred in 
captivity; Conf. 9.19 (Rev. CoP13) and 11.11 (Rev. CoP13) on 
artificially propagated plants; Conf. 10.20 on personally owned live 
wildlife; and Conf. 11.15 (Rev. CoP12) on scientific exchange.
    There are two types of legal acquisition determinations: (a) 
whether a specimen and its parental stock were traded internationally 
under the provisions of CITES and (b) whether they were acquired 
consistent with relevant 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 a number of general and specific factors (see the preamble 
to Subpart E for a discussion of legal acquisition for State or tribal 
programs). 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 captivity or cultivation 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 countries allow 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, while it is the responsibility of the applicant to provide 
sufficient information for us to make this finding, 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 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 a person who acquires a specimen in the United States 
and wants to travel internationally with it for personal use. One 
commenter disagreed with this approach and stated that all trade, 
whether commercial or noncommercial, should be subject to the same 
level of scrutiny. We believe this system for individuals traveling 
internationally with their personal items or personally owned live 
wildlife is appropriate for the limited number of specimens involved, 
for the low conservation risk posed. 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 relevant 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 demonstrate that the parental stock was legally 
acquired. We defined the terms ``parental stock,'' ``breeding stock,'' 
and ``cultivated parental stock'' (see Sec. Sec.  23.5, 23.63, and 
23.64,respectively).
    We also allow the export of donated CITES specimens of unknown 
origin by public institutions on a case-by-case basis under limited 
circumstances. In some instances, public institutions, primarily zoos, 
aquariums, and botanical gardens, receive unsolicited donations of 
wildlife and plants. When this occurs, the institution may not be able 
to obtain reliable information concerning the origin of the specimen. 
It is extremely difficult to issue a permit when no data exist on the 
origin of the specimen, especially when the donor remains anonymous. 
The underlying purpose of CITES is to protect, conserve, and benefit 
the listed species. We believe that these regulations, rather than 
opening a loophole for laundering illegally obtained specimens, will 
assist in the suitable placement of specimens without leading to 
illegal or unjustified removal of wildlife and plants from the wild. We 
emphasize that this provision is only for limited, noncommercial 
international trade in CITES species.
    We received over 40 comments on this section, all of which were 
supportive. One commenter was concerned about how we would obtain data 
on the volume of illegal trade since there is no centralized source of 
data on all illegal trade. It is true that there is not a single, 
central source of illegal trade data, but we do have the ability, 
through consultation with other Parties, the CITES Secretariat, 
nongovernmental organizations, and law enforcement agencies to obtain 
data on illegal trade. It is through the review of these data that we 
are able to make a determination on the presumed level of illegal trade 
in CITES species.
    We removed ``volume of legal trade'' from the list of factors in 
Sec.  23.60(d)(5) because the risk associated with the volume of legal 
trade is not a continuum but rather must be considered on a case-by-
case basis when making a legal acquisition finding.
    Non-detriment findings (Sec.  23.61): Under Articles III and IV of 
the Treaty and Resolution Conf. 10.3 we must make a non-detriment 
finding before issuing export permits and introduction- from-the-sea 
certificates for Appendix-I and-II wildlife and plants and import 
permits for Appendix-I wildlife and plants. This section explains how 
the U.S. Scientific Authority makes its non-detriment findings.
    We 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. 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. All the

[[Page 48430]]

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. We amended 
23.61(g)(5) so that it reads ``from high to low occurrence of legal 
trade'' because high volumes of trade, either legal or illegal, create 
potential for detriment. Species subject to high volumes of trade may 
be selected as candidates for the Review of Significant Trade to assess 
whether non-detriment findings are being made appropriately.
    One commenter asked us to further clarify our statement that a non-
detriment finding must take into account ``no net harm'' to the species 
rather than ``no harm'' to individuals within a species. Two commenters 
strongly supported our view. One supporter noted that it has become 
increasingly necessary to engage in conservation activities that result 
in a net benefit to the species, but which at the same time may result 
in some negative impact on a limited number of individuals. Our 
approach follows the requirement of the Treaty, which focuses on 
species rather than individual specimens with regard to non-detriment 
findings.
    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 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.
    This 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. The higher-risk, 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 survival of 
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 
findthat 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.
    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.
    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, we 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 use the best available biological information, not just the 
information used as the basis for the quota.
    Most commenters agreed with our description of how we make non-
detriment findings. We received many comments endorsing our statement 
that controlled trade may create incentives for conservation and our 
consideration of adaptive management in making non-detriment findings. 
Several commenters supported our recognition of the potential 
ecological harm caused by importation of invasive species under CITES 
permits. One supporter asked why disease transmission is a factor 
considered in making the findings when invasive potential is not. We 
consider disease transmission because we are examining the potential 
effects disease could have on other members of the imported or exported 
species, whether in the wild or in captivity. Invasive potential 
describes the effects the imported or exported species could have on 
other species, so it is not relevant to whether or not the trade is 
detrimental to the survival of the species being imported or exported.
    One commenter said that the FWS should not collect information to 
make a non-detriment finding for imports of sport-hunted trophies of 
Appendix-I species if the trophy is covered by an export quota reported 
by the range country to the Secretariat and the exporting country has 
issued its own non-detriment determination. We and several commenters 
disagree. This was also discussed in the 2006 proposed rule (71 FR 
20167). Resolution Conf. 2.11 (Rev.), on trade in hunting trophies of 
species listed in Appendix I, recommends that the Scientific Authority 
of the importing country make an independent non-detriment finding in 
accordance with Article III of the Convention. Resolution Conf. 9.21 
(Rev. CoP13) regarding interpretation and application of quotas for 
species included in Appendix I also gives Parties the flexibility to 
evaluate scientific and management data to determine whether the quota 
adequately ensures the sustainability of the species. The commenter 
objected to Sec.  23.61(f)(4) because we indicate that, where 
insufficient information is available to make the non-detriment 
finding, we take a precautionary approach and state that we are unable 
to find non-detriment. He suggests that, in such situations, we use 
Resolution Conf. 8.3 (Rev. CoP13), which recognizes the socioeconomic 
and conservation benefits of trade in wildlife. We note that Resolution 
Conf. 8.3 (Rev. CoP13) indicates that there are benefits of wildlife 
trade only ``when carried out at levels that are not detrimental to the 
survival of the species in question.''

[[Page 48431]]

    Three commenters stated that we should not treat non-detriment 
determinations for imports and exports of Appendix-I species in the 
same manner. We addressed this comment in the 2006 proposed rule (71 FR 
20167) and refer the commenters there for additional clarification. One 
commenter suggested we add language to the regulations to consider the 
cumulative effects of past and likely future imports of specimens on 
the survival of the species. This is generally considered in Sec.  
23.61(e)(3).
    A few commenters recommended adding a provision that would 
accommodate a streamlined process for making non-detriment findings 
under circumstances where a range-wide population assessment for a 
particular Appendix-II species has been completed. We agree that a 
range-wide population assessment would be very useful in making non-
detriment findings. It may even expedite the process by providing much 
of the information needed to make the finding; however, such an 
assessment would still need to be reviewed as part of our independent 
process of determining non-detriment.
    One commenter suggested that we modify Sec.  23.61(e)(1) to allow 
consideration of the risk of extinction for both the species as a whole 
and the population from which the specimen was obtained when making a 
non-detriment finding. Another commenter asked that the FWS only 
consider the species as a whole in making the finding. We maintained 
the text ``species as a whole or the population from which the specimen 
was obtained'' because, if during the course of our review of the 
species throughout its range we determine that there is cause for 
focusing on a specific region or population from which the specimen was 
removed, we may consider the more local threats. There may be instances 
where the species is abundant throughout parts of its range, yet may be 
threatened in other parts. In addition, Article IV of the Treaty states 
that the Scientific Authority should ensure that the export of 
specimens listed in Appendix II is controlled in order to maintain the 
species throughout its range at a level consistent with its role in the 
ecosystems in which it occurs.
    One commenter provided a list of additional biological factors to 
consider when making non-detriment findings. Many of these suggested 
factors are already considered under the more general factors in Sec.  
23.61; others are not relevant. The commenter also requested regulatory 
changes that are not consistent with the Treaty, such as requiring 
countries exporting specimens to the United States to provide copies of 
their non-detriment findings to the U.S. Scientific Authority for 
review prior to export. As we explained previously, our determination 
of non-detriment for Appendix-I species is independent of the finding 
made by the exporting country. Although the exporting country is not 
required to send copies of its non-detriment finding on Appendix-II 
species to the importing country, if there is reason to suspect that 
appropriate and valid findings are not being made, a country or species 
can be considered for the Review of Significant Trade by the CITES 
Animals or Plants Committee. The commenter also suggested that non-
detriment findings should not be limited to the survival of the 
species, but should require that there is a conservation benefit to the 
species from the import or export. We disagree because the requirement 
for a conservation benefit would be beyond the requirements of the 
Treaty.
    Two commenters requested that the public be able to comment on 
Appendix-I and Appendix-II applications. We responded to similar 
comments in the 2006 proposed rule (71 FR 20167).
    Not for primarily commercial purposes (Sec.  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 will not be used 
for primarily commercial purposes. The Parties interpreted ``primarily 
commercial purposes'' in Resolution Conf. 5.10. We incorporated the 
provisions of this resolution in this section and defined 
``commercial'' and ``primarily commercial purposes'' in Sec.  23.5.
    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. 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 the intended use of 
the specimen after import or introduction from the sea for us 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.
    Instead of a specific list of information that each applicant must 
provide, we describe 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. As with legal acquisition (Sec. 23.60) 
and non-detriment (Sec. 23.61) findings, we use a risk assessment 
approach in evaluating the level of information needed to make our 
finding. We require less detailed information when the import or 
introduction from the sea has a low risk of being primarily commercial, 
and require more detailed information when the proposed activity poses 
greater risk. For activities with a high risk of being primarily 
commercial, we will analyze anticipated measurable increases in revenue 
and other economic value associated with the proposed import or 
introduction from the sea. Based on our experience, we anticipate that 
we will rarely receive an application that involves activities with 
anticipated high net profits. We expect that only in rare instances 
will we need to ask the applicant for the detailed analysis described 
in Sec.  23.62(e)(4).
    Two commenters indicated that we had not provided a clear enough 
explanation of what we consider a ``high-risk activity.'' Although we 
do not specifically define this term, we provide a list of the factors 
we consider (see Sec.  23.62(d)) in making our finding and the risk, 
from high to low, associated with each factor. We 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 disagreed with the use of a risk assessment process 
under this section. Another commenter stated that the risk assessment 
approach penalizes public display facilities that are interested in 
obtaining specimens that have high public appeal or are not common in 
the United States, thus raising the ``risk'' that the import is 
commercial in nature. The risk assessment approach is a tool to 
facilitate review of applications. By using such an approach, we are 
able to lower the documentation burden on some applicants, without 
eliminating the possibility that for other applications we need more 
documentation than normally requested. We 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 makes it 
more difficult for us to find that specimens involved in a proposed 
import or introduction from the sea will not be

[[Page 48432]]

used for primarily commercial purposes. In all cases, however, we make 
the required findings on a case-by-case basis taking intoaccount all 
available information.
    One commenter disagreed with the statement in Sec.  23.62(b)(5) 
that we will consider the purpose of the export in making a not-for-
primarily-commercial-purposes finding and asserted that conservation 
benefits to range States should not be considered as part of this 
finding. The same commenter argued that commercial enterprises, such as 
public display facilities, should never be allowed to import an 
Appendix-I specimen by claiming that the purpose is for conservation or 
education. We disagree. 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 will be offset 
by conservation benefits provided through assistance to range 
countries, research, or other considerations that result from the 
import or introduction from the sea.
    In the 2006 proposed rule (71 FR 20167), we stated that all net 
profits generated from activities associated with the import or 
introduction from the sea of an Appendix-I species must be used for 
conservation of the species in a range country. Two commenters strongly 
supported this requirement. Two other commenters voiced strong 
opposition, citing a belief that there is no legal basis for such a 
requirement and that it would be more appropriate as part of an 
enhancement finding under the ESA. The same issue was raised earlier 
and addressed in our 2006 proposed rule (71 FR 20167). One of these 
commenters also stated that requiring a permittee to give up profits is 
a disincentive to participation in conservation activities, amounts to 
an illegal tax or fee, and violates the ``takings clause'' of the Fifth 
Amendment.
    Before we can issue a CITES document, we need sufficient 
information to make the required findings. We have determined that for 
activities with a high risk of being primarily commercial (i.e., 
activities that are anticipated to generate revenue above the operating 
cost of maintaining the specimen), the purpose of the import would be 
considered primarily commercial if the institution or individual that 
imported the specimen utilized the profits for any purpose other than 
for the conservation of the species. We do not agree with the commenter 
that this requirement is a violation of the U.S. Constitution.
    However, after additional analysis, we believe that requiring all 
net profits generated in the United States from such activities be used 
for the conservation of the Appendix-I species in a range country may 
not be reasonable, or even desirable, in some cases. We are aware that 
there are situations where ex situ conservation efforts, such as 
research or captive breeding, may provide greater benefit to a species 
than attempting to carry out in situ conservation in a country where 
the logistical or political situation would make such activities 
unworkable. As a result, we have modified Sec.  23.62(b)(7). We will 
still require that net profits be used for conservation of the species, 
but will not specifically require that these funds be used in a range 
country. We will continue to request information on how revenue 
generated by the import of the Appendix-I specimen would be utilized, 
including a description of any funded conservation project and its 
monitoring plan, for consideration when making our finding.
    One commenter argued against the economic analysis described in 
Sec.  23.62(e). Another commenter supported an extensive review of all 
profits associated with the import and use of an Appendix-I specimen, 
but requested an explanation of how we intend to conduct such 
comprehensive reviews and how we intend to monitor a facility to ensure 
that it continues to use any profits generated from the import in the 
manner required by the regulations.
    As stated previously, we do not anticipate that there will be many 
cases in which the importer would need to provide in-depth, ongoing 
financial reporting. As both commenters correctly noted, the 
onlycurrent reporting of this type is for giant pandas. We believe that 
the reporting requirements are being successfully implemented by the 
four U.S. zoos that currently hold pandas. To date, the reporting has 
provided clear documentation to support our finding that the import was 
not for primarily commercial purposes and has allowed us to monitor the 
activities to ensure that our initial findings remain valid.
    One commenter suggested that this section should be revised to make 
it consistent with our definition of commercial and argued that, if we 
interpreted the concept correctly, we could not consider the import of 
sport-hunted trophies to be not for primarily commercial purposes. We 
allow the import of Appendix-I sport-hunted trophies only for personal 
use, which is not a primarily commercial purpose. The Parties have 
recognized that trade in certain Appendix-I specimens and annotated 
Appendix-II specimens is allowable provided that the specimen is a 
personally hunted trophy that will not be used for commercial purposes. 
We believe our definition of sport-hunted trophies, as written, is in 
line with the intent of the Parties (see discussion in the preamble for 
Sec.  23.74).
    Bred in captivity (Sec.  23.63): Article VII(4) and (5) 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 incorporated 
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.
    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. 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 significant 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 considered to meet the criteria without 
requiring a review of each individual breeding facility.
    Typically, we 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-

[[Page 48433]]

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.
    One commenter requested clarification of whether animals bred and 
raised on a U.S. game ranch would qualify as bred in captivity under 
these regulations. To meet the definition of bred in captivity, a 
specimen must be bred in a controlled environment that is actively 
manipulated to produce specimens, enclosed to prevent the movement of 
specimens out of the environment, and have characteristics such as 
artificial housing, waste removal, provision of veterinary care, 
protection from predators, and artificially supplied food. In general, 
we would consider a controlled environment as being a small enclosure 
(less than a few acres) where an animal could not survive without 
direct human assistance. While it may be possible that animals could be 
held in a controlled environment, as defined by the regulations, on a 
game ranch, we would not normally consider a large (over a few acres) 
area surrounded by a game fence to be such a controlled environment. 
Typically, game ranches in the United States consist of hundreds of 
acres of open area where there is limitedhuman interaction, and the 
animals can survive without direct human assistance. However, if you 
believe specimens on your game ranch meet the requirements, we will 
evaluate your request to designate animals bred at your facility as 
bred in captivity.
    One commenter suggested that there should be an allowance for 
noncommercial breeders of Appendix-I species to periodically augment 
their programs with wild stock. The commenter noted that this is 
particularly important for rare species, so that best-suited 
individuals are maintained in captivity and for re-introduction, if 
required. This section of the rule allows the occasional introduction 
of wild specimens and lists conditions that are similar to those 
required by Resolution Conf. 10.16 (Rev.). The purpose of the 
augmentation must be to prevent or alleviate deleterious inbreeding or 
to dispose of confiscated animals. However, wild Appendix-I specimens 
may not be imported for the purpose of augmenting a commercial captive-
breeding operation because this would be a violation of Article III. We 
added a reference to Sec.  23.46(b)(12) in Sec.  23.63(d) to highlight 
this restriction.
    Two commenters were critical of Sec.  23.63(c)(3)(iv) because they 
thought it appeared to be stricter, and thus more difficult to meet, 
than Resolution Conf. 10.16 (Rev.). They believed our addition of 
``consistently'' and ``has produced first-generation offspring'' to the 
criteria in Sec.  23.63(c)(3)(iv) went beyond the intent of the 
resolution. We addressed this in the 2006 proposed rule (71 FR 20167) 
and believe that this section as written is consistent with Article 
VII(4) and (5) of the Treaty and the intent of Resolution Conf. 10.16 
(Rev.). We will base our determination of whether a breeding operation 
has achieved consistent production or second or subsequent generations 
on the life-history characteristics of the taxon involved. Some species 
mature quickly, have short gestation periods, and produce many 
offspring, whereas other species take many years to mature, have long 
gestation periods, and produce few offspring. Thus, fewer offspring 
could indicate consistent production in species that take many years to 
reproduce when compared to species that would be expected to reproduce 
earlier and more frequently. If an operation has not consistently 
produced specimens to the second or subsequent generations, we require 
that it has produced first-generation offspring and is using husbandry 
methods demonstrated to result in the production of second and 
subsequent generations. We cannot determine that a breeding operation 
is able to implement methods for producing second-generation offspring 
if it has not demonstrated its ability to reproduce the species at all.
    One commenter was concerned that the bred-in-captivity provisions 
could allow for fraudulent labeling of wildlife as captive-bred. To 
show that specimens qualify as bred in captivity, applicants must 
demonstrate that they meet the criteria in Sec.  23.63. Past applicants 
have included breeding records, photographs of the breeding facility, 
and documentation of the origin of the founder stock. If we receive 
reports of fraudulent documentation or other illegal activity, we will 
work with our Office of Law Enforcement to take appropriate action. The 
commenter also mentioned that we do not include a marking requirement 
for captive-bred specimens. However, the regulation is consistent with 
Resolution Conf. 10.16 (Rev.), which recommends that trade in a 
specimen bred in captivity be permitted only if it is marked in 
accordance with resolutions adopted by the Parties. We have 
incorporated those resolutions in the appropriate sections of these 
regulations.
    Artificially propagated (Sec.  23.64): Article VII(4) and (5) of 
the Treaty provide exemptions for artificially propagated plants. 
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 section is based on Resolution Conf. 11.11 (Rev. CoP13), and 
incorporates criteria we use to decide whether plants, including 
cuttings or divisions, grafted plants, and timber, qualify as 
artificially propagated. To qualify as artificially propagated, a plant 
must have been grown under controlled conditions. 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. Plants grown from exempt plant material, 
including exempt seeds that may have been collected from the wild, are 
considered artificially propagated when grown under controlled 
conditions.
    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 that the 
collection of the seeds or spores was not detrimental to the survival 
of the species in the wild, and further 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

[[Page 48434]]

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 noted that the definition and application of the term 
``artificially propagated'' was too restrictive for wild seeds. The 
commenter suggested that growers of woodsgrown American ginseng should 
have the option of using locally harvested seeds from wild plants. As 
described in the 2006 proposed rule (71 FR 20167), we are applying the 
criteria of CITES Resolution Conf. 11.11 (Rev. CoP13) to determine 
whether plants qualify as artificially propagated. If seeds from CITES 
plant species are exempt from CITES control, as is the case for 
American ginseng, then plants grown from exempt seed in controlled 
conditions are considered artificially propagated according to the 
criteria of Resolution Conf. 11.11 (Rev. CoP13). However, this is a 
separate issue from whether States allow ginseng seed to be harvested 
from the wild for such purposes or whether we consider collection of 
wild seed for the production of artificially propagated ginseng to be 
undermining the conservation of the species.
    Suitably equipped to house and care for (Sec.  23.65): Under 
Article III(3)(b) and (5)(b) of the Treaty, we must determine that any 
individual or institution receiving a live Appendix-I specimen being 
imported or introduced from the sea is suitably equipped to house and 
care for that specimen. These requirements are to ensure that rare 
specimens will survive following import.
    This 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, whether or not they are 
the actual importers of the specimens, 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 
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 base our finding on the best available information on the 
requirements of the species and information provided by the applicant. 
We give closer scrutiny to applications for species with more demanding 
biological and husbandry or horticultural needs. We would give less 
scrutiny for a captive-born, commonly held species, like a scarlet 
macaw (Ara macao), 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 (Andrias davidianus), which is not commonly held in 
captivity and has very restrictive husbandry and housing requirements, 
we will 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 (temperature, light, 
etc.), adequate veterinary or horticultural care, sufficient security, 
and properly trained staff to care for the specimen being imported. We 
also assess whether a facility has had a reasonable survival rate of 
specimens of the same or similar species previously in its care. We 
believe 3 years of data on numbers of animals or plants maintained at 
the facility, mortalities, and occurrence of significant disease 
generally provides sufficient information for us to consider. The 2006 
proposed rule (71 FR 20167) included language that suggested that we 
would consider a facility's ability to reproduce or propagate specimens 
in making a finding under this section. We have deleted those 
references in paragraphs (d)(1) and (e)(3) because the purpose of the 
finding is to determine if a facility is able to house and care for a 
specimen, not whether a facility is capable of breeding or propagating 
it.
    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.
    Three commenters supported the provisions in this section. One 
commenter encouraged us to maintain an open dialogue with experts 
experienced with individual taxa because the ``state of the art'' in 
animal and plant care is constantly changing. These regulations are 
designed to allow such flexibility. We welcome the input of experts to 
keep us informed about the most recent advances in animal and plant 
care and husbandry.
    Two commenters noted that many imported animal specimens are 
covered by the Animal Welfare Act (AWA), which is administered by the 
USDA. One commenter argued that this makes our regulations duplicative, 
and another asked whether the FWS or the USDA regulations would take 
precedence in determining whether or not a facility is suitably 
equipped to house a particular species. The AWA is limited to warm-
blooded vertebrates and does not cover all instances in which we would 
be required to make a finding under this provision. We consider whether 
or not the applicant is USDA-licensed and consult with the USDA about 
recent inspection reports. In cases where it is applicable, we will use 
information from the USDA to inform our decision about a particular 
facility.
    The commenter also requested that we develop stringent species-
specific animal care regulations and include regular inspections of 
facilities that receive imported specimens. We believe that this is 
unnecessary. Our regulations allow for the evaluation of the housing 
and care of the specimens of any taxon under a variety of conditions. 
The FWS staff may visit facilities, and if there is reason to suspect 
that animal care and housing is not what was reported, we can notify 
USDA inspectors or our Office of Law Enforcement. The commenter 
encouraged us to consider making the finding for all imported specimens 
regardless of how the species is listed and whether or not the specimen 
is captive bred. We have limited the regulations in this section to 
implementing Article III (3)(b) and (5)(b) of the Treaty. There is no 
basis for making such a finding for Appendix-II or -III species.

What Are the Changes to Subpart E of 50 CFR Part 23--International 
Trade in Certain Specimens?

    This 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. One commenter 
suggested that we add a section in this subpart to address 
international trade in raptors and another commenter requested the 
addition of a section on trade in live animals to address humane 
transport issues in greater detail. We believe that requirements for 
trade in raptors and other live specimens are sufficiently described in 
this rule as written, and

[[Page 48435]]

that separate sections covering such specimens are not necessary.
    Export of heavily traded native species (Sec. Sec.  23.68-23.70): 
Certain native species (American ginseng (Panax quinquefolius), bobcat 
(Lynx rufus), river otter (Lontra canadensis), Canada lynx (Lynx 
canadensis), gray wolf (Canis lupus), brown bear (Ursus arctos), and 
American alligator (Alligator mississippiensis) that are managed by a 
State or tribal conservation program are traded internationally, 
sometimes in high volumes. As for all CITES Appendix-I and -II species, 
before we can issue a CITES document to allow export, we must find that 
the specimens were legally acquired and that the export will not be 
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 permit by permit. 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 and thereby approve 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 some furbearer species, we 
make multi-year findings. 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 programs. 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 
website or will be available from us (see Sec.  23.7).
    Many commenters supported the provisions for approval of State and 
tribal export programs, but would like the FWS to make range-wide non-
detriment findings, rather than State-by-State or Tribe-by-Tribe 
assessments. We approve programs for the export of American ginseng, 
furbearers, and crocodilians on a State-by-State or Tribe-by-Tribe 
basis because they are managed by individual States or Tribes. We 
require specific information about the population status and management 
of the species on those specific State and tribal lands. As discussed 
in Sec.  23.61, a range-wide population assessment would be useful in 
making non-detriment findings because it would place the State or 
tribal programs in the context of species management and population 
status throughout its range. However, in making a non-detriment 
finding, we must determine whether there are effects from the export, 
including locally, that will impact the survival of the species. 
Generally, the information provided to the FWS by a State or Tribe is 
limited to the species' status in that State or tribal management area. 
If, however, sufficient information is provided by States and Tribes 
within the range of a particular species, we may review the 
information, in conjunction with other available information, on a 
range-wide basis. We have, for example, made a range-wide non-detriment 
finding for bobcat. We added provisions in Sec.  23.69(b) to 
accommodate situations where the Scientific Authority has made a range-
wide non-detriment finding.
    The same commenters suggested that re-evaluation periods for range-
wide findings should be no less than every 5 years. As discussed in the 
2006 proposed rule (71 FR 20167), subsequent to programmatic approval 
for a State or Tribe, exports are approved as long as the periodic 
submission of information by the State or Tribe shows that there is no 
significant change in status or management of the species that might 
lead to different treatment of the species.
    One commenter requested stronger language to mandate that States 
and Tribes provide relevant reports, and that the FWS disclose whether 
it has detected tag fraud for furbearers and alligators issued to the 
States and Tribes. We review the CITES furbearer and alligator activity 
reports received from each approved State or Tribe to determine if our 
programmatic findings remain correct or if the species needs closer 
monitoring. If an assessment of the information indicates that the 
population may be declining, we may request additional information from 
the States or Tribes to conduct a more comprehensive review to ensure 
that our findings are still valid. Violations in the use of tags are 
monitored by the Office of Law Enforcement and disclosure is subject to 
the rules and regulations governing release of investigative 
information.
    American ginseng roots (Sec.  23.68): 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.
    We use two categories for ginseng, 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 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.
    States or Tribes no longer provide us in their annual reports an 
estimate of the average age of wild-harvested plants. Instead, the U.S. 
Scientific Authority uses roots-per-pound information provided by the 
States as an index to indicate shifts in age structure of harvested 
roots.
    One commenter suggested that we modify Sec.  23.68 (b)(1)(iii) so 
that State or tribal personnel would only inspect and certify wild-
collected ginseng for export and not all wild-collected ginseng 
harvested on State or tribal lands. Since the majority of wild-
collected ginseng is exported, having State or tribal officials inspect 
all ginseng harvested in a particular State will minimize the 
likelihood of under-aged or illegally obtained wild-collected roots 
being exported. Additionally, some States do not require inspection of 
wild-collected

[[Page 48436]]

ginseng for personal use, and ginseng that does not enter international 
commerce is not subject to CITES requirements.
    One commenter asked us to provide the list of States and Tribes 
with approved ginseng programs in the regulations as well as on the FWS 
website (see Sec.  23.7). It is easier to update the FWS website 
quickly, and therefore, we will provide the list of approved States and 
Tribes there. We do not believe it is necessary to provide the list in 
the regulations as well.
    In the 2006 proposed rule (71 FR 20167), we proposed changing 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. Three commenters suggested that 
we not change the annual reporting date from May 31 to May 1, because 
it would require States to revise their existing ginseng laws and would 
decrease the amount of time ginseng dealers, States, and Tribes have to 
prepare the requested information. One of the commenters strongly 
supported our intention to complete the required CITES findings early. 
However, the commenter noted that the annual reports are one of many 
references the FWS considers in making the findings. The commenter is 
correct in that we consider additional information as well as 
information provided in the annual reports when making our non-
detriment findings. However, under CITES we must also make a legal 
acquisition finding, which is largely based on information contained in 
the State reports. Based on further review of our requirements, and in 
consultation with the State program coordinators, we have decided to 
maintain the current May 31 reporting date.
    CITES furbearers (Sec.  23.69): We define ``CITES furbearers'' to 
include bobcat, river otter, Canada lynx, and the Alaskan populations 
of 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 species listed under Article II(2)(a) 
of the Treaty. These species are listed to ensure that trade in the 
species to which they are similar is effectively controlled. We are 
obligated, however, by the Treaty to ensure that such 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 Sec.  23.7). 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 demonstrate 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 must be as reliable as the current 
system. Many State fish and wildlife agencies and fur trapper 
associations endorsed efforts to develop an alternative to tags. We 
will continue to work with States and Tribes to explore other ways to 
provide evidence of legal acquisition.
    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 (i.e., they are 
not designated as being listed under Article II(2)(a) or II(2)(b)), 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).
    Crocodilians (including American alligator) (Sec.  23.70): This 
section incorporates Resolution Conf. 11.12 and 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. 
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.
    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 on how many alligators were taken 
during the wild harvest and how many alligators were harvested from 
farming facilities.
    One commenter questioned why the requirements for marking of 
American alligator meat and skulls are different from those for other 
crocodilians. When we incorporated the marking requirements from the 
special rules in part 17 into this section, we did not change those 
requirements. The marking requirements for American alligator meat and 
skulls were developed to accommodate different State marking 
requirements.
    Two commenters asked us to develop a system to expedite issuance of 
export permits for American alligator skins, similar to the process in 
place for Appendix-III turtles. The system in place for Appendix-III 
wildlife is not appropriate for Appendix-II wildlife. Export of 
specimens listed in Appendix III, including certain turtle taxa native 
to the United States, requires only a legal acquisition finding. By 
contrast, American alligators are listed in Appendix II, and therefore, 
we must make a non-detriment finding in addition to a legal acquisition 
finding before issuing an export permit.
    Sturgeon caviar (Sec.  23.71): At CoP10, all sturgeons that were 
not already included in the CITES Appendices were added to Appendix II. 
This section implements Resolution Conf. 12.7 (Rev. CoP13), including 
requirements for 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

[[Page 48437]]

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 require that any re-export of caviar take place 
within 18 months from the issuance date of the original export permit. 
We also clarify that caviar and caviar products that contain the roe of 
more than one species may only be imported into or exported from the 
United States if each species is identified and the quantity of each 
species is specified on the CITES document. In the final rule, we 
amended Sec.  23.71(g) to more clearly describe this requirement and to 
underscore that we include products made with caviar under this 
paragraph.
    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 allow import of sturgeon caviar from 
shared stocks subject to quotas only during the calendar year in which 
it was harvested.
    Personal sport-hunted trophies (Sec.  23.74): This 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 Sec.  23.55). Some countries allow limited take of 
Appendix-I species as part of an overall management plan. The Parties 
have agreed to allow international movement of such trophies provided 
they are for the hunter's personal use. The export of Appendix-I 
hunting trophies requires both export and import permits under Article 
III of the Treaty (see Sec.  23.35). This practice is re-affirmed in 
Resolution Conf. 2.11 (Rev.).
    We defined ``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.''
    Two commenters supported our definition, but one did not agree that 
sport-hunted trophies should be considered personal effects. This 
commenter suggested that we remove the phrase ``for personal use'' from 
the definition. As stated above, the Parties have recognized that trade 
in certain Appendix-I specimens and annotated Appendix-II specimens is 
allowable provided that the specimen is a personally hunted trophy that 
will not be used for commercial purposes. We believe our definition, as 
written, supports the intent of the Parties. The same commenter 
encouraged us to add this definition to the general definition section 
(Sec.  23.5) as well. We defined some terms that apply to a specific 
type of trade, such as ``sport-hunted trophy,'' in the sections where 
they are used rather than in the general definition section (Sec.  
23.5) for efficiency. We do not believe it is appropriate to restate 
the definition in two places.
    Two commenters believed that items manufactured from a trophy 
should be included in the definition. They expressed concern that our 
definition would preclude hunters from bringing such items into the 
United States because they would be considered commercial. We do not 
agree that utilitarian items manufactured from a trophy should be 
considered a trophy. 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.'' 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 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.
    We also included 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. We added a description of tag locking requirements and tagging 
requirements for mounted sport-hunted trophies to Sec.  23.74(d)(i). 
These requirements are in addition to any requirements in 50 CFR part 
17. One commenter requested that we clarify that the limits on the 
number of certain sport-hunted trophies that may be imported in a given 
year apply to an individual hunter. We amended Sec.  23.74(d) 
accordingly.
    Two commenters were opposed to all trophy hunting and recommended 
that we prohibit the import of all sport-hunted trophies listed in the 
CITES Appendices. This issue was addressed in the 2006 proposed rule 
(71 FR 20167). CITES did not intend to ban the trade in sport-hunted 
trophies, and we do not have the authority to impose a ban on the 
import of any CITES species without legal or scientific justification.

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

    Confiscated specimens (Sec.  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 set out 
detailed guidance. Our general procedures for disposal of forfeited or 
abandoned property, under CITES as well as other U.S. laws, are 
contained in 50 CFR part 12, 7 CFR part 356, and 19 CFR part 162. 
Section 23.78 outlines the process we use in making a decision on how 
to dispose of confiscated live CITES wildlife and plants that have been 
forfeited or abandoned to FWS Law Enforcement, APHIS, or CBP.

[[Page 48438]]

    We consider a number of factors, and consult the guidance in 
Resolution Conf. 10.7, when determining how to dispose of confiscated 
live specimens. The most important factor we consider is the welfare of 
the wildlife or plants. Generally, the disposal options are maintenance 
in captivity or cultivation, return to the wild, and euthanasia or 
destruction. In the absence of other options, euthanasia or destruction 
may be the most humane or appropriate option. Although under Article 
VIII of the Treaty, returning confiscated live specimens to the country 
of export is one available option, we cannot always return them. 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.
    Return to the wild of confiscated specimens is rarely possible. It 
can carry 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 considering return to the 
wild, 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. In many countries, 
including the United States, some confiscated specimens are donated to 
zoos, aquariums, or botanical gardens. This option may not be available 
when a seizure involves a large number of common species. Both the 
botanical and zoological communities recognize that placing specimens 
of low conservation value in limited space may benefit those 
individuals, but may detract from conservation efforts as a whole.
    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 included an issuance criterion 
for re-export of confiscated specimens in Sec.  23.37(c)(5). It 
requires 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 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 must make the biological finding, which 
normally would have been made prior to export, before issuing a re-
export certificate.
    Two commenters urged us to develop an action plan for the disposal 
of confiscated live specimens, as is recommended in Resolution Conf. 
10.7. As noted in the 2006 proposed rule (71 FR 20167), due to the 
complexity of issues involved in placing seized specimens, the FWS 
makes disposition decisions on a case-by-case basis.
    One commenter asserted that we should strictly control the breeding 
and disposition of any progeny for any wildlife specimen placed with a 
zoo, sanctuary, or care facility. All live wildlife placed with a zoo, 
sanctuary, or similar care facility is accompanied by a loan or 
donation document as described in 50 CFR part 12 that may include 
restrictions on use or disposition of the animal. We may also place 
restrictions on breeding of the animal or disposition of the animal and 
any progeny, as appropriate.
    One commenter urged us to place confiscated specimens in scientific 
collections with restrictions on their transfer rather than re-export 
them back to the country of export. Another commenter expressed concern 
regarding the option of selling confiscated Appendix-II and -III 
specimens. Under these regulations, as well as under 50 CFR part 12, 
the FWS disposes of confiscated specimens on a case-by-case basis after 
considering the most appropriate option. See 50 CFR part 12, subpart D, 
for the criteria we use when considering the appropriate disposition of 
abandoned and forfeited wildlife and plants, including the order of 
preferred disposal methods.
    One commenter remarked on the impracticality of re-exporting seized 
specimens to the country of export. The commenter cited an instance 
where seized specimens were re-exported to the country of origin, but 
despite efforts to maintain the specimens, they could not be salvaged 
once they arrived in the country of export and had to be discarded. The 
commenter recommended that the FWS place seized specimens in scientific 
collections in the United States and restrict the use of the specimens 
to prevent them from being transferred to the intended importer.
    We believe that the re-export of confiscated specimens to the 
country of origin or re-export is an appropriate option for certain 
specimens. Although the commenter cited an instance where specimens 
could not be salvaged, we have successfully re-exported many 
confiscated specimens to the country of export. We decline to 
incorporate a mandate for the placement of confiscated specimens only 
with scientific institutions. We must retain the ability to determine 
the most appropriate disposition of confiscated specimens based on 
specific facts of the case.
    Two commenters argued against returning confiscated live specimens 
to the wild. One maintained that returning raptors is only successful 
in the context of a well-organized and carefully implemented 
translocation program. The other commenter noted that reintroduction 
programs require careful organization and implementation. That 
commenter also noted that returning confiscated live wildlife to the 
country of origin was often not realistic, noting that adequate 
facilities for caring for the live specimens may not exist. We have 
clarified under what limited circumstances we would return confiscated 
specimens to the wild. With regard to the return of confiscated live 
specimens to the country of origin, Resolution Conf. 9.10 (Rev. CoP13) 
recommends that confiscated specimens be returned to the country of 
origin or re-export when the Scientific Authority of the confiscating 
State deems it in the interest of the specimens to do so, and the 
country of origin or re-export requests that the specimens be returned. 
The United States follows this recommendation in determining if it is 
appropriate to return confiscated specimens to the country of origin or 
re-export.
    One commenter argued that we should not allow confiscated live 
wildlife specimens to be given to scientific institutions unless the 
institution does not intend to use the specimen for invasive scientific 
research. The commenter further argued that we should not place such 
specimens with any organization that operates a traveling exhibition. 
The commenter noted particular concern regarding the regulations in 50 
CFR part 12 that allow for the sale of confiscated Appendix-II and -III 
wildlife and plants. The commenter believed that this option might 
cause the FWS to overlook other disposal options such as return to the 
country of origin. As previously discussed, the options available in 50 
CFR part 12 are ordinarily exercised in the order in which the methods 
are outlined. Sale and destruction are the final options to be 
exercised, and any sale must be in accordance with Federal Property 
Management Regulations and Interior Property Management regulations.

[[Page 48439]]

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

    Development of U.S. documents and negotiating positions for a CoP 
(Sec.  23.87): This section outlines 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 
website (see Sec.  23.7). We will also hold one or more public meetings 
to discuss these issues. However, we will not 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 no longer publish an official report after 
each CoP because information on the results of a CoP is available from 
a number of sources, such as the CITES website (see Sec.  23.7). 
Consequently, the production of a separate report has become 
duplicative and unnecessary.
    One commenter noted that we did not indicate a timeframe for 
providing a summary of our proposed negotiating positions in 
preparation for a CoP. The commenter suggested that we provide our 
proposed negotiating positions at least 2 weeks prior to the start of a 
CoP to allow sufficient time for public input and comment. Although we 
make every effort to provide our proposed negotiating positions 
sufficiently in advance of a CoP, it is not always possible, and we 
have declined to adopt this suggestion.
    Another commenter opposed our proposal not to make our final 
negotiating positions available prior to a CoP. We believe that this 
comment is adequately addressed in the 2006 proposed rule (71 FR 20167) 
and refer the commenter to that document for further clarification.
    Resolutions and decisions (Sec.  23.88): This section provides the 
legal basis and purpose of resolutions and decisions. We have 
implemented 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.
    One commenter recommended that we clarify that the effective date 
of resolutions and decisions adopted at a CoP is 90 days after the last 
day of the meeting at which they were adopted. We agree with the 
commenter and have revised the final rule accordingly.

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

    Listing criteria for Appendix I or II (Sec.  23.89): 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.
    A number of falconers argued that not all Falconiformes should be 
included under CITES, but only those species that are endangered or 
threatened. These regulations do not address specific listings in the 
Appendices. However, through a series of Federal Register notices and 
public meetings, individuals and organizations have an opportunity to 
participate in U.S. preparations for a CoP and should provide 
information on potential listing proposals through those means.
    One commenter questioned our statement regarding the use of 
precautionary measures to ensure that scientific uncertainty is not a 
reason for failing to act in the best interest of the conservation of 
the species when considering a listing proposal. The commenter argued 
that if adequate information to evaluate conservation needs is lacking, 
it is difficult to determine those needs. The commenter asked how 
proposals under these circumstances should be evaluated. The statement 
to which the commeter refers is taken from the concept described in 
Annex 4 to Resolution Conf. 9.24 (Rev. CoP13). In evaluating the need 
to list a species in the Appendices, we use the best available 
information. However, in applying precautionary measures, we may still 
take a listing action when the best available information suggests the 
action is warranted despite incomplete information.
    Exemptions (Sec.  23.92): This section provides details on what 
materials are exempt. Upon import, export, or re-export, you may be 
required to demonstrate that your specimens qualify as exempt under 
this section. One commenter stated that tissue, blood, and serum 
collected at the time of necropsy for diagnostic testing should not 
require permits under CITES. Although Parties have proposed exempting 
such specimens in the past, no consensus has been reached on such an 
exemption. Consequently, tissue, blood, and serum are not exempt from 
CITES requirements.
    Another commenter indicated that our text regarding annotated 
Appendix-III wildlife (Sec.  23.92 (b)(1)) and Appendix-II or -III 
plant species (Sec.  23.92 (b)(2)) was confusing. Upon review of this 
section we realized these paragraphs did not accurately reflect our 
current practice. As a result, we combined (b)(1) and (b)(2) from the 
2006 proposed rule (71 FR 20167) into one paragraph so that it is clear 
that for Appendix-III wildlife and Appendix-II or -III plant listings 
we consider all parts, products, or derivatives to be covered (and thus 
to require CITES documents) unless they are annotated to indicate 
otherwise. We also added references in (b)(2) and (b)(3) to the section 
on artificially propagated plants to underscore the fact that these 
specimens must qualify as artificially propagated under Sec.  23.64.

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 rule has been reviewed by OMB.
    a. This 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 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 170 Parties, 
must follow under the Convention. As of February 1, 2007, our records 
show there are approximately 9,800 active U.S. CITES documents (the 
period of validity for documents ranges from 6 months to 3 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

[[Page 48440]]

wildlife and plants are CITES Parties. Because most of these Parties 
are currently implementing the Convention and the current CITES 
resolutions and decisions, this 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 Convention 
as well as the current 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 
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 revisions. Revisions that would impact 
current business practices are addressed below.
    We do not expect that this rule will 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 rule will result in changes in levels of trade, permit 
applications, or permit issuance or denial that are statistically 
significant.
    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 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 will 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 
cooperativeconservation 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 no longer allow 
the use of Article III of the Treaty for commercial export of Appendix-
I wildlife. This 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; it also does not preclude the export of specimens when the 
export is not commercial, such as for scientific, conservation, or 
personal use.
    Wildlife may be exported with a certificate under the bred-in-
captivity exemption of Article VII(5). However, at CoP12, the Parties 
agreed that for facilities to qualify as breeding Appendix-I species 
for noncommercial purposes, they must be participating in a cooperative 
conservation program with one or more of the range countries for that 
species. Otherwise, if a facility is not cooperating with a range 
country, they are considered to be breeding for commercial purposes. We 
adopted this new provision to ensure that trade in Appendix-I species 
will not be detrimental to the survival of the species in the wild. 
Many Appendix-I species also are listed under the ESA, and an export 
permit may be issued only when the activity will provide for the 
conservation of the species. Thus, we do not expect administrative 
costs to increase for facilities that want to export Appendix-I species 
bred for noncommercial purposes.
    Unless an Appendix-I wildlife or plant specimen qualifies for an 
exemption under Article VII of the Treaty, it may be imported only when 
the intended use is not for primarily commercial purposes. In addition, 
the Parties agreed that Appendix-I trophies may 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 incorporated 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 
applies 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 this rule, these types of trophies may be imported for 
personal use only and may not be sold or otherwise transferred for 
economic use, gain, or benefit after import into the United States. 
From 2001 to 2005, the number of African elephant trophies imported 
into the United States annually ranged from 265 to 352. During the same 
time period, annual imports of leopard trophies ranged from 413 to 507.
    We implemented changes in requirements for trade in sturgeon caviar 
agreed at CoP12 and CoP13. We 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 this final rule will assist U.S. businesses in 
complying with CITES requirements when engaging in international 
wildlife trade. Many of the benefits associated with the 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 personally owned live wildlife (e.g., 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, and (8) 
exempting certain wildlife hybrids and urine, feces, and synthetically 
derived DNA from CITES requirements. These benefits are presented 
qualitatively below.

[[Page 48441]]

    We expect the regulations to provide relief by streamlining the 
CITES document procedures for traveling exhibitions. At CoP8, the 
Parties agreed to issue CITES documents for live animals that qualify 
as pre-Convention or bred in captivity and that travel internationally 
as part of an exhibition. The document is to be treated like a passport 
and allows 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 3 years rather than 6 
months like a standard export permit. At CoP12, the Parties agreed to 
extend these provisions to all traveling exhibitions, not just 
traveling live-animal exhibitions. We incorporated provisions for 
traveling exhibitions into these regulations and defined 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 have also implemented Resolution Conf. 12.10 (Rev. CoP13) and 
established application procedures for an operation breeding Appendix-I 
wildlife species for commercial purposes to become registered 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 operations 
breeding Appendix-I species for commercial purposes. During 2005 and 
2006, these four facilities combined exported a total of 18 shipments 
per year. We anticipate that 15-20 operations would seek to be 
registered initially.
    We adopted 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 2006, we issued about 200 CITES documents to 
export Appendix-I specimens.
    We exempted 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 willaccept 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 website or from us (see Sec.  23.7). We anticipate that the 
use of this standardized nomenclature and the exemption of coral sand 
and coral fragments from CITES requirements will 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 provides for the issuance of certificates 
for personally owned live wildlife that would be valid for a period of 
3 years and allow for multiple imports, exports, and re-exports of the 
covered specimens. The final rule advises travelers that they must have 
a CITES document to travel with their CITES-listed personally owned 
live wildlife, and it provides procedures for the issuance of these 
CITES documents. Individuals importing live CITES wildlife for personal 
use are required under this rule to obtain a CITES document prior to 
arriving in the United States. Since most Parties require CITES 
documents for international trade of all live specimens, this 
requirement will ensure that pet owners are not inadvertently violating 
the Lacey Act Amendments of 1981 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 
will not impose an additional paperwork or financial burden on pet 
owners or falconers, but may actually save time and money by clearly 
informing travelers of CITES requirements.
    This rule will 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 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 have implemented streamlined procedures 
adopted at CoP12 and issue partially completed documents under specific 
circumstances. We do this by establishing a master file for a permittee 
and then issue multiple documents based on information in the master 
file. The permittee is authorized to complete specifically identified 
boxes on the document and is required to sign the document to certify 
that the information entered is true and correct. For U.S. documents, 
an applicant must 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 can 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 2005, we issued approximately 
3,200 partially completed documents. In 2006, the number increased to 
around 9,300 documents. Although the creation of a master file has 
somewhat increased the initial burden for applicants, the subsequent 
issuance of documents under a master file is streamlined. In addition, 
this process has brought our procedures into line with most other CITES 
Parties, which will no longer accept multiple-use export documents.
    This final rule will provide relief to applicants whotravel 
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 can issue a CITES document that will 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

[[Page 48442]]

international customs document that allows the temporary introduction 
of goods destined for fairs, shows, exhibitions, and other events. We 
estimate that approximately 50 applicants will benefit from this 
simplified procedure.
    Under this rule, we require CITES documents to accompany most 
wildlife hybrids that are imported, exported, or re-exported. Certain 
wildlife hybrids will no longer require CITES documents if they meet a 
limited exemption. We generally receive fewer than 50 inquiries 
concerning exempt hybrids annually.
    We have exempted urine, feces, and synthetically derived DNA of 
CITES species 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 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 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 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 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 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, $394 million in 2003, 
$1.5 billion in 2004 (including one export of a single panda to China 
with a declared value of $1 billion), and $737 million in 2005.
    These new regulations 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 will vary from 6 minutes to 30 minutes per 
response, and new application fees range from free to $100. The 
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 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 ESA 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 will not have a 
significant economic effect on a substantial number of small entities 
as defined under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.). 
A Regulatory Flexibility Analysis is not required. Accordingly, a Small 
Entity Compliance Guide is not required.
    Small Business Regulatory Enforcement Fairness Act: This rule is 
not a major rule under 5 U.S.C. 804(2), the Small Business Regulatory 
Enforcement Fairness Act. As discussed above, this rule:
    a. Does not have an annual effect on the economy of $100 million or 
more. This 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 rule will not have a 
negative effect on this part of the economy.
    This final rule will affect all importers, exporters, and re-
exporters equally, and the benefits of having updated guidance on 
complying with CITES requirements will be evenly spread among all 
businesses, whether small or large. There is not a disproportionate 
share of benefits for small or large businesses.
    b. Will not cause a major increase in costs or prices for 
consumers; individual industries; Federal, State, tribal, or local 
government agencies; or geographic regions. This rule clarifies and 
updates the regulations that implement CITES and, therefore, will 
provide benefits to all permit applicants in terms of time savings. 
However, this rule may result in a small increase in the number of 
applications and processing fees for circuses, pet owners trading in 
CITES animal species, commercial breeding operations for appendix-I 
species, and entities currently exporting under multiple-use permits. 
This rule also proposes to establish processing fees for the following 
application types:

[[Page 48443]]

introduction from the sea ($100) and registration of commercial 
breeding operations for Appendix-I species ($100). We anticipate fewer 
than 30 applicants will be affected annually by these new 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 
rule will enable U.S. importers and exporters of CITES species to 
better understand and comply with the regulations covering 
international trade in CITES wildlife and plants. Without these 
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 rule will 
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 final 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 rule has no effect on 
small governments' responsibilities. This rule affects States only as 
described below, concerning export programs for certain native species 
listed under CITES.
    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 2001-2005, annual exports of animal skins under the 
CITES export programs ranged from approximately $29 to $61 million. 
Annual exports of American ginseng during the same timeframe ranged 
from approximately $41 to $111 million. We have not changed the 
existing regulations for export from these programs (although, in the 
future, we may eliminate the need for export tags on skins of 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 under 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 legally acquired and that their 
export would not be detrimental to the survival of the species.
    In this rule, we provide the criteria we use in making decisions to 
approve a program. These criteria are consistent with those that we 
currently employ in making such findings, and program approval will 
continue to function as it does now. This final rule provides the 
public with information on how the Service makes findings regarding 
State and tribal programs.
    These updated CITES regulations will assist those who rely on 
income from the export of certain native CITES species by providing 
clear, updated requirements for international trade, thus allowing them 
to remain competitive when conducting business in international 
markets. This final rule provides the importing and exporting community 
a better opportunity for obtaining economic gain from international 
business in CITES specimens.
    b. This rule will not produce a Federalrequirement 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 rule does not have 
significant takings implications. A takings implication assessment is 
not required. This 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 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: The 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 final 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 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 final 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 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 
rule has been approved under OMB control number 1018-0093. 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, 3-200-61, 3-200-64 through 3-200-66, 3-200-69, 3-
200-70, 3-200-73, and 3-200-76.

[[Page 48444]]

    We 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. We requested approval 
of the new information collections, including forms 3-200-74 and 3-200-
75, from OMB for a 3-year period. The OMB control number for the new 
information collections is 1018-0137. The new information collections 
and the estimated reporting burdens are indicated in the following 
table.

                                                                    New Information Collections Associated with the Final Rule
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                  Estimated                                              Total
                                                                          Total        Total      Completion      Total      $ Value of  Application   AnnualNon-
               Form Number                          Activity            Number of    Number of       Time     AnnualBurden     Burden     Processing  Hour $ Cost            Regulation
                                                                       Respondents   Responses     (Hours)        Hours        Hours         Fee         Burden
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
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).

    We have made changes to the requirements for trade in sturgeon 
caviar (which includes paddlefish caviar). The majority of these 
requirements are already implemented by other CITES Parties that are 
either exporting caviar to the United States or receiving imports of 
caviar from the United States. Therefore, our codification of these 
existing requirements will not impose a new burden on traders. We 
require the labeling of containers of caviar being imported into or 
exported or re-exported from the United States. Resolution Conf. 12.7 
(Rev. CoP13) recommends guidelines for a universal labeling system 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 2005 and 2006, we issued approximately 200 CITES documents annually 
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 new regulations, when 
a document covering multiple specimens qualifying as pre-Convention or 
bred in captivity specimens expires, the permittee will need to obtain 
one document for each specimen. As a result, this rule may result in 
increased permit application processing fees ($100 per application) for 
a small number of importers and exporters. This requirement will 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 rule, including those already approved under OMB 
control numbers 1018-0093 and 1018-0130, will vary from 6 minutes to 85 
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.
    During the proposed rule stage, we solicited comments on the new 
information collections (FWS Forms 3-200-74 and 3-200-75). While we did 
not receive any comments specifically for the new collection 
requirements, we did receive several comments pertaining to other 
information collection requirements in the rule (recordkeeping, 
reporting, fees, etc.), which we summarize and discuss in this 
preamble. We did not make any changes to our burden estimates as a 
result of these comments.
    At any time, interested members of the public and affected agencies 
may comment on the information collection requirements contained in 
this rule. Please send such comments to Hope Grey, Information 
Collection Clearance Officer, Fish and Wildlife Service, MS 222-ARLSQ, 
4401 North Fairfax Drive, Arlington, VA 22203 (mail); (703) 358-2269 
(fax); or [email protected] (e-mail).
    We particularly invite your comments on: (1) whether or not the 
collection of information is necessary for the proper performance of 
the functions of the Service, including whether or not the information 
will have practical utility; (2) the accuracy of our estimate of the 
burden for this collection; (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 applicants..
    National Environmental Policy Act (NEPA): The FWS has determined 
that this final rule is categorically excluded from further NEPA review 
as provided by 516 DM 2, Appendix 1.9, of the Department of the 
Interior National Environmental Policy Act Revised Implementing 
Procedures (FR Volume 69, No. 45, March 8, 2004). No further 
documentation will be made.
    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

[[Page 48445]]

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 revises the current regulations in 50 CFR 
part 23 that implement CITES. The 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 final rule is 
considered a significant regulatory action under Executive Order 12866, 
it will not 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.

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.

Regulation Promulgation

0
For the reasons given in the preamble, we amend title 50, chapter I, 
subchapter B of the CFR as follows:

PART 10 - [AMENDED]

0
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.

0
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 Atoll, Navassa Island, Palmyra Atoll, and Wake 
Atoll, and any other territory or possession under the jurisdiction of 
the United States.
* * * * *

PART 13 - [AMENDED]

0
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.

0
4. Section 13.1 is revised to read as follows:


Sec.  13.1  General.

    (a) A person must obtain a valid permit before commencing an 
activity for which a permit is required by this subchapter, except as 
provided in Sec.  23.53 of this subchapter for retrospective permits 
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.

0
5. Section 13.11(d) is amended, as set forth below, by:
    a. Removing the first two sentences in paragraph (d)(1) and adding 
in their place the three new sentences set forth below; 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            CFR 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 Commercial  50 CFR 23             100  ...........
 Breeding Operations for
 Appendix-I wildlife
------------------------------------------------------------------------
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 48446]]

* * * * *

0
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);
* * * * *

0
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).
* * * * *

0
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]

0
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 as Sec.  17.9]

0
10. Part 17 is amended by redesignating Sec.  17.8 as Sec.  17.9.

0
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.

0
12. Section 17.42 is amended as set forth below by:
    a. Republishing the heading for paragraph (a);
     b. Revising paragraphs (a)(1), (a)(2)(ii)(A), and (a)(2)(ii)(B) to 
read as set forth below;
    c. Removing (a)(2)(ii)(C), (a)(2)(iii), and (a)(2)(iv);
    d. Adding paragraphs (a)(3) and (a)(4) to read as set forth below;
    e. Revising paragraph (c) to read as set forth below; and
    f. Removing and reserving paragraph (g).


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 part 14 of this subchapter 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 part 14 
of this subchapter. 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

[[Page 48447]]

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?
    (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 
(c)(2)(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 on trade 
of specimens of threatened crocodilians if any ofthe 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) Biennial 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 biennial 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 2 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 2 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 biennial 
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

[[Page 48448]]

(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.
    (E) A documented increase in poaching.
    (F) A documented decline in habitat quality or quantity.
    (G) Other natural or manmade factors affecting the species' 
recovery.
* * * * *

0
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 a commercial 
breeding operation for Appendix-I wildlife 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, and products?
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: Convention on International Trade in Endangered 
Species of Wild Fauna and Flora (March 3, 1973), 27 U.S.T. 1087; and 
Endangered Species Act of 1973, as amended, 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

[[Page 48449]]

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 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 species   (1) YES. Continue to paragraph
 (including parts, products,            (b) of this section.
 derivatives, whether wild-collected,  (2) NO. The regulations in this
 or born or propagated in a             part do not apply.
 controlled environment) listed in
 Appendix I, II, or III of CITES (see
 Sec.   23.91)?
------------------------------------------------------------------------
(b) Is the wildlife or plant specimen  (1) YES. The regulations in this
 exempted from CITES (see Sec.          part do not apply.
 23.92)?                               (2) NO. Continue to paragraph (c)
                                        of this section.
------------------------------------------------------------------------
(c) Do you want to import, export, re- (1) YES. The regulations in this
 export, engage in international        part apply.
 trade, or introduce from the sea?     (2) NO. Continue to paragraph (d)
                                        of this section.
------------------------------------------------------------------------
(d) Was the specimen that you possess  (1) YES. The regulations in this
 or want to enter into intrastate or    part apply. See Sec.   23.13(c)
 interstate commerce unlawfully         and (d) and sections 9(c)(1) and
 acquired, illegally traded, or         11(a) and (b) of the ESA (16
 otherwise subject to conditions set    U.S.C. 1538(c)(1) and 1540(a)
 out on a CITES document that           and (b)).
 authorized import?                    (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 to the 
Treaty (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 included in or 
excluded from the listing, such as certain parts, products, or 
derivatives. A substantive annotation may designate export quotas 
adopted by the CoP. For species

[[Page 48450]]

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 treated as if they are 
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 
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.
    ATA carnet means a type of international customs document (see 
Sec.  23.50). ATA is a combination of the French and English words 
``Admission Temporaire/Temporary Admission.''
    Bred for commercial purposes means any specimen of an Appendix-I 
wildlife species bred in captivity for commercial purposes. Any 
Appendix-I specimen that does not meet the definition of ``bred for 
noncommercial purposes'' is considered to be bred 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 of the specimen is noncommercial and 
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 bred-in-captivity criteria (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).
    Cooperative conservation program means a program in which 
participating captive- breeding facilities produce Appendix-I specimens 
bred for noncommercial purposes and participate in or support a 
recovery activity for that species in cooperation with 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.
    ISO country code means the two-letter country code developed by the 
International Organization for Standardization (ISO) to represent the 
name of a country and its subdivisions.
    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

[[Page 48451]]

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 or cultivated 
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 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, 
which 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 a display of live or dead wildlife or 
plants for entertainment, educational, cultural, or other display 
purposes that 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:

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

[[Page 48452]]

 
(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.
----------------------------------------------------------------------------------------------------------------
(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.
----------------------------------------------------------------------------------------------------------------

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
 management issues:                  U.S. Fish and Wildlife Service
(1) CITES documents, including       4401 North Fairfax Drive, Room 700
 application forms and procedures;   Arlington, Virginia 22203
 lists of registered scientific      Toll Free: (800) 358-2104/permit
 institutions and operations          questions
 breeding Appendix-I wildlife for    Tel: (703) 358-2095/other questions
 commercial purposes; and            Fax: (703) 358-2281/permits
 reservations                        Fax: (703) 358-2298/other issues
(2) Information on the CoP           E-mail: [email protected]
(3) List of CITES species            Website: http://www.fws.gov/
(4) Names and addresses of other      international and http://
 countries' Management and            www.fws.gov/permits
 Scientific Authority offices
(5) Notifications, resolutions, and
 decisions
(6) Standing Committee documents
 and issues
(7) State and tribal export
 programs
------------------------------------------------------------------------
(b) Scientific issues:               ...................................
(1) Animals and Plants Committees    U.S. Scientific Authority
 documents and issues                U.S. Fish and Wildlife Service
(2) Findings of non-detriment and    4401 North Fairfax Drive, Room 750
 suitability of facilities, and      Arlington, Virginia 22203
 other scientific findings           Tel: (703) 358-1708
(3) Listing of species in the        Fax: (703) 358-2276
 Appendices and relevant             E-mail: [email protected]
 resolutions                         Website: http://www.fws.gov/
(4) Names and addresses of other      international
 countries' Scientific Authority
 offices and scientists involved
 with CITES-related issues
(5) Nomenclatural issues
------------------------------------------------------------------------
(c) Wildlife clearance procedures:   ...................................
(1) CITES replacement tags           Law Enforcement
(2) Information about wildlife port  U.S. Fish and Wildlife Service
 office locations                    4401 North Fairfax Drive, Mail Stop
(3) Information bulletins             LE-3000
(4) Inspection and clearance of      Arlington, Virginia 22203
 wildlife shipments involving        Tel: (703) 358-1949
 import, introduction from the sea,  Fax: (703) 358-2271
 export, and re-export, and filing   Website: http://www.fws.gov/le
 a Declaration of Importation or
 Exportation of Fish or Wildlife
 (Form 3-177)
(5) Validation, certification, or
 cancellation of CITES wildlife
 documents
------------------------------------------------------------------------

[[Page 48453]]

 
(d) APHIS plant clearance            U.S. Department of Agriculture
 procedures:                          APHIS/PPQ
(1) Information about plant port     4700 River Road
 office locations                    Riverdale, Maryland 20737-1236
(2) Inspection and clearance of      Toll Free: (877) 770-5990/permit
 plant shipments involving:           questions
(i) Import and introduction from     Tel: (301) 734-8891/other CITES
 the sea of living plants             issues
(ii) Export and re-export of living  Fax: (301) 734-5786/permit
 and nonliving plants                 questions
(3) Validation or cancellation of    Fax: (301) 734-5276/other CITES
 CITES plant documents for the type   issues
 of shipments listed in paragraph    Website: http://www.aphis.usda.gov/
 (d)(2) of this section               plant--health
------------------------------------------------------------------------
(e) CBP plant clearance procedures:  Department of Homeland Security
(1) Inspection and clearance of      U.S. Customs and Border Protection
 plant shipments involving:          Office of Field Operations
(i) Import and introduction from     Agriculture Programs and Liaison
 the sea of nonliving plants         1300 Pennsylvania Avenue, NW, Room
(ii) Import of living plants from     2.5 B
 Canada at designated border ports   Washington, DC 20229
 (7 CFR 319.37-14(b) and 50 CFR      Tel: (202) 344-3298
 24.12(d))                           Fax: (202) 344-1442
(2) Cancellation of CITES plant
 documents for the type of
 shipments listed in paragraph
 (e)(1) of this section
------------------------------------------------------------------------
(f) General information on CITES:    CITES Secretariat
(1) CITES export quota information   Website: http://www.cites.org
(2) CITES'Guidelines for transport
 and preparation for shipment of
 live wild animals and plants
(3) Information about the
 Secretariat
(4) Names and addresses of other
 countries' Management and
 Scientific Authority offices
(5) Official documents, including
 resolutions, decisions,
 notifications, CoP documents, and
 committee documents
(6) Official list of CITES species
 and species database
(7) Text of the Convention
------------------------------------------------------------------------

Sec.  23.8  What are the information collection requirements?

    The Office of Management and Budget approved the information 
collection requirements for application forms and reports contained in 
this part and assigned OMB Control Numbers 1018-0093 and 1018-0137. We 
cannot collect or sponsor a collection of information and you are not 
required to provide information unless it displays a currently valid 
OMB control number.

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

[[Page 48454]]

 
Reptiles     (iii) Crocodylia     Dead specimens,     4
              (alligators,         parts, products
              caimans,             (including
              crocodiles,          manufactured
              gavial)              items), and
                                   derivatives
------------------------------------------------------------------------
Molluscs     (iv) Strombus gigas  Shells              3
              (queen conch)
------------------------------------------------------------------------
Molluscs     (v) Tridacnidae      Shells, each of     3 shells, total
              (giant clams)        which may be one    not exceeding 3
                                   intact shell or     kg
                                   two 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 type of 
specimen is one listed in paragraph (c)(3) of this section, the 
quantity does not exceed the quantity given in the table.
    (4) You own and possess the specimen for personal use, including 
any specimen intended as a personal gift.
    (5) You are either wearing the specimen as clothing or an accessory 
or taking it as part of your personal baggage, which is being carried 
by you or checked as baggage on the same plane, boat, vehicle, or train 
as you.
    (6) The specimen was not mailed or shipped separately.
    (e) Household effects. You do not need a CITES document to import, 
export, or re-export any legally acquired specimen of a CITES species 
that is part of a shipment of your household effects when moving your 
residence to or from the United States, if all of the following 
conditions are met:
    (1) The provisions of paragraphs (d)(1) through (3) of this section 
are met.
    (2) You own the specimen and are moving it for personal use.
    (3) You import or export your household effects within 1 year of 
changing your residence from one country to another.
    (4) The shipment, or shipments if you cannot move all of your 
household effects at one time, contains only specimens purchased, 
inherited, or otherwise acquired before you changed your residence.
    (f) African elephant worked ivory. You may export or re-export from 
the United States worked African elephant (Loxodonta africana) ivory 
and then re-import it without a CITES document if all of the following 
conditions are met:
    (1) The worked ivory is a personal or household effect that meets 
the requirements of paragraphs (c) through (e) of this section and you 
are a U.S. resident who owned the worked ivory before leaving the 
United States and intend to bring the item back to the United States.
    (2) The ivory is pre-Convention (see 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, or any piece of tusk, the surface of 
which, polished or unpolished, is unaltered or minimally carved, 
including ivory mounted on a stand or part of a trophy.
    (5) When you return, you are able to provide records, receipts, or 
other documents to show that the ivory is pre-Convention and that you 
owned and registered it before you left the United States. To register 
such an item you must obtain one of the following documents:
    (i) U.S. CITES pre-Convention certificate.
    (ii) FWS Declaration of Importation or Exportation of Fish or 
Wildlife (Form 3-177).
    (iii) Customs and Border Protection Certificate of Registration for 
Personal Effects Taken Abroad (Form 4457).


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.
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[[Page 48456]]




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 48457]]

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[[Page 48458]]

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, 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 III      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 in captivity
 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 plants      I, II, or III  CITES document unless  23.42
                                       the specimen
                                       qualifies as an
                                       exempt plant hybrid
------------------------------------------------------------------------
(8) Hybrid wildlife    I, II, or III  CITES document unless  23.43
                                       the specimen
                                       qualifies as an
                                       exempt wildlife
                                       hybrid
------------------------------------------------------------------------
(9) In-transit         I, II, or III  CITES document         23.22
 shipment (see                         designating importer
 paragraph (d)(14) 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 movements
------------------------------------------------------------------------
(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 specimens
                                       qualify as pre-
                                       Convention, bred in
                                       captivity, or
                                       artificially
                                       propagated\2\
------------------------------------------------------------------------
\1\ Issued by the Management Authority in the exporting or re-exporting
  country.
\2\ Issued by the Management Authority in the owner's country of usual
  residence.
\3\ Registration codes assigned by the Management Authorities in both
  exporting and importing countries.
\4\ Appendix-I species bred in captivity or artificially propagated for
  commercial purposes (see Sec.  Sec.   23.46 and 23.47).


[[Page 48459]]

    (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:

----------------------------------------------------------------------------------------------------------------
                  Appendix                                    Type of CITES document(s) required
----------------------------------------------------------------------------------------------------------------
I                                             Import permit (Sec.   23.35) and either an 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 (Sec.   23.36) 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 certificates. For introduction from 
the sea of Appendix-I or Appendix-II specimens, you must obtain an 
introduction-from-the-sea certificate before conducting the proposed 
activity, unless the exemption in paragraph (d)(10) of this section 
applies (see 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, Sec.  23.36(e) and Sec.  23.39(e) for export of exempt 
specimens, or Sec.  23.37 for re-export). Although an Appendix-III 
specimen does not require a CITES document to be introduced from the 
sea, the subsequent international trade of the specimen would be 
considered an export. For export of an Appendix-III specimen that was 
introduced from the sea you must obtain an export permit (Sec.  23.36) 
if the export is from the country that listed the species in Appendix 
III, a certificate of origin (Sec.  23.38) if the export is from a 
country other than the listing country, or a re-export certificate for 
all re-exports (Sec.  23.37).


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(s) (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 
website or contact us (see Sec.  23.7) 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

[[Page 48460]]

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)).
    (3) Transportation and routing documents that show the shipment has 
been consigned to the same importer and country of final destination as 
designated on the CITES document.
    (c) Shipment requirements. An in-transit shipment, including items 
in an on-board store, must meet the following:
    (1) When in an intermediary country, an in-transit shipment must 
stay only for the time needed to immediately transfer the specimen to 
the mode of transport used to continue to the final destination and 
remain under customs control. Other than during immediate transfer, the 
specimen may not be stored in a duty-free, bonded, or other kind of 
warehouse or a free trade zone.
    (2) At any time during transit, an in-transit shipment must not be 
sold, manipulated, or split unless authorized by the Management 
Authority of the intermediary country for inspection or enforcement 
purposes.
    (d) Reserving Party or non-Party. All the requirements of this 
section apply to shipments to or from a reserving Party or non-Party 
that are being transshipped through a Party. The CITES document must 
treat the specimen as listed in the Appendix as provided in 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 a customs declaration label used to 
identify specimens being moved between registered scientific 
institutions (Sec.  23.48(e)(5)), a CITES document issued by a Party or 
non-Party must contain the information set out in this paragraph 
(listed alphabetically). Specific types of CITES documents must also 
contain the additional information identified in paragraph (e) of this 
section. A CITES document is valid only when it contains the following 
information:

------------------------------------------------------------------------
    Required 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 air waybill number or (ii) in
                               accompanying baggage, the flight number,
                               as recorded on the CITES document by the
                               inspecting official at the port, if known
                               at the time of validation or
                               certification.
------------------------------------------------------------------------
(4) 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 (see Sec.
                               23.7).
------------------------------------------------------------------------
(6) Document number           A unique control number. We use a unique
                               12-character number. The first two
                               characters are the last two digits of the
                               year of issuance, the next two are the
                               two-letter ISO country code, followed by
                               a six-digit serial number, and two digits
                               or letters used for national
                               informational purposes.
------------------------------------------------------------------------

[[Page 48461]]

 
(7) Humane transport of live  If the CITES document authorizes the
 wildlife                      export or re-export of live wildlife, a
                               statement that the document is valid only
                               if the transport conditions comply with
                               CITES' Guidelines for transport and
                               preparation for shipment of live wild
                               animals and plants, 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
                               CITES'Guidelines for transport and
                               preparation for shipment of live wild
                               animals and plants, adopted by the
                               Parties in 1979 and revised in 1981, or,
                               in the case of air transport of wildlife,
                               the Live Animals Regulations (LAR),
                               33\rd\ edition, October 1, 2006, by the
                               International Air Transport Association
                               (IATA), Reference Number: 9105-33, ISBN
                               92-9195-818-2. The incorporation by
                               reference of these documents 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
                               of CITES' Guidelines for transport and
                               preparation for shipment of live wild
                               animals and plants may be obtained from
                               the CITES Secretariat, International
                               Environment House, Chemin des
                               An[eacute]mones, CH-1219,
                               Ch[acirc]telaine, Geneva, Switzerland, or
                               through the Internet at http://www.cites.org/eng/resources/transport/E-TranspGuide.pdf. Copies of the IATA LAR
                               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 of these
                               documents may be inspected at the U.S.
                               Management Authority, Fish and Wildlife
                               Service, 4401 N. Fairfax Dr., Arlington,
                               VA 22203 or at the National Archives and
                               Records Administration (NARA). For
                               information on the availability of this
                               material at NARA, call 202-741-6030, or
                               go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
------------------------------------------------------------------------
(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
                               (see Sec.   23.7).
------------------------------------------------------------------------
(10) Name and address         The complete name and address, including
                               country, of the exporter and importer.
------------------------------------------------------------------------
(11) Purpose of transaction   The purpose of the transaction identified
                               either through a written description of
                               the purpose of the transaction or by
                               using one of the codes given in paragraph
                               (d) of this section. The code is
                               determined by the issuing Management
                               Authority through information submitted
                               with an application. This is not required
                               for a certificate of origin.
------------------------------------------------------------------------
(12) Quantity                 The quantity of specimens authorized in
                               the shipment and, if appropriate, the
                               unit of measurement using the metric
                               system:
                              (i) The unit of measurement should be
                               appropriate to the type of specimen and
                               agree with the Guidelines for the
                               preparation and submission of CITES
                               annual reports available from the CITES
                               website or us (see Sec.   23.7). General
                               descriptions such as ``one case'' or
                               ``one batch'' are not acceptable.
                              (ii) Weight should be in kilograms. If
                               weight is used, net weight (weight of the
                               specimen alone) must be stated, not gross
                               weight that includes the weight of the
                               container or packaging.
                              (iii) Volume should be in cubic meters for
                               logs and sawn wood and either square
                               meters or cubic meters for veneer and
                               plywood.
                              (iv) For re-export, if the type of good
                               has not changed since being imported, the
                               same unit of measurement as on the export
                               permit must be used, except to change to
                               units that are to be used in the CITES
                               annual report.
------------------------------------------------------------------------
(13) Scientific name          The scientific name of the species,
                               including the subspecies when needed to
                               determine the level of protection of the
                               specimen under CITES, 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
                               (see Sec.   23.7). A CITES document may
                               contain higher-taxon names in lieu of the
                               species name only under one of the
                               following circumstances:
                              (i) 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
                               (see Sec.   23.7).
                              (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.
------------------------------------------------------------------------

[[Page 48462]]

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

    (d) Purpose of transaction. If the purpose is not identified by a 
written description, the CITES document must contain one of the 
following codes:

------------------------------------------------------------------------
                  Code                        Purpose of transaction
------------------------------------------------------------------------
B......................................  Breeding in captivity or
                                          artificial propagation
E......................................  Education
G......................................  Botanical garden
H......................................  Hunting trophy
L......................................  Law enforcement/judicial/
                                          forensic
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. An authorized
 conditions, or      signature and ink stamp or seal, preferably
 continuation        embossed, of the Management Authority issuing the
 pages of a CITES    CITES document must also be included on each page
 document)           of the annex. 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 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 the registered operation or nursery, the name
 breeding            of the registered operation or nursery.
 operation or
 nursery for
 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.
------------------------------------------------------------------------

[[Page 48463]]

 
(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
                     a person authorized to sign CITES documents for 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 ATA carnet.
 carnet (see Sec.   (ii) The number of the accompanying ATA carnet
  23.50)             recorded by the Management Authority, customs, or
                     other responsible CITES inspecting official.
------------------------------------------------------------------------

    (f) Phytosanitary certificate. A Party may use a phytosanitary 
certificate as a CITES document under the following conditions:
    (1) The Party has provided copies of the certificate, stamps, and 
seals to the Secretariat.
    (2) The certificate is used only when all the following conditions 
are met:
    (i) The plants are being exported, not re-exported.
    (ii) The plants are Appendix-II species, or are hybrids of one or 
more Appendix-I species or taxa that are not annotated to 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 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):       A
(1) An Appendix-II or -III artificially propagated
 specimen.
(2) An Appendix-I plant specimen artificially propagated
 for noncommercial purposes or certain Appendix-I hybrids
 (see 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.
------------------------------------------------------------------------

[[Page 48464]]

 
(d) Captive-bred wildlife (Sec.   23.36):                   F
(1) An Appendix-II or -III wildlife species that is
 captive-bred.
(2) An Appendix-I wildlife species that is one of the
 following:
(i) Captive-bred.
(ii) Bred for commercial purposes, but the commercial
 breeding operation is not registered with the
 Secretariat.
(iii) Bred for noncommercial purposes, but the facility
 does not meet the definition in Sec.   23.5 because it is
 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) For Appendix-I and -II specimens, the Scientific
                     Authority has advised that the export will not be
                     detrimental to the survival of the species.
                    (ii) The Management Authority is satisfied that the
                     specimen was legally acquired.
------------------------------------------------------------------------
(2) Import          For Appendix-I specimens, the import will be for
                     purposes that are not detrimental to the survival
                     of the species.
------------------------------------------------------------------------

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, or re-export 
only if the document meets the requirements of this section, Sec. Sec.  
23.23 through 23.25, and the following conditions:

------------------------------------------------------------------------
    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 authorized
                     signature of the issuing Management Authority, or
                     if the document was issued as a partially completed
                     document, the Management Authority lists on the
                     face of the document which blocks must be completed
                     by the permit holder.
------------------------------------------------------------------------
(2) Annual reports  The Party issuing the CITES document has submitted
                     annual reports and is not subject to any action
                     under Article VIII paragraph 7(a) that would not
                     allow trade in CITES species.
------------------------------------------------------------------------
(3) CITES document  U.S. and foreign CITES documents must meet the
                     general provisions and criteria in subparts C and
                     E.
------------------------------------------------------------------------
(4) Conditions      All conditions on the CITES document are met.
------------------------------------------------------------------------
(5) Convention      The Party issuing the CITES document is not subject
 implementation      to any action under Article VIII or Article XIII
                     paragraph 3 that would not allow trade in the
                     species.
------------------------------------------------------------------------
(6) Extension of    The validity of a CITES document may not be extended
 validity            except as provided in Sec.   23.73 for certain
                     timber species.
------------------------------------------------------------------------

[[Page 48465]]

 
(7) Fraudulent      The CITES document is authentic and does not contain
 CITES document or   erroneous or misleading information.
 CITES document
 containing false
 information
------------------------------------------------------------------------
(8) Humane          Live wildlife or plants were transported in
 transport           compliance with CITES' Guidelines for transport and
                     preparation for shipment of live wild animals and
                     plantsor, in the case of air transport of wildlife,
                     the International Air Transport Association Live
                     Animals Regulations. (See Sec.   23.23(c)(7).)
------------------------------------------------------------------------
(9) Legal           The Party or non-Party issuing the CITES document
 acquisition         has made the required legal acquisition finding.
------------------------------------------------------------------------
(10) 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.
------------------------------------------------------------------------
(11) 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.
------------------------------------------------------------------------
(12) Non-detriment  The Party or non-Party issuing the CITES document
                     has made the required non-detriment finding.
------------------------------------------------------------------------
(13) Phytosanitary  A phytosanitary certificate may 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.
------------------------------------------------------------------------
(14) Quota          For species with a quota on file with the
                     Secretariat, the quantity exported from a country
                     does not exceed the quota.
------------------------------------------------------------------------
(15) Registered     (i) The operation is included in the Secretariat's
 commercial          register.
 breeding           (ii) Each specimen is specifically marked, and the
 operation for       mark is described on the CITES document.
 Appendix-I
 wildlife
------------------------------------------------------------------------
(16) Registered     The operation is included in the Secretariat's
 commercial          register.
 nursery for
 Appendix-I plants
------------------------------------------------------------------------
(17) Retrospective  A CITES document was not issued retrospectively
 CITES documents     except as provided in Sec.   23.53.
------------------------------------------------------------------------
(18) 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
                     specimens validated or certified may be less, but
                     not more, than the quantity stated at the time of
                     issuance.
------------------------------------------------------------------------
(19) Wild-          A wild-collected specimen (indicated on the CITES
 collected           document with a source code of ``W'') is not coming
 specimen            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, was produced from illegally acquired parental stock, 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, 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 shipments do not 
comply with the Convention.
    (b) U.S. port requirements. In the United States, you must follow 
the clearance requirements for wildlife in part 14 of this subchapter 
and for plants in part 24 of this subchapter and 7 CFR parts 319, 352, 
and 355, and the specific requirement in paragraphs (c) and (d) of this 
section.
    (c) General validation or certification process. Officials in each 
country inspect the shipment and validate or certify the CITES 
document. The table in this paragraph (c) provides information on:
    (1) The types of original CITES documents you must present to be 
validated or certified by the inspecting official to export or re-
export from a country.
    (2) When you need to surrender a copy of the original CITES 
document to

[[Page 48466]]

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    introductionfrom the
                                               certification                                        sea
----------------------------------------------------------------------------------------------------------------
Bred-in-captivity certificate             Required                Required                Required
----------------------------------------------------------------------------------------------------------------
Certificate for artificially propagated   Required                Required                Required
 plants
----------------------------------------------------------------------------------------------------------------
Certificate of origin                     Required                Required                Required
----------------------------------------------------------------------------------------------------------------
Certificate of ownership                  Required                Required                Not required; submit
                                                                                           copy
----------------------------------------------------------------------------------------------------------------
Export permit                             Required                Required                Required
----------------------------------------------------------------------------------------------------------------
Import permit                             Not required            Required                Required
----------------------------------------------------------------------------------------------------------------
Introduction-from-the-sea certificate     Not applicable          Not applicable          Required
----------------------------------------------------------------------------------------------------------------
Multiple-use document                     Required\1\             Required                Not required; submit
                                                                                           copy
----------------------------------------------------------------------------------------------------------------
Phytosanitary certificate                 Required                Required                Not required; submit
                                                                                           copy
----------------------------------------------------------------------------------------------------------------
Pre-Convention document                   Required                Required                Required
----------------------------------------------------------------------------------------------------------------
Re-export certificate                     Required                Required                Required
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I commercial          Required                Required                Required
 breeding operation, export permit
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I nursery, export     Required                Required                Required
 permit
----------------------------------------------------------------------------------------------------------------
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\ Original must be available for inspection, but permit conditions will indicate whether an original or copy
  is to be validated.

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

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 species, 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 calendar days, we will abandon 
your application. If your application is abandoned and 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

[[Page 48467]]

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 or cultivated\1\                        (i) Records that identify the breeder or propagator of
                                                          the specimens that have been identified by birth,
                                                          hatch, or propagation date and for wildlife by sex,
                                                          size, band number, or other mark, or for plants by
                                                          size or other identifying feature:
                                                         (A) Signed and dated statement by the breeder or
                                                          propagator that the specimen was bred or propagated
                                                          under controlled conditions.
                                                         (B) Name and address of the breeder or propagator as
                                                          shown by documents such as an International Species
                                                          Information 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 seized                                Copy of remission decision, legal settlement, or
                                                          disposal action after forfeiture or abandonment, which
                                                          demonstrates the applicant's legal possession.
----------------------------------------------------------------------------------------------------------------
(3) Exempt plant material                                Records that document how you obtained the exempt plant
                                                          material, including the name and address of the person
                                                          from whom you received the plant material.
----------------------------------------------------------------------------------------------------------------
(4) Imported previously                                  (i) A copy of the cancelled CITES document that
                                                          accompanied the shipment into the United States.
                                                         (ii) For wildlife, copies of cleared Declarations for
                                                          Importation or Exportation of Fish or Wildlife (Form 3-
                                                          177) associated with each specimen.
----------------------------------------------------------------------------------------------------------------
(5) Pre-Convention                                       Records that show the specimen was acquired before the
                                                          date the provisions of the Convention first applied to
                                                          it, such as:
                                                         (i) Receipt or invoice.
                                                         (ii) Catalog, inventory list, photograph, or art book.
                                                         (iii) Statement from a qualified appraiser attesting to
                                                          the age of a manufactured product.
                                                         (iv) CBP (formerly U.S. Customs Service) import
                                                          documents.
                                                         (v) Phytosanitary certificate.
                                                         (vi) Veterinary document or breeding or propagation
                                                          logs.
----------------------------------------------------------------------------------------------------------------
(6) Sequential ownership or purchase                     (i) Records that specifically identify the specimen,
                                                          give the name and address of the owner, and show the
                                                          specimen's origin (pre-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 origin, for noncommercial purposes           A complete description of the circumstances under which
                                                          the specimen was acquired (where, when, and from whom
                                                          the specimen was acquired), including efforts made to
                                                          obtain information on the origin of the specimen.
----------------------------------------------------------------------------------------------------------------

[[Page 48468]]

 
(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 non-exempt 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, you should provide such records on the origin of the specimen 
to the new owner.


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 Namibian    3-200-19
 Southern White Rhinoceros Sport-hunted Trophies            3-200-35
Appendix-I Plants                                           3-200-37
Appendix-I Wildlife                                         3-200-29
Appendix-I Biological Samples
------------------------------------------------------------------------
(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

[[Page 48469]]

Management Authority may issue a document for export of certain 
Appendix-II marine specimens protected under a pre-existing treaty, 
convention, or international agreement.
    (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 Commercial    3-200-33
 Purposes                                                   3-200-29
Biological Specimens                                        3-200-25
Captive-born Raptors                                        3-200-24
Captive-born Wildlife (except raptors)                      3-200-76
Caviar/Meat of Paddlefish or Sturgeon, Removed from the     3-200-26
 Wild                                                       ............
Export of Skins/Products of Bobcat, Canada Lynx, River      3-200-46
 Otter, Brown Bear, Gray Wolf, and American Alligator       3-200-32
 Taken under an Approved State or Tribal Program            3-200-75
Personal Pets, One-time Export                              3-200-74
Plants                                                      3-200-28
Registration of a Native Species Production Facility        3-200-27
Single-use Permits under a Master File or an Annual
 Program File
Trophies by Taxidermists
Wildlife, Removed from the Wild
------------------------------------------------------------------------
(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 a commercial
 breeding operation for Appendix-I wildlife
 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

[[Page 48470]]

with the provisions 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 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 for certain exempt marine specimens. 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).
    (3) The ship that harvested the specimen is registered in the 
exporting country.
    (4) 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.


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                                               3-200-28
Trophies by Taxidermists                                    3-200-73
Wildlife
------------------------------------------------------------------------
(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.
----------------------------------------------------------------------------------------------------------------

[[Page 48471]]

 
(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.
----------------------------------------------------------------------------------------------------------------

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 wild.
    (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 an 
introduction-from-the-sea certificate.
    (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) through (g).
    (f) Appendix III. Appendix-III species introduced from the sea do 
not require introduction-from-the-sea certificates. However, the 
subsequent international trade of an Appendix-III specimen introduced 
from the sea would be considered an export requiring a CITES document 
(see Sec.  23.20(f)).

[[Page 48472]]

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:

----------------------------------------------------------------------------------------------------------------
                                                         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     Yes                 Yes                 Yes                 23.23
 and 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
 Appendices 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.
----------------------------------------------------------------------------------------------------------------


[[Page 48473]]

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.
------------------------------------------------------------------------
(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 (f) of this section, the import, export, or re-export of a 
hybrid CITES wildlife specimen must be accompanied by a valid CITES 
document.
    (c) CITES documents. All CITES documents must show the wildlife 
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
----------------------------------------------------------------------------------------------------------------

    (d) U.S. application for wildlife hybrid. To apply for a CITES 
document, 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.
    (f) Exempt wildlife hybrids. The following provisions apply to 
import, export, or re-export of exempt wildlife hybrids:
    (1) A hybrid between a CITES species and a non-CITES species may be 
exempt from CITES document requirements if there are no purebred CITES 
species in the previous four generations of the specimen's ancestry 
(direct line of descent). Under this section, a hybrid between two 
CITES species is not exempt.
    (2) For import, export, or re-export of an exempt wildlife hybrid 
without CITES documents, you must provide information at the time of 
import or export to clearly demonstrate that your specimen has no 
purebred CITES species in the previous four generations of its 
ancestry. Although a CITES document is not required, you must follow 
the clearance requirements for wildlife in part 14 of this subchapter, 
including the prior notification requirements for live wildlife.


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.

[[Page 48474]]

    (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 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 country 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 a commercial 
breeding operation for Appendix-I wildlife 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 commercial breeding 
operations for Appendix-I wildlife:
    (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

[[Page 48475]]

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 
commercialbreeding operation that is 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 commercial breeding operations for 
Appendix-I wildlife. 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 a commercial breeding operation for
                      Appendix-I wildlife                                            Section
----------------------------------------------------------------------------------------------------------------
(1) The operation breeds wildlife for commercial purposes.       23.5
----------------------------------------------------------------------------------------------------------------
(2) The parental stock was legally acquired.                     23.60
----------------------------------------------------------------------------------------------------------------
(3) The wildlife meets bred-in-captivity criteria.               23.63
----------------------------------------------------------------------------------------------------------------
(4) Where the establishment of a breeding operation involves     -
 the removal of animals from the wild (allowable only under
 exceptional circumstances and only for native species), the
 operation must demonstrate to the satisfaction of the
 Management Authority, on advice of the Scientific Authority
 and of the Secretariat, that the removal is or was not
 detrimental to the conservation of the species.
----------------------------------------------------------------------------------------------------------------
(5) The potential escape of specimens or pathogens from the      -
 facility does not pose a risk to the ecosystem and 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 according to
 the conservation needs of the species.
----------------------------------------------------------------------------------------------------------------
(8) The operation will be carried out at all stages in a humane  -
 (non-cruel) manner.
----------------------------------------------------------------------------------------------------------------

    (e) Standard conditions of the 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 a commercial operation for          23.46
 Appendix-I wildlife 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.
----------------------------------------------------------------------------------------------------------------


[[Page 48476]]

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 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 acquired 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.

[[Page 48477]]

    (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 scientificexchange 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.
    (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 
live wildlife and plants, or their parts, products, or derivatives in 
an exhibition that travels internationally:
    (1) The Management Authority in the country of the exhibitor'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 
traveling exhibition 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 makes multiple cross-border movements, 
and will return 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 traveling 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 traveling exhibition.
    (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 U.S. Management 
Authority.
    (7) If you no longer own the wildlife or plants, or no longer plan 
to travel as a traveling exhibition, the original certificate must be 
immediately returned to the U.S. Management Authority.
    (8) You must return the traveling exhibition to the United States 
before the certificate expires.


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 in captivity or 
artificially propagated for commercial purposes, that will:

[[Page 48478]]

    (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 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 or re-export from the United States, 
the shipment must comply with the requirements for wildlife in part 14 
of this subchapter and for plants in part 24 of this subchapter and 7 
CFR parts 319, 352, and 355.
    (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 toanother 
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

[[Page 48479]]

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.
    (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 a person authorized to sign 
CITES documents for 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) The shipment    Provide copies of:
 has already        (A) Any correspondence you have had with the shipper
 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 that was not 
prompted by the applicant.
    (ii) A newly issued CITES document where it can be shown that the

[[Page 48480]]

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 
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 ManagementAuthority 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) Period of validity. CITES documents are valid only if presented 
for import or introduction from the sea within the period 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 period 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:

[[Page 48481]]



------------------------------------------------------------------------
        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
(b) Appendix II with an annotation for       for noncommercial purposes.
 noncommercial purposes where other
 specimens of that species are treated as
 if listed in Appendix I.
(c) Appendix II and threatened under the
 ESA, except as provided in a special rule
 in Sec.  Sec.   17.40 through 17.48 or
 under a permit granted under Sec.  Sec.
 17.32 or 17.52.
------------------------------------------------------------------------
(d) Appendix I, and imported with a CITES   The specimen may be used for
 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 or a permit
(3) Export permit or re-export certificate   condition allowed the
 for wildlife from a registered commercial   import only for
 breeding operation.                         noncommercial purposes,
(4) Export permit or re-export certificate   then the import and
 for a plant from a registered nursery or    subsequent use must be only
 under a permit with a source code of        for noncommercial purposes.
 ``D.''
(5) U.S.-issued traveling-exhibition
 certificate.
(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 CITES'Guidelines for transport and 
preparation for shipment of live wild animals and plantsor, in the case 
of air transport of live wildlife, with 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 (see Sec.  
23.34) 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 nonnative species 
from other countries.
    (5) Volume of illegal trade: From high to low occurrence of illegal 
trade.

[[Page 48482]]

    (6) Type of trade: From commercial to noncommercial.
    (7) 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.
    (8) Occurrence of the species in a controlled environment in the 
United States: From uncommon to common in a controlled environment in 
the United States.
    (9) 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.
    (10) 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 
parentalstock 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.
    (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 for purposes that would not be detrimental 
to the survival of the species.
    (b) Types of detriment. Detrimental activities, depending on the 
species, could include, among other things, unsustainable 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. We make a non-detriment finding in the following way:
    (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

[[Page 48483]]

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 moredetailed 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 nonnative 
species.
    (5) Volume of legal trade: From high to low 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 basis of the quota together with the best 
available biological information when we make our non-detriment 
finding. We will contact the Scientific and Management Authorities of 
the exporting country for further information if needed.


Sec.  23.62  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 activities involving an anticipated measurable 
increase in revenue and other economic value associated with 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 activities 
associated with the import of an Appendix-I species must be used for 
conservation of that species.
    (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 
of the specimen for economic benefit 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 theimporter 
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.

[[Page 48484]]

    (6) Professional dealers. Import or introduction from the sea by a 
professional dealer who states a general intention to eventually sell 
the specimen or its offspring 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 entity.
    (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.
    (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 activities with a high risk of being 
primarily commercial.
    (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 
thatsuch 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 (for Appendix-I 
specimens see also Sec.  23.46(b)(12)):
    (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 
exemptions that allow for 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

[[Page 48485]]

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 must meet 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 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 
belimited 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.
    (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.

[[Page 48486]]

    (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 atthe facility, 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 will be considered wild for export and re-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 for wild and artificially propagated ginseng. These 
certificates 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 driedor 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, such as 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 31 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 (see Sec.  23.7).
    (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.

[[Page 48487]]

    (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 State or tribal certificate containing the information specified 
in paragraph (b)(1)(v) of this section.


Sec.  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?

    (a) U.S. and foreign general provisions. For purposes of this 
section, CITES furbearers means bobcat (Lynx rufus), river otter 
(Lontra canadensis), and Canada lynx (Lynx canadensis), and the Alaskan 
populations of gray wolf (Canis lupus), and brown bear (Ursus arctos). 
These species 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 
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, 
except as provided in paragraph (b)(2) of this section:
    (i) An assessment of the condition of the population and a 
description of the types of information on which the assessment is 
based, such as 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, camera traps, 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) If the U.S. Scientific Authority has made a range-wide non-
detriment finding for a species, a State or Tribe seeking initial 
approval for a CITES export program for that species need only submit 
the information in (b)(1)(ii) and (vi) of this section.
    (3) 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 as to 
whether or not the population status or management of the species has 
changed within the State or tribal lands. This report may reference 
information provided in previous years if the information has not 
changed. Except as provided in paragraph (b)(4) of this section, a 
furbearer activity report should include, at a minimum, the following:
    (i) For each species, the number of specimens taken and the number 
of animals tagged, if different.
    (ii) An assessment of the condition of the population, including 
trends, and a description of the types of information on which the 
assessment is based. 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 changesin 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.
    (4) When the U.S. Scientific Authority has made a range-wide non-
detriment finding for a species, the annual furbearer activity report 
from a State or Tribe with an approved export program for that species 
should include, at a minimum, a statement indicating whether or not the 
status of the species has changed and the information in paragraph 
(b)(3)(iii) and (iv) of this section. Range-wide non-detriment findings 
will be re-evaluated at least every 5 years, or sooner if information 
indicates that there has been a change in the status or management of 
the species that might lead to different treatment of the species. When 
a range-wide non-detriment finding is re-evaluated, States and Tribes 
with an approved export program for the species must submit information 
that allows us to determine whether our finding remains valid.
    (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 (see Sec.  23.7).

[[Page 48488]]

    (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 (Alligator mississippiensis) 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, such as an analysis of carcass demographics, population models, 
analysis of past harvest levels as a function of skin 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 
though 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 website; see Sec.  23.7), 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,

[[Page 48489]]

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 withState 
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 and 
skulls. You may import, export, or re-export crocodilian parts other 
than meat and skulls 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.
    (4) Tags are not required on scientific specimens except as 
required in paragraphs (d) and (e) of this section.
    (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 alligator programs can be 
obtained from our website or by contacting us (see Sec.  23.7).
    (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 specimen must meet the 
applicable tagging requirements in paragraphs (d), (e), and (f) 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; see Sec.  
23.7).
    (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:

[[Page 48490]]

    (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 thedate 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) Mixed caviar. Caviar and caviar products that consist of roe 
from more than one species 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 (see Sec.  23.7). For CITES document 
requirements, see Sec.  23.36 for export permits and Sec.  23.37 for 
re-export certificates. For export, complete Form 3-200-76 and submit 
it to the U.S. Management Authority. For re-export, complete Form 3-
200-73 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 
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 of the following:
    (i) Ensured that 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 cultivation.
    (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 authorized 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

[[Page 48491]]

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 one hunter may import 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 inserted through the skin and permanently locked in place 
using the locking mechanism of the tag. The tag must indicate 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. A mounted sport-hunted trophy must be accompanied by the tag from 
the skin used to make the mount.
    (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 the 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 (see 
Sec.  23.7). They must provide a brief description of the greenhouse or 
display facilities, the

[[Page 48492]]

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 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 (see Sec.  23.7). 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.

[[Page 48493]]

    (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 we have consulted all range countries, or 330 days before the 
CoP if we have not consulted the range countries. For the latter, the 
additional time allows for the range countries to be consulted through 
the Secretariat.
    (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 when to do 
so would be in the best interests of the United States or 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 last day of 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.
    (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 (see Sec.  23.7).


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.

[[Page 48494]]

    (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 and 
Tribes 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 (see Sec.  
23.7).
    (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. 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. You may be required to demonstrate that your 
specimen qualifies as exempt under this section. For specimens that are 
exempt from CITES requirements, you must still follow the clearance 
requirements for wildlife in part 14 of this subchapter and for plants 
in part 24 of this subchapter and 7 CFR parts 319, 352, and 355.
    (1) Appendix-III wildlife and Appendix-II or -III plants.
    (i) Where an annotation designates what is excluded from CITES 
requirements, any part, product, or derivative that is specifically 
excluded.
    (ii) Where an annotation designates what is covered by the Treaty, 
all parts, products, or derivatives that are not designated.
    (2) Plant hybrids.
    (i) Seeds and pollen (including pollinia), cut flowers, and flasked 
seedlings or tissue cultures of hybrids that qualify as artificially 
propagated (see Sec.  23.64) and that were produced from one or more 
Appendix-I species or taxa that are not annotated to specifically 
include hybrids in the CITES list.
    (ii) Specimens of an Appendix-II or -III plant taxon with an 
annotation that specifically excludes hybrids.
    (3) Flasked seedlings of Appendix-I orchids. Flasked seedlings of 
an Appendix-I orchid species that qualify as artificially propagated 
(see Sec.  23.64).
    (4) 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).
    (5) Coral sand and coral fragments as defined in Sec.  23.5.
    (6) Personal and household effects as provided in Sec.  23.15.
    (7) Urine, feces, and synthetically derived DNA as provided in 
Sec.  23.16.
    (8) Certain wildlife hybrids as provided in Sec.  23.43.


    Dated: May 17, 2007.

Todd Willens,

Acting Assistant Secretary for Fish and Wildlife and Parks.
[FR Doc. 07-3960; Filed 8-22-07; 8:45 am]
BILLING CODE 4310-55-S