(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 issued 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: ------------------------------------------------------------------------
(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). For products
that contain or consist of more than one
CITES species, the Appendix in which each
species is listed must be indicated on
the CITES document.------------------------------------------------------------------------(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.------------------------------------------------------------------------
(7) Humane transport of live If the CITES document authorizes the
specimens export or re-export of live specimens, a
statement that the document is valid only
if the transport conditions comply with
the International Air Transport
Association Live Animals Regulations or
the International Air Transport
Association Perishable Cargo Regulations
(incorporated by reference, see Sec.
23.9). A shipment containing live animals
must comply with the requirements of the
Live Animals Regulations (LAR). A
shipment containing live plants must
comply with the requirements for plants
in the Perishable Cargo Regulations
(PCR).------------------------------------------------------------------------(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. For products that contain or
consist of more than one CITES species,
the quantity of each species must be
indicated on the CITES document.
(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. For products that
contain or consist of more than one CITES
species, the scientific name of each
species must be indicated on the CITES
document. Scientific names must be in the
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
(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) If the species cannot be determined
for worked specimens of black coral,
specimens may be identified at the genus
level. If the genus cannot be determined
for worked specimens of black coral, the
scientific name to be used is the order
Antipatharia. Raw black coral and live
black coral must be identified to the
level of species.
(C) 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).
(D) Re-export of worked skins or pieces of
Tupinambis species that were imported
before August 1, 2000, may indicate
Tupinambis spp.
(ii) The issuing Party can show the use of
a higher-taxon name is well justified and
has communicated the justification to the
Secretariat.
(iii) The item is a pre-Convention
manufactured product containing a
specimen that cannot be identified to the
species level.------------------------------------------------------------------------(14) Seal or stamp The embossed seal or ink stamp of the
issuing Management Authority.------------------------------------------------------------------------(15) Security stamp If a Party uses a security stamp, the
stamp must be canceled by an authorized
signature and a stamp or seal, preferably
embossed. The number of the stamp must
also be recorded on the CITES document.------------------------------------------------------------------------
(16) Signature An original handwritten signature or
signature stamp 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 products
that contain or consist of more than one
CITES species, the source code of each
species must be indicated on the CITES
document. 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 Except as provided for replacement (Sec.
certification 23.52(f)) or retrospective (Sec.
23.53(f)) CITES documents, the actual
quantity of specimens exported or re-
exported:
(i) Using the same units of measurement as
those on the CITES document.
(ii) Validated or certified by the stamp
or seal and signature of the 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 propagationE...................................... EducationG...................................... Botanical gardenH...................................... Hunting trophyL...................................... Law enforcement/judicial/
forensicM...................................... Medical research (including
biomedical research)N...................................... Reintroduction or introduction
into the wildP...................................... PersonalQ...................................... Circus and traveling exhibitionS...................................... ScientificT...................................... CommercialZ...................................... Zoo------------------------------------------------------------------------
(e) Additional required information. The following describes the additional information that is required for specific types of documents (listed alphabetically): ------------------------------------------------------------------------
(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 year, including
those covered by the current permit (such as 500),
and
(ii) Included in the current annual quota (such as
1,000).------------------------------------------------------------------------
(6) Import permit A certification that the specimen will not be used
(Appendix-I for primarily commercial purposes and, for a live
specimen) (see specimen, that the recipient has suitable
Sec. 23.35) facilities and expertise to house and care for it.------------------------------------------------------------------------(7) Replacement When a CITES document replaces an already issued
CITES document CITES document that was lost, damaged, stolen, or
(see Sec. accidentally destroyed:
23.52) (i) If a newly issued CITES document, indication it
is a ``replacement,'' the number and date of
issuance of the CITES document that was replaced,
and reason for replacement.
(ii) If a copy of the original CITES document,
indication it is a ``replacement'' and a ``true
copy of the original,'' a new original signature of
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.
(iv) For products that contain or consist of more
than one CITES species, the information in
paragraphs (e)(10)(i) through (iii) of this section
for each species must be indicated on the CITES
document.------------------------------------------------------------------------(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 treat hybrids as Appendix-I specimens.
(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). [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30420, May 27, 2014; 79 FR 32677, June 6, 2014]