50 CFR § 23.34 - What kinds of records may I use to show the origin of a specimen when I apply for a U.S. CITES document?

§ 23.34 What kinds of records may I use to show the origin of a specimen when I apply for a U.S. CITES document?

(a) When you apply for a U.S. CITES document, you will be asked to provide information on the origin of the specimen that will be covered by the CITES document.

(1) You need to provide sufficient information for us to determine if the issuance criteria in this part are met (see the sections in this subpart for each type of CITES document).

(2) We require less detailed information when the import, introduction from the sea, export, or re-export poses a low risk to a species in the wild and more detailed information when the proposed activity poses greater risk to a species in the wild (see Subpart D of this part for factors we consider in making certain findings).

(b) Information you may want to provide in a permit application includes, but is not limited to, the following:

Source of specimen Types of records
(1) Captive-bred or cultivated 1 (i) Records that identify the breeder or propagator of the specimens that have been identified by birth, hatch, or propagation date and for wildlife by sex, size, band number, or other mark, or for plants by size or other identifying feature:
(A) Signed and dated statement by the breeder or propagator that the specimen was bred or propagated under controlled conditions.
(B) Name and address of the breeder or propagator as shown by documents such as an International Species Information System (ISIS) record, veterinary certificate, or plant nursery license.
(ii) Records that document the breeding or propagating of specimens at the facility:
(A) Number of wildlife (by sex and age- or size-class) or plants at the facility.
(B) How long the facility has been breeding or propagating the species.
(C) Annual production and mortalities.
(D) Number of specimens sold or transferred annually.
(E) Number of specimens added from other sources annually.
(F) Transaction records with the date, species, quantity of specimens, and name and address of seller.
(G) Marking system, if applicable.
(H) Photographs or video of facility, including for wildlife any activities during nesting and production and rearing of young, and for plants, different stages of growth.
(2) Confiscated or seized Copy of remission decision, legal settlement, or disposal action after forfeiture or abandonment, which demonstrates the applicant's legal possession.
(3) Grown from exempt plant material Records that document how you obtained the exempt plant material, including the name and address of the person from whom you received the plant material.
(4) Imported previously (i) A copy of the cancelled CITES document that accompanied the shipment into the United States.
(ii) For wildlife, copies of cleared Declarations for Importation or Exportation of Fish or Wildlife (Form 3-177) associated with each specimen.
(5) Pre-Convention Records that show the specimen was acquired before the date the provisions of the Convention first applied to it, such as:
(i) Receipt or invoice.
(ii) Catalog, inventory list, photograph, or art book.
(iii) Statement from a qualified appraiser attesting to the age of a manufactured product.
(iv) CBP (formerly U.S. Customs Service) import documents.
(v) Phytosanitary certificate.
(vi) Veterinary document or breeding or propagation logs.
(6) Ranched wildlife (i) Records, such as permits, licenses, and tags, that demonstrate that the specimen was legally removed from the wild under relevant Federal, tribal, State, or local wildlife conservation laws or regulations:
(A) If taken on private or tribal land, permission of the landowner if required under applicable law.
(B) If taken in a national, State, or local park, refuge or other protected area, permission from the applicable agency, if required.
(ii) Records that document the rearing of specimens at the facility:
(A) Number of specimens (by sex and age- or size-class) at the facility.
(B) How long the specimens were reared at the facility.
(C) Signed and dated statement by the owner or manager of the facility that the specimens were reared at the facility in a controlled environment.
(D) Marking system, if applicable.
(E) Photographs or video of the facility.
(7) 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).
(8) Unknown origin, for noncommercial purposes A complete description of the circumstances under which the specimen was acquired (where, when, and from whom the specimen was acquired), including efforts made to obtain information on the origin of the specimen.
(9) Wild-collected Records, such as permits, licenses, and tags, that demonstrate the specimen or the parental stock was legally removed from the wild under relevant foreign, Federal, tribal, State, or local wildlife or plant conservation laws or regulations:
(i) If taken on private or tribal land, permission of the landowner if required under applicable law.
(ii) If taken in a national, State, or local park, refuge, or other protected area, permission from the applicable agency, if required.

1 If the wildlife was born in captivity from an egg collected in the wild or from parents that mated or exchanged genetic material in the wild, see paragraphs (b)(6) and (b)(9) of this section. If the plant was propagated from a non-exempt propagule collected from a wild plant, see paragraph (b)(9) of this section.

(c) If you intend to engage in international trade with a CITES specimen in the future, you should keep sufficient records to establish your eligibility for a CITES document for as long as you possess the specimen, and if you sell, donate, or transfer ownership of the specimen, you should provide such records on the origin of the specimen to the new owner.

[72 FR 48448, Aug. 23, 2007, as amended at 79 FR 30424, May 27, 2014]

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