Revision of Regulations for the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), 25894-25910 [C6-3444]
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25894
Corrections
Federal Register
Vol. 71, No. 84
Tuesday, May 2, 2006
This section of the FEDERAL REGISTER
contains editorial corrections of previously
published Presidential, Rule, Proposed Rule,
and Notice documents. These corrections are
prepared by the Office of the Federal
Register. Agency prepared corrections are
issued as signed documents and appear in
the appropriate document categories
elsewhere in the issue.
Wednesday, April 19, 2006, make the
following corrections:
§ 13.11
[Corrected]
1. On page 20213, in § 13.11, the table
being reprinted in its entirety to read as
follows:
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Parts 13 and 23
RIN 1018–AD87
Revision of Regulations for the
Convention on International Trade in
Endangered Species of Wild Fauna
and Flora (CITES)
Correction
In proposed rule document 06–3444
beginning on page 20168 in the issue of
Type of permit
*
*
Citation
*
*
*
Amendment
fee
Fee
*
*
*
*
Endangered Species Act/CITES/Lacey Act
*
*
*
*
*
CITES Introduction from the Sea
50 CFR 23
100
50
CITES Participation in the Plant Rescue Center Program
50 CFR 23
(1)
(1 )
CITES Registration of Appendix-I Commercial Breeding Operations
50 CFR 23
100
CITES Request for Approval of an Export program for a State or Tribe (American Ginseng, Certain Furbearers, and American Alligator)
50 CFR 23
(1)
*
§ 23.2
*
*
*
*
*
[Corrected]
2. On page 20217, in § 23.2, the table
is being reprinted in its entirety to read
as follows:
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Question on proposed activity
Answer and action
(a) Is the wildlife or plant species (including parts, products, derivatives,
whether wild-collected, or born or propagated in a controlled environment) Listed in Appendix I, II, or III of CITES (see § 23.91)?
(1) YES. Continue to paragraph (b) of this section.
(2) NO. The regulations in this part do not apply.
(b) Is the wildlife or plant specimen exempted from CITES (see
§ 23.92)?
(1) YES. The regulations in this part do not apply.
(2) NO. Continue to paragraph (c) of this section.
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Question on proposed activity
Answer and action
(c) Do you want to import, export, re-export, engage in international
trade, or introduce from the sea?
(1) YES. The regulations in this part apply.
(2) NO. Continue to paragraph (d) of this section.
(d) Was the specimen that you possess or want to enter into intrastate
or interstate commerce unlawfully acquired, illegally traded, or otherwise subject to conditions set out on a CITES document that authorized import?
(1) YES. The regulations in this part apply. See § 23.13(c) and (d) and
sections 9(c)(1) and 11(a) and (b) of the ESA (16 U.S.C. 1538(c)(1)
and 1540(a) and (b)).
(2) NO. The regulations in this part do not apply.
§ 23.6
[Corrected]
3. On pages 20219 and 20220, in
§ 23.6, the table is being reprinted in its
entirety to read as follows:
U.S.
Scientific
Authority
Roles
(a) Provide scientific advice and recommendations, including advice on 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.
U.S.
Management
Authority
x
(b) Review applications for CITES documents and issue or deny them based on findings required by CITES.
x
(c) Communicate with the Secretariat and other countries on scientific, administrative, and enforcement issues.
x
(d) Ensure that export of Appendix-II specimens is at a level that 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.
x
x
(e) Monitor trade in all CITES species and produce annual reports on CITES trade.
x
(f) Collect the cancelled foreign export permit or re-export certificate 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.
x
(g) Produce biennial reports on legislative, regulatory, and administrative measures taken by the United States to enforce
the provisions of CITES.
x
(h) Coordinate with State and tribal governments and other Federal agencies on CITES issues, such as the status of native species, development of policies, negotiating positions, and law enforcement activities.
x
x
(i) Communicate with the scientific community, the public, and media about 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.
x
x
(j) Represent the United States at the meetings of the CoP, on committees (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.
x
x
(k) Provide assistance to APHIS and CBP for the enforcement of CITES. Cooperate with enforcement officials to facilitate the exchange of information between enforcement bodies and for training purposes.
x
x
(l) Provide financial and technical assistance to other governmental agencies and CITES officials of other countries.
x
x
§ 23.7
[Corrected]
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4. On pages 20220 and 20221, in
§ 23.7, the second table is being
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Type of information
Office to contact
(a) CITES administrative and management issues:
(1) CITES documents, including application forms and procedures;
list of registered scientific institutions and bred-in-captivity operations; and reservations
(2) Information on the CoP
(3) List of CITES species
(4) Names and addresses of other countries’ Management and
Scientific Authority offices
(5) Notifications, resolutions, and decisions
(6) Standing Committee documents and issues
(7) State and tribal export programs
U.S. Management Authority, U.S. Fish and Wildlife Service, 4401 North
Fairfax Drive, Room 700, Arlington, Virginia 22203, Toll Free: (800)
358–2104/permit questions, Tel: (703) 358–2095/other questions,
Fax: (703) 358–2281/permits, Fax: (703) 358–2298/other issues, Email: managementauthority@fws.gov, Web site: https://www.fws.gov/
international and https://www.fws.gov/permits.
(b) Scientific issues:
(1) Animals and Plants Committees documents and issues
(2) Findings of non-detriment and suitability of facilities, and other
scientific findings
(3) Listing of species in the Appendices and relevant resolutions
(4) Names and addresses of other countries’ Scientific Authority
offices and scientists involved with CITES-related issues
(5) Nomenclatural issues
U.S. Scientific Authority, U.S. Fish and Wildlife Service, 4401 North
Fairfax Drive, Room 750, Arlington, Virginia 22203, Tel: (703) 358–
1708, Fax: (703) 358–2276, E-mail: scientificauthority@fws.gov, Web
site: https://www.fws.gov/international.
(c) Wildlife clearance procedures:
(1) CITES replacement tags
(2) Information about wildlife port office locations
(3) Information bulletins
(4) Inspection and clearance of wildlife shipments involving import,
introduction from the sea, export, and re-export, and filing a
Declaration of Importation or Exportation of Fish or Wildlife
(Form 3–177)
(5) Validation, certification, or cancellation of CITES wildlife documents
Law Enforcement, U.S. Fish and Wildlife Service, 4401 North Fairfax
Drive, Mail Stop LE–3000, Arlington, Virginia 22203, Tel: (703) 358–
1949, Fax: (703) 358–2271, Web site: https://www.fws.gov/le.
(d) APHIS plant clearance procedures:
(1) Information about plant port office locations
(2) Inspection and clearance of plant shipments involving:
(i) Import and introduction from the sea of living plants
(ii) Export and re-export of living and nonliving plants
(3) Validation or cancellation of CITES plant documents for the
type of shipments listed in paragraph (d) of this section
U.S. Department of Agriculture APHIS/PPQ, 4700 River Road, Riverdale, Maryland 20737–1236, Toll Free: (877) 770–5990/permit questions, Tel: (301) 734–5312/other CITES issues, Fax: (301) 734–
5786/permit questions, Fax: (301) 734–4300/other CITES issues,
Web site: https://www.aphis.usda.gov/ppq.
(e) CBP plant clearance procedures:
(1) Inspection and clearance of plant shipments involving:
(i) Import and introduction from the sea of nonliving plants
(ii) Import of living plants from Canada at designated border
ports (7 CFR 319.37–14(b) and 50 CFR 24.12(d))
(2) Cancellation of CITES plant documents for the type of
shipments listed in paragraph (e)(1) of this section
Department of Homeland Security, U.S. Customs and Border Protection, Office of Field Operations, Agricultural Inspection Policy and
Planning, 1300 Pennsylvania Avenue, NW., Room 5.4 C, Washington, DC 20229, Tel: (202) 344–3298, Fax: (202) 344–1442.
(f) General information on CITES:
(1) CITES export quota information
(2) CITES Guidelines for Transport
(3) Information about the Secretariat
(4) Names and addresses of other countries’ Management and
Scientific Authority offices
(5) Official documents, including resolutions, decisions, notification,
CoP documents, and committee documents
(6) Official list of CITES species and species database
(7) Text of the Convention
CITES Secretariat, Web site: https://www.cites.org.
§ 23.15
[Corrected]
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5. On pages 20221 and 20222, in
§ 23.15, the second table is being
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Major group
Fishes
Species (Appendix II only)
Quantity1
Type of specimen
(i) Acipenseriformes (sturgeon, including paddlefish)
Sturgeon caviar (see § 23.71)
250 gm
(ii) Hippocampus spp. (seahorses)
Dead specimens, parts, products (including manufactured items), and
derivatives
4
Reptiles
(iii) Crocodylia (alligators,
crocodiles, gavial)
Dead specimens, parts, products (including manufactured items), and
derivatives
4
Molluscs
(iv) Strombus gigas (queen conch)
Shells
3
(v) Tridacnidae (giant clams)
Shells, each of which may be one intact shell or two matching halves
3 shells, total not exceeding 3 kg
(vi) Cactaceae (cacti)
Rainsticks
3
Plants
1 To
caimans,
import, export, or re-export more than the quantity listed in the table, you must have a valid CITES document for the entire quantity.
§ 23.20
[Corrected]
6. On page 20225, in § 23.20, the table
is being reprinted in its entirety to read
as follows:
Type of specimen or activity
Appendix
CITES exemption document
Section
I, II, or III
CITES document with source code ‘‘A’’ 1
(2) Artificially propagated plant from a country that
has provided copies of the certificates, stamps,
and seals to the Secretariat
II or III
Phytosanitary certificate with CITES statement 1
(3) Bred-in-captivity wildlife (see paragraph (d)(5)
of this section for Appendix-I wildlife bred for
commercial purposes)
I, II, or III
CITES document with source code ‘‘C’’ 1
23.41
(4) Commercially propagated Appendix-I plant
I
CITES document with source code ‘‘D’’1
23.47
(5) Commercially bred Appendix-I wildlife from a
breeding operation registered with the CITES
Secretariat
I
CITES document with source code ‘‘D’’ 1
23.46
(6) Export of certain marine specimens protected
under a pre-existing treaty, convention, or international agreement for that species
II
CITES document indicating that the specimen
was taken in accordance with provisions of the
applicable treaty, convention, or international
agreement
(7) Hybrid of plants
I, II, or III
CITES document
23.42
(8) Hybrid of wildlife
I, II, or III
CITES document or certification letter from a
Management Authority 1
23.43
(9) In-transit shipment (see paragraph (d)(13) of
this section for sample collections covered by
an ATA carnet)
I, II, or III
CITES document designating importer and country of final destination
23.22
(10) Introduction from the sea under a pre-existing treaty, convention, or international agreement for that species
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(1) Artificially propagated plant (see paragraph
(d)(4) of this section for an Appendix-I plant
propagated for commercial purposes)
II
Document required by applicable treaty, convention, or international agreement, if appropriate
23.39(d)
(11) Noncommercial loan, donation, or exchange
of specimens between scientific institutions registered with the CITES Secretariat
I, II, or III
A label indicating CITES and the registration
codes of both institutions and, in the United
States, a CITES certificate of scientific exchange that registers the institution 3
23.48
(12) Personally owned live wildlife for multiple
cross-border movement
I, II, or III
CITES certificate of ownership 2
23.44
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23.40
23.23(f)
23.36(e)
23.39(e)
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Type of specimen or activity
Appendix
CITES exemption document
Section
(13) Pre-Convention specimen
I, II, or III
CITES document indicating pre-Convention status 1
23.45
(14) Sample collection covered by an ATA carnet
I 4 , II, or III
CITES document indicating sample collection 2
23.50
(15) Traveling exhibition
I, II, or III
CITES document indicating pre-Convention, bredin-captivity, or artificially propagated status 2
23.49
1 Issued
by the Management Authority in the exporting or re-exporting country.
by the Management Authority in the owner’s country of usual residence.
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 §§ 23.46 and 23.47).
2 Issued
3 Registration
7. On page 20226, in the same section,
the first table is being reprinted in its
entirety to read as follows:
Appendix
Type of CITES document(s) required
I
Import permit (§ 23.35) and export permit (§ 23.36) or re-export certificate (§ 23.37).
II
Export permit (§ 23.36) or re-export certificate (§23.37).
III
Export permit if the specimen originated in a country that listed the species; certificate of origin (§ 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 (§ 23.37).
§ 23.21
[Corrected]
8. On the same page, in § 23.21, the
second table is being reprinted in its
entirety to read as follows:
If
Then
(1) The shipment is between a Party and a reserving Party, or the shipment is from a non-Party to a reserving party and is in transit
through a Party
The shipment must be accompanied by a valid CITES document(s)
(see § 23.26) that indicates the CITES Appendix in which the species
is listed.
(2) The shipment is from a reserving Party to another reserving Party 1
or non-Party and is in transit through a Party
The shipment must be accompanied by a valid CITES document (see
§ 23.26) that indicates the CITES Appendix in which the species is
listed.2
(3) The shipment is between a reserving Party and another reserving
Party 1 or non-Party and is not in transit through a Party
No CITES document is required.2
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 § 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.
§ 23.23
[Corrected]
9. On pages 20227 and 20228, in
§ 23.23, the table is being reprinted in
its entirety to read as follows:
Required information
Description
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(1) Appendix
The CITES Appendix in which the species, subspecies, or population is listed (see § 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 waybill, or flight
number
As applicable for export or re-export: (i) by ocean or air cargo, the bill of lading or waybill number, or (ii) in
accompanying baggage, the flight number, as recorded on the CITES document by the inspecting official
at the port, if known at the time of validation or certification.
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Required information
25899
Description
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 § 23.54 for the length of validity for different types of CITES
documents.
(5) Description of the specimen
A complete description of the specimen, including whether live or the type of goods. The sex and age of a
live specimen should be recorded, if possible. Such information must be in English, Spanish, or French
on a CITES document from a Party. If a code is used to indicate the type of specimen, it must agree
with the Guidelines for preparation and submission of CITES annual reports available from the CITES
website or us.
(6) Document number
A unique control number. We use a unique 12-character number. The first two characters are the last two
digits of the year of issuance, the next two are the two-letter ISO country code, followed by a six-digit
serial number, and two digits or letters used for national informational purposes.
(7) Humane transport of live wildlife
If the CITES document authorizes the export or re-export of live wildlife, a statement that the document is
valid only if the transport conditions comply with the CITES Guidelines for Transport (available from the
CITES website), or, in the case of air transport of wildlife, with the International Air Transport Association
Live Animals Regulations. The shipment must comply with the requirements of the Live Animals Regulations (LAR), 32nd edition, October 1, 2005, by the International Air Transport Association (IATA), Reference Number: 9105–32, ISBN 92–9195–560–4.1
(8) Identification of the specimen
Any unique identification number or mark (such as a tag, band, ring, microchip, label, or serial number), including any mark required under these regulations or a CITES listing annotation. For a microchip, the
microchip code, trademark of the transponder manufacturer and, where possible, the location of the
microchip in the specimen. If a microchip is used, we may, if necessary, ask the importer, exporter, or
re-exporter to have equipment on hand to read the microchip at the time of import, export, or re-export.
(9) Management Authority
The complete name and address of the issuing Management Authority as included in the CITES directory,
which is available from the CITES website or us.
(10) Name and address
The complete name and address, including country, of the exporter and importer.
(11) Purpose of transaction
The purpose of the transaction, if possible, using one of the codes given in paragraph (d) of this section.
The code is determined by the issuing Management Authority through information submitted with an application. This is not required for a certificate of origin.
(12) Quantity
The quantity of specimens authorized in the shipment and, if appropriate, the unit of measurement using
the metric system:
(i) The unit of measurement should be appropriate to the type of specimen and agree with the Guidelines
for the preparation and submission of CITES annual reports available from the CITES website or us.
General descriptions such as ‘‘one case’’ or ‘‘one batch’’ are not acceptable.
(ii) Weight should be in kilograms. If weight is used, net weight (weight of the specimen alone) must be
stated, not gross weight that includes the weight of the container or packaging.
(iii) Volume should be in cubic meters for logs and sawn wood and either square meters or cubic meters
for veneer and plywood.
(iv) For re-export, if the type of good has not changed since being imported, the same unit of measurement as on the export permit must be used, except to change to units that are to be used in the CITES
annual report.
(13) Scientific name
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(4) Dates
The scientific name of the species, including the subspecies when needed to determine the level of protection of the specimen under CITES, using standard nomenclature as it appears in the CITES Appendices
or the references adopted by the CoP. A list of current references is available from the CITES website
or us. A CITES document may contain higher-taxon names in lieu of the species name only under one
of the following circumstances:
(i) The CoP has agreed that the use of a higher-taxon name is acceptable for use on CITES documents.
(A) If the genus cannot be readily determined for coral rock, the scientific name to be used is the order
Scleractinia.
(B) Live and dead coral must be identified to the level of species except where the CoP has agreed that
identification to genus is acceptable. A current list of coral taxa identifiable to genus is available from the
CITES website or us.
(C) Re-export of worked skins or pieces of Tupinambis species that were imported before August 1, 2000,
may indicate Tupinambis spp.
(ii) The issuing Party can show the use of a higher-taxon name is well justified and has communicated the
justification to the Secretariat.
(iii) The item is a pre-Convention manufactured product containing a specimen that cannot be identified to
the species level.
(14) Seal or stamp
The embossed seal or ink stamp of the issuing Management Authority.
(15) Security stamp
If a Party uses a security stamp, the stamp must be canceled by an authorized signature and a stamp or
seal, preferably embossed. The number of the stamp must also be recorded on the CITES document.
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Required information
Description
(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 § 23.24 for a list of
codes.
(19) Treaty name
Either the full name or acronym of the Treaty, or the CITES logo.
(20) Type of CITES document
The type of CITES document (import, export, re-export, or other):
(i) If marked ‘‘other,’’ the CITES document must indicate the type of document, such as artificially propagated, bred-in-captivity, certificate of origin, certificate of ownership, introduction from the sea, pre-Convention, sample collection covered by an ATA carnet, scientific exchange, or traveling exhibition.
(ii) If multiple types are authorized on one CITES document, the type that applies to each specimen must
be clearly indicated.
(21) Validation or certification
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.
1 The incorporation by reference of the IATA LAR was approved by the Director of the Office of the Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from IATA, 800 Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1,
by calling 1–800–716–6326, or ordering through the Internet at https://www.iata.org. Copies may be inspected at the U.S. Management Authority
or at the Office of the Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, DC.
10. On page 20228, in the same
section, the second table is being
reprinted in its entirety to read as
follows:
Code
Purpose of transaction
B ...........
Breeding in captivity or artificial
propagation.
Education.
E ...........
Code
G ..........
H ..........
L ...........
M ..........
Code
Purpose of transaction
Botanical garden.
Hunting trophy.
Law enforcement/judicial/forensic.
Medical research (including biomedical research).
Reintroduction or introduction into
the wild.
Personal.
Circus and traveling exhibition.
S ...........
T ...........
Z ...........
N ..........
P ...........
Q ..........
Purpose of transaction
Scientific.
Commercial.
Zoo.
11. On page 20229, in the same
section, the second table is being
reprinted in its entirety to read as
follows:
Type of document
Additional required information
(1) Annex (such as an attached inventory, conditions, or continuation pages of a CITES document)
The page number, document number, and date of issue on each page of an annex that is attached as an
integral part of a CITES document. The signature and ink stamp or seal, preferably embossed, of the
Management Authority issuing the CITES document must also be included on each page of the annex.
The CITES document must indicate an attached annex and the total number of pages.
(2) Certificate
§ 23.38)
A statement that the specimen originated in the country that issued the certificate.
of
origin
(see
(i) Information required in paragraph (e)(7) of this section when the document authorizes export or re-export.
(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 for a registered
commercial breeding operation or
nursery—Appendix-I specimens
(see § 23.46)
The registration number of the operation or nursery assigned by the Secretariat, and if the exporter is not
the registered operation or nursery, the name of the registered operation or nursery.
(5) Export permit with a quota
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(3) Copy when used in place of the
original CITES document
Number of specimens, such as 500/1,000, that were:
(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 (Appendix-I specimen) (see § 23.35)
A certification that the specimen will not be used for primarily commercial purposes and, for a live specimen, that the recipient has suitable facilities and expertise to house and care for it.
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25901
Type of document
Additional required information
(7) Replacement CITES document
(see § 23.52)
When a CITES document replaces an already issued CITES document that was lost, damaged, stolen, or
accidentally destroyed:
(i) If a newly issued CITES document, indication it is a ‘‘replacement,’’ the number and date of issuance of
the CITES document that was replaced, and reason for replacement.
(ii) If a copy of the original CITES document, indication it is a ‘‘replacement’’ and a ‘‘true copy of the original,’’ a new original signature of the issuing Management Authority, the date signed, and reason for replacement.
(8) Partially completed documents
(see § 23.51)
(i) A list of the blocks that must be completed by the permit holder.
(ii) If the list includes scientific names, an 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 document (see
§ 23.45)
(i) An indication on the face of the CITES document that the specimen is pre-Convention.
(ii) A date that shows the specimen was acquired before the date the Convention first applied to it.
(10) Re-export
§ 23.37)
(i) The country of origin, the export permit number, and the date of issue.
(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.
certificate
(see
(11) Retrospective CITES document (see § 23.53)
A clear statement that the CITES document is issued retrospectively and the reason for issuance.
(12) Sample collection covered by
an ATA carnet (see § 23.50)
(i) A statement that the document covers a sample collection and is invalid unless accompanied by a valid
ATA carnet.
(ii) The number of the accompanying ATA carnet either recorded by the Management Authority, customs,
or other responsible CITES inspecting official.
§ 23.24
[Corrected]
12. On page 20230, in § 23.24, the first
table is being reprinted in its entirety to
read as follows:
Source of specimen
Code
(a) Artificially propagated plant (see § 23.40):
(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
§ 23.42) propagated for commercial purposes.
A
C
(c) Bred-in-captivity or artificially propagated for commercial purposes (see §§ 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 § 23.47.
D
(d) Captive-bred wildlife (§ 23.36):
(1) An Appendix-II or -III species that is captive-bred.
(2) An Appendix-I species that is one of the following:
(i) Captive-bred.
(ii) Bred for commercial purposes, but the commercial breeding operation was not registered with the Secretariat.
(iii) Bred for noncommercial purposes, but the facility does not meet the definition in § 23.5 because it was not involved in
a cooperative conservation program.
F
(e) Confiscated or seized specimen (see § 23.78).
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(b) Bred-in-captivity wildlife (see § 23.41):
(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.)
I
(f) Pre-Convention specimen (see § 23.45) (code to be used in conjunction with another code).
O
(g) Ranched wildlife (wildlife that originated from a ranching operation).
R
(h) Source unknown (must be justified on the face of the CITES document).
U
(i) Specimen taken from the wild:
W
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Source of specimen
Code
(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 § 23.64.
§ 23.25
[Corrected]
13. On the same page, in § 23.25, the
second table is being reprinted in its
entirety to read as follows:
Activity by a non-party
Certification
(1) Export
(i) The Scientific Authority has advised that the export will not be detrimental to the survival of the species.
(ii) The Management Authority is satisfied that the specimen was legally acquired.
(2) Import
The import will be for purposes that are not detrimental to the survival of the species.
§ 23.26
[Corrected]
14. On page 20231, in § 23.26, the
table is being reprinted in its entirety to
read as follows:
Conditions for an acceptable CITES document
(1) Altered or modified CITES document
The CITES document has not been altered (including by rubbing or scratching out), added to, or modified
in any way unless the change is validated on the document by the stamp and signature of the issuing
Management Authority, or if the document was issued as a partially completed document, the Management Authority lists on the face of the document which blocks must be completed by the permit holder.
(2) CITES document
U.S. and foreign CITES documents must meet the general provisions and criteria in subparts C and E.
(3) Conditions
All conditions on the CITES document are met.
(4) Extension of validity
The validity of a CITES document may not be extended except as provided in § 23.73 for certain timber
species.
(5) Fraudulent CITES document or
CITES document containing false
information
The CITES document is authentic and does not contain erroneous or misleading information.
(6) Humane transport
Live wildlife or plants were transported in compliance with the CITES Guidelines for Transport or, in the
case of air transport of wildlife, the International Air Transport Association Live Animals Regulations.
(7) Management Authority and Scientific Authority
The CITES document was issued by a Party or non-Party that has designated a Management Authority
and Scientific Authority and has provided information on these authorities to the Secretariat.
(8) Name of importer and exporter
A CITES document is specific to the name on the face of the document and may not be transferred or assigned to another person.
(9) Phytosanitary certificate
A phytosanitary certificate can be used to export artificially propagated plants only if the issuing Party has
provided copies of the certificates, stamps, and seals to the Secretariat.
(10) Registered commercial breeding operation for Appendix-I wildlife
(i) The operation is in the Secretariat’s register.
(ii) Each specimen is specifically marked, and the mark is described on the CITES document.
(11) Registered commercial nursery
for Appendix-I plants
The operation is included in the Secretariat’s register.
(12) Retrospective CITES documents
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Key phrase
A CITES document was not issued retrospectively except as provided in § 23.53.
(13) Shipment contents
The contents of the shipment match the description of specimens provided on the CITES document, including the units and species. A shipment cannot contain more or different specimens or species than
certified or validated on the CITES document at the time of export or re-export (the quantity of each
specimen validated or certified may be less, but not more, than the quantity stated at the time of
issuance).
(14) Quota
For species with a quota on file with the Secretariat, the quantity exported from a country does not exceed
the quota.
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25903
Key phrase
Conditions for an acceptable CITES document
(15) Wild-collected wildlife specimen
A wild-collected wildlife specimen (indicated on the CITES document with a source code of ‘‘W’’) is not
coming from a country that is outside the range of the species, unless we have information indicating
that the species has been established in the wild in that country through accidental introduction or other
means.
§ 23.27
[Corrected]
15. On page 20232, in § 23.27, the
table is being reprinted in its entirety to
read as follows:
Present original for export
or re-export validation or
certificaion
Type of CITES document
Surrender copy upon export or re-export
Surrender original upon import or introduction from
the sea
Bred-in-captivity certificate
Required
Required
Required
Certificate for artificially propagated plants
Required
Required
Required
Certificate of origin
Required
Required
Required
Certificate of ownership
Required
Required
Not required; submit copy
Export permit
Required
Required
Required
Hybrid, excluded wildlife hybrid letter
Required 1
Required
Not required; submit copy
Import permit
Not required
Required
Required
Introduction-from-the-sea certificate
Not applicable
Not applicable
Required
Multiple-use document
Required 2
Required
Not required; submit copy
Pre-Convention document
Required
Required
Required
Re-export certificate
Required
Required
Required
Registered Appendix-I commercial breeding operation,
export permit
Required
Required
Required
Registered Appendix-I nursery, export permit
Required
Required
Required
Registered scientific institution CITES label
Not required 3
Not required
Not required
Replacement document where a shipment has been
made and is in a foreign country
Not required
Not required
Required
Replacement document where a shipment has not left
the United States
Required
Required
Required
Retrospective document
Not required
Not required
Required
Sample collection covered by an ATA carnet, CITES
document
Required
Required
Not required; submit copy
Traveling exhibition certificate
Required
Required
Not required; submit copy
1 Certification
letter may not require validation.
2 Orginal must be available for inspection, but permit conditions will indicate whether an original or copy is to be validated.
3 Original label must be affixed to the package, which must be presented for inspection at the time of export, re-export, or import.
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§ 23.34
[Corrected]
16. On pages 20233 and 20234, in
§ 23.34, the table is being reprinted in
its entirety to read as follows:
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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 Inventory 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 that 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 a cleared Declaration for Importation or Exportation of Fish or Wildlife (Form 3–
177) for each shipment.
(5) Pre-Convention
Records that show the specimen was acquired before the date the provisions of the Convention first applied to it, such as:
(i) Receipt or invoice.
(ii) Catalog, inventory list, photograph, or art book.
(iii) Statement from a qualified appraiser attesting to the age of a manufactured product.
(iv) CBP (formerly U.S. Customs Service) import documents.
(v) Phytosanitary certificate.
(vi) Veterinary document or breeding or propagation logs.
(6) Sequential 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,
commercial 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.
for
(8) Wild-collected
non-
Records, such as permits, licenses, and tags, that demonstrate the specimen or the parental stock was legally removed from the wild under relevant foreign, Federal, tribal, State, or local wildlife or plant conservation laws or regulations:
(i) If taken on private or tribal land, permission of the landowner if required under applicable law.
(ii) If taken in a national, State, or local park, refuge, or other protected area, permission from the applicable agency, if required.
1 If the wildlife was born in captivity from an egg collected from the wild or from parents that mated or exchanged genetic material in the wild,
or the plant was propagated from a propagule collected from a wild plant, see paragraph (b)(8) of this section.
§ 23.35
[Corrected]
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17. On page 20234, in § 23.35, the
second table is being reprinted in its
entirety to read as follows:
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Type of application for an import permit for an Appendix-I specimen
25905
Form No.
(1) CITES:
Southern African Leopard, African Elephant, and Namibian Southern White Rhinoceros Sport-hunted Trophies
Appendix-I Plants
Appendix-I Wildlife
Appendix-I Biological Samples
3–200–19
3–200–35
3–200–37
3–200–29
(2) Endangered Species Act and CITES:
ESA Plants
ESA Sport-hunted Trophies
ESA Wildlife
3–200–36
3–200–20
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
Under an Approved Cooperative Breeding Program
Scientific Research or Zoological Breeding/Display
3–200–46
3–200–48
3–200–47
18. On the same page, in the same
section, the third table is being
reprinted in its entirety to read as
follows:
Criteria for an import permit for an Appendix-I specimen
Section
(1) The proposed import would be for purposes that are not detrimental to the survival of the species.
23.61
(2) The specimen will not be used for primarily commercial purposes.
23.62
(3) The recipients are suitably equipped to house and care for any live wildlife or plant to be imported.
23.65
(4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the
CoP.
23.23
§ 23.36
[Corrected]
19. On page 20235, in § 23.36, the first
table is being reprinted in its entirety to
read as follows:
Type of application for an export permit
Form No.
(1) CITES:
American Ginseng
Appendix-I Plants Artificially Propagated for Commercial Purposes
Biological Specimens
Captive-born Raptors
Captive-born Wildlife (except raptors)
Export of Skins/Products of Bobcat, Canada Lynx, River Otter, Brown Bear, Gray Wolf, and American Alligator Taken under
an Approved State or Tribal Program
Personal Pets, One-time Export
Plants
Registration of a Native Species Production Facility
Single-use Permits under a Master File or an Annual Program File
Trophies by Taxidermists
Wildlife, Removed from the Wild
3–200–34
3–200–33
3–200–29
3–200–25
3–200–24
3–200–26
3–200–46
3–200–32
3–200–75
3–200–74
3–200–28
3–200–27
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(2) Endangered Species Act and CITES:
ESA Plants
ESA Wildlife
3–200–36
3–200–37
(3) Marine Mammal Protection Act and CITES:
Biological Samples
Live Captive-held Marine Mammals
Take from the Wild for Export
3–200–29
3–200–53
3–200–43
20. On the same page, in the same
section, the second table is being
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Appendix of the specimen
Criteria for an export permit
Section
I
II
III
(1) The wildlife or plant was legally acquired.
Yes
Yes
Yes
23.60
(2) The proposed export would not be detrimental to the survival of the species.
Yes
Yes
n/a
23.61
(3) An import permit has already been issued or the Management Authority of the importing country has confirmed that it
will be issued.
Yes
n/a
n/a
23.35
(4) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted
by the CoP.
Yes
Yes
Yes
23.23
(5) 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.
Yes
Yes
Yes
23.23
(6) The specimen originated in a country that listed the species.
n/a
n/a
Yes
23.20
(7) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the export is
for noncommercial purposes. (See § 23.46 for the export of
specimens that originated at an Appendix-I commercial
breeding operation that is registered with the Secretariat.)
Yes
n/a
n/a
§ 23.37
[Corrected]
21. On page 20236, in § 23.37, the first
table is being reprinted in its entirety to
read as follows:
Type of application for a re-export certificate
Form No.
(1) CITES:
Biological Specimens
Plants
Single-use Permits under a Master File or an Annual Program File
Trophies by Taxidermists
Wildlife
3–200–29
3–200–32
3–200–74
3–200–28
3–200–73
(2) Endangered Species Act and CITES:
ESA Plants
ESA Wildlife
3–200–36
3–200–37
(3) Marine Mammal Protection Act and CITES:
Biological Samples
Live Captive-held Marine Mammals
3–200–29
3–200–53
22. On the same page, in the same
section, the second table is being
reprinted in its entirety to read as
follows:
Appendix of the specimen
Criteria for a re-export certificate
Section
II
III
(1) The wildlife or plant was legally acquired.
Yes
Yes
Yes
23.60
(2) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted
by the CoP.
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I
Yes
Yes
Yes
23.23
(3) For a live specimen, an import permit has 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.’’
Yes
n/a
n/a
23.35
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Appendix of the specimen
Criteria for a re-export certificate
Section
I
II
III
(4) 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.
Yes
Yes
Yes
23.23
(5) For re-export of a confiscated specimen, the proposed reexport would not be detrimental to the survival of the species.
Yes
Yes
n/a
23.61
(6) For wildlife with the source code ‘‘W’’ or ‘‘F,’’ the re-export
is for noncommercial purposes.
Yes
n/a
n/a
....................
§ 23.39
[Corrected]
23. On page 20237, in § 23.39, the
table is being reprinted in its entirety to
read as follows:
Appendix of the
specimen
Criteria for an introduction-from-the-sea certificate
Section
I
II
(1) The specimen was taken in the marine environment not under the jurisdiction of any country.
Yes
Yes
(2) The proposed introduction from the sea would not be detrimental to the survival of the species.
Yes
Yes
23.61
(3) The specimen will not be used for primarily commercial purposes.
Yes
n/a
23.62
(4) The recipients are suitably equipped to house and care for live wildlife or
plants.
Yes
n/a
23.65
(5) The scientific name of the species is the standard nomenclature in the
CITES Appendices or the references adopted by the CoP.
Yes
Yes
23.23
(6) 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.
Yes
Yes
23.23
§ 23.40
[Corrected]
24. On page 20238, in § 23.40, the first
table is being reprinted in its entirety to
read as follows:
Appendix of the
specimen
Criteria for a certificate for artificially propagated plants
Section
II
III
(1) The plant was artificially propagated.
Yes
Yes
Yes
(2) The plant specimen is one of the 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.
rmajette on PROD1PC67 with MISCELLANEOUS
I
Yes
n/a
n/a
(3) The scientific name of the species is the standard
nomenclature in the CITES Appendices or the references adopted by the CoP.
Yes
Yes
Yes
23.23
(4) The live plant will be prepared and shipped so as to
minimize risk of injury, damage to health, or cruel
treatment of the specimen.
Yes
Yes
Yes
23.23
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23.64
25908
§ 23.41
Federal Register / Vol. 71, No. 84 / Tuesday, May 2, 2006 / Corrections
[Corrected]
25. On the same page, in § 23.41, the
second table is being reprinted in its
entirety to read as follows:
Appendix of the
specimen
Criteria for a bred-in-captivity certificate
Section
I
II
III
(1) The wildlife was bred-in-captivity.
Yes
Yes
Yes
23.63
(2) The wildlife specimen was bred for noncommercial purposes or is part of a traveling exhibition.
Yes
n/a
n/a
23.5
(3) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by the CoP.
Yes
Yes
Yes
23.23
(4) Live wildlife will be prepared and shipped so as to minimize risk of injury, damage to
health, or cruel treatment of the specimen.
Yes
Yes
Yes
23.23
§ 23.42
[Corrected]
bottom of page 20238 is being reprinted
in its entirety to read as follows:
26. On pages 20238 and 20239, in
§ 23.42, the table beginning at the
Question on a plant hybrid
Answer and status of specimen
(a) Is the specimen an artificially propagated hybrid of one or more Appendix-I species or taxa?
(1) YES. Continue to paragraph (b) of this section.
(2) NO. Continue to paragraph (c) of this section.
(b) Is one or more of the Appendix-I species or taxa in paragraph (a) of
this section annotated to include hybrids?
(1) YES. The hybrid is listed in Appendix I.
(2) NO. The hybrid is listed in 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 includes two or more CITES species
or taxa in its lineage?
(1) YES. Consider the specimen to be listed in the more restrictive 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 includes one CITES species or taxon
in its lineage?
(1) YES. Consider the specimen to be listed in the Appendix in which
the species or taxon is listed in the CITES Appendices.
(2) NO. The hybrid is not regulated by CITES.
§ 23.43
[Corrected]
27. On page 20239, in § 23.43, the
second table is being reprinted in its
entirety to read as follows:
Then the specimen is
listed in:
If at least one specimen in the recent lineage is listed 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 lineage
Appendix III
rmajette on PROD1PC67 with MISCELLANEOUS
§ 23.46
[Corrected]
28. On page 20241, in § 23.46, the first
table is being reprinted in its entirety to
read as follows:
Criteria for registering an Appendix-I breeding operation
Section
(1) The operation breeds wildlife for commercial purposes.
23.5
(2) The parental stock was legally acquired.
23.60
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Criteria for registering an Appendix-I breeding operation
25909
Section
(3) The wildlife meets bred-in-captivity criteria.
23.63
(4) Where the establishment of a breeding operation involves the removal of animals from the wild (allowable only under exceptional circumstances), the operation must demonstrate to the satisfaction of the Management Authority on advice of the
Scientific Authority and of the Secretariat that the removal is or was not detrimental to the conservation of the species.
(5) The potential escape of specimens or pathogens from the facility may not pose a risk to the ecosystem and native species.
(6) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by
the CoP.
23.23
(7) The breeding operation will make a continuing, meaningful contribution to the conservation of the species, as warranted by
the conservation needs of the species.
(8) The operation will be carried out at all stages in a humane (non-cruel) manner.
29. On the same page, in the same
section, the second table is being
reprinted in its entirety to read as
follows:
Criteria for an export permit
Section
(1) The specimen was bred at an Appendix-I breeding operation that is registered with the CITES Secretariat.
23.46
(2) The proposed export would not be detrimental to the survival of the species.
23.61
(3) Live wildlife will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the specimen.
23.23
§ 23.47
[Corrected]
30. On page 20242, in § 23.47, the
table is being reprinted in its entirety to
read as follows:
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 survival of the species.
23.61
(4) The plant was artificially propagated.
23.64
(5) The scientific name of the species is the standard nomenclature in the CITES Appendices or the references adopted by
the CoP.
23.23
(6) The live plant will be prepared and shipped so as to minimize risk of injury, damage to health, or cruel treatment of the
specimen.
23.23
§ 23.52
[Corrected]
31. On page 20245, in § 23.52, the
table is being reprinted in its entirety to
read as follows:
Then
(i) The shipment has already occurred
rmajette on PROD1PC67 with MISCELLANEOUS
If
Provide copies of:
(A) Any correspondence you have had with the shipper 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.
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If
Then
(ii) The original CITES document
no longer exists
Submit a signed, dated, and notarized statement that:
(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 CITES document
exists but has been damaged
Submit the original damaged CITES document and a signed, dated, and notarized statement that:
(A) Describes the circumstances that resulted in the CITES document being damaged.
(B) States whether the shipment has already occurred.
(C) Requests a replacement U.S. CITES document.
§ 23.55
[Corrected]
32. On pages 20246 and 20247, in
§ 23.55, the table is being reprinted in
its entirety to read as follows:
If the species is listed in
Allowed use after import
(a) Appendix I except for specimens imported with a CITES exemption
document listed in paragraph (d) of this section.
(b) Appendix II with an annotation for noncommercial use where other
specimens of that species are treated as listed in Appendix I.
(c) Appendix II and threatened under the ESA, except as provided in a
special rule in §§ 17.40 through 17.48 or under a permit granted
under §§ 17.32 or 17.52.
The specimen may be used, including a transfer, donation, or exchange, only for noncommercial purposes.
(d) Appendix I, specimens imported with a CITES exemption document
as follows:
(1) U.S.-issued certificate for personally owned wildlife.
(2) Pre-Convention certificate.
(3) Export permit or re-export certificate for wildlife from a registered commercial breeding operation.
(4) Export permit or re-export certificate for a plant from a registered nursery or under a permit with a source code of ‘‘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.
The specimen may be used for any purpose, except if the regulations
in this part or other parts of this subchapter allowed the import only
for noncommercial purposes, then the import and subsequent use
must be only for noncommercial purposes.
[FR Doc. C6–3444 Filed 5–1–06; 8:45 am]
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BILLING CODE 1505–01–D
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]]>Agencies
[Federal Register Volume 71, Number 84 (Tuesday, May 2, 2006)]
[Corrections]
[Pages 25894-25910]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: C6-3444]
Federal Register / Vol. 71, No. 84 / Tuesday, May 2, 2006 /
Corrections
[[Page 25894]]
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Parts 13 and 23
RIN 1018-AD87
Revision of Regulations for the Convention on International Trade
in Endangered Species of Wild Fauna and Flora (CITES)
Correction
In proposed rule document 06-3444 beginning on page 20168 in the
issue of Wednesday, April 19, 2006, make the following corrections:
Sec. 13.11 [Corrected]
1. On page 20213, in Sec. 13.11, the table being reprinted in its
entirety to read as follows:
------------------------------------------------------------------------
Amendment
Type of permit Citation Fee fee
------------------------------------------------------------------------
* * * * * * *
------------------------------------------------------------------------
Endangered Species Act/CITES/Lacey Act
------------------------------------------------------------------------
* * * * * * *
------------------------------------------------------------------------
CITES Introduction from the Sea 50 CFR 23 100 50
------------------------------------------------------------------------
CITES Participation in the Plant 50 CFR 23 (\1\) (\1\)
Rescue Center Program
------------------------------------------------------------------------
CITES Registration of Appendix-I 50 CFR 23 100
Commercial Breeding Operations
------------------------------------------------------------------------
CITES Request for Approval of an 50 CFR 23 (\1\) (\1\)
Export program for a State or
Tribe (American Ginseng,
Certain Furbearers, and
American Alligator)
------------------------------------------------------------------------
* * * * * * *
------------------------------------------------------------------------
Sec. 23.2 [Corrected]
2. On page 20217, in Sec. 23.2, the table is being reprinted in
its entirety to read as follows:
------------------------------------------------------------------------
Question on proposed activity Answer and action
------------------------------------------------------------------------
(a) Is the wildlife or plant (1) YES. Continue to paragraph (b)
species (including parts, of this section.
products, derivatives, whether (2) NO. The regulations in this
wild-collected, or born or part do not apply.
propagated in a controlled
environment) Listed in Appendix I,
II, or III of CITES (see Sec.
23.91)?
------------------------------------------------------------------------
(b) Is the wildlife or plant (1) YES. The regulations in this
specimen exempted from CITES (see part do not apply.
Sec. 23.92)? (2) NO. Continue to paragraph (c)
of this section.
------------------------------------------------------------------------
[[Page 25895]]
(c) Do you want to import, export, (1) YES. The regulations in this
re-export, engage in international part apply.
trade, or introduce from the sea? (2) NO. Continue to paragraph (d)
of this section.
------------------------------------------------------------------------
(d) Was the specimen that you (1) YES. The regulations in this
possess or want to enter into part apply. See Sec. 23.13(c)
intrastate or interstate commerce and (d) and sections 9(c)(1) and
unlawfully acquired, illegally 11(a) and (b) of the ESA (16
traded, or otherwise subject to U.S.C. 1538(c)(1) and 1540(a) and
conditions set out on a CITES (b)).
document that authorized import? (2) NO. The regulations in this
part do not apply.
------------------------------------------------------------------------
Sec. 23.6 [Corrected]
3. On pages 20219 and 20220, in Sec. 23.6, the table is being
reprinted in its entirety to read as follows:
----------------------------------------------------------------------------------------------------------------
U.S. Scientific U.S. Management
Roles Authority Authority
----------------------------------------------------------------------------------------------------------------
(a) Provide scientific advice and recommendations, including advice on x
biological findings for applications for certain CITES documents,
registrations, and export program approvals. Evaluate the conservation
status of species to determine if a species listing or change in a
listing is warranted. Interpret listings and review nomenclatural issues.
----------------------------------------------------------------------------------------------------------------
(b) Review applications for CITES documents and issue or deny them based ................. x
on findings required by CITES.
----------------------------------------------------------------------------------------------------------------
(c) Communicate with the Secretariat and other countries on scientific, x x
administrative, and enforcement issues.
----------------------------------------------------------------------------------------------------------------
(d) Ensure that export of Appendix-II specimens is at a level that x
maintains a species throughout its range at a level consistent with its
role in the ecosystems in which it occurs and well above the level at
which it might become eligible for inclusion in Appendix I.
----------------------------------------------------------------------------------------------------------------
(e) Monitor trade in all CITES species and produce annual reports on CITES ................. x
trade.
----------------------------------------------------------------------------------------------------------------
(f) Collect the cancelled foreign export permit or re-export certificate ................. x
and any corresponding import permit presented for import of any CITES
specimen. Collect a copy of the validated U.S. export permit or re-
export certificate presented for export or re-export of any CITES
specimen.
----------------------------------------------------------------------------------------------------------------
(g) Produce biennial reports on legislative, regulatory, and ................. x
administrative measures taken by the United States to enforce the
provisions of CITES.
----------------------------------------------------------------------------------------------------------------
(h) Coordinate with State and tribal governments and other Federal x x
agencies on CITES issues, such as the status of native species,
development of policies, negotiating positions, and law enforcement
activities.
----------------------------------------------------------------------------------------------------------------
(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 [Corrected]
4. On pages 20220 and 20221, in Sec. 23.7, the second table is
being reprinted in its entirety to read as follows:
[[Page 25896]]
------------------------------------------------------------------------
Type of information Office to contact
------------------------------------------------------------------------
(a) CITES administrative and U.S. Management Authority, U.S.
management issues: Fish and Wildlife Service, 4401
(1) CITES documents, including North Fairfax Drive, Room 700,
application forms and procedures; Arlington, Virginia 22203, Toll
list of registered scientific Free: (800) 358-2104/permit
institutions and bred-in-captivity questions, Tel: (703) 358-2095/
operations; and reservations other questions, Fax: (703) 358-
(2) Information on the CoP 2281/permits, Fax: (703) 358-2298/
(3) List of CITES species other issues, E-mail:
(4) Names and addresses of other managementauthority@fws.gov, Web
countries' Management and site: https://www.fws.gov/
Scientific Authority offices international and https://
(5) Notifications, resolutions, and www.fws.gov/permits.
decisions
(6) Standing Committee documents
and issues
(7) State and tribal export
programs
------------------------------------------------------------------------
(b) Scientific issues: U.S. Scientific Authority, U.S.
(1) Animals and Plants Committees Fish and Wildlife Service, 4401
documents and issues North Fairfax Drive, Room 750,
(2) Findings of non-detriment and Arlington, Virginia 22203, Tel:
suitability of facilities, and (703) 358-1708, Fax: (703) 358-
other scientific findings 2276, E-mail:
(3) Listing of species in the scientificauthority@fws.gov, Web
Appendices and relevant site: https://www.fws.gov/
resolutions international.
(4) Names and addresses of other
countries' Scientific Authority
offices and scientists involved
with CITES-related issues
(5) Nomenclatural issues
------------------------------------------------------------------------
(c) Wildlife clearance procedures: Law Enforcement, U.S. Fish and
(1) CITES replacement tags Wildlife Service, 4401 North
(2) Information about wildlife port Fairfax Drive, Mail Stop LE-3000,
office locations Arlington, Virginia 22203, Tel:
(3) Information bulletins (703) 358-1949, Fax: (703) 358-
(4) Inspection and clearance of 2271, Web site: https://www.fws.gov/
wildlife shipments involving le.
import, introduction from the sea,
export, and re-export, and filing
a Declaration of Importation or
Exportation of Fish or Wildlife
(Form 3-177)
(5) Validation, certification, or
cancellation of CITES wildlife
documents
------------------------------------------------------------------------
(d) APHIS plant clearance U.S. Department of Agriculture
procedures: APHIS/PPQ, 4700 River Road,
(1) Information about plant port Riverdale, Maryland 20737-1236,
office locations Toll Free: (877) 770-5990/permit
(2) Inspection and clearance of questions, Tel: (301) 734-5312/
plant shipments involving: other CITES issues, Fax: (301) 734-
(i) Import and introduction from 5786/permit questions, Fax: (301)
the sea of living plants 734-4300/other CITES issues, Web
(ii) Export and re-export of living site: https://www.aphis.usda.gov/
and nonliving plants ppq.
(3) Validation or cancellation of
CITES plant documents for the type
of shipments listed in paragraph
(d) of this section
------------------------------------------------------------------------
(e) CBP plant clearance procedures: Department of Homeland Security,
(1) Inspection and clearance of U.S. Customs and Border
plant shipments involving: Protection, Office of Field
(i) Import and introduction from Operations, Agricultural
the sea of nonliving plants Inspection Policy and Planning,
(ii) Import of living plants from 1300 Pennsylvania Avenue, NW.,
Canada at designated border ports Room 5.4 C, Washington, DC 20229,
(7 CFR 319.37-14(b) and 50 CFR Tel: (202) 344-3298, Fax: (202)
24.12(d)) 344-1442.
(2) Cancellation of CITES plant
documents for the type of
shipments listed in paragraph
(e)(1) of this section
------------------------------------------------------------------------
(f) General information on CITES: CITES Secretariat, Web site: https://
(1) CITES export quota information www.cites.org.
(2) CITES Guidelines for Transport
(3) Information about the
Secretariat
(4) Names and addresses of other
countries' Management and
Scientific Authority offices
(5) Official documents, including
resolutions, decisions,
notification, CoP documents, and
committee documents
(6) Official list of CITES species
and species database
(7) Text of the Convention
------------------------------------------------------------------------
Sec. 23.15 [Corrected]
5. On pages 20221 and 20222, in Sec. 23.15, the second table is
being reprinted in its entirety to read as follows:
[[Page 25897]]
------------------------------------------------------------------------
Species (Appendix
Major group II only) Type of specimen Quantity\1\
------------------------------------------------------------------------
Fishes (i) Sturgeon caviar 250 gm
Acipenseriformes (see Sec.
(sturgeon, 23.71)
including
paddlefish)
------------------------------------------------------------
(ii) Hippocampus Dead specimens, 4
spp. (seahorses) parts, products
(including
manufactured
items), and
derivatives
------------------------------------------------------------------------
Reptiles (iii) Crocodylia Dead specimens, 4
(alligators, parts, products
caimans, (including
crocodiles, manufactured
gavial) items), and
derivatives
------------------------------------------------------------------------
Molluscs (iv) Strombus gigas Shells 3
(queen conch)
------------------------------------------------------------
(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.
Sec. 23.20 [Corrected]
6. On page 20225, in Sec. 23.20, the table is being reprinted in
its entirety to read 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 for commercial
purposes)
------------------------------------------------------------------------
(4) Commercially I CITES document with 23.47
propagated Appendix- source code ``D''1
I plant
------------------------------------------------------------------------
(5) Commercially bred I CITES document with 23.46
Appendix-I wildlife source code ``D'' 1
from a breeding
operation registered
with the CITES
Secretariat
------------------------------------------------------------------------
(6) Export of certain II CITES document 23.36(e)
marine specimens indicating that the 23.39(e)
protected under a specimen was taken
pre-existing treaty, in accordance with
convention, or provisions of the
international applicable treaty,
agreement for that convention, or
species international
agreement
------------------------------------------------------------------------
(7) Hybrid of plants I, II, or III CITES document 23.42
------------------------------------------------------------------------
(8) Hybrid of I, II, or III CITES document or 23.43
wildlife certification letter
from a Management
Authority 1
------------------------------------------------------------------------
(9) In-transit I, II, or III CITES document 23.22
shipment (see designating importer
paragraph (d)(13) of and country of final
this section for destination
sample collections
covered by an ATA
carnet)
------------------------------------------------------------------------
(10) Introduction II Document required by 23.39(d)
from the sea under a applicable treaty,
pre-existing treaty, convention, or
convention, or international
international agreement, if
agreement for that appropriate
species
------------------------------------------------------------------------
(11) Noncommercial I, II, or III A label indicating 23.48
loan, donation, or CITES and the
exchange of registration codes
specimens between of both institutions
scientific and, in the United
institutions States, a CITES
registered with the certificate of
CITES Secretariat scientific exchange
that registers the
institution 3
------------------------------------------------------------------------
(12) Personally owned I, II, or III CITES certificate of 23.44
live wildlife for ownership 2
multiple cross-
border movement
------------------------------------------------------------------------
[[Page 25898]]
(13) Pre-Convention I, II, or III CITES document 23.45
specimen indicating pre-
Convention status 1
------------------------------------------------------------------------
(14) Sample I 4 , II, or CITES document 23.50
collection covered III indicating sample
by an ATA carnet collection 2
------------------------------------------------------------------------
(15) Traveling I, II, or III CITES document 23.49
exhibition indicating pre-
Convention, bred-in-
captivity, or
artificially
propagated status 2
------------------------------------------------------------------------
1 Issued by the Management Authority in the exporting or re-exporting
country.
2 Issued by the Management Authority in the owner's country of usual
residence.
3 Registration codes assigned by the Management Authorities in both
exporting and importing countries.
4 Appendix-I species bred-in-captivity or artificially propagated for
commercial purposes (see Sec. Sec. 23.46 and 23.47).
7. On page 20226, in the same section, the first table is being
reprinted in its entirety to read as follows:
----------------------------------------------------------------------------------------------------------------
Appendix Type of CITES document(s) required
----------------------------------------------------------------------------------------------------------------
I Import permit (Sec. 23.35) and export permit (Sec. 23.36) or
re-export certificate (Sec. 23.37).
----------------------------------------------------------------------------------------------------------------
II Export permit (Sec. 23.36) or re-export certificate (Sec.
23.37).
----------------------------------------------------------------------------------------------------------------
III Export permit if the specimen originated in a country that listed
the species; certificate of origin (Sec. 23.38) if the specimen
originated in a country other than the listing country, unless
the listing annotation indicates otherwise; or re-export
certificate for all re-exports (Sec. 23.37).
----------------------------------------------------------------------------------------------------------------
Sec. 23.21 [Corrected]
8. On the same page, in Sec. 23.21, the second table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
If Then
------------------------------------------------------------------------
(1) The shipment is between a Party and a The shipment must be
reserving Party, or the shipment is from accompanied by a valid
a non-Party to a reserving party and is CITES document(s) (see Sec.
in transit through a Party 23.26) that indicates the
CITES Appendix in which the
species is listed.
------------------------------------------------------------------------
(2) The shipment is from a reserving Party The shipment must be
to another reserving Party \1\ or non- accompanied by a valid
Party and is in transit through a Party CITES document (see Sec.
23.26) that indicates the
CITES Appendix in which the
species is listed.\2\
------------------------------------------------------------------------
(3) The shipment is between a reserving No CITES document is
Party and another reserving Party \1\ or required.\2\
non-Party and is not in transit through a
Party
------------------------------------------------------------------------
\1\ Both reserving Parties must have a reservation for the same species,
and if the species is listed in Appendix III, a reservation for the
same parts, products, and derivatives.
\2\ CITES recommends that reserving Parties treat Appendix-I species as
if listed in Appendix II and issue CITES documents based on Appendix-
II permit criteria (see Sec. 23.36). However, the CITES document
must show the specimen as listed in Appendix I. If the United States
entered a reservation, such a CITES document would be required.
Sec. 23.23 [Corrected]
9. On pages 20227 and 20228, in Sec. 23.23, the table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
Required information Description
------------------------------------------------------------------------
(1) Appendix The CITES Appendix in which the species,
subspecies, or population is listed (see
Sec. 23.21 when a Party has taken a
reservation on a listing).
------------------------------------------------------------------------
(2) Applicant's signature The applicant's signature if the CITES
document includes a place for it.
------------------------------------------------------------------------
(3) Bill of lading, air As applicable for export or re-export: (i)
waybill, or flight number by ocean or air cargo, the bill of lading
or waybill number, or (ii) in
accompanying baggage, the flight number,
as recorded on the CITES document by the
inspecting official at the port, if known
at the time of validation or
certification.
------------------------------------------------------------------------
[[Page 25899]]
(4) Dates Date of issue and date of expiration
(``valid until'' date on the standardized
CITES form), which is midnight of the
date on the CITES document. See Sec.
23.54 for the length of validity for
different types of CITES documents.
------------------------------------------------------------------------
(5) Description of the A complete description of the specimen,
specimen including whether live or the type of
goods. The sex and age of a live specimen
should be recorded, if possible. Such
information must be in English, Spanish,
or French on a CITES document from a
Party. If a code is used to indicate the
type of specimen, it must agree with the
Guidelines for preparation and submission
of CITES annual reports available from
the CITES website or us.
------------------------------------------------------------------------
(6) Document number A unique control number. We use a unique
12-character number. The first two
characters are the last two digits of the
year of issuance, the next two are the
two-letter ISO country code, followed by
a six-digit serial number, and two digits
or letters used for national
informational purposes.
------------------------------------------------------------------------
(7) Humane transport of live If the CITES document authorizes the
wildlife export or re-export of live wildlife, a
statement that the document is valid only
if the transport conditions comply with
the CITES Guidelines for Transport
(available from the CITES website), or,
in the case of air transport of wildlife,
with the International Air Transport
Association Live Animals Regulations. The
shipment must comply with the
requirements of the Live Animals
Regulations (LAR), 32\nd\ edition,
October 1, 2005, by the International Air
Transport Association (IATA), Reference
Number: 9105-32, ISBN 92-9195-560-4.\1\
------------------------------------------------------------------------
(8) Identification of the Any unique identification number or mark
specimen (such as a tag, band, ring, microchip,
label, or serial number), including any
mark required under these regulations or
a CITES listing annotation. For a
microchip, the microchip code, trademark
of the transponder manufacturer and,
where possible, the location of the
microchip in the specimen. If a microchip
is used, we may, if necessary, ask the
importer, exporter, or re-exporter to
have equipment on hand to read the
microchip at the time of import, export,
or re-export.
------------------------------------------------------------------------
(9) Management Authority The complete name and address of the
issuing Management Authority as included
in the CITES directory, which is
available from the CITES website or us.
------------------------------------------------------------------------
(10) Name and address The complete name and address, including
country, of the exporter and importer.
------------------------------------------------------------------------
(11) Purpose of transaction The purpose of the transaction, if
possible, using one of the codes given in
paragraph (d) of this section. The code
is determined by the issuing Management
Authority through information submitted
with an application. This is not required
for a certificate of origin.
------------------------------------------------------------------------
(12) Quantity The quantity of specimens authorized in
the shipment and, if appropriate, the
unit of measurement using the metric
system:
(i) The unit of measurement should be
appropriate to the type of specimen and
agree with the Guidelines for the
preparation and submission of CITES
annual reports available from the CITES
website or us. General descriptions such
as ``one case'' or ``one batch'' are not
acceptable.
(ii) Weight should be in kilograms. If
weight is used, net weight (weight of the
specimen alone) must be stated, not gross
weight that includes the weight of the
container or packaging.
(iii) Volume should be in cubic meters for
logs and sawn wood and either square
meters or cubic meters for veneer and
plywood.
(iv) For re-export, if the type of good
has not changed since being imported, the
same unit of measurement as on the export
permit must be used, except to change to
units that are to be used in the CITES
annual report.
------------------------------------------------------------------------
(13) Scientific name The scientific name of the species,
including the subspecies when needed to
determine the level of protection of the
specimen under CITES, using standard
nomenclature as it appears in the CITES
Appendices or the references adopted by
the CoP. A list of current references is
available from the CITES website or us. A
CITES document may contain higher-taxon
names in lieu of the species name only
under one of the following circumstances:
(i) The CoP has agreed that the use of a
higher-taxon name is acceptable for use
on CITES documents.
(A) If the genus cannot be readily
determined for coral rock, the scientific
name to be used is the order
Scleractinia.
(B) Live and dead coral must be identified
to the level of species except where the
CoP has agreed that identification to
genus is acceptable. A current list of
coral taxa identifiable to genus is
available from the CITES website or us.
(C) Re-export of worked skins or pieces of
Tupinambis species that were imported
before August 1, 2000, may indicate
Tupinambis spp.
(ii) The issuing Party can show the use of
a higher-taxon name is well justified and
has communicated the justification to the
Secretariat.
(iii) The item is a pre-Convention
manufactured product containing a
specimen that cannot be identified to the
species level.
------------------------------------------------------------------------
(14) Seal or stamp The embossed seal or ink stamp of the
issuing Management Authority.
------------------------------------------------------------------------
(15) Security stamp If a Party uses a security stamp, the
stamp must be canceled by an authorized
signature and a stamp or seal, preferably
embossed. The number of the stamp must
also be recorded on the CITES document.
------------------------------------------------------------------------
[[Page 25900]]
(16) Signature An original handwritten signature of a
person authorized to sign CITES documents
for the issuing Management Authority. The
signature must be on file with the
Secretariat.
------------------------------------------------------------------------
(17) Signature name The name of the person who signed the
CITES document.
------------------------------------------------------------------------
(18) Source The source of the specimen. For re-export,
unless there is information to indicate
otherwise, the source code on the CITES
document used for import of the specimen
must be used. See Sec. 23.24 for a list
of codes.
------------------------------------------------------------------------
(19) Treaty name Either the full name or acronym of the
Treaty, or the CITES logo.
------------------------------------------------------------------------
(20) Type of CITES document The type of CITES document (import,
export, re-export, or other):
(i) If marked ``other,'' the CITES
document must indicate the type of
document, such as artificially
propagated, bred-in-captivity,
certificate of origin, certificate of
ownership, introduction from the sea, pre-
Convention, sample collection covered by
an ATA carnet, scientific exchange, or
traveling exhibition.
(ii) If multiple types are authorized on
one CITES document, the type that applies
to each specimen must be clearly
indicated.
------------------------------------------------------------------------
(21) Validation or The actual quantity of specimens exported
certification or re-exported:
(i) Using the same units of measurement as
those on the CITES document.
(ii) Validated or certified by the stamp
or seal and signature of the inspecting
authority at the time of export or re-
export.
------------------------------------------------------------------------
\1\ The incorporation by reference of the IATA LAR was approved by the
Director of the Office of the Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from IATA, 800
Place Victoria, P.O. Box 113, Montreal, Quebec, Canada H4Z 1M1, by
calling 1-800-716-6326, or ordering through the Internet at https://
www.iata.org. Copies may be inspected at the U.S. Management Authority
or at the Office of the Federal Register, 800 North Capitol Street,
NW., Suite 700, Washington, DC.
10. On page 20228, in the same section, the second table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
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.
------------------------------------------------------------------------
11. On page 20229, in the same section, the second table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
Type of document Additional required information
------------------------------------------------------------------------
(1) Annex (such as The page number, document number, and date of issue
an attached on each page of an annex that is attached as an
inventory, integral part of a CITES document. The signature
conditions, or and ink stamp or seal, preferably embossed, of the
continuation Management Authority issuing the CITES document
pages of a CITES must also be included on each page of the annex.
document) The CITES document must indicate an attached annex
and the total number of pages.
------------------------------------------------------------------------
(2) Certificate of A statement that the specimen originated in the
origin (see Sec. country 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--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 25901]]
(7) Replacement When a CITES document replaces an already issued
CITES document CITES document that was lost, damaged, stolen, or
(see Sec. accidentally destroyed:
23.52) (i) If a newly issued CITES document, indication it
is a ``replacement,'' the number and date of
issuance of the CITES document that was replaced,
and reason for replacement.
(ii) If a copy of the original CITES document,
indication it is a ``replacement'' and a ``true
copy of the original,'' a new original signature of
the issuing Management Authority, the date signed,
and reason for replacement.
------------------------------------------------------------------------
(8) Partially (i) A list of the blocks that must be completed by
completed the permit holder.
documents (see (ii) If the list includes scientific names, an
Sec. 23.51) inventory of approved species must be included on
the face of the CITES document or in an attached
annex.
(iii) A signature of the permit holder, which acts
as a certification that the information entered is
true and accurate.
------------------------------------------------------------------------
(9) Pre-Convention (i) An indication on the face of the CITES document
document (see that the specimen is pre-Convention.
Sec. 23.45) (ii) A date that shows the specimen was acquired
before the date the Convention first applied to it.
------------------------------------------------------------------------
(10) Re-export (i) The country of origin, the export permit number,
certificate (see and the date of issue.
Sec. 23.37) (ii) If previously re-exported, the country of last
re-export, the re-export certificate number, and
the date of issue.
(iii) If all or part of this information is not
known, a justification must be given.
------------------------------------------------------------------------
(11) Retrospective A clear statement that the CITES document is issued
CITES document retrospectively and the reason for issuance.
(see Sec.
23.53)
------------------------------------------------------------------------
(12) Sample (i) A statement that the document covers a sample
collection collection and is invalid unless accompanied by a
covered by an ATA valid ATA carnet.
carnet (see Sec. (ii) The number of the accompanying ATA carnet
23.50) either recorded by the Management Authority,
customs, or other responsible CITES inspecting
official.
------------------------------------------------------------------------
Sec. 23.24 [Corrected]
12. On page 20230, in Sec. 23.24, the first table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
Source of specimen Code
------------------------------------------------------------------------
(a) Artificially propagated plant (see Sec. 23.40):
(1) An Appendix-II or -III artificially propagated A
specimen.
(2) An Appendix-I plant specimen artificially
propagated for noncommercial purposes or certain
Appendix-I hybrids (see Sec. 23.42) propagated for
commercial purposes.
------------------------------------------------------------------------
(b) Bred-in-captivity wildlife (see Sec. 23.41): C
(1) An Appendix-II or -III specimen bred-in-captivity.
(See paragraph (d)(1) of this section for wildlife
that does not qualify as bred-in-captivity.)
(2) An Appendix-I specimen bred for noncommercial
purposes. (See paragraph (c)(1) of this section for
an Appendix-I specimen bred for commercial purposes.)
------------------------------------------------------------------------
(c) Bred-in-captivity or artificially propagated for D
commercial purposes (see Sec. Sec. 23.46 and 23.47):
(1) An Appendix-I wildlife specimen bred-in-captivity
for commercial purposes at an operation registered
with the Secretariat.
(2) An Appendix-I plant specimen artificially
propagated for commercial purposes at a nursery that
is registered with the Secretariat or a commercial
propagating operation that meets the requirements of
Sec. 23.47.
------------------------------------------------------------------------
(d) Captive-bred wildlife (Sec. 23.36): F
(1) An Appendix-II or -III species that is captive-
bred.
(2) An Appendix-I species that is one of the
following:
(i) Captive-bred.
(ii) Bred for commercial purposes, but the
commercial breeding operation was not registered
with the Secretariat.
(iii) Bred for noncommercial purposes, but the
facility does not meet the definition in Sec.
23.5 because it was not involved in a cooperative
conservation program.
------------------------------------------------------------------------
(e) Confiscated or seized specimen (see Sec. 23.78). I
------------------------------------------------------------------------
(f) Pre-Convention specimen (see Sec. 23.45) (code to be O
used in conjunction with another code).
------------------------------------------------------------------------
(g) Ranched wildlife (wildlife that originated from a R
ranching operation).
------------------------------------------------------------------------
(h) Source unknown (must be justified on the face of the U
CITES document).
------------------------------------------------------------------------
(i) Specimen taken from the wild: W
[[Page 25902]]
(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 [Corrected]
13. On the same page, in Sec. 23.25, the second table is being
reprinted in its entirety to read as follows:
------------------------------------------------------------------------
Activity by a non-
party Certification
------------------------------------------------------------------------
(1) Export (i) The Scientific Authority has advised that the
export will not be detrimental to the survival of
the species.
(ii) The Management Authority is satisfied that the
specimen was legally acquired.
------------------------------------------------------------------------
(2) Import The import will be for purposes that are not
detrimental to the survival of the species.
------------------------------------------------------------------------
Sec. 23.26 [Corrected]
14. On page 20231, in Sec. 23.26, the table is being reprinted in
its entirety to read as follows:
------------------------------------------------------------------------
Key phrase Conditions for an acceptable CITES document
------------------------------------------------------------------------
(1) Altered or The CITES document has not been altered (including
modified CITES by rubbing or scratching out), added to, or
document modified in any way unless the change is validated
on the document by the stamp and signature of the
issuing Management Authority, or if the document
was issued as a partially completed document, the
Management Authority lists on the face of the
document which blocks must be completed by the
permit holder.
------------------------------------------------------------------------
(2) CITES document U.S. and foreign CITES documents must meet the
general provisions and criteria in subparts C and
E.
------------------------------------------------------------------------
(3) Conditions All conditions on the CITES document are met.
------------------------------------------------------------------------
(4) Extension of The validity of a CITES document may not be extended
validity except as provided in Sec. 23.73 for certain
timber species.
------------------------------------------------------------------------
(5) Fraudulent The CITES document is authentic and does not contain
CITES document or erroneous or misleading information.
CITES document
containing false
information
------------------------------------------------------------------------
(6) Humane Live wildlife or plants were transported in
transport compliance with the CITES Guidelines for Transport
or, in the case of air transport of wildlife, the
International Air Transport Association Live
Animals Regulations.
------------------------------------------------------------------------
(7) Management The CITES document was issued by a Party or non-
Authority and Party that has designated a Management Authority
Scientific and Scientific Authority and has provided
Authority information on these authorities to the
Secretariat.
------------------------------------------------------------------------
(8) Name of A CITES document is specific to the name on the face
importer and of the document and may not be transferred or
exporter assigned to another person.
------------------------------------------------------------------------
(9) Phytosanitary A phytosanitary certificate can be used to export
certificate artificially propagated plants only if the issuing
Party has provided copies of the certificates,
stamps, and seals to the Secretariat.
------------------------------------------------------------------------
(10) Registered (i) The operation is in the Secretariat's register.
commercial (ii) Each specimen is specifically marked, and the
breeding mark is described on the CITES document.
operation for
Appendix-I
wildlife
------------------------------------------------------------------------
(11) Registered The operation is included in the Secretariat's
commercial register.
nursery for
Appendix-I plants
------------------------------------------------------------------------
(12) Retrospective A CITES document was not issued retrospectively
CITES documents except as provided in Sec. 23.53.
------------------------------------------------------------------------
(13) Shipment The contents of the shipment match the description
contents of specimens provided on the CITES document,
including the units and species. A shipment cannot
contain more or different specimens or species than
certified or validated on the CITES document at the
time of export or re-export (the quantity of each
specimen validated or certified may be less, but
not more, than the quantity stated at the time of
issuance).
------------------------------------------------------------------------
(14) Quota For species with a quota on file with the
Secretariat, the quantity exported from a country
does not exceed the quota.
------------------------------------------------------------------------
[[Page 25903]]
(15) Wild- A wild-collected wildlife specimen (indicated on the
collected CITES document with a source code of ``W'') is not
wildlife specimen coming from a country that is outside the range of
the species, unless we have information indicating
that the species has been established in the wild
in that country through accidental introduction or
other means.
------------------------------------------------------------------------
Sec. 23.27 [Corrected]
15. On page 20232, in Sec. 23.27, the table is being reprinted in
its entirety to read as follows:
----------------------------------------------------------------------------------------------------------------
Present original for Surrender original
export or re-export Surrender copy upon upon import or
Type of CITES document validation or export or re-export introduction from the
certificaion sea
----------------------------------------------------------------------------------------------------------------
Bred-in-captivity certificate Required Required Required
----------------------------------------------------------------------------------------------------------------
Certificate for artificially propagated Required Required Required
plants
----------------------------------------------------------------------------------------------------------------
Certificate of origin Required Required Required
----------------------------------------------------------------------------------------------------------------
Certificate of ownership Required Required Not required; submit
copy
----------------------------------------------------------------------------------------------------------------
Export permit Required Required Required
----------------------------------------------------------------------------------------------------------------
Hybrid, excluded wildlife hybrid letter Required 1 Required Not required; submit
copy
----------------------------------------------------------------------------------------------------------------
Import permit Not required Required Required
----------------------------------------------------------------------------------------------------------------
Introduction-from-the-sea certificate Not applicable Not applicable Required
----------------------------------------------------------------------------------------------------------------
Multiple-use document Required 2 Required Not required; submit
copy
----------------------------------------------------------------------------------------------------------------
Pre-Convention document Required Required Required
----------------------------------------------------------------------------------------------------------------
Re-export certificate Required Required Required
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I commercial Required Required Required
breeding operation, export permit
----------------------------------------------------------------------------------------------------------------
Registered Appendix-I nursery, export Required Required Required
permit
----------------------------------------------------------------------------------------------------------------
Registered scientific institution CITES Not required 3 Not required Not required
label
----------------------------------------------------------------------------------------------------------------
Replacement document where a shipment Not required Not required Required
has been made and is in a foreign
country
----------------------------------------------------------------------------------------------------------------
Replacement document where a shipment Required Required Required
has not left the United States
----------------------------------------------------------------------------------------------------------------
Retrospective document Not required Not required Required
----------------------------------------------------------------------------------------------------------------
Sample collection covered by an ATA Required Required Not required; submit
carnet, CITES document copy
----------------------------------------------------------------------------------------------------------------
Traveling exhibition certificate Required Required Not required; submit
copy
----------------------------------------------------------------------------------------------------------------
\1\ Certification letter may not require validation.
\2\ Orginal must be available for inspection, but permit conditions will indicate whether an original or copy is
to be validated.
\3\ Original label must be affixed to the package, which must be presented for inspection at the time of export,
re-export, or import.
Sec. 23.34 [Corrected]
16. On pages 20233 and 20234, in Sec. 23.34, the table is being
reprinted in its entirety to read as follows:
[[Page 25904]]
------------------------------------------------------------------------
Source of specimen Types of records
------------------------------------------------------------------------
(1) Captive-bred (i) Records that identify the breeder or propagator
or cultivated \1\ of the specimens that have been identified by
birth, hatch, or propagation date and for wildlife
by sex, size, band number, or other mark, or for
plants by size or other ide
