(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
(1) Artificially I, II, or III CITES document with 23.40
propagated plant source code
(see paragraph ``A''\1\
(d)(4) of this
(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
paragraph (d)(5) of ``C''\1\
this section for
Appendix-I wildlife
bred in captivity
for commercial
purposes)------------------------------------------------------------------------(4) Commercially I CITES document with 23.47
propagated Appendix- source code
I plant ``D''\1\------------------------------------------------------------------------(5) Commercially bred I CITES document with 23.46
Appendix-I wildlife source code
from a breeding ``D''\1\
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 23.42
unless the specimen
qualifies as an
exempt plant hybrid------------------------------------------------------------------------(8) Hybrid wildlife I, II, or III CITES document 23.43
unless the specimen
qualifies as an
exempt wildlife
hybrid------------------------------------------------------------------------(9) In-transit I, II, or III CITES document 23.22
shipment (see designating
paragraph (d)(14) of importer and
this section for country of final
sample collections destination
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
scientific institutions and,
institutions in the United
registered with the States, a CITES
CITES Secretariat certificate of
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).
(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).