(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: ------------------------------------------------------------------------
(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.------------------------------------------------------------------------(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 the International Air Transport
Association Live Animals Regulations (for animals)
or the International Air Transport Association
Perishable Cargo Regulations (for plants)
(incorporated by reference, see Sec. 23.9).------------------------------------------------------------------------(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) The CITES document includes a species for which the Secretariat has published an annotated quota.
(5) We have reasonable grounds to believe that the document is fraudulent, contains false information, or has unauthorized changes.
(6) 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.
(7) We know or have reasonable grounds to believe that an Appendix-I specimen was not bred at a facility registered with the CITES Secretariat and that the purpose of the import is commercial.
(8) 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.
(9) 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.
(10) For a replacement CITES document, we need clarification of the reason the document was issued.
(11) The export permit or re-export certificate does not contain validation or certification by an inspecting official at the time of export of the actual quantity exported or re-exported. [72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30423, May 27, 2014]