26664 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

DEPARTMENT OF THE INTERIOR

Fish and Wildlife Service

50 CFR Parts 10, 13, 17, and 23

RIN 1018–AD87

Revision of Regulations for the

Convention on International Trade in

Endangered Species of Wild Fauna

and Flora (CITES)

AGENCY: Fish and Wildlife Service,

Interior.

ACTION: Proposed rule.

SUMMARY: We propose to revise the

regulations that implement the

Convention on International Trade in

Endangered Species of Wild Fauna and

Flora (CITES), a treaty that regulates

international trade in certain protected

species. CITES uses a system of

international permits and certificates to

help ensure that trade is legal and does

not threaten the survival of wildlife or

plant species in the wild. Since the

existing regulations were finalized, the

CITES Conference of the Parties (COP)

has held nine meetings where

resolutions have been adopted. We

propose to incorporate certain

applicable current resolutions into 50

CFR part 23. Revised regulations will

help us more effectively promote

species conservation, fulfill our

responsibilities under the Treaty, and

help those affected by CITES

understand how to conduct

international trade in CITES species.

DATES: In preparing the final decision

on this proposed rule, we will consider

all information and comments received

by August 7, 2000.

ADDRESSES: Send comments to Ms.

Teiko Saito, Chief, Office of

Management Authority, U.S. Fish and

Wildlife Service, 4401 North Fairfax

Drive, Room 700, Arlington, Virginia

22203. To the extent possible, reference

the section of the proposed regulations

on which you are commenting. You may

also send comments via e-mail to:

r9oma—cites@fws.gov. Please reference

‘‘Part 23 Comments’’ and include your

name and return address in your e-mail

message. Materials received will be

available for public inspection by

appointment from 7:45 a.m. to 4:15

p.m., Monday through Friday, at the

above address.

FOR FURTHER INFORMATION CONTACT: Ms.

Teiko Saito, at the above address,

telephone (703) 358–2093, fax (703)

358–2280.

SUPPLEMENTARY INFORMATION:

Acronyms Used in This Proposed Rule

APHIS U.S. Department of Agriculture,

Animal and Plant Health Inspection

Service

CITES Convention on International Trade

in Endangered Species of Wild Fauna

and Flora, also referred to as the

Convention or Treaty

CFR Code of Federal Regulations

COP CITES Conference of the Parties or

meeting of the Conference of the Parties

DNA Deoxyribonucleic acid

ESA Endangered Species Act

Background

CITES was negotiated in 1973 in

Washington, DC, at a conference

attended by delegations from 80

countries. The United States ratified the

Treaty on September 13, 1973, and it

came into force on July 1, 1975, after the

required 10 countries had ratified it.

Section 8A of the Endangered Species

Act (ESA), as amended in 1982,

designates the Secretary of the Interior

as the U.S. Management Authority and

Scientific Authority for CITES. These

authorities have been delegated to the

Fish and Wildlife Service. The U.S.

regulations implementing CITES took

effect on May 23, 1977 (42 FR 10465,

February 22, 1977), after the first COP

was held. The COP meets every 2 to 3

years to vote on proposed resolutions

that interpret and implement the text of

the Treaty and on amendments to the

listing of species in the CITES

appendices. There are currently 151

Parties (countries that have ratified or

acceded to CITES). As a Party to CITES,

the United States is committed to

fulfilling its obligations under the

Treaty, including implementing species

listings and appropriate resolutions of

the COP.

Resolution consolidation. Between

1976 and 1994, at least 190 resolutions

were adopted by the Parties. In 1994,

the Parties began an effort to consolidate

some of these resolutions. Some

resolutions were no longer relevant, and

others needed to be combined since

there were several resolutions on the

same or similar subjects adopted at

different COP’s. As a result of this

process, there are currently 82

resolutions in effect. This proposed rule

incorporates certain of these

consolidated resolutions from COP 2

through COP 10, as appropriate and

relevant to U.S. implementation of the

Treaty.

Previous proposed rules. We

published proposed rules on September

24, 1985 (50 FR 38683), to incorporate

changes from COP 2 through COP 4, and

on April 10, 1986 (51 FR 12350), to

incorporate changes from COP 5. These

proposed rules were never finalized,

and we are withdrawing them here

because of subsequent decisions of the

COP.

Current proposed rule. We propose to

replace the current regulations

contained in 50 CFR part 23. In this

proposed rule, we retained most of the

general information from the current 50

CFR part 23, but we reorganized the

sections, added provisions from certain

resolutions, and revised text under the

Government’s plain language initiative

to make the regulations clearer and

easier to use.

Stricter national legislation. Article

XIV of the Treaty explicitly recognizes

the rights of Parties to adopt stricter

national measures to restrict or prohibit

trade, taking, possession, or transport of

any wildlife or plant species. Resolution

Conf. 2.6 (Rev.) recommends that Parties

make use of stricter national measures if

they have determined ‘‘that an

Appendix-II or -III species is being

traded in a manner detrimental to the

survival of that species’’ or is being

‘‘traded in contravention of the laws of

any country involved in the

transaction.’’ Resolution Conf. 2.10

(Rev.) recommends that Parties

experiencing significant problems in

administering or enforcing CITES take

stricter national measures to eliminate

those problems. We have not

incorporated elements of a number of

resolutions into this proposal because

our stricter national legislation, such as

the ESA, the Marine Mammal Protection

Act, and the Lacey Act, takes

precedence.

Other resolutions. Some resolutions

deal specifically with other countries

and do not impact these regulations,

such as Resolutions Conf. 6.5 (Rev.) and

8.2 (Rev.), which deal solely with the

European Economic Community. A

number of resolutions deal with general

topics, including species conservation

issues related to Houbara bustards, trade

in sharks, and swiftlets. Although these

are important resolutions, they are not

regulatory in nature and, therefore, have

not been addressed in this proposed

rule.

Comments and Information Received

On August 5, 1997, the Fish and

Wildlife Service published a notice of

intent to propose rulemaking (62 FR

42093). The notice requested public

input for the revision of these

regulations. We received eight letters of

comment: seven from organizations

(Animal Welfare Institute, Busch

Gardens Tampa, Defenders of Wildlife,

Humane Society of the United States,

Safari Club International, TRAFFIC

USA, and Wildlife Management

Institute) and one from an individual.

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26665

Suggested changes reflected diverse

viewpoints that, at times, supported

opposite courses of action or

interpretation. The comments fit into

the following general categories.

Product contents. Two commenters

stated that language should be added to

50 CFR part 23 so that products listing

CITES species as ingredients must meet

all CITES requirements. We propose to

define the term ‘‘readily recognizable’’

to include any specimen that has

accompanying documents, packaging,

marks, or a label that indicates it

contains CITES species.

Definitions. Most of the commenters

wanted terms in resolutions defined.

These included primarily commercial

purposes, accompanying personal

baggage, hybrid, commercial, bred in

captivity, and artificially propagated.

We propose to expand the current

definitions section (see proposed § 23.5)

to include those definitions with unique

meanings under CITES.

Non-detriment. One commenter

suggested that we include criteria for

making non-detriment findings in the

regulations, and two felt that the public

should have the opportunity to

comment on non-detriment findings.

One commenter wanted regulations to

enable us to question scientific nondetriment findings made by other

countries for Appendix-II shipments

and reject shipments if we find that the

finding was inadequate.

In making a non-detriment finding,

we use the best information available.

We consult with other Federal agencies,

State agencies, and experts to ensure

that the information we use is current.

We agree that the factors considered

when making non-detriment findings

should be included in the regulations

and propose to include a section

outlining those factors. In addition, we

encourage people with information on a

species or trade to send it to us at any

time. As recommended in Resolutions

Conf. 2.6 (Rev.) and 10.3, we currently

request information on scientific

findings from another Party when it

appears appropriate. We propose to

include the recommendations of these

resolutions in the proposed section that

outlines when a CITES document is

valid (see proposed § 23.23).

Personal effects exemption. We

received several comments concerning

the personal effects exemption. Several

requested that live wildlife or plants be

excluded from this exemption, and

some requested that limits be put on the

number of items that could be

considered as personal effects. We

propose to revise the requirements for

this exemption to exclude any live

specimen, to implement Resolution

Conf. 10.6, to include conditions that

qualify what we would consider

personal effects, and to provide

guidelines for quantities rather than

provide specific numbers.

Quotas for Appendix-I species. One

commenter suggested that we expand

our use of quotas for Appendix-I

species, and another that we abide by

the ‘‘plain’’ language of the Treaty rather

than the resolutions concerning

Appendix-I hunting trophies. The

second commenter considered trophy

hunting a primarily commercial

industry and argued that the import of

Appendix-I hunting trophies should not

be allowed. The revisions we are

proposing follow the relevant

resolutions as well as stricter measures

under U.S. laws. In general, we do not

consider the import of hunting trophies

by the person who killed the wildlife to

be primarily commercial, even though

commercial activity occurs in the

exporting country as part of the hunt.

Registered operations. Two

commenters wanted us to provide an

opportunity for the public to comment

on proposed registrations of captivebreeding facilities. We propose to

publish notices in the Federal Register

and invite public comment when we

receive requests that U.S. operations be

registered.

Resolutions. Most of the commenters

discussed the inclusion of resolutions

into the regulations. We received a wide

range of comments, including: (1)

Resolutions are confusing and

contradictory, and not all of them

should be incorporated; (2) resolutions

are recommendations and should not be

put into regulations; (3) we should only

adopt resolutions that the United States

supported at the COP’s; (4) we should

explain which resolutions are being

incorporated and why; and (5) we

should give a history of any resolution

incorporated, including who proposed it

and whether or not the United States

supported it. We also received a number

of comments on specific resolutions that

commenters felt should be incorporated

into the regulations. We propose to

incorporate the resolutions that are

regulatory in nature and consistent with

U.S. interpretation of its obligations

under CITES and under U.S. law. It is

the goal of the Parties to adopt

resolutions by consensus. The United

States works hard at COP’s to ensure

that it can support the text of any

resolution that is adopted.

We have reviewed all of the

comments and addressed them

wherever appropriate. Since there were

conflicting recommendations, not all

comments were incorporated into this

proposal. Some comments were not

relevant to 50 CFR part 23, but belong

in other regulations and will be

considered when those regulations are

revised.

Analysis of Proposed Changes to 50

CFR Parts 10, 13, and 17

Definitions in 50 CFR 10.12: We

propose to revise two definitions in 50

CFR 10.12 because the definitions

provided in 50 CFR part 10 apply to all

regulations in subchapter B if not

separately defined in a specific part. We

propose to expand the term ‘‘country of

origin’’ to apply to plants as well as

wildlife and to update the definition of

the ‘‘United States’’ to reflect changes in

areas under U.S. jurisdiction.

General permit procedures in 50 CFR

part 13: We propose to reorganize 50

CFR 13.1 and to revise it to reflect that,

under very limited circumstances,

permits for non-commercial CITES

shipments may be issued after the

activity has occurred (see proposed

§ 23.43 on retrospective documents).

We also propose to revise 50 CFR

13.12 to change the general information

required on an application to include an

address within the United States. There

have been a number of situations where

a business in a foreign country has

requested a CITES document from us for

a shipment it owned that is being

shipped out of the United States. If we

issue the CITES document showing the

exporter’s foreign address rather than a

U.S. address, it appears that we issued

a CITES document for goods that were

never in this country. The document

can be issued to the owner of the items,

but it must include either a U.S. address

or the name and address of a U.S. agent.

For commercial activities, the name and

address of the commercial entity’s agent

in the United States must be included.

We propose to revise 50 CFR 13.22

that allows continuation of permitted

activity during permit renewal. This

general provision in 50 CFR part 13

does not apply to CITES documents

since they are not considered valid for

use upon expiration.

Permittees are required to maintain

records. However, our authority to

inspect records is limited to areas

within the United States. Therefore, to

ensure that we are able to carry out our

responsibility to inspect records when

necessary, we propose to revise 50 CFR

13.46 to require foreign permittees

conducting commercial activities within

the United States to maintain records in

this country.

Import exemption for threatened,

Appendix-II wildlife (50 CFR 17.8): We

propose to add this new section to 50

CFR part 17. Section 9(c)(2) of the ESA

sets out an exemption to the import

26666 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

prohibition for threatened, Appendix-II

wildlife when the taking and export

meets the provisions of CITES and the

import is not made in the course of a

commercial activity. The exemption

includes sport-hunted trophies that

were personally taken from the wild or

on a ranch for personal use. We propose

to define ‘‘sport-hunted trophy’’ the

same as in proposed § 23.5. Handicraft

items or items manufactured from the

trophy for use as clothing, curios,

ornamentation, jewelry, or other

utilitarian items would not be allowed.

The purchase in foreign commerce of

an item of an ESA species is prohibited

under the ESA. Section 9(c)(2) only

exempts import; it does not exempt

foreign commerce. Thus, the exemption

would not include trophy items or other

items purchased in curio stores, even if

the intended use was personal. It would

not apply to species that have a special

rule in 50 CFR part 17, such as the argali

in 50 CFR 17.40(j). It also would not

apply to Appendix-II specimens

annotated for a specific use, such as

export of hunting trophies for noncommercial purposes, where other

specimens of that species are included

in Appendix I. The annotation of

African elephant populations in

Zimbabwe, Namibia, and Botswana is

an example of this type of annotation.

Analysis of Proposed Subpart A—

Introduction

We propose to expand this subpart to

give a clearer picture of our

responsibilities under CITES. The

following is a section-by-section

description of proposed changes to the

current regulations.

Parties: The existing regulations

(§ 23.4) include a list of countries that

are Parties. We propose to omit this list.

CITES has grown to include 151 Party

countries. To keep this list up to date,

we would need to continually revise the

list of Parties when more countries join

and as contact information for Parties

changes. The list of Parties (including

addresses and phone/fax numbers) is

available on our website, from our fax

retrieval system, or by mail or e-mail

(see proposed § 23.7). As changes occur,

these sources can be more quickly and

easily updated than issuing a revised

rule.

Purposes (§ 23.1): This section

provides background information on the

Treaty and explains that CITES is

implemented in the United States under

the ESA. It outlines the aim of CITES as

stated in the preamble to the Treaty. The

Parties acknowledge that wildlife and

plants have aesthetic, scientific,

cultural, recreational, and other nonconsumptive values as well as economic

importance.

Scope (§ 23.2): We have used a table

to help people determine if these

regulations apply to their proposed

activities. The first question to be

answered is whether the specimen is

regulated by CITES. The reader is

referred to the CITES appendices for the

list of species. The second and third

questions list the few CITES exemptions

and refer the reader to the specific

sections in the regulations for these

exemptions. The fourth question lists

the types of international trade

regulated by CITES. The fifth question

raises the issue of specimens that were

illegally acquired or traded in

contravention of CITES. The possession

and domestic trade of legal specimens is

not regulated by CITES unless the

specimens were in international trade

under specific conditions of a CITES

document that still apply. The

possession and domestic or

international trade of illegally imported

specimens, however, is prohibited.

Further, any offspring of illegal

specimens are also considered illegal.

Other applicable regulations (§ 23.3):

These regulations detail the

requirements for CITES species.

However, many CITES species are

covered by one or more other laws that

have regulations in other parts of

subchapter B. This section tells you

where to look for information on other

requirements.

Appendices I, II, and III (§ 23.4):

Species are listed at one of three levels

of protection, which have different

requirements for permits and certificates

(CITES documents). This section briefly

defines Appendices I, II, and III.

Definitions (§ 23.5): We have added a

number of definitions that relate to

these regulations. In some cases, we

could not clearly define a term in one

or two sentences. We have provided

longer definitions where necessary and/

or referenced a section that contains

more detailed provisions. Whenever

possible we have defined terms using

the wording of the Treaty and the

resolutions.

We use some basic terms throughout

these regulations. We define ‘‘import,’’

‘‘export,’’ ‘‘re-export,’’ ‘‘international

trade,’’ and ‘‘introduction from the sea’’

to reflect the way they are used by the

Parties. These definitions refer to

international movement, whether the

purpose is commercial or noncommercial. ‘‘Import’’ and ‘‘export’’ are

further defined in 50 CFR part 14. We

have also defined the term ‘‘shipment’’

to eliminate confusion.

The text of the Treaty uses the terms

‘‘permits’’ (for import and export) and

‘‘certificates’’ (for re-export, exemptions,

certificates of origin, and introduction

from the sea) in referring to documents

issued by CITES Management

Authorities (a governmental agency

officially designated by a Party or nonParty to implement CITES). However,

some Parties refer to all CITES

documents as ‘‘permits.’’ For this

reason, we have defined and use the

term ‘‘CITES documents’’ to refer to all

permits and certificates that are issued

by a Management Authority. The

definition of ‘‘permit’’ in this section is

expanded from the definition in 50 CFR

§ 10.12 to include documents issued by

any Management Authority, not just

documents ‘‘issued by the Service.’’

The current regulations (§ 23.3) define

the Management Authority in terms of

Parties only and do not define Scientific

Authority. We propose to define both

and to include non-Parties in the

definitions. If non-Parties wish to trade

with Parties, they need to have entities

officially designated as Management

and Scientific Authorities to implement

CITES and make the findings needed to

grant CITES documents.

We used the definition of ‘‘specimen’’

given in the Treaty to clarify that, under

this part, the term refers only to species

listed under any of the CITES

appendices.

Although the term ‘‘readily

recognizable’’ is used in the Treaty

(Article I), it is not specifically defined

in the Treaty. However, Resolution

Conf. 9.6 defines the term, and we have

based our proposed definition on the

text of the resolution.

Management and Scientific

Authorities (§ 23.6): Under Article IX,

each Party must designate a

Management Authority and Scientific

Authority. In the United States, these

authorities have been delegated by the

Secretary of the Interior and the Director

of the Service to two different offices.

We propose to add a section that

summarizes the major roles of these

authorities in the United States. The

roles include a wide range of activities

such as the issuance and denial of

permits; scientific and management

findings; monitoring of trade and trade

impacts; communication with the

Secretariat and other countries on

scientific, administrative, and

enforcement issues; and evaluation of

species’ status and trade. Another of our

roles is to provide training and technical

assistance to countries when possible

(Resolution Conf. 3.4 on Technical Cooperation).

Contact information (§ 23.7): The

table in this section outlines the type of

information available from the Office of

Management Authority, Office of

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26667

Scientific Authority, Office of Law

Enforcement, APHIS, and the Secretariat

and the different ways you can contact

each office. In an effort to serve the

public more efficiently, we have

developed a website and a fax retrieval

system that provide information, such

as application forms for CITES

documents, the names and addresses of

Management and Scientific Authority

offices in Party and non-Party countries,

and the list of CITES species.

Information collection (§ 23.8): Each

permit application form that we use

must be reviewed and approved by the

Office of Management and Budget for

information collection under the

Paperwork Reduction Act. These forms

undergo review every 3 years. This

process provides an opportunity for the

public to provide input concerning the

amount of time that it takes to complete

the forms and prepare the information

requested on the forms.

Analysis of Proposed Subpart B—

Prohibitions, Exemptions, and

Requirements

In this proposed subpart, we detail

the activities that are prohibited,

circumstances when exemptions may

apply, and requirements for

international movement of specimens.

CITES uses a system of documents to

ensure that trade in protected species is

legal and does not threaten the survival

of wildlife or plant species in the wild.

The Treaty outlines standardized

information that needs to be on these

documents and, based on experience in

inspecting shipments and enforcing

CITES, the Parties have adopted a

number of resolutions to refine the types

of information that need to be on

documents for Parties and non-Parties.

Prohibitions (§ 23.11): We propose

minor changes to the prohibitions

section in the current regulations. We

listed ‘‘introduction from the sea’’

separately from ‘‘import’’ to clarify that

CITES treats the activities differently.

We added the phrase ‘‘engage in

international trade’’ to the list of

prohibitions to clarify that international

trade in specimens in violation of these

regulations by any person under U.S.

jurisdiction is prohibited even if

specimens are not actually imported

into or exported from the United States.

Personal and household effects

(§ 23.12): Article VII(3) provides for the

import, export, or re-export of

specimens that are personal or

household effects without CITES

documents under certain circumstances.

We propose to clarify the current

regulations (§ 23.13(d)) based on our

experience in administering the

Convention. Since many Parties do not

recognize this exemption and require

CITES documents for personal and

household effects, we added new

paragraphs explaining when CITES

documents for personal and household

effects may be required.

We also propose to exclude live

wildlife and plants (including eggs and

non-exempt seeds) and Appendix-I

specimens from the exemption. The

drafting history of CITES, as well as

significant debate that occurred at COP

4 (the resulting resolution was

consolidated into Resolution Conf.

10.6), clearly supports the view that this

exemption applies only to nonliving

items, such as clothing, jewelry, or

household effects, that are being used by

an individual for personal needs and are

not for resale. In addition, few countries

allow the import or export of AppendixI specimens, including personal pets,

without CITES documents, even for

personal or household effects. In the

United States, many Appendix-I species

are listed under the ESA, which does

not have an exemption for personal or

household effects. Therefore, to assist in

the enforcement of the Convention and

to reduce the risk to Appendix-I species

in the wild, we propose to be more

restrictive and require CITES documents

for all Appendix-I specimens, except for

certain worked items made from African

elephant ivory (see proposed § 23.12(g)).

The proposed rule clarifies that

personal effects must be personally

owned by the traveler for exclusively

non-commercial purposes, be

reasonably appropriate for the purpose

of the trip or stay, and either be worn

as clothing or accessories or part of

accompanying personal baggage. We

have encountered a number of

instances, both in the United States as

well as abroad, where individuals have

had souvenirs or other items seized

when these items were mailed or

shipped to them. Although these could

be considered items for personal use,

the CITES exemption does not apply in

these cases.

The proposal also clarifies that

household effects must be personally

owned items that are part of a noncommercial household move. We

understand that sometimes it is not

possible to ship household goods all at

one time. Thus, we propose to allow a

person to make as many shipments as

needed to accomplish the move as long

as they occur within 1 year of the

person’s change in residence. A

shipment may contain only items

acquired before the individual moves. It

may not include items purchased,

inherited, or otherwise acquired after

the person has moved, even though the

household goods have not yet been

shipped.

At COP 10, the Parties recommended

in Resolution Conf. 10.12 that the

personal effects exemption for sturgeon

caviar be limited to no more than 250

grams for each person. We propose to

allow this exemption for caviar from

species of Appendix-II sturgeon not

listed under the ESA. The caviar must

be strictly for personal use, and all other

requirements of the personal effects

exemption would apply. If a person is

bringing in more than 250 grams of

caviar, a CITES document is required

that covers the entire amount, not just

the amount over 250 grams. For

example, if a person arrives in a country

with 265 grams of sturgeon caviar

without a CITES document for 265

grams, he or she will not be allowed to

keep 250 grams as personal effects and

simply surrender the excess amount.

Since he or she did not have the

required CITES document, the whole

amount would be subject to seizure. All

other parts and products of AppendixII sturgeon species that are not listed

under the ESA, such as a mounted

fishing trophy, can be traded

internationally as personal or household

effects if they meet the conditions of the

exemption.

The African Elephant Conservation

Act is stricter U.S. legislation

concerning the import or re-export of

African elephant ivory. We propose to

allow U.S. residents to travel out of and

return to the United States with worked

African elephant ivory as personal or

household effects under certain

conditions. Upon import, travelers

would need to show records that they

owned the ivory before leaving the

United States. The exemption does not

include items that are purchased while

abroad or intended as gifts. We propose

to adopt a definition of ‘‘raw ivory’’

similar to the one in the special rule

concerning African elephants in 50 CFR

17.40(e) and Resolution Conf. 10.10.

Individuals should contact the

Management Authority in the country of

their destination to find out about its

requirements.

Urine, feces, and synthetically derived

DNA (§ 23.13): We propose that the

international trade of these types of

specimens be exempt from CITES

requirements. We consider samples of

urine and feces to be wildlife byproducts, rather than parts and

products.

We differentiate between DNA

extracted directly from blood or tissue

samples and synthetically derived DNA.

DNA extracted directly from blood and

tissue samples must comply with all

CITES permitting requirements. At COP

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8, the Parties rejected Denmark’s draft

resolution to exempt blood and tissue

samples to be used for DNA studies. The

Parties agreed that such tissues should

not be exempt from CITES controls. In

1994, we developed a policy that

clarified that we consider synthetically

derived DNA as exempt from CITES

requirements since it contains no part of

the original template. We believe that

trade in synthetically derived DNA

samples will not adversely affect the

conservation of, or effective regulation

of trade in, CITES species and their

parts and derivatives. We are

considering, however, whether we

should expand this policy to exempt

from CITES requirements DNA that has

been extracted directly from tissue. We

believe there is little commercial trade

in this type of DNA and that exempting

it from CITES requirements is of low

conservation risk. We will be discussing

this issue with other Parties and invite

comment to assist us in making a final

decision.

Since the Parties have not discussed

whether urine, feces, or synthetically

derived DNA are regulated by CITES,

some countries may require CITES

documents for these types of samples. If

a country requires CITES documents,

we will honor that country’s

interpretation and process an

application.

Although we propose not to regulate

these types of specimens under CITES,

we believe it is important that

researchers collect samples in a manner

that does not harm the wildlife and that

complies with the laws of the country

where the collection occurs. Before

collecting samples, researchers should

contact the foreign Management

Authority or other relevant wildlife or

plant authorities to obtain information

on collecting and export requirements.

Diplomats and other customs-exempt

persons (§ 23.14): CITES Decision 10.34

urges the Parties to remind their

diplomatic missions, their delegates on

mission in foreign countries, and their

troops serving under the flag of the

United Nations that they are not exempt

from the provisions of the Convention.

We propose to add this provision to the

regulations to better inform persons who

receive duty-free and inspection waiver

privileges under customs laws that

CITES applies to their activities.

Required CITES documents (§ 23.15–

23.17): Articles III, IV, and V lay out the

types of documents that must

accompany Appendix-I, -II, or -III

specimens in international trade. Article

VII recognizes some exemptions (such

as pre-Convention, bred in captivity,

and artificially propagated) that usually

require specimens to be accompanied by

CITES documents.

We propose to organize the

information on what types of CITES

documents are required (§ 23.12 and

part of § 23.13 in the current

regulations) into two decision trees and

three tables.

Although the tables include

Appendix-I specimens, we developed

separate decision trees specifically to

address the confusion expressed by the

public on the export requirements for

Appendix-I wildlife and plants. The

decision trees and tables should make it

easier for importers and exporters to

understand what type of document is

needed for a shipment. They refer the

user to the section in these regulations

that explains the application

procedures, provisions, issuance

criteria, and conditions. The foreign

Management Authority should be

contacted for information on how to

meet its requirements.

Reservations (§ 23.18): Articles XV,

XVI, and XXIII allow a Party to take a

reservation on a species’ listing.

Generally, a reserving Party is treated as

a non-Party with respect to trade in the

reserved species. Some countries take a

reservation because they choose not to

recognize a listing and wish to continue

trading in the species with other

reserving Parties or non-Parties. To date,

the United States has not taken a

reservation. We believe that commercial

trade in Appendix-I species by reserving

Parties undermines the effectiveness of

the Convention. A current list of

species’ reservations taken by Parties is

available from us (see proposed § 23.7).

To clarify the requirements of the

Treaty and to promote conservation, we

propose to add this new section to

emphasize what types of documents are

required from Parties that have taken a

reservation on a species. We are

incorporating Resolution Conf. 4.25,

which recommends that Parties who

take a reservation when a species is

transferred from Appendix II to

Appendix I continue to treat the species

as if listed in Appendix II, rather than

not listed, when trading with other

reserving Parties or non-Parties. This

provision should promote the

conservation of species listed in

Appendix I and continue the reserving

Party’s obligations for the species.

In-transit (§ 23.19): Due to limited

transportation routes and schedules,

exporters and re-exporters may not

always be able to ship specimens from

one country directly to another without

transhipping them through intermediary

countries. Shipments of marine

specimens harvested from international

waters may need to move through

waters under the jurisdiction of

intermediary countries before reaching

their port of introduction. Article VII(1)

provides an exemption for specimens

that are in-transit through a country

while the specimens remain under

customs control. We propose to define

‘‘in-transit shipment’’ as the immediate

transhipment of a wildlife or plant

through an intermediary country when

the specimen remains under customs

control.

In 1983, the COP recognized the

potential for abuse of this provision,

such as when importers claimed the

exemption and delayed shipment of the

transiting specimen in order to find a

buyer in a foreign country. In 1989, the

COP noted that if a valid CITES export

document was required to accompany

shipments through intermediary

countries, Parties could discover illegal

trade. The inspection of in-transit

shipments was recommended in 1992.

Resolution Conf. 9.7 consolidates the

earlier resolutions concerning in-transit

shipments (Resolutions Conf. 4.10, 7.4,

and 8.8).

To prevent misuse of the in-transit

exemption, we propose to revise

§ 23.13(b) to reflect the

recommendations of the COP. In-transit

shipments must be accompanied by a

valid original CITES document issued

by the Management Authority of the

exporting or re-exporting country that

designates the name of the importer in

the country of final destination, a copy

of a valid import permit for AppendixI specimens where required, and

transportation routing documents that

show that the shipment has been

consigned to the importer listed on the

CITES documents. In-transit shipments

must only stay in an intermediary

country for the time necessary to

transfer the specimens to the mode of

transport used to continue to the final

destination; must remain under customs

control; and may not be sold,

manipulated, or split. In addition to

these requirements, shipments of

specimens from non-Parties or reserving

Parties must be accompanied by CITES

documents.

We also propose to add language on

CITES species protected under other

U.S. regulations, such as migratory

birds, bald and golden eagles, injurious

wildlife, endangered or threatened

species, or marine mammals. A

shipment that contains specimens of

species protected under these

regulations that arrives in the United

States before continuing on to another

country is considered an import and

must meet all import requirements.

In a separate Federal Register

rulemaking proposal, we plan to

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26669

propose a revision of 50 CFR part 14 to

clarify that shipments to duty-free

shops, free ports, or similar zones, or

shipments traveling under a customs

carnet are considered imports and are

not in-transit shipments.

Required information on CITES

documents (§ 23.20): Article VI provides

basic requirements for CITES

documents for import, introduction

from the sea, export, and re-export. At

the first COP, the Parties recognized the

importance of having standardized

documents. They also recognized that

the process of developing the standards

would be a continuous one. Resolutions

Conf. 2.5, 3.6, and 7.3 on permits and

certificates were consolidated at COP 9

(Resolution Conf. 9.3) and reorganized

at COP 10 into Resolution Conf. 10.2.

This comprehensive resolution provides

guidance on all aspects of CITES

documents.

The use of standardized documents

assists Parties in implementing CITES.

Such standardization allows countries

to verify that the specimen being

shipped is the one listed on the

document and helps identify false and

invalid CITES documents. It facilitates

the collection of information on the

volume of trade in wildlife and plants,

providing standard information for

annual reports and allowing better

monitoring of the levels of commercial

trade on a species-specific basis. It also

facilitates the clearance of shipments at

ports of exit and entry by making all

necessary information available to the

inspector in a familiar format.

We propose this new section to

provide detailed information on what

all CITES documents must contain. It

applies not only to documents issued by

the United States, but also to ones

issued by Parties and non-Parties. Most

of the information is presented in a

series of tables, organized alphabetically

by key phrase, code, or type of

document. This section should help

those shipping and receiving specimens

to understand what information is

needed on CITES documents.

Most of the requirements are taken

directly from Resolution Conf. 10.2 and

need no further explanation. However,

we discuss some here to clarify issues

raised in the past.

Dates: We have had many questions

about the ‘‘valid until date.’’ We

propose to clarify that the validity of a

document expires at midnight (local

time at the place of presentation) on the

date indicated on the document. All

activities, including, but not limited to,

transport and presentation for import

must be completed before that time.

Description of the specimen: The use

of standard descriptions for a specimen

is needed to do accurate global trade

analyses, particularly for purposes of

evaluating the impact of trade on the

conservation of the species in the wild.

We propose to require that descriptions

be in English, Spanish, or French (the

three working languages of the Treaty)

on documents from Parties to assist

inspectors in determining if documents

match the accompanying shipment. We

have experienced difficulties in

processing CITES documents written in

languages other than English, Spanish,

or French, and clearance of some

shipments has been delayed. Limiting

descriptions to the three languages of

the Treaty should help prevent or

reduce such delays, while assisting in

enforcement efforts.

Purpose of transaction: Resolution

Conf. 10.2 lists standard transaction

codes to be used on documents. These

are the same codes used by Parties in

their CITES annual reports. Although in

some cases more than one code may

apply, Parties must assign one code that

best describes the overall activity. For

example, a specimen may be exported

for breeding purposes, but the wildlife

was sold and the ultimate use is

commercial. In this case, the permit will

be marked as ‘‘T’’ for commercial, rather

than ‘‘B’’ for breeding in captivity. The

Management Authority is responsible

for reviewing all information provided

in an application and then determining

which category best describes the

transaction or is most appropriate.

Quantity: Many shipments have been

presented for clearance with quantities

identified as ‘‘one box’’ or ‘‘one case.’’

These quantities give little clear

information about how much wildlife or

plants are actually in the shipment. A

box may contain one wildlife or plant

specimen, or it may contain hundreds.

The unit of measurement should be

appropriate for the type of specimen

and agree with the preferred or

alternative unit to be used in the CITES

annual report, if possible. The unit

should be in metric measurement. If

weight is given, it is important to

provide the weight of the specimen, not

the packing material. Some items are

more accurately reported by volume,

such as timber, which should be shown

as cubic meters. To effectively monitor

trade, we need records on quantities

that actually reflect the volume of that

trade.

Scientific name: We propose that the

scientific name of the species on the

CITES document must include the

subspecies when that information is

needed to determine the level of

protection of the specimen under CITES

and/or the ESA. For example, under

CITES, three subspecies of cougar

(Puma (=Felis) concolor coryi, P. c.

costaricensis, and P. c. cougar) are

included in Appendix I, while all other

subspecies are included in Appendix II.

Under the ESA, the Louisiana black bear

(Ursus americanus luteolus) is listed as

a threatened species; while under

CITES, the entire species is included in

Appendix II with no subspecies

included in Appendix I.

The document must contain the

scientific name of the species that is of

the standard nomenclature as it appears

in the CITES appendices or in the

references adopted by the COP. CITES

has adopted nomenclature references for

most, but not all, species. Resolution

Conf. 10.22 provides a list of these

references for mammals, birds, reptiles,

amphibians, and plants. Taxonomy

evolves, and different references may

use different scientific names for the

same organism. Having one standard

that we can follow is important to

ensure that documents are issued for the

correct species. Any changes of adopted

nomenclature references would be by a

resolution of the COP. The most current

list of references is available from us or

the Secretariat’s website.

Resolution Conf. 10.2 recommends

three situations when a higher taxon

name (such as genus or family) could be

used on a CITES document. We propose

to incorporate the recommendations of

the resolution as adopted. We would

accept a CITES document that uses a

higher taxon name only when the COP

has agreed to its use, the issuing Party

can show it is well justified and has

communicated it to the Secretariat, or

when the item is a pre-Convention

manufactured product containing a

specimen that cannot be identified to

the species’ level.

Signature: We propose to implement

the CITES requirement that the

signatures of individuals authorized to

sign CITES documents for a

Management Authority must be on file

with the Secretariat. This proposed

requirement should help us determine if

a document is valid and avoid delays in

the clearance of shipments.

The proposed table in paragraph (e)

provides details on additional

information that is required for specific

types of documents, such as an annex or

certificate of origin. Some documents

require additional information because

of the type of transaction, the specimen

involved, or special provisions, such as

quotas.

CITES allows phytosanitary

certificates to be used in lieu of CITES

certificates for Appendix-II and -III

artificially propagated plants only and

under specific circumstances. Proposed

paragraph (f) lists information that is

26670 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

required on these certificates. At this

time, the United States does not use

phytosanitary certificates in lieu of

CITES certificates.

Source of the specimen (§ 23.21): The

source of a specimen is needed by

Management and Scientific Authorities

to make the findings required to issue

CITES documents and is an important

component in analyzing data and

monitoring trade. We are providing a

list of standardized codes that

Management Authorities use on

documents. Each code is defined as to

the source of the specimen under

CITES. The Management Authority will

determine the appropriate code based

on information provided in an

application.

We often receive questions about the

difference between the source codes ‘‘C’’

and ‘‘F.’’ Wildlife bred in captivity can

be given the source code ‘‘C’’ only if the

specimen meets the requirements

adopted by the COP as ‘‘bred in

captivity’’ (see proposed § 23.53). If it is

an Appendix-I specimen, it also must

have been bred for non-commercial

purposes (see proposed § 23.55) to

qualify for an exemption certificate (see

proposed § 23.33). If a captive-born

specimen does not meet these criteria, it

is assigned the source code ‘‘F’’ and

requires CITES documents under Article

III, IV, or V. For an Appendix-I

specimen, both import and export

permits are required, and the import

may not be for primarily commercial

purposes.

Additional information required on

non-Party documents (§ 23.22): Article

X provides that a Party may accept

documentation from a non-Party if it is

issued by a competent authority and

substantially conforms with the

requirements of CITES. Because the

Parties were concerned that the trade of

CITES specimens through non-Parties

might jeopardize the effectiveness of the

Convention, Resolution Conf. 9.5 was

adopted. This resolution recommends

that Parties accept documents from nonParties only if they contain certain basic

information, including certifications

that they have made the findings

required under Articles III, IV, and V.

Because of the need for standardized

information concerning CITES species

from all sources, to ensure that

appropriate protection is given to CITES

species, and to reduce the risk of

detrimental or illegal trade from nonParties, we propose to be stricter and

incorporate the requirements of not only

this resolution, but also Resolution

Conf. 10.2 on permits and certificates.

This proposed policy means that for us

to consider a non-Party CITES

document valid, it would essentially

need to contain the same information as

a Party document. This proposed

section would replace § 23.14 in the

current regulations.

Valid CITES documents (§ 23.23):

Article VIII outlines measures that

Parties should take to enforce the

provisions of the Convention.

Resolutions Conf. 2.6 (Rev.), 3.9 (Rev.),

6.4 (Rev.), 7.5, 9.8 (Rev.), 9.9, and 10.2

further detail these measures. For CITES

to be effective, shipments must be

accompanied by valid CITES documents

issued by the appropriate authority and

must meet all conditions of those

documents. Each Party must have

border controls for the inspection and

validation of CITES documents. To

ensure that specimens traded in

violation of CITES are not re-entered

into illegal trade, Parties are to consider

seizure of specimens, rather than refusal

of entry of the shipment. Parties are

encouraged to cooperate with other

Parties, the Secretariat, and

international enforcement organizations

to further effective enforcement of the

Treaty and provide protection to CITES

species.

We propose to include this new

section in the regulations to clarify what

requirements must be met before CITES

documents are considered valid. We

present this information in a table

arranged alphabetically by key phrase to

assist importers and exporters. Most of

the requirements are self-explanatory;

however, we feel it would be helpful to

discuss specific ones.

Management Authority and Scientific

Authority: We propose to incorporate

the recommendation of Resolutions

Conf. 3.9 (Rev.), 9.5, and 10.3 that

documents should be accepted only

from Parties and non-Parties that have

designated a Management Authority and

Scientific Authority and have provided

that information to the Secretariat. If

countries have not designated

Management and Scientific Authorities,

we cannot be sure that the required

findings have been made. Without these

findings, CITES documents are not

valid.

Ranched: A number of species have

been transferred from Appendix I to

Appendix II based on ranching of the

species. Resolution Conf. 10.18

recommends that Parties not allow trade

in such species from a non-Party or a

Party that has taken a reservation on the

species. We propose to incorporate this

recommendation. Trade in this type of

specimen cannot be properly monitored

when specimens are traded through

non-Parties and Parties that hold

reservations and do not require CITES

documents.

Shipment contents: The proposed

language reflects current practice. CITES

documents must be obtained before the

shipment occurs. Documents are

specific to the specimens identified on

the document, and the shipper may not

substitute a new specimen to replace the

one approved. The inspecting official

may inspect the shipment and verify

that the contents match the specimens

described on the document. The official

will validate or certify on the CITES

document the actual quantities that are

being shipped. The quantity may be less

than the quantity shown on the

document at the time it was issued, but

cannot be more than that quantity.

Quotas: The COP approves export

quotas for some species. For other

species, countries determine their own

export quotas. The Secretariat notifies

the Parties of these quotas each year. We

propose to require that the quantity

exported may not exceed the quota.

We outline in paragraph (d) of this

section the situations when we may

request verification of documents from

the Secretariat or the Management

Authority of any country involved in

the shipment. It includes instances

when we have reasonable grounds to

believe a document is not valid or

authentic.

In paragraph (e), we propose to issue

an information bulletin if we determine

that a country is not effectively

implementing CITES. The bulletin

would indicate how we will handle

shipments involving that country or a

species from that country. We may issue

such a bulletin if we receive reliable

information from the COP, Standing

Committee, Secretariat, or other credible

source that there are reasonable grounds

to believe that documents from a

country are not valid. We will consider

all available information, including

whether the trade is detrimental to the

species, the trade is in violation of any

foreign law, or if the applicable findings

are not being made when CITES

documents are issued by a country. We

will no longer publish separate notices

of information in the Federal Register,

but will use a number of more timely

ways to provide this information to the

public. These could include posting the

bulletin on our website, mailing it to all

import/export license holders and

recipients of our CITES updates, and

providing it to the media through press

releases.

Presentation of CITES documents at

the port (§ 23.24): Inspecting officials at

the ports of exit and entry must verify

that shipments are accompanied by

valid CITES documents and take

enforcement action when shipments do

not comply with CITES. To help

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26671

importers and exporters, we propose

this new section, which provides a table

that outlines the type of U.S. and foreign

documents that they must present for

validation or certification or surrender

when importing, introducing from the

sea, exporting, or re-exporting CITES

species. The general requirements for

import and export are given in 50 CFR

part 14 for wildlife and 7 CFR part 355

for plants.

Analysis of Proposed Subpart C—

Application Procedures, Issuance

Criteria, and Conditions

This proposed subpart expands the

current § 23.15(c) through (f) to provide

more detailed information on

application procedures, decisions on

applications, and records needed to

apply for U.S. documents. The general

requirements of this proposed subpart

apply to both U.S. and foreign CITES

documents.

Application procedures (§ 23.25): This

proposed section gives a general

overview of the application process for

U.S. CITES documents. A number of

CITES species are protected under other

laws or treaties that we implement. If

appropriate, we will accept one

application if the applicant provides the

information needed under all relevant

regulations. Applicants should review

the issuance criteria for all relevant

regulations when preparing an

application to ensure they understand

the kinds of information we need. This

review should help the applicant submit

a more complete application and

prevent delays in processing.

When we review an application, we

decide whether the requirements of an

exemption document under Article VII

can be met or whether we need to

process the application under the

standard CITES requirements of Articles

III, IV, or V. For example, a person may

apply to export a specimen that was

born in captivity. We will first look to

see if the specimen meets the bred-incaptivity exemption. If the specimen

does not meet the issuance criteria for

this exemption, we will consider the

application under the standard CITES

requirements for an export permit.

Decisions on applications (§ 23.26):

This new proposed section explains the

procedures we follow in making a

decision on an application. When an

application is complete, we review the

information under all applicable

issuance criteria, including 50 CFR part

13, regulations under other wildlife and

plant laws, and the CITES regulations.

We may consult with outside experts,

scientists, and staff within the Federal

Government, State and tribal agencies,

the Secretariat, or foreign Management

or Scientific Authorities before we make

our findings. The burden of proof in

establishing that the issuance criteria

are met lies with the applicant. We can

issue a CITES document only if we are

satisfied that all criteria specific to the

proposed activity are met.

Records (§ 23.27): When applying for

a U.S. CITES document, an applicant

must provide documents on the origin

of the specimens and/or parental or

founder stock. This information must be

sufficient for us to make the required

findings for the type of document

requested. This proposed section

summarizes the types of general records

that potential applicants should

consider keeping for specimens that

have been in or may enter international

trade. Documents should be maintained

as long as a specimen is owned by a

potential applicant and should be

transferred to any subsequent owner.

Requirements for standard CITES

documents (§§ 23.28–23.31): The basic

requirements for U.S. and foreign CITES

documents are the same as in the

current regulations (§ 23.15). We have

designed U.S. application forms for

specific activities and protection levels

to make applications easier to complete

and to clarify what information is

needed. The information provided in

paragraph (b) of each of these proposed

sections is designed to help an applicant

determine which application form to

request. The forms can be obtained from

our website and fax retrieval system or

requested by phone or e-mail. We

propose to omit the application

information from the regulations since

we have made application forms for

specific activities available to the

public.

The information in paragraph (c) or

(d) of each of these proposed sections

lists the issuance criteria for each type

of document and references the

appropriate section for factors we

consider in making a decision on certain

criteria. The issuance criteria are based

on the provisions of the Convention

(Articles III, IV, V, and XIV) and

resolutions, including Resolution Conf.

10.2 on permits and certificates.

Under Article III, before a

Management Authority can issue an

export permit for an Appendix-I

specimen, it must be satisfied that an

import permit has been granted for the

specimen. However, some countries

have stricter national legislation that

requires the export permit be issued

before they can issue an import permit.

Resolutions Conf. 10.14 and 10.15

recommend that this requirement may

be satisfied when the Management

Authority of the importing country has

provided written assurance that an

import permit will be granted. Thus, we

propose in § 23.29(d)(1) that the

issuance criteria can be met either by

showing that the import permit has been

granted or by providing confirmation

from the Management Authority of the

importing country that the import

permit will be granted. We propose the

same issuance criteria for the re-export

of live specimens as required by Article

III(4)(b). For re-export of dead

specimens, the Management Authority

does not need to see the import permit

before issuing a re-export certificate, but

the shipment still must be accompanied

by an import permit.

As discussed earlier, to comply with

Resolution Conf. 10.2, CITES documents

must show the scientific name of the

species using the standard

nomenclature in the CITES appendices

or the references adopted by the COP.

Although current regulations

(§ 23.15(c)(1)) require that applications

include scientific names, they do not

mandate use of the nomenclature in the

CITES appendices and references. We

propose to add this requirement as an

issuance criterion to conform with

Resolution Conf. 10.2, expedite review

of permit applications, and ensure that

documents are issued for the correct

species.

Because Appendix-I wildlife and

plants can be imported only when the

intended use is not for primarily

commercial purposes, we propose to

condition all import permits that the

specimen can be imported and

subsequently used only for the

permitted purpose. If the importer

wants to transfer the specimen where it

would be used for a different purpose,

he or she would need to obtain

permission from us. The importer

would not be allowed to use or transfer

the specimen for commercial purposes

once in the United States.

To comply with the intent of

Resolution Conf. 9.10 (Rev.), we propose

to add an issuance criterion for reexport of confiscated Appendix-II

specimens in § 23.29(d)(2). It would

require us, before issuing a re-export

certificate, to find that the proposed reexport of confiscated specimens would

not be detrimental to the survival of the

species. Regulations in 50 CFR 12.37

allow for the sale of confiscated

Appendix-II and -III wildlife and plants.

When specimens have been confiscated

and subsequently sold or transferred, we

consider them legally acquired.

However, because the specimens were

imported without the proper CITES

documents, we need to make the

biological finding (that normally would

have been made prior to export) before

issuing a re-export certificate.

26672 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Current regulations (§ 23.12(b)(2))

provide only general information about

certificates of origin. We are proposing

a new section (§ 23.30) to provide

specific information on the application

form and issuance criteria for

certificates of origin. These documents

allow the export of specimens of species

listed in Appendix III when the

specimens originate in a non-listing

country.

Article XIV(4) and (5) provides a

limited exemption for introduction from

the sea of Appendix-II species when a

country is a party to another treaty,

convention, or international agreement

that protects the listed marine species

and was in force on July 1, 1975 (the

entry into force of CITES). Based on this

article, we propose in § 23.31(d) to

apply this exemption only to specimens

that were harvested by a ship registered

in the country of introduction.

Certificates for artificially propagated

plants (§ 23.32): The Parties recognize

that a different approach for plants is

sometimes necessary because of the

unique aspects of plant biology and

trade. This proposed section

implements Article VII(5) and expands

on the current regulations in

§ 23.15(d)(8). It allows us to issue a

certificate for artificially propagated

plants for specimens of Appendix-I

species and hybrids of annotated

Appendix-I species propagated for noncommercial purposes and for hybrids of

unannotated Appendix-I species and

specimens of Appendix-II or -III species

or hybrids propagated for any purpose.

It is important to note that there are no

annotated Appendix-I plant species at

this time, so all hybrids of Appendix-I

species that qualify as artificially

propagated are eligible for this

exemption certificate. (See proposed

§ 23.39 to export Appendix-I plants

propagated for commercial purposes

under Article VII(4).) We propose to

adopt the conditions of Resolution Conf.

9.18 (Rev.) to decide whether plants

qualify as artificially propagated (see

proposed § 23.54). This resolution

means that not all ‘‘cultivated’’ (see

proposed § 23.5) plants grown under

controlled conditions qualify as

artificially propagated, and the shipper

may need a CITES export permit rather

than a certificate for artificially

propagated plants (see proposed

§ 23.29). An Appendix-I plant that

qualifies for this exemption does not

need a CITES import permit.

Bred-in-captivity certificates (§ 23.33):

Bred-in-captivity wildlife is also

covered under Article VII(4) and (5). In

adopting Resolutions Conf. 8.15 and

10.16, the Parties recognized the need

for a standard interpretation of these

two paragraphs. The Parties have

expressed concern that trade in

specimens falsely declared as bred in

captivity is contrary to the Convention

and may be detrimental to the survival

of wild populations. (See proposed

§ 23.38 concerning the registration of

operations that breed Appendix-I

wildlife for commercial purposes to

meet the provisions of Article VII(4).)

This proposed section implements

Article VII(5) and expands the current

regulations in § 23.15(d)(8). It allows us

to issue a bred-in-captivity certificate for

specimens of Appendix-I species bred

for non-commercial purposes and

specimens of Appendix-II or -III species

bred for any purpose. We propose to

adopt the conditions of Resolution Conf.

10.16 for bred in captivity (see proposed

§ 23.53). Wildlife that is born in

captivity, but does not qualify under

this criterion, can be shipped only with

a CITES export permit (see proposed

§ 23.29). Appendix-I wildlife that

qualifies for a bred-in-captivity

certificate does not need a CITES import

permit.

Hybrids. At COP 2, the Parties

recognized that it is difficult to

distinguish between purebred and

hybrid specimens for trade

identification purposes. If hybrids were

not subject to CITES controls, persons

wishing to avoid the controls of CITES

could falsely claim that the specimens

in question were hybrids. Resolution

Conf. 2.13 recommended that hybrids,

even though not specifically listed in

any of the appendices, are subject to

CITES if one or both parents are listed.

The Parties agreed at COP 10 to treat

plant hybrids differently from wildlife

hybrids. Resolution Conf. 2.13 was

repealed, and provisions for hybrids

were placed in other resolutions.

Plant hybrids (§ 23.34): Resolution

Conf. 9.18 (Rev.) on trade in plants was

revised to add a section on trade in

plant hybrids. We are proposing a new

section in the regulations to implement

this resolution. Trade in plant hybrids

must meet the requirements of CITES

unless the Parties agree to exempt an

Appendix-II and -III hybrid by a specific

annotation to the appendices. At COP

10 a number of artificially propagated

hybrids of some ‘‘supermarket’’ cacti

were granted this general exemption.

Plant hybrids are subject to CITES

controls if one or both parents are in the

appendices. If the hybrid includes two

CITES species in its lineage, it is listed

in the more restrictive appendix of

either parent, with Appendix I being the

most restrictive. Most plant hybrids are

the product of artificial propagation

using well-established nursery stocks

that have been artificially propagated for

many years. Thus, the Parties agreed to

treat artificially propagated hybrids of

one or more unannotated Appendix-I

species as if listed in Appendix II and

allow them to be traded with a

certificate for artificially propagated

plants.

Wildlife hybrids (§ 23.35): In

Resolution Conf. 10.17, the Parties

agreed that wildlife hybrids with one or

more specimens of Appendix-I or -II

species in their recent lineage are

controlled under CITES as if they were

‘‘genetically pure’’ specimens of the

listed species. The term ‘‘recent lineage’’

was discussed during the drafting of this

resolution, but a definition was not

included in the final version. The term

was again discussed at the 14th meeting

of the Animals Committee in May 1998.

Following the Animals Committee

meeting, CITES Notification to the

Parties No. 1998/28 advised the Parties

that the Animals Committee had agreed

that the term ‘‘recent lineage’’ would

refer to the previous four generations of

a species’ ancestry. Because of listing in

the CITES appendices of higher taxa,

such as falcons or parrots, few

commonly hybridized species of

wildlife would qualify for this

exemption. However, specimens of the

domesticated bengal cat could qualify

for this exemption, depending on when

a wild leopard cat (Prionailurus (=Felis)

bengalensis) was in a specimen’s

ancestry.

To confirm that a hybrid is exempt

from CITES controls, we propose to

require that the specimen be

accompanied by a letter issued by the

Management Authority of the country of

export, or a CITES document if required

by the exporting or re-exporting

country. The letter would need to certify

that the wildlife hybrid contains no

CITES specimens in its recent lineage.

Since not all countries will be aware of

this U.S. requirement, a person who

plans to import an exempt wildlife

hybrid needs to contact the Management

Authority of the exporting or reexporting country to get the appropriate

letter or CITES document before making

a shipment. For export or re-export from

the United States, once a person

provides information to verify the

hybrid’s lineage and scientific name, we

could issue a letter.

Personally owned live wildlife

(§ 23.36): Article VII(3) provides that, in

some circumstances, the provisions of

Articles III, IV, and V do not apply to

specimens that are personal or

household effects. As discussed

previously, Parties have generally

excluded live wildlife from this

exception. However, in Resolution Conf.

10.20, the Parties recommend that the

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26673

term ‘‘personal and household effects’’

include personally owned, live wildlife

that is registered by the Management

Authority in the country where the

owner usually resides. To monitor

frequent international movement and

reduce administrative and technical

problems, the Parties agreed to use a

certificate of ownership under specific

conditions. We propose to implement

this resolution, which will simplify the

procedure for people who frequently

travel internationally with companion

animals or wildlife used in noncommercial competitions, such as

falconry. The certificate of ownership

would act like a passport, but could be

issued only after agreement between the

Management Authorities of the Parties

concerned. The owner must accompany

the specimen when crossing

international borders, and the wildlife

cannot be sold or otherwise transferred

when traveling abroad.

Pre-Convention specimen (§ 23.37):

Under Article VII(2), a specimen

acquired before the provisions of CITES

applied to the species involved is

exempt from Articles III, IV, and V

when the Management Authority issues

a pre-Convention certificate. Resolution

Conf. 5.11 provides guidance on

determining pre-Convention dates. This

proposed section expands the current

regulations in § 23.15(d)(8) and clarifies

when a pre-Convention certificate may

be issued.

The pre-Convention date for a

specimen may vary depending on when

a Party joined CITES or on a country’s

stricter national legislation. Although

Parties may differ on the date they

consider as pre-Convention for a

species, a pre-Convention certificate is

valid only if both importing and

exporting countries consider the

specimen to be pre-Convention. The

Parties agreed to put the date the species

was acquired on the face of the

certificate so the importing country

could confirm that the specimen

qualifies as pre-Convention for them.

Since the United States became a Party

to CITES when it first came into force,

the pre-Convention date for the United

States is always the date a species was

first listed in any of the appendices.

Thus, we do not consider preConvention certificates issued for a

specimen acquired after that date as

valid for entry into the United States.

We propose that the applicant provide

information that the wildlife or plant

(including parts or products) was

removed from the wild or held in

captivity or a controlled environment

before the first date that CITES applied

to the specimen before we can issue a

pre-Convention certificate. A certificate

is also needed to export items that are

antiques (over 100 years old).

We are also proposing a voluntary

registration of any inventory or

stockpile of live specimens or parts and

products when species are initially

listed on the CITES appendices. We

would especially encourage businesses

that have an inventory or stockpile in

their possession to register it with us

before the effective date of a listing. Our

experience with certain listings, such as

sturgeon and Brazilian rosewood, has

shown that it becomes difficult to assess

the pre-Convention status of stock over

time. It would be advantageous to the

exporter to register inventory, since

registration would allow us to process

applications for pre-Convention

certificates faster. Commercial export or

re-export of pre-Convention stock that

had not been registered would require

other convincing evidence that the

specimens are pre-Convention.

Registration of Appendix-I

commercial breeding operations

(§ 23.38): Article VII(4) provides that

specimens of Appendix-I species bred

in captivity for commercial purposes

will be regarded as species included in

Appendix II. The Parties recognize the

potential abuse inherent in this

exemption since it is difficult for

inspectors to distinguish between

specimens bred in captivity and those

removed from the wild. They also

recognize that captive breeding for

commercial and conservation purposes

is increasing. The registration of

operations that breed Appendix-I

species for commercial purposes has

been the subject of a series of

resolutions (Conf. 4.15, 5.21, and 7.10),

which were repealed with the adoption

of Resolution Conf. 8.15.

We propose to implement this

resolution, which provides guidelines in

registering and monitoring these

operations. We are proposing

application procedures to allow an

operation to register each Appendix-I

species at the operation. The issuance

criteria would include whether the

species qualifies as bred in captivity

(see proposed § 23.53, which is based on

Resolution Conf. 10.16) and whether the

founder stock has been legally acquired.

Instead of publishing a detailed notice

in the Federal Register describing each

application received, we propose to

publish a notice of receipt that identifies

the registration request and invites

public comment. This action would

allow for a more streamlined process

and still give the public an opportunity

to comment.

Wildlife from a registered breeding

operation can be exported with an

Appendix-II export permit under Article

IV. Since no import permit is required,

specimens can be used for primarily

commercial purposes. To date, only one

U.S. operation has chosen to complete

the process of registering. We encourage

breeders to register their operations if

they plan to trade in Appendix-I

specimens internationally. Currently

most commercial breeders in the United

States are applying for permits under

Article III, rather than registering and

taking advantage of this exemption.

Article III, however, allows trade only

when the import is not for primarily

commercial purposes. The use of Article

III is becoming more limited since an

increasing number of Parties allow

import of Appendix-I wildlife that was

bred for commercial purposes only if

the specimen originated in an operation

registered with the Secretariat.

Debate continues on the best way to

implement this exemption. Resolution

Conf. 8.15 was discussed at COP 10,

where it was referred to the Animals

Committee to examine the effectiveness

of and need for the existing registration

system. This issue will also be

discussed at COP 11, and any changes

to the registration system that result

from that discussion will be considered

for incorporation into the regulations.

Exporting Appendix-I plants

commercially (§ 23.39): The Parties

recognize that the artificial propagation

of plants is essentially different from

captive breeding of wildlife and requires

a different approach. Artificial

propagation of native plants can provide

an economic alternative to traditional

agriculture in countries of origin. By

making specimens readily available,

artificial propagation may have a

positive effect on the conservation of

wild populations by reducing pressure

from collection. Article VII(4) provides

that specimens of Appendix-I plants

artificially propagated for commercial

purposes will be regarded as species

included in Appendix II.

At COP 9, the Parties adopted

Resolution Conf. 9.19, which

recommends guidelines on the

registration of nurseries that export

artificially propagated Appendix-I

plants. At the same time, the Parties

recognized that nurseries that are not

registered could still export artificially

propagated Appendix-I plants using the

standard procedures.

To date we have not registered any

nurseries. We continue to implement

this provision of the Convention by

reviewing a nursery’s facilities during

the application process for CITES

documents and issuing export permits.

We recognize that there may be some

advantages to developing a registration

process. However, due to the

26674 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

complexity of this issue, we propose to

not incorporate Resolution Conf. 9.19

into the regulations, but to reserve

§ 23.39(e) for nursery registration. We

anticipate seeking public comment on

this issue in a separate Federal Register

notice at a later date.

Registered scientific institutions

(§ 23.40): Article VII(6) provides an

exemption from strict CITES controls for

preserved, dried, or embedded museum

specimens, herbarium specimens, and

live plant material that carry an

approved label. The exemption covers

the non-commercial loan, donation, or

exchange of these items between

scientists or scientific institutions

registered by each country’s

Management Authority. Resolution

Conf. 1.4 recommends that Parties

encourage their natural history

museums and herbaria to inventory

their holdings of rare and endangered

species. This recommendation was to

allow researchers to efficiently borrow

specimens for study and reduce any

potential adverse impacts that museum

needs for research specimens can have

on small populations of rare wildlife

and plants. In Resolution Conf. 2.14, the

Parties recommended guidelines for

implementing this exemption.

This proposed section would combine

§§ 23.13(g), 23.15(d)(8)(iii), and

23.15(e)(3) in the current regulations

and adopt the guidelines of the

resolutions. A scientist who wishes to

use this exemption must be affiliated

with a registered scientific institution.

We would broaden the exemption to

include frozen museum specimens.

Specimens could be used for scientific

research, but not for decoration,

trophies, or commercial purposes. We

are clarifying that preserved, frozen,

dried, or embedded biological samples,

including blood and tissue samples, that

would be partially destroyed during

analysis are eligible for this exemption.

A portion of each sample would need to

be maintained at the museum for future

scientific reference. Samples that would

be completely destroyed during analysis

would not be eligible for this exemption

and would require the applicable CITES

documents. Since not all countries

recognize these types of samples as

being eligible to be traded under this

exemption, registered scientific

institutions should check with the

foreign CITES Management Authority

before shipping such specimens under a

scientific exchange certificate.

We also propose that all specimens

for which the exemption is being

claimed must have been legally

acquired and under the control of a

registered scientific institution. The

specimens must have been permanently

recorded by the sending registered

institution before being shipped for

exchange, donation, or loan for

scientific research purposes. The Parties

were concerned about possible abuse of

the exemption by scientists who might

collect specimens and directly export

them without the permission of a

registered institution in the exporting

country. Thus, the registration criteria

require the orderly handling and

permanent recording of specimens,

including the maintenance of

permanent records for loans and

transfers of specimens to other

institutions. In addition, scientists may

still need permits under other parts of

this subchapter.

Traveling live-animal exhibitions

(§ 23.41): Article VII(7) allows for the

international movement of preConvention or bred-in-captivity

specimens that are part of a traveling

zoo, circus, menagerie, or other

traveling animal exhibition without

CITES certificates. The exhibition must

register the wildlife with its

Management Authority, and the wildlife

must be transported and cared for

humanely. Parties have agreed,

however, to require exhibitions to be

accompanied by CITES certificates to

verify such registration. To address

technical problems and to prevent

potential fraud, the Parties adopted

Resolution Conf. 8.16. We propose to

incorporate the provisions of this

resolution into these regulations. The

term ‘‘traveling live-animal exhibition’’

is proposed in § 23.4 to include live

wildlife used for display or

entertainment where the exhibition is

temporarily moving internationally.

Typically, exhibitions are circuses and

performing acts, but trainers that travel

across borders with wildlife that

perform in movies or television

programs could also apply for this

exemption. An exhibition certificate

would be treated like a passport. The

exhibitor would retain the original

certificate, which must be validated at

each border crossing.

Exhibitors would need to obtain a preConvention or bred-in-captivity

certificate for each specimen. This

exemption does not apply to specimens

that do not qualify for one of these

exemptions. Since exhibitors currently

may have a number of specimens on one

document, we propose phasing in this

requirement and allowing existing

documents to be used until they expire.

At that time, the exhibitor would need

to obtain a separate certificate for each

specimen. This provision facilitates the

identification of each specimen in the

exhibition and validation of documents

by border officials.

We are also proposing a number of

conditions to ensure these certificates

are used only for temporary cross-border

movement by the exhibitor who owns

the specimen. For example, a document

may not be transferred to another

exhibitor, and specimens cannot be sold

or otherwise transferred when traveling

abroad. Specimens could only be

transported internationally for display

or entertainment purposes, not for

breeding or other purposes.

Many specimens covered by this

exemption are Appendix-I specimens.

We propose under the general

conditions (see proposed § 23.45(a)(7))

to require that all live Appendix-I

specimens be uniquely marked. To

ensure that each specimen exported or

imported is the specimen indicated on

the certificate, we recommend that

Appendix-II and -III specimens also be

clearly identified and, if appropriate,

uniquely marked. Tattoos, microchips,

tags, or other marks may be used.

Replacement of documents (§ 23.42):

Resolution Conf. 10.2 provides

guidelines for replacing documents that

are lost, damaged, stolen, or

accidentally destroyed. In this section,

we propose to incorporate the

provisions of this resolution and clarify

when replacement documents may be

available and how to obtain one. One of

the proposed issuance criteria requires a

full and reasonable explanation of the

circumstances surrounding the lost,

damaged, stolen, or accidentally

destroyed CITES document. We will

also check to see if the exporter has

requested a replacement document

before and review the circumstances

surrounding any previous request.

When a replacement document is

requested after a commercial shipment

has left the United States, we will

consult with the Management Authority

of the importing country. When we

issue a replacement document for a

shipment that has already left the

country, we will not validate it because

we cannot compare the actual shipment

contents to the document. It is

important that we issue replacement

documents only when the

circumstances warrant doing so and that

issuance of such documents prevents

the use of the original CITES document

for a different shipment.

Retrospective documents (§ 23.43): A

retrospective document authorizes an

export or re-export after that activity has

occurred, but before the shipment is

cleared for import.

Resolution Conf. 10.2 recommends

that a Party neither issue nor accept

retrospective documents, but recognizes

limited exceptions. We propose to

amend 50 CFR 13.1 to add this new

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26675

section to allow for the issuance of

retrospective permits for specimens

based on this resolution. Retrospective

documents would be issued only after

both the exporting (or re-exporting) and

importing countries have thoroughly

investigated the situation and agreed to

the issuance of the document. The

investigation would need to reveal that

the exporter, re-exporter, or importer is

not responsible for any irregularities

and that the shipment is otherwise in

compliance with CITES and the national

laws of the involved countries.

This proposed section details the

situations when we would consider

issuing a retrospective document and

gives the issuance criteria. Based on the

intent of the original resolution

(Resolution Conf. 6.6, which is now part

of Resolution Conf. 10.2), we propose to

generally limit issuance of retrospective

documents for non-commercial items.

Eligible individuals would include

travelers hand-carrying Appendix-II or

-III items with them as personal effects

or persons who can demonstrate that

they were misinformed by an employee

of the Service, APHIS (for plants), or a

Management Authority of the foreign

country that should have known the

CITES requirements. We also are

proposing to include live Appendix-II or

-III wildlife and plants that are outside

the proposed CITES personal effects

exemption. Such shipments would need

to be limited to no more than two

specimens, be for personal use, and

accompany the person as personal

baggage. Retrospective documents

would be allowed for Appendix-I

wildlife and plants, including live

specimens, parts, and products, only

when they are personal pre-Convention

specimens. We would issue a

retrospective document only if the

Management Authority of the importing

country agrees to accept it.

Length of document validity (§ 23.44):

Article VI(2) states that an export permit

can be valid only for a period of 6

months from the date of issue. The

Convention does not specify validity

time frames for other documents.

Resolution Conf. 10.2 specifies validity

time frames for re-export certificates (6

months), import permits (12 months),

and certificates of origin (12 months).

We are also proposing that an

introduction-from-the-sea certificate be

valid for a maximum of 12 months since

the activity is similar to import.

Resolutions Conf. 8.16 and 10.20

recommend that certificates for traveling

live-animal exhibitions and certificates

of ownership be valid for no more than

3 years.

We propose to expand the current

regulations (§ 23.15(f)) to incorporate

the recommended validity times

endorsed in the resolutions. All CITES

documents would specify the length of

validity. All import and introductionfrom-the-sea activities must be

completed by midnight (local time at

the point of import) of the expiration

date indicated on the document. The

only situation where an extension of the

validity date is authorized is for certain

timber species under limited

circumstances (see proposed § 23.64).

CITES document conditions (§ 23.45):

Section 23.15(e) would be replaced by

this proposed section, which addresses

the topic of CITES document

conditions. General conditions apply to

all CITES documents, standard

conditions apply to specific types of

documents, and special conditions may

be placed on a CITES document when

the activity with a species warrants it.

All CITES document conditions must be

met for a shipment to be lawful.

Resolution Conf. 8.13 recommends

that Parties, where possible and

appropriate, adopt the use of microchip

transponders for the secure

identification of live Appendix-I

wildlife. The Parties, however, have

identified a number of technical issues

that need to be addressed and have

asked the Animals Committee to

monitor this issue. The Animals

Committee has drafted a resolution to be

considered at COP 11. Thus, we are not

proposing that all Appendix-I wildlife

be marked with microchips. We propose

that all live Appendix-I wildlife be

securely marked or uniquely identified

to ensure that the wildlife presented

with a document is actually the

specimen for which the document was

issued.

Analysis of Proposed Subpart D—

Factors We Consider in Making Certain

Findings

Legal acquisition (§ 23.50): One of the

issuance criteria in the current

regulations at § 23.15(d)(2) is whether

the wildlife or plant was acquired

lawfully. Under Articles III, IV, and V,

we must make a legal acquisition

finding before granting export permits

and re-export certificates for AppendixI, -II, and -III wildlife and plants. The

Parties have also agreed through a

number of resolutions to make this

finding before granting certain

exemption documents under Article VII.

These include Resolutions Conf. 2.14

(scientific exchange), Conf. 10.16 and

8.15 (bred-in-captivity wildlife), Conf.

9.18 (Rev.) and 9.19 (artificially

propagated plants), and Conf. 10.20

(personally owned live wildlife).

The determination of legal acquisition

includes an assessment of whether the

specimen and its founder stock were

traded internationally in accordance

with CITES and whether they were

acquired consistent with national laws

for the protection of wildlife and plants.

In the United States, these laws include

all applicable local, State, Federal,

tribal, and foreign laws.

We make the legal acquisition finding

on a case-by-case basis considering all

available information. Since the

applicant is responsible for providing

sufficient information to show that the

specimen was legally acquired,

potential applicants need to keep good

records (see proposed § 23.27). General

statements that there is no available

information or that there is no evidence

that the specimen or its founder stock is

illegal will not be sufficient for us to

make the legal acquisition finding. In

addition to the information provided by

the applicant, we consider other

relevant trade information, scientific

literature, and advice of experts. We

may consult with foreign Management

Authorities, the CITES Secretariat, other

U.S. governmental agencies, and nongovernmental experts.

We propose to add this section to the

regulations to clarify the factors we

consider in making a legal acquisition

finding. This section should help

individuals provide complete

information at the time they apply for a

CITES document and better understand

the kind of records they should be

keeping.

Persons who conduct commercial

activities involving protected wildlife

and plants are held to a high standard

in understanding and complying with

the requirements of the laws that affect

their activities. We expect these persons

to provide clear records that each

specimen was legally acquired,

including a record of the history of

ownership, copies of cleared CITES

documents, and records of parental or

founder stock for specimens bred or

propagated in the United States. We

apply a lower information requirement,

in most instances, for persons who

acquired a specimen in the United

States and want to travel internationally

with it for personal, non-commercial

use. We believe this system is

appropriate for the limited number of

specimens that would be involved, for

the low conservation risk posed, and

because most specimens are purchased

from retailers who, as businesses, are

expected to be prepared to comply with

the laws. We will, however, request

additional information when noncommercial trade in a particular species

raises greater conservation concern.

For the export of specimens that are

bred or propagated in captivity in the

26676 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

United States, we consider whether the

parental or founder stock was legally

acquired. Resolutions Conf. 9.18 (Rev.)

and 10.16 require that a Management

Authority find that the breeding or

propagation stock was established in

accordance with CITES and national

laws. We propose to define founder

stock to mean the original breeding or

propagation stock that produced the

subsequent generations of captive

specimens. This stock includes

specimens that are pre-Convention,

were previously imported into the

United States, or were removed from the

wild if the species is native to the

United States. Standardized records,

such as the International Species

Inventory System (ISIS), provide this

kind of information. Founder stock may

differ from the parental stock, which is

the immediate parents of a specimen.

We propose that applicants provide

information on parental stock for

species of lower conservation risk and

information on founder stock for species

of higher risk. For some species, we will

look at a number of factors to decide if

we need founder stock information.

These factors include whether the

species is uncommon in captivity in the

United States, the species has not been

documented to breed or propagate

readily in captivity, illegal trade in the

species is significant, few specimens

have been legally imported into the

United States, and the range country

does not allow commercial export of the

species.

We also propose to allow the export

or re-export of donated

CITES specimens of unknown origin

by public institutions on a case-by-case

basis under limited circumstances. In

some instances, public institutions,

primarily zoos, aquariums, and

botanical gardens, receive unsolicited

donations of wildlife and plants. These

donations may be brought in by

individuals or left anonymously on the

doorstep and may include specimens

found sick or injured by well-meaning

citizens, pets or plants that are no longer

wanted, or specimens that owners fear

they may possess in violation of the law.

When this occurs, the institution may

not be able to obtain reliable

information concerning the origin of the

specimen. Justifying issuance of a

permit under CITES is extremely

difficult when there are no data on the

origin of the specimen, especially when

the donor remains anonymous. We do

not wish to open a loophole for

laundering specimens that were illegally

obtained by the donor or by someone

else in the chain of ownership.

However, the underlying purpose of

CITES is to protect, preserve, and

benefit the listed species. We believe

that the provisions proposed will assist

in the suitable placement of specimens

without leading to illegal or unjustified

take of wildlife and plants from the

wild.

Non-detriment findings (§ 23.51):

Under Articles III and IV and Resolution

Conf. 10.3, the Scientific Authority must

find that a proposed export or

introduction from the sea of AppendixI or -II specimens is not detrimental to

the survival of the species and that a

proposed import of an Appendix-I

species is not for purposes that would

be detrimental to the survival of the

species. Although many activities could

be considered detrimental or potentially

detrimental, we would consider the

following, among other things, to be

detrimental: non-sustainable use and

proposed activities that would pose a

net harm to the status of the species in

the wild. For Appendix-I species, we

would also consider, among other

things, whether the proposed activity

would stimulate further trade in the

species. We are proposing to use the

definition of ‘‘sustainable use’’ as

provided in 50 CFR part 15 under the

Wild Bird Conservation Act. The

wording has been slightly edited to be

consistent with language used in this

part.

Since a permit grants permission to an

institution or individual to engage in an

otherwise prohibited activity, the

applicant must provide sufficient

information to satisfy us that the

proposed activity is not detrimental to

the species concerned. If we can make

a finding of non-detriment, and if all

other issuance criteria are met, we can

issue the relevant CITES document. If,

however, the requested activity does not

meet the criteria, we will either make a

finding of detriment or be unable to

determine that the activity is nondetrimental. In either case, we will not

issue a CITES document.

Although we are proposing no

changes in this proposed rule in how we

make a non-detriment finding, we are

proposing to list the factors used to

determine if the requested import or

export of CITES specimens would be

non-detrimental to the survival of the

species. These factors would be used for

all specimens in a single shipment or in

multiple shipments if the anticipated

international trade is over a given

period. Approval on a shipment-byshipment or multiple-shipment basis is

at our discretion. We have the option

under CITES to issue our required

scientific findings on a shipment-byshipment basis (a different finding for

each individual shipment) or

management or conservation program

basis (one finding to cover all shipments

from a particular program).

Some Appendix-II species in the

United States are listed under Article

II(2)(b) because they or their parts and

products (such as furs) are similar in

appearance to other Appendix-I or -II

species. Examples of such species

include the river otter (Lontra

canadensis), bobcat (Lynx rufus), and

white sturgeon (Acipenser

transmontanus). These species are listed

to ensure that trade in the species to

which they are similar is brought under

control. Our non-detriment finding for

these species takes this issue into

consideration. We are obligated,

however, to ensure that a species does

not decline to the point that it qualifies

to be listed in Appendix II under Article

II(2)(a). Many of these species are

included in State or tribal programs that

manage the species and control removal

of specimens from the wild. We receive

information from the States and Tribes

every year that allows us to monitor

exports and be assured that exports are

not detrimental to the species.

The status of the species in the wild

and the degree of risk to the species

posed by the proposed activity

determine the level of scrutiny we give

an application in making a finding. We

give greater scrutiny, require more

detailed information, and make our

decision in a more precautionary

manner for proposed activities that pose

a greater risk to a species in the wild.

In addition, we consider whether a

living specimen being imported or

exported would have an adverse impact

if it was intentionally or accidently

released into the wild. With the adverse

impacts that invasive species are having

both in the United States and in other

countries, it is important that activities

conducted under CITES do not further

complicate the situation. We consider

the cumulative risk, recognizing each

aspect of international trade has a

continuum of risk associated with it. For

example, the export of an Appendix-II,

non-native specimen bred in captivity

would be less of a conservation risk

than the import of an Appendix-I, wildcaught specimen that is being heavily

impacted by illegal trade. Likewise, the

export of plants grown from exempt

seed or flasked seedlings or tissue

culture would present a lower

conservation risk than plants grown

from non-exempt seeds. In all cases, if

the species is subject to pressure from

high levels of commercial trade or

subject to significant illegal trade, the

degree of scrutiny increases.

The Parties have agreed that export

quotas for the non-commercial use of

Appendix-I species can be proposed by

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26677

a range country and agreed to by the

COP. This situation often pertains to

trophy hunting. When making a nondetriment finding for the import of a

specimen of a species where a quota has

been established, we consider the

biological and management factors used

as a basis of the export quota. If

necessary, we will contact the Scientific

and Management Authorities of the

exporting country for additional

information to complete our finding. We

clarify in this proposed section that

even when a quota has been established,

we will review any application for the

import of a specimen of that species and

make the required non-detriment

finding as required under Article III.

Primarily commercial purposes

(§ 23.52): Under Article III, import

permits or introduction-from-the-sea

certificates for Appendix-I species can

be issued only when a Management

Authority is satisfied that the specimen

is not to be used for primarily

commercial purposes. Resolution Conf.

5.10 provides details on the

interpretation of ‘‘primarily commercial

purposes,’’ including examples. We

consider this resolution to be an

accurate interpretation of the Treaty.

The United States supports its

provisions and has been using the

principles and examples set out in the

resolution in evaluating applications for

import documents for Appendix-I

species. We propose to incorporate the

provisions of this resolution in these

regulations.

For an import or introduction of an

Appendix-I specimen to qualify, the

non-commercial aspects of the import or

introduction must clearly predominate.

While the nature of the transaction

between the owner and the proposed

recipient may be commercial, it is the

intended use of the specimen that must

not be for primarily commercial

purposes. When we determine whether

or not an import or introduction is

primarily commercial, we must take

into consideration all factors involved.

Each application is considered on a

case-by-case basis. The applicant must

provide sufficient information for us to

make a finding.

We propose that all applicants

provide basic information on intended

use, planned public outreach that may

increase revenues, planned disposition

of offspring, and an assessment of the

reasons the proposed activities are not

primarily commercial. Under certain

circumstances, the commercial nature of

the organization or the public appeal of

a species would make it more difficult

for us to make this finding. Thus, we

propose that for-profit applicants would

need to provide more detailed

information. We would also ask for

more detailed information from any

applicant when we find that the

proposed activity is with a species that

is uncommon in captivity in the United

States, has high public appeal, or is

capable of generating substantial

revenues. The additional information

would include a statement from a

licensed, independent certified public

accountant that the applicant’s internal

accounting system is sufficient to

account for and track funds generated

by the proposed activities. We are also

proposing that all net profits generated

in the United States must be used for

the conservation of the Appendix-I

species in a range country. It is possible

that an import or introduction, although

superficially commercial, may qualify

based on the overwhelming

conservation benefits that will be

provided through assistance to range

countries, research, or other

considerations that result from the

import or introduction.

Bred in captivity (§ 23.53): Article VII,

paragraphs 4 and 5, provides

exemptions for wildlife bred in

captivity. To establish a standard

interpretation of the term ‘‘bred in

captivity,’’ the Parties adopted

Resolution Conf. 2.12, which was

revised at COP 10. After much

discussion among the Parties,

Resolution Conf. 2.12 (Rev.) was

repealed and Resolution Conf. 10.16

adopted. We propose to incorporate this

resolution into this new section.

In making this finding, we consider

the conditions under which an

individual specimen is bred and

whether the breeding stock was

established legally and in a nondetrimental manner and whether it is

maintained with limited introduction of

wild specimens. We also consider

whether the breeding stock has

consistently produced offspring of at

least second generation (F2) or whether

the U.S. captive population is managed

in a way that shows it is capable of

reliably producing F2 offspring. If a

facility has sufficient breeding stock to

meet all of the criteria, including

consistently producing F2 offspring,

then the wildlife at that facility can be

considered bred in captivity. Few

facilities, however, have sufficient stock

to meet the criteria. Alternatively, if the

majority of captive specimens of a

species within the United States meets

the criteria, then specimens bred by any

U.S. facility that uses standard

management procedures could meet the

criteria for bred in captivity. Thus, we

have determined that a number of

species commonly held in the United

States (such as lions, tigers, brown eared

pheasants, and Burmese pythons)

qualify as bred in captivity.

Artificially propagated (§ 23.54):

Article VII, paragraphs 4 and 5, provides

exemptions for artificially propagated

plants. The Parties recognize the unique

aspects of plant biology and trade.

Modern developments in plant

propagation, such as the use of flasked

orchid seedlings, have allowed large

quantities of artificially propagated

plants to be produced. Resolution Conf.

9.18 (Rev.) addresses ways to reduce the

paperwork involved to move plants

internationally while maintaining

protection of wild plants.

This proposed section expands the

current § 23.15(d)(8) and incorporates

from that resolution the criteria for

artificially propagated. In making this

finding, we consider the controlled

conditions under which a plant is

propagated. We also consider whether

the cultivated parental stock was

established legally and in a nondetrimental manner and whether it is

managed in a way to ensure its longterm maintenance. For example, we

would not consider plants grown from

seeds, cuttings, or other propagules

collected from wild plants and grown

out under controlled conditions as

artificially propagated. Hybrid plants

must meet the same criteria. Grafted

plants can also be considered artificially

propagated if both the rootstock and the

graft have been artificially propagated

according to criteria in this section.

Some plant materials of CITES species

are exempt from CITES requirements

(see proposed § 23.88(c)). However,

plants grown from exempt plant

materials are regulated under CITES and

are not automatically considered

artificially propagated. Since these plant

materials can be imported into the

United States without any CITES

documents, we propose to usually

require less information on the origin of

the exempt plant material than we

would require on the origin of nonexempt plant material. Importers of

exempt plant material should keep

records that document who sold them

the material. In general, we will

consider plants grown from flasked

seedlings or tissue culture as artificially

propagated unless we have reasonable

grounds to believe the plants were

grown from wild propagules. However,

it is more difficult to know if plants

grown from exempt seeds meet the

criteria for artificially propagated plants.

If importers want to ensure plants they

have grown from exempt seeds will

qualify for a CITES certificate for

artificially propagated plants, rather

than an export permit, they may want to

keep records that document the

26678 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

cultivated origin of imported exempt

seeds. We understand that limited

information may be available on the

origin of exempt seeds. Therefore, we

would typically require less information

when determining whether plants

grown from exempt seed would be

considered artificially propagated. We

would consider whether the species is

commonly artificially propagated and

whether substantial numbers of seeds

are collected from the wild.

Bred or propagated for commercial

purposes (§ 23.55): The Treaty provides

in VII(4) that specimens of Appendix–

I species bred in captivity or artificially

propagated for commercial purposes

would be deemed to be in Appendix II.

It also provides in VII(5) that specimens

that are bred in captivity or artificially

propagated may be granted an

exemption document. To decide

whether to process an application under

Article VII(4) or Article VII(5), we must

decide whether an Appendix-I

specimen was bred or propagated for

commercial purposes. We propose this

new section to clarify what we consider

in making this finding. We would use

the definition of ‘‘commercial’’ (see

proposed § 23.5) provided in Resolution

Conf. 5.10. We would assess the

purpose of the breeding and propagation

activities, considering a variety of

information, including the reproductive

biology of the species and all aspects of

the breeding or propagation program.

Although generally we have found nonprofit institutions are breeding

specimens for non-commercial

purposes, there have been instances

when we have found they were breeding

for commercial purposes. This issue of

what is considered ‘‘bred for

commercial purposes’’ has been

discussed at some length within the

Animals Committee and will be

discussed at COP 11 in April of 2000.

Suitably equipped to house and care

(§ 23.56): Under Article III(3)(b) and

(5)(b), the Scientific Authority must

determine that an individual or

institution has facilities that are suitably

equipped to house and care for an

Appendix-I specimen being imported or

introduced from the sea. These

requirements are to ensure that rare

specimens will have a reasonable

chance for survival.

We propose this section to clarify the

factors we consider in making this

finding. All individuals or institutions

that will be receiving specimens must

be identified in an application, and their

facilities approved by us, including

individuals or institutions that are likely

to receive specimens within 1 year of

the specimen’s arrival in the country.

We will consider all possible uses that

could be reasonably expected to occur

and the housing and care requirements

for those uses. For example, if the

applicant is importing specimens for

display and there was the possibility of

offspring being produced, we would

consider whether the applicant could

provide adequate housing and care for

the offspring.

We will base our finding on the best

available information on the

requirements of the species and

information provided by the applicant.

We will give closer scrutiny to

applications for species with more

demanding biological and husbandry or

horticultural needs. For a captive-born,

commonly held species, like a scarlet

macaw, we would be less critical due to

the ease with which such a species can

be held in captivity and the availability

of veterinary care and commercially

prepared diets. For a species, such as

the Chinese giant salamander, that is not

commonly held in captivity and has

very restrictive husbandry and housing

requirements, we would require a

greater level of detail regarding the

facilities where the specimen would be

held.

We have provided in this proposed

section the general and specific factors

that we consider in making this finding.

We consider whether a facility supplies

adequate space, appropriate living

conditions, adequate veterinarian or

horticultural care, sufficient security,

and properly trained staff to care for the

specimen. In addition, we consider if

appropriate housing and care are

available for any potential offspring.

An applicant may apply for a CITES

document to import or introduce from

the sea a specimen before the facility is

completed or the staff to maintain the

specimen has been identified or

properly trained. In such a case, we can

review the information, including

construction plans or intended staffing,

and make the finding based on that

information. We would, however,

condition the finding that the import

could not occur until the facility has

been completed or the staff hired and/

or trained and approved by us.

Analysis of Proposed Subpart E—

International Trade in Certain

Specimens

This proposed subpart deals with

situations that are either covered by

specific resolutions or by procedures we

have developed to deal with certain

heavily traded native CITES species. We

need information that allows us to make

the required findings before we can

issue CITES documents for export or reexport. Where this information is

available from a State or tribal

management program and is sufficient

to allow us to make our required

scientific and management findings, we

have made export findings on a State or

tribal basis. These findings certify that

the programs contain the elements

needed to allow us to make the findings

required for export under CITES. For

Tribes, we can make findings only for

Tribes that have full wildlife

management authority over the

resource. In the past, we have published

findings in the Federal Register for

export of American ginseng, bobcat,

river otter, Alaska lynx, Alaska gray

wolf, Alaska brown bear, and American

alligator. States and Tribes for which

findings have been made are requested

to submit an annual report to us

containing certain information on the

previous year’s harvest. In some cases,

such as for many furbearer species, our

findings have been made on a multiyear basis. Annual reports from States

allow us to remain assured that our

original findings remain valid. In these

sections, we are proposing to include

the information we request from the

States and Tribes on an annual basis.

The non-detriment findings we make

are based on § 23.51.

Initially, making findings on a State or

tribal basis was a new way to address

large-scale export of certain native

species. If the legal acquisition and nondetriment findings were made on a

permit-by-permit basis, it would present

a tremendous workload for exporters as

well as for our offices. It is standard

practice for many Parties to issue

findings on an annual basis for species

with biologically based management

programs. Although the State-and Tribebased findings are not a rulemaking, we

published them in the Federal Register

as a convenient way of notifying the

public. Since there are now more timely

ways to provide this information to the

public, we propose to discontinue

publication of the findings in the

Federal Register. A list of States and

Tribes that have findings made on a

State or tribal basis and copies of the

findings would either be posted on our

website or be available on request. Any

requests to make findings for new States

or Tribes will continue to be evaluated

on a case-by-case basis.

American ginseng (§ 23.60): This

proposed section is a revision of § 23.51.

Most American ginseng is collected or

grown for export and is exported in a

much larger volume than any other

native CITES plant species. Ginseng that

has been collected under State or tribal

requirements is certified as legally

harvested. The State or tribal certificates

accompany the ginseng until the time of

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26679

export to document the origin of the

material.

Under CITES, ginseng is considered

either artificially propagated or wild.

However, the industry has a number of

other designations. In order to obtain

more accurate information from

exporters, we propose to include a chart

in the regulations that describes

different types of ginseng, such as wild

simulated and cultivated woodsgrown,

within the broad categories of wild and

artificially propagated.

Native furbearers (§ 23.61): This

proposed section consolidates and

revises §§ 23.52–23.56. The bobcat, river

otter, Alaska lynx, Alaska gray wolf, and

Alaska brown bear are included in

Appendix II under the provisions of

Article II(2)(b) because their parts and

products are difficult to distinguish

from certain similar CITES Appendix–I

and –II species. Approved States and

Tribes have procedures for placement of

CITES export tags on skins ( including

furs and pelts) that were legally taken.

The presence of a tag on a skin provides

us with reasonable assurance that the

skin was obtained legally and provides

a basis for our legal acquisition finding.

We review the information we receive

annually from each State or Tribe to

determine if there is a need to

reevaluate our State-or Tribe-based

finding or if the species needs closer

monitoring.

Crocodilians (including American

alligator) (§ 23.62): This proposed

section revises § 23.57 and expands it to

incorporate Resolution Conf. 9.22

concerning tagging of all crocodilians.

The proposed revision extends the

tagging requirements to all crocodilian

skins that are being imported, exported,

or re-exported. This action would

ensure that our requirements for trade in

all crocodilians are consistent with the

resolution and the international

practices of all countries exporting

native crocodilians. This

standardization of requirements will

assist with inspection efforts, reduce

risk to wild crocodilian populations,

and standardize procedures for

importers and exporters. The

requirements of the special rules in 50

CFR part 17 concerning the American

alligator and certain threatened

crocodilians must be met in addition to

the requirements of this section. The

current requirements for export of

American alligator skins remain the

same.

Sturgeon caviar (§ 23.63): At COP 10,

all sturgeon that were not already

included in the CITES appendices were

added to Appendix II. Resolution Conf.

10.12 provides recommendations to the

Parties to assist in the conservation of

these vulnerable species. One specific

recommendation is that Parties

‘‘monitor the storage, processing and repackaging of sturgeon specimens in

Customs free zones and free ports, and

for airline and cruise line catering.’’

Under the ESA, a shipment is

considered an import as soon as it is in

an area under the jurisdiction of the

United States, whether or not it is

considered an import under Customs

law.

Caviar is regularly served to

passengers on airplanes and cruise

ships. Although the caviar is exported

from the United States, the intent is not

to import it into another country, but to

serve it for consumption during the trip.

We propose to provide specific

guidelines to the travel industry on

what quantities can be loaded on board

and when a CITES document is

required. Industry officials will need to

carefully determine the amount likely to

be consumed on an airplane or cruise

ship since any unconsumed caviar that

is on board at the foreign destination

may be considered an import, even if

left on board, and would require CITES

documents.

According to industry sources, caviar

is perishable and has a normal shelf life

of 1 year. Since all sturgeon have been

included in the CITES appendices since

1997, we no longer accept preConvention certificates for caviar. This

practice is consistent with the CITES

Notification No. 1999/23, which

recommended that no permits or

certificates declaring caviar as preConvention should be accepted after

April 1, 1999. In order to be imported

legally into the United States, shipments

of sturgeon caviar must be accompanied

by the appropriate export or re-export

document (see our policy in the

December 6, 1999, Federal Register (64

FR 68113)) .

Timber (§ 23.64): The Parties

recognize that trade in timber may

require some variations on standard

CITES procedures.

Resolution Conf. 10.13 discusses the

implementation of the Convention for

timber species. Resolution 10.2

incorporates specific recommendations

for timber species listed in Appendix II

or III that have an annotation regulating

only the trade in logs, sawn wood, and

veneer sheets. It allows that under

specific circumstances the period of

validity for CITES documents for timber

may be extended for a maximum of 6

months. It also includes provisions for

changing the ultimate consignee for a

shipment after export or re-export. We

propose to incorporate these

recommendations into this section.

Personal sport-hunted trophies

(§ 23.65): Some countries allow limited

take of Appendix-I species as part of an

overall management plan. The export of

Appendix-I hunting trophies requires

both export and import permits under

Article III (see proposed § 23.28). This

practice is reaffirmed in Resolution

Conf. 2.11(Rev.). Because imports of

Appendix-I species cannot be for

primarily commercial purposes,

Resolutions Conf. 10.14 and 10.15

recommend that trophies of AppendixI species must be acquired by the owner

in the country of export, are being

imported as personal items, and will not

be sold in the country of import.

We propose to incorporate these

requirements into 50 CFR part 23 and

clarify what is considered a trophy. In

a number of instances, large numbers of

fully manufactured products, such as

briefcases, handbags, and golf bags, have

been imported as part of a ‘‘hunting

trophy.’’ Manufactured items of

Appendix-II and -III species may be

imported with the appropriate CITES

export or re-export documents, which

specifically describe the individual

items, rather than including them under

a general description of ‘‘trophy.’’ It is

unlikely that the requirements for

import of Appendix-I species could be

met for such items. We also would

require Appendix-I specimens not be

used or transferred for a commercial

purpose for those trophies imported for

personal use. We would include the

specific conditions for leopard hunting

trophies as provided in Resolution Conf.

10.14. These requirements would be in

addition to any requirements in 50 CFR

part 17. A hunter would not be allowed

to import more than two leopard

trophies in one calendar year, and any

skin would need to meet tagging

requirements.

Analysis of Proposed Subpart F—

Disposal of Confiscated Live Wildlife

and Plants

Confiscated live specimens (§ 23.70):

Article VIII(4) and (5) outlines the

requirements for disposal of confiscated

live specimens, and the Parties have

adopted Resolution Conf. 10.7 which

sets out detailed guidance. For the

United States, the general procedures

for disposal of forfeited or abandoned

property are in 50 CFR part 12. These

procedures apply to CITES as well as

the other laws that we enforce. We are

not proposing to revise 50 CFR part 12,

but to add a section to these regulations

on the process we use in making a

decision to dispose of confiscated live

CITES wildlife and plants that have

been forfeited or abandoned to our

Division of Law Enforcement or APHIS.

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Sometimes the country of export

would like to have a shipment of

confiscated live specimens returned.

Although under Article VIII this is one

of the options a country should

consider, we are not always able to

select this option or return specimens

quickly. For example, when criminal

charges are brought in connection with

confiscated specimens, litigation may

require us to hold the specimens as

evidence for an extended period of time

and the court may decide how we are

to dispose of them.

Many factors must be considered

when live specimens are seized. The

most important of these factors is the

welfare of the wildlife or plants.

Resolution Conf. 10.7 details a number

of options for disposal as well as the

difficulties associated with each option.

We propose to consult this

recommended guidance as necessary in

making a decision. For wildlife, the

options discussed include maintenance

in captivity, return to the wild, and

euthanasia. For plants, the resolution

discusses maintenance in cultivation,

return to the wild, and destruction.

In many countries, including the

United States, some confiscated

specimens have been donated to zoos,

aquariums, or botanical gardens.

However, this option is not always open

when large numbers of common species

are seized. The zoological community

recognizes that placing animals of low

conservation value in limited cage space

may benefit those individuals, but may

detract from conservation efforts as a

whole. As a result, they are setting

conservation priorities for cage space.

Botanical gardens are in a similar

situation.

It is rare that confiscated specimens

can or should be returned to the wild.

Before return to the wild should be

considered, a country must decide if

that action would make a significant

contribution to the conservation of the

species or might be harmful to the

conservation of species in the wild.

Specimens held in captivity and/or

transported may be exposed to a variety

of diseases and parasites.

Reintroduction of these specimens to

the wild could result in introduction of

diseases with potentially catastrophic

effects. It is also unlikely that the exact

point of collection could be determined.

Therefore, the specimens could not be

returned to their home areas.

Introduction into other areas may result

in genetic pollution and adverse

impacts on the species native to that

area. Sometimes range countries request

return of confiscated wildlife or plants

for educational or related purposes. The

least popular solution to disposal of

confiscated wildlife, euthanasia, may

often be the simplest and most humane

option available.

Participation in the Plant Rescue

Center Program (§ 23.71): We propose to

add this section on how a public

institution can participate in our Plant

Rescue Center Program. Whenever a

shipment of plants arrives in the United

States in violation of CITES and the

plants are confiscated or seized, the

plants are transferred to a participating

center. We have enlisted more than 60

public institutions, such as non-profit

botanical gardens, arboretums,

zoological parks, and research

institutions in the United States, to

cooperate with us in this program.

Analysis of Proposed Subpart G—

CITES Administration

Roles of the Secretariat and the

committees (§ 23.75): This proposed

section adds to the information in

subpart D of the current regulations. It

outlines the responsibilities of the

Secretariat, which is established under

Article XII, and the committees, which

were established under resolutions

(Resolution Conf. 9.1 (Rev.), which

repeals Resolutions Conf. 6.1 and 7.1).

The committees provide administrative

and technical support to both the Parties

and the Secretariat. The resolution also

outlines how regional representatives

are selected to serve on the various

committees and their responsibilities.

Conference of the Parties (COP)

(§ 23.76): We propose to add basic

information on what a COP entails, how

COP locations and dates are determined,

and who can attend the meetings.

Notice of a COP (§ 23.77): This

proposed section revises §§ 23.31–23.39

to clarify how we provide information

to the public concerning a COP and how

the public may participate in

preparations for it. We propose to

continue publishing notices in the

Federal Register as soon as information

is available concerning the location,

dates, agenda, proposed amendments to

the appendices, proposed resolutions

for a COP, and public meetings. Since

each notice will provide current

information on participation in the

public meetings, including the correct

address for submission of any written

comments and a telephone number for

further information, we propose not to

include the address and telephone

number in 50 CFR part 23.

Development of U.S. negotiating

positions (§ 23.78): We propose to

reorganize the information in §§ 23.33,

23.35, and 23.38 to show the process we

follow in developing our negotiating

positions, including how the public can

participate in this process. We will

continue to publish proposals that the

United States is considering and our

proposed negotiating positions on

agenda items and proposals. We will

also continue to hold public meetings to

discuss these issues. We propose to no

longer publish our final negotiating

positions in the Federal Register, but

rather to make them available in more

timely ways, such as posting them on

our website and mailing them to people

upon request. Some issues are extremely

complex and require extensive

coordination, and our final negotiating

positions may not be available prior to

the COP. We also propose to delete

§ 23.39 of the current regulations and no

longer publish an official report after

each COP. Information on the results of

a COP is available from a number of

sources, such as our website or CITES

Update, much sooner than an official

report could be published and printed.

We propose to delete § 23.36 as a

separate section since this information

is incorporated into other newly

proposed sections.

Analysis of Proposed Subpart H—List

of Species

Listing criteria for Appendix I or II

(§ 23.85): CITES lists species in one of

three levels of protection depending on

the degree of threat to the survival of the

species and the protection in

international trade believed to be

necessary by the Parties (see proposed

§ 23.4). In 1992 at COP 8, the Parties

directed the Standing Committee to

undertake, with the assistance of the

Secretariat, a revision of the criteria for

amending the appendices in Resolution

Conf. 1.1 (referred to as the Berne

criteria). This review, carried out in

consultation with the Parties, was based

on initial technical work done by IUCN

in collaboration with species experts. A

joint meeting of the Plants and Animals

Committees addressed all aspects of this

review, in association with the Standing

Committee, held in Brussels in

September 1993.

From this review, the Parties adopted

Resolution Conf. 9.24, which establishes

specific criteria for listing species. This

proposed section basically adopts this

resolution as it is written. When

considering any proposal to amend

Appendix I or II, the Parties should

apply a precautionary approach so that

scientific uncertainty should not be

used as a reason for failing to act in the

best interest of the conservation of the

species. We propose to define the term

‘‘precautionary measures’’ in proposed

§ 23.5.

Under Article II, Appendix II should

include species that could be threatened

with extinction if trade is not monitored

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26681

(Article II(2)(a)) and species where trade

should be monitored because the

species resembles another listed species

and could be misidentified while in

trade (Article II(2)(b)). In both cases, we

are concerned that international trade

does not adversely affect the listed

species and that it does not develop to

a level that is detrimental to the species

in the wild. We are concerned that trade

does not get to a level where the species

would meet the criteria for listing in

Appendix I and that the species is

maintained at a level consistent with its

role in its ecosystem.

To monitor the effectiveness of

protection offered by the Convention,

range countries in cooperation with the

Animals Committee or the Plants

Committee are to regularly review the

status of species included in

Appendices I and II. The Parties will

fully review the listing criteria in

Resolution Conf. 9.24 before COP 12

(approximately 2002) with regard to the

scientific validity of the criteria,

definitions, notes, and guidelines and

their applicability to different groups of

organisms.

Listing criteria for Appendix III

(§ 23.86): Article II(3) sets out that

Appendix III includes native species

that a Party lists to obtain international

cooperation in controlling trade. Under

Article XVI, a party can include a

species in Appendix III by submitting

information to the Secretariat. No vote

of the Parties is required. The criteria to

list a species in Appendix III includes

that the species must be native to the

listing country, be protected under that

country’s regulations to prevent or

restrict exploitation and control trade,

and be in international trade, with an

indication that cooperation of other

Parties would help to control illegal

trade. The listing Party can request the

species be removed from Appendix III at

any time. By listing a species in

Appendix III, trade data and other

relevant information can be gathered to

assist policy makers in a country

determine whether the species should

be proposed for inclusion in Appendix

II, removed from Appendix III, or

retained in Appendix III.

This proposed section incorporates

Resolution Conf. 9.25 by outlining the

criteria that a country must address to

list a species in Appendix III. In

addition, it gives a general description

of the process we will use to decide if

a species native to the United States

should be listed in Appendix III. At this

time, we have not listed any species in

Appendix III, but we proposed several

species in the January 26, 2000, Federal

Register (65 FR 4217).

Organization of the list and

exemptions (§§ 23.87–23.88): These

proposed sections are a revision and

reorganization of current § 23.23. In

addition, we propose to discontinue

publication of the unofficial list in the

CFR, but continue to provide

information concerning exempt wildlife

or plants and their parts or products in

proposed § 23.88. The official CITES list

is the one maintained by the Secretariat.

It is based on decisions by the Parties

and is available from the Secretariat’s

website or from our office. Although the

unofficial list would no longer be in the

CFR, we would continue to maintain it

because it is in a more detailed and

easier to use format. This list would be

available on our website and as a

printed publication.

Required Determinations

Regulatory Planning and Review

This proposed rule has been reviewed

by OMB under Executive Order 12866.

a. This proposed rule will not have an

annual economic effect of $100 million

or negatively affect a part of the

economy, productivity, jobs, the

environment, or other units of

government. A cost-benefit and

economic analysis is not required. The

purpose of this proposed rule is to

clarify and update the regulations that

carry out CITES. It is designed to assist

individuals and businesses who import

and export specimens of CITES species

by clearly outlining the requirements

that the United States, as well as the

other 145 Parties, must follow under the

Treaty. As of October 15, 1999, our

records showed 5,368 currently valid

CITES documents that we have issued

(the period of validity for a document

ranges from 6 months to 4 years).

The majority of our trading partners

for wildlife and plants are CITES

Parties. Because most of these Parties

are currently implementing the

resolutions, the proposed rule should

cause little or no change to the way

importers are currently doing business.

The foreign suppliers are already

required by their own country’s laws

and international customary law to

follow the consensus interpretations

embodied in the resolutions. In

addition, if an importer were to receive

a shipment that did not comply with all

of the requirements of the country of

shipment, the import may violate the

Lacey Act Amendments of 1981.

Exporters need to comply with the

requirements of the receiving country in

addition to U.S. requirements. As a

result, many are already complying with

the recommendations and

interpretations in the CITES resolutions.

If a shipment is not in compliance with

all applicable resolutions, it may be

seized or detained at the destination.

The proposed revisions will assist

exporters in determining what

procedures they need to follow to trade

internationally.

These proposed revisions incorporate

existing trade requirements that have

not previously been published, but are

required internationally by a treaty. The

publication of the proposed revisions

will assist U.S. businesses in complying

with the requirements under CITES and

in engaging in international trade.

Therefore, we do not expect that this

proposed rule would have a significant

effect on the volume or dollar value of

wildlife and plants imported,

introduced from the sea, exported, or reexported to and from the United States.

There is no indication that this

proposed rule will result in statistically

significant higher or lower levels of

trade, permit applications, or permit

issuance or denial.

b. This proposed rule will not create

inconsistencies with other agencies’

actions. As the lead agency for carrying

out CITES in the United States, we are

responsible for monitoring imports and

exports of CITES wildlife and plants,

including their parts and products, and

issuing import and export documents

under CITES.

c. This proposed rule will not

materially affect entitlements, grants,

user fees, loan programs, or the rights

and obligations of their recipients.

d. This proposed rule will not raise

novel legal or policy issues because it

only updates and clarifies existing

regulations that implement CITES. As a

member of CITES, the United States is

committed to implementing the

consensus interpretations of the Treaty

that are embodied in the resolutions

collectively approved by the Parties.

This proposed rule would clarify the

requirements for the import,

introduction from the sea, export, and

re-export of shipments of CITES

specimens and would provide

individuals and businesses access to

current, clearly written regulations.

Regulatory Flexibility Act

The proposed rule will not have a

significant economic effect on a

substantial number of small entities as

defined under the Regulatory Flexibility

Act (5 U.S.C. 601 et seq.). A final

Regulatory Flexibility Analysis is not

required. Accordingly, a Small Entity

Compliance Guide is not required.

The overwhelming majority of the

entities that import, export, or re-export

CITES specimens are considered small

as defined under the Regulatory

26682 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Flexibility Act. This proposed rule

provides these businesses with updated

and more clearly written regulations for

the import, export and re-export of

shipments of CITES specimens. The

authority to enforce CITES requirements

already exists under the Endangered

Species Act and is carried out by

regulations contained in 50 CFR part 23.

a. Many rural communities rely on the

added income produced by harvesting

and selling certain CITES species that

occur in the United States, such as the

American alligator, American ginseng,

bobcat, river otter, Alaska lynx, Alaska

brown bear, and Alaska wolf. The

majority of consumer products made

from these species are processed

overseas. In 1997, approximately $24

million in wildlife species and $79

million in ginseng were exported from

the United States under CITES. We are

not proposing any changes from the

existing export regulations and,

therefore, do not anticipate any

economic effect to the current level of

activity.

We recognize that the States have the

right and responsibility to manage their

wildlife. Many States have monitored

the harvest of CITES species since

before the Treaty came into effect.

Because of this, we have worked with

States and Indian Tribes to use the

information they collect to make CITES

findings on a State-by-State or Tribe-byTribe basis where export approval is

requested. This system allows us to

make findings for all specimens of a

particular species from a State or Tribe

rather than requiring each applicant to

supply the information we need to make

legal acquisition and non-detriment

findings. When we are able to make

State- or Tribe-based findings, at no

charge we supply those States and

Tribes with CITES export tags. These

tags are placed on each skin under

State- or Tribe-monitored conditions.

The presence of a tag on a skin provides

us with reasonable assurance that the

skin was acquired legally. By making

these administrative findings on a Statewide or reservation-wide basis, we

considerably reduce the amount of

paperwork required and allow exporters

of these species to use streamlined

procedures.

In the proposed revisions, we provide

the criteria we use in making decisions

concerning administrative findings.

However, these criteria are the same as

we have used since the beginning of

such findings. The proposed revisions

would provide the public details on

how these findings are made.

The proposed changes to the CITES

regulations will assist those that rely on

income from the export of certain native

CITES species to remain competitive

when conducting business in

international markets. This proposed

rule provides the importing and

exporting community a better

opportunity for obtaining economic gain

from international business in CITES

specimens.

b. CITES Resolution Conf. 8.16

requires that each wildlife specimen in

a traveling live-animal exhibition (often

a circus) must be covered by a CITES

document specific to that specimen.

Currently, many circuses have one

document that covers several

specimens. Under the proposed

revisions, when a document covering

multiple specimens expires, the

permittee would need to obtain one

document for each specimen. As a

result, this proposed rule may result in

increased permit application processing

fees ($25 per application) for a small

number of importers and exporters who

trade in CITES species. The requirement

will be phased in as current documents

expire. We estimate that approximately

70 circuses import and export CITES

wildlife to and from the United States

on a regular basis. If exhibitors do not

obtain individual documents for each

specimen, they may encounter

difficulties at border crossings.

c. CITES Resolution Conf. 10.6 (which

incorporates Resolution Conf. 4.12)

specifically states that the personal

effects exemption that covers tourist

souvenirs does not apply to live

specimens. In addition, most Parties

require CITES documents for all live

specimens, even if they are personal

items. Resolution Conf. 10.20 provides

for the issuance of certificates for

personal live wildlife that would be

valid for a period of 3 years and allow

for multiple imports, exports, and reexports of the specimens. Current U.S.

regulations do not advise the reader of

this. However, if an individual leaves

the United States with their pet that is

protected under CITES (such as a

parrot), they risk having the pet seized

upon import into another CITES Party.

The proposed revisions would advise

travelers that they must have a CITES

document in order to travel with their

CITES pet and provide for the issuance

of a 3-year document. In addition,

individuals importing live CITES

wildlife as pets will be required under

this proposed rule to obtain a CITES

document prior to arriving in the United

States. In most cases, this requirement

would ensure that they are not

inadvertently violating the Lacey Act by

exporting their pet from a CITES Party

without an export document since most

Parties require CITES documents for all

live specimens. On the average between

1996 and 1998, we issued 21

retrospective documents for personal

shipments, including live wildlife,

annually. Since recipient Parties

required individuals to obtain

retrospective documents before allowing

import of the live wildlife, this

requirement will not place an additional

paperwork or financial burden, but may

actually save time and money.

The proposed regulations will create

no other substantial fee or paperwork

changes in the permitting process. The

changes discussed above are not major

in scope and will create only a modest

financial or paperwork burden on the

affected members of the general public.

Therefore, we do not believe that this

proposed rule will have a significant

economic effect on a substantial number

of small entities.

Small Business Regulatory Enforcement

Fairness Act

Similarly this proposed rule is not a

major rule under 5 U.S.C. 804(2), the

Small Business Regulatory Enforcement

Fairness Act. This proposed rule:

a. Does not have an annual effect on

the economy of $100 million or more.

This proposed rule provides the

importing and exporting community

within the United States updated and

more clearly written regulations that

implement CITES in the United States.

This proposed rule will not have a

negative effect on this part of the

economy.

This proposed rule will affect all

importers and exporters equally, and the

benefits of having updated guidance on

complying with CITES requirements

will be evenly spread among all

businesses, whether small or large.

There is not a disproportionate share of

benefits for small or large businesses.

b. Will not cause a major increase in

costs or prices for consumers,

individual industries, Federal, State, or

local government agencies, or

geographic regions. This proposed rule

will clarify and update the regulations

to carry out CITES, and as such, will

provide benefits to all permit applicants

in terms of time savings. This proposed

rule may result in a small increase in

the number of permit applications and

permit processing fees for some circuses

and pet owners.

c. Does not have significant adverse

effects on competition, employment,

investment, productivity, innovation, or

the ability of U.S.-based enterprises to

compete with foreign-based enterprises.

This proposed rule will enable U.S.

importers and exporters of CITES

species to better understand and comply

with the regulations covering

international trade in CITES wildlife

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26683

and plants. Without these proposed

revisions to the regulations, the U.S.

importing and exporting community

may not be able to effectively compete

with foreign-based companies in the

international trade of CITES specimens.

This proposed rule will assist U.S.

businesses in ensuring that they are

meeting all required CITES resolutions

and decrease the possibility that

shipments may be delayed or even

seized in another country that has

implemented applicable CITES

resolutions.

Unfunded Mandates Reform Act

Under the Unfunded Mandates

Reform Act (2 U.S.C. 1501, et seq.):

a. This proposed rule will not

significantly or uniquely affect small

governments. A Small Government

Agency Plan is not required. As the lead

agency for carrying out CITES in the

United States, we are responsible for

monitoring imports and exports of

CITES wildlife and plants, including

their parts and products, and issuing

import and export documents under

CITES. This proposed rule affects States

only as described in 2.a. above,

concerning export of certain native

CITES species. Therefore, this proposed

rule has no effect on small government’s

responsibilities.

b. This proposed rule will not

produce a Federal requirement of $100

million or greater in any year and is not

a ‘‘significant regulatory action’’ under

the Unfunded Mandates Reform Act.

Takings

Under Executive Order 12630, this

proposed rule does not have significant

takings implications. A takings

implication assessment is not required.

This proposed rule is not considered to

have takings implications because it

does not further restrict the import,

export, or re-export of specimens of

CITES specimens. Rather, the proposed

rule updates the regulations for the

import, export, and re-export of CITES

specimens, which will assist the

importing and exporting community in

carrying out international trade in

CITES specimens.

Federalism

These proposed revisions to CFR part

23 do not contain provisions that have

Federalism implications sufficient to

warrant preparation of a Federalism

Assessment under Executive Order

13132. These proposed regulations

cover U.S. responsibilities under CITES

which is an international agreement that

focuses on international trade in

protected species. The activities of

import and export are national in scope

and are not sovereign powers reserved

to the States. The portions of the

proposed regulations which have direct

links to the States are basically

unchanged and were initially developed

after extensive consultation with the

States and with the International

Association for Fish and Wildlife

Agencies.

Civil Justice Reform

Under Executive Order 12988, the

Office of the Solicitor has determined

that this proposed rule does not unduly

burden the judicial system and meets

the requirements of sections 3(a) and

3(b)(2) of the Order. Specifically, this

proposed rule has been reviewed to

eliminate errors and ensure clarity, has

been written to minimize

disagreements, provides a clear legal

standard for affected actions, and

specifies in clear language the effect on

existing Federal law or regulation.

Paperwork Reduction Act and

Information Collection

This proposed rule contains

information collections for which

approvals are required under the

Paperwork Reduction Act. The majority

of the information collection associated

with this proposed rule is covered by

OMB approval number 1018–0093

(Forms 3–200–19 through 3–200–49, 3–

200–52, and 3–200–53). Any comments

on this record collection should be

directed to the Information Collection

Clearance Officer, Mail Stop 222,

Arlington Square, U.S. Fish and

Wildlife Service, Washington, DC

20240.

We are proposing ten new forms

(listed below). These proposed forms are

based on forms that are already

approved and would require only

submission of information specific to

the activity covered by the form. The

collection of information described for

those forms has been submitted to the

Office of Management and Budget

(OMB) for approval under the

provisions of the Paperwork Reduction

Act of 1995 (Public Law 104–13). We

may not conduct or sponsor, and a

person is not required to respond to, a

collection of information unless it

displays a currently valid OMB control

number. The proposed information

collection will be used to evaluate

applications for CITES documents. We

will use the information to review

applications and make decisions,

according to criteria established in

various Federal wildlife conservation

statutes and regulations, on the

issuance, suspension, revocation, or

denial of CITES documents. Your

response is required to obtain a CITES

document. We estimate the public

reporting burden for these reporting

requirements to vary from 30 minutes to

40 hours per response with an average

of 1 hour per response, including time

for reviewing instructions, gathering

and maintaining data, and completing

and reviewing the forms.

Comments on this proposed

information collection should be

directed to the attention of the Desk

Officer for the Interior Department,

Office of Information and Regulatory

Affairs, Office of Management and

Budget, Washington, DC 20503. A copy

of the comments should also be sent to

the Information Collection Clearance

Officer, Mail Stop 222, Arlington

Square, U.S. Fish and Wildlife Service,

Washington, DC 20240. The Office of

Management and Budget has up to 60

days to approve or disapprove the

information collection but may respond

after 30 days. Public comments should

be submitted to OMB within 30 days in

order to assure their maximum

consideration. The new forms and the

estimated reporting burdens are as

follows:

Form No. Activity Total number

of respondents

Estimated

completion

time

(hours)

Total annual

burden hours Regulation

3–200–54 .......... Certificate of Ownership for Personally Owned Wildlife 1,000 0.5 500 50 CFR 23.11,

23.36, 23.50.

3–200–55 .......... Registration of Appendix-I Commercial Breeding Operations......................... ........................ ........................ 50 CFR 23.11,

23.38, 23.50.

a. Application & Report .................................................. 10 4.5 45

b. Non-native species study .......................................... 5 40 200

3–200–56 .......... Replacement Documents ............................................... 50 0.5 25 50 CFR 23.11,

23.42.

26684 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Form No. Activity Total number

of respondents

Estimated

completion

time

(hours)

Total annual

burden hours Regulation

3–200–57 .......... Issuance of a Letter for an Exempt Hybrid ................... 10 0.5 5 50 CFR 23.11,

23.35.

3–200–58 .......... Retrospective Documents .............................................. 30 0.5 15 50 CFR 23.11,

23.43.

3–200–59 .......... Voluntary Registration of Pre-Convention Stocks ......... 15 1.0 15 50 CFR 23.11,

23.37.

3–200–60 .......... Participation in the Plant Rescue Center Program ....... 5 1.0 5 50 CFR 12.30,

23.70, 23.71.

3–200–61 .......... Reports for the American Ginseng CITES Export Programs.24 1.0 24 50 CFR 23.11,

23.60.

3–200–62 .......... Reports for the Furbearer CITES Export Programs ...... 49 0.5 24.5 50 CFR 23.11,

50 CFR

23.61.

3–200–63 .......... Reports for the American Alligator CITES Export Programs.9 0.5 4.5 50 CFR 23.11,

23.62.

Totals ......... ........................................................................................ 1,202 863 ........................

Form No. Activity Total number

of respondents

Application

processing/fee

Total annual

costs

3–200–54 .......... Certificate of Ownership for Personally Owned Wildlife .............................. 1,000 $25 $25,000

3–200–55 .......... Registration of Appendix-I ............................................................................ 10 25 250

Commercial Breeding Operations—Annual Report ..................................... 10 1 10

3–200–56 .......... Replacement Documents ............................................................................. 50 25 1,250

3–200–57 .......... Issuance of a Letter for an Exempt Hybrid .................................................. 10 25 250

3–200–58 .......... Retrospective Documents ............................................................................ 30 25 750

3–200–59 .......... Voluntary Registration of Pre-Convention Stocks ........................................ 15 25 375

3–200–60 .......... Participation in the Plant Rescue Center Program ...................................... 5 N/A 5

3–200–61 .......... Reports for the American Ginseng CITES Export Programs ...................... 24 N/A 24

3–200–62 .......... Reports for the Furbearer CITES Export Programs .................................... 49 N/A 49

3–200–63 .......... Reports for the American Alligator CITES Export Programs ....................... 9 N/A 9

Totals ......... .................................................................................................................. 1,202 27,972

We are specifically seeking public

comments as to:

a. Whether the collection of

information is necessary for the proper

performance of the functions of the

Service, including whether the

information will have practical utility;

b. The accuracy of the Service’s

estimate of the burden of the collection

of information, including the validity of

the methodology and assumptions used;

c. The quality, utility, and clarity of

the information to be collected; and

d. How to minimize the burden of the

collection of information on those who

are to respond, including the use of

appropriate automated electronic,

mechanical, or other forms of

information technology.

National Environmental Policy Act

The Department of the Interior has

determined that the issuance of this

action is categorically excluded under

the Department’s NEPA procedures in

516 DM 2, Appendix 1.10.

Government-to-Government

Relationship With Tribes

Under the President’s memorandum

of April 29, 1994, ‘‘Government-toGovernment Relations with Native

American Tribal Governments’’ (59 FR

22951) and 512 DM 2, we have

evaluated possible effects on federally

recognized Indian Tribes and have

determined that there are no effects.

Individual tribal members must meet

the same regulatory requirements as

other individuals who participate in

international trade of CITES species.

Public Comments Solicited

We invite interested organizations

and the public to comment on this

proposed rule. It generally reflects the

way we currently implement CITES

under the current resolutions. We have

drafted the proposal as part of our

ongoing permits reform effort to

simplify procedures, use risk

assessment to reduce paperwork while

still ensuring effective species

conservation, and help people

understand how to conduct

international trade in CITES species. We

are seeking comments, in particular, on

whether the provisions of the proposed

rule allows the affected public to

effectively comply with CITES and

whether the proposed rule is written in

a manner that the public can easily

understand and use.

List of Subjects

50 CFR Part 10

Exports, Fish, Imports, Law

enforcement, Plants, Transportation,

Wildlife.

50 CFR Part 13

Administrative practice and

procedure, Exports, Fish, Imports,

Plants, Reporting and recordkeeping

requirements, Transportation, Wildlife.

50 CFR Part 17

Endangered and threatened species,

Exports, Imports, Reporting and

recordkeeping requirements,

Transportation.

50 CFR Part 23

Animals, Endangered and threatened

species, Exports, Fish, Foreign officials,

Foreign trade, Forest and forest

products, Imports, Marine mammals,

Plants, Reporting and recordkeeping

requirements, Transportation, Treaties,

Wildlife.

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26685

Proposed Regulations

For the reasons given in the preamble,

Title 50, Chapter I, Subchapter B of the

CFR, is proposed to be amended to read

as follows:

PART 10—[AMENDED]

1. The authority citation for part 10

continues to read as follows:

Authority: 18 U.S.C. 42; 16 U.S.C. 703–

712; 16 U.S.C. 668a–d; 19 U.S.C. 1202; 16

U.S.C. 1531–1544; 16 U.S.C. 1361–1407; 16

U.S.C. 742a–742j–l; 16 U.S.C. 3371–3378.

2. In § 10.12, the definitions of

Country of origin and United States are

revised to read as follows:

§ 10.12 Definitions.

* * * * *

Country of origin means the country

where the wildlife or plant (including

parts and products such as

manufactured goods) was taken from the

wild or was born or propagated in

captivity.

* * * * *

United States means the several States

of the United States of America, the

District of Columbia, the

Commonwealth of Puerto Rico,

American Samoa, the U.S. Virgin

Islands, Guam, the Commonwealth of

the Northern Mariana Islands, Baker

Island, Howland Island, Jarvis Island,

Johnston Atoll, Kingman Reef, Midway

Islands, Navassa Island, Palmyra Atoll,

and Wake Atoll.

* * * * *

PART 13—[AMENDED]

3. The authority citation for part 13

continues to read as follows:

Authority: 16 U.S.C. 668a, 704, 712, 742j–

l, 1382, 1538(d), 1539, 1540(f), 3374; 4901–

4916; 18 U.S.C. 42; 19 U.S.C. 1202; E.O.

11911, 41 FR 14583; 31 U.S.C. 9701.

4. Section 13.1 is revised to read as

follows:

§ 13.1 General.

(a) A person must obtain a valid

permit before commencing an activity

for which a permit is required by this

subchapter, except as provided in 50

CFR 23.43 for certain non-commercial

shipments under CITES.

(b) A person must apply for such a

permit under the general permit

procedures of this part and any other

regulations in this subchapter that apply

to the proposed activity.

(1) The requirements of all applicable

parts must be met.

(2) A person may submit one

application that includes the

information required in each part, and

a single permit will be issued if

appropriate.

5. Section 13.12(a)(1) is revised to

read as follows:

§ 13.12 General information requirements

on applications for permits.

(a) * * *

(1) Applicant’s full name, street

address, county, home and work

telephone numbers, fax number, and

e:mail address, and—

(i) If the applicant resides or is located

outside the United States, a street

address in the United States and, if

conducting commercial activities, the

name and address of his or her agent

that is located in the United States; and

(ii) If the applicant is an individual,

the date of birth, social security number,

occupation, and any business, agency,

organizational, or institutional

affiliation associated with the wildlife

or plants to be covered by the license or

permit; or

(iii) If the applicant is a business,

corporation, public agency, or

institution, the tax identification

number, description of the type of

business, corporation, agency, or

institution, and the name and title of

person responsible for the permit (such

as president, principal officer, or

director);

* * * * *

6. Section 13.22(c) is revised to read

as follows:

§ 13.22 Renewal of permits.

* * * * *

(c) Continuation of permitted activity.

Any person holding a valid, renewable

permit may continue the activities

authorized by the expired permit until

the Service acts on the application for

renewal if all of the following

conditions are met:

(1) The permit is currently in force

and not suspended or revoked;

(2) The person has complied with this

section; and

(3) The permit is not a CITES

document issued under 50 CFR part 23,

which is void upon expiration.

* * * * *

7. Section 13.46 is amended by

adding a sentence at the end of the

section to read as follows:

§ 13.46 Maintenance of records.

• * * * If the permittee is conducting

commercial activities and resides or is

located outside the United States,

records shall be maintained at a location

in the United States that is available for

inspection.

PART 17—[AMENDED]

8. The authority citation for part 17

continues to read as follows:

Authority: 16 U.S.C. 1361–1407; 16 U.S.C.

1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99–

625, 100 Stat. 3500; unless otherwise noted.

§ 17.8 [Redesignated as § 17.9]

9. Part 17 is amended by

redesignating § 17.8 as § 17.9.

10. New § 17.8 is added to read as

follows:

§ 17.8 Import exemption for threatened,

CITES Appendix-II wildlife.

Except as provided in paragraph (a) of

this section, all prohibitions of § 17.31

and exemptions of § 17.32 shall apply to

any specimen of a threatened species of

wildlife:

(a) Import. Subject to the provision in

paragraph (b) of this section, live

specimens, or parts and products, of a

species listed as threatened under this

part may be imported without a

threatened species permit under § 17.32

provided the following conditions are

met:

(1) The species is listed in Appendix

II of CITES (see 50 CFR part 23);

(2) The wildlife was taken from the

wild or on a ranch by or for the importer

for non-commercial use;

(3) If the specimen is a sport-hunted

trophy (see paragraph (c) of this

section), the CITES listing is not subject

to an annotation for sport-hunted

trophies where other specimens of the

species are treated as included in

Appendix I of CITES (see 50 CFR part

23);

(4) The number of specimens to be

imported is reasonably appropriate for

the nature of the import;

(5) The specimen is accompanied by

a valid CITES document (see 50 CFR

23.23);

(b) Special rules. Stricter provisions of

any special rule in this part apply in

addition to this section; and

(c) Sport-hunted trophy means raw or

tanned parts of a specimen that was

taken by the hunter, who is also the

importer, during a sport hunt for

personal, non-commercial use. It may

include the hide, head, skull, tusks,

horns, hair, teeth, claws, meat, bones, or

any taxidermied part, including, but not

limited to, a taxidermied head,

shoulder, or full mount. It does not

include articles made from a trophy

such as worked, manufactured, or

handicraft items for use as clothing,

curios, ornamentation, jewelry, or other

utilitarian items.

11. Part 23 is revised to read as

follows:

26686 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

PART 23—CONVENTION ON

INTERNATIONAL TRADE IN

ENDANGERED SPECIES OF WILD

FAUNA AND FLORA (CITES)

Subpart A—Introduction

Sec.

23.1 What are the purposes of CITES and

these regulations?

23.2 How do I decide if these regulations

apply to my shipment or me?

23.3 What other wildlife and plant

regulations may apply?

23.4 What are Appendices I, II, and III?

23.5 How are the terms used in these

regulations defined?

23.6 What are the roles of the Management

and Scientific Authorities?

23.7 What office do I contact for CITES

information?

23.8 What are the information collection

requirements?

Subpart B—Prohibitions, Exemptions, and

Requirements

23.11 What is prohibited?

23.12 How may I travel internationally with

my personal and household effects?

23.13 What are the U.S. CITES

requirements for urine, feces, and

synthetically derived DNA?

23.14 What are the requirements for

diplomatic, consular, military, and other

persons eligible for waiver privileges

under customs law?

23.15 What CITES documents are required

to export Appendix-I wildlife?

23.16 What CITES documents are required

to export Appendix-I plants?

23.17 What CITES documents are required

for international trade?

23.18 What happens if a country enters a

reservation for a species?

23.19 What are the requirements for intransit shipments?

23.20 What information is required on U.S.

and foreign CITES documents?

23.21 What code is used to show the source

of the specimen?

23.22 What additional information is

required on non-Party CITES

documents?

23.23 When is a U.S. or foreign CITES

document valid?

23.24 What CITES documents do I present

at the port?

Subpart C—Application Procedures,

Issuance Criteria, and Conditions

23.25 How do I apply for a U.S. CITES

document?

23.26 How do we decide to issue or deny

a request for a U.S. CITES document?

23.27 What records do I need to apply for

a U.S. CITES document?

23.28 What are the requirements for import

permits?

23.29 What are the requirements for export

permits and re-export certificates?

23.30 What are the requirements for

certificates of origin?

23.31 What are the requirements for

introduction-from-the-sea certificates?

23.32 What are the requirements for

certificates for artificially propagated

plants?

23.33 What are the requirements for bredin-captivity certificates?

23.34 What are the requirements for plant

hybrids?

23.35 What are the requirements for

wildlife hybrids?

23.36 What are the requirements to travel

internationally with my personally

owned live wildlife?

23.37 What are the requirements for preConvention specimens?

23.38 What are the requirements for

registering an Appendix-I commercial

breeding operation?

23.39 What are the requirements for export

of Appendix-I plants artificially

propagated for commercial purposes?

23.40 What are the requirements for

registered scientific institutions?

23.41 What are the requirements for

traveling live-animal exhibitions?

23.42 What are the requirements to replace

lost, damaged, stolen, or accidentally

destroyed CITES documents?

23.43 What are the requirements for

retrospective CITES documents?

23.44 How long is a CITES document valid?

23.45 What CITES document conditions do

I need to follow?

Subpart D—Factors We Consider in Making

Certain Findings

23.50 What factors do we consider in

making a legal acquisition finding?

23.51 What factors do we consider in

making a non-detriment finding?

23.52 What factors do we consider in

making a finding of primarily

commercial purposes?

23.53 What factors do we consider in

making a bred-in-captivity finding?

23.54 What factors do we consider in

making an artificially propagated

finding?

23.55 What factors do we consider in

making a finding of bred or propagated

for commercial purposes?

23.56 What factors do we consider in

making a finding that an applicant is

suitably equipped to house and care for

a live specimen?

Subpart E—International Trade in Certain

Specimens

23.60 How can I trade internationally in

American ginseng?

23.61 How can I trade internationally in

furs of bobcat, river otter, Alaska lynx,

Alaska gray wolf, and Alaska brown

bear?

23.62 How can I trade internationally in

crocodilian skins and parts of skins,

including American alligator skins?

23.63 How can I trade internationally in

sturgeon caviar?

23.64 How can I trade internationally in

timber?

23.65 How can I trade internationally in

personal sport-hunted trophies?

Subpart F—Disposal of Confiscated Live

Wildlife and Plants

23.70 How do we dispose of confiscated

live wildlife and plants?

23.71 How may I participate in the Plant

Rescue Center Program?

Subpart G—CITES Administration

23.75 What are the roles of the Secretariat

and the committees?

23.76 What is a Conference of the Parties

(COP)?

23.77 How can I obtain information on a

COP?

23.78 How does the United States develop

negotiating positions for a COP?

Subpart H—Lists of Species

23.85 What are the criteria for listing

species in Appendix I or II?

23.86 What are the criteria for listing

species in Appendix III?

23.87 How do I find out if a species is

listed?

23.88 Are any wildlife and plants, and their

parts or products, exempt?

Authority: 27 U.S.T. 1087; 16 U.S.C. 1531

et seq.

Subpart A—Introduction

§ 23.1 What are the purposes of CITES and

these regulations?

(a) Treaty. The regulations in this part

implement the Convention on

International Trade in Endangered

Species of Wild Fauna and Flora, also

known as CITES, the Convention, the

Treaty, or the Washington Convention,

TIAS (Treaties and Other International

Acts Series) 8249.

(b) Purpose. The aim of CITES is to

regulate international trade to ensure it

is legal and does not threaten the

survival of wildlife and plant species in

the wild. Countries that have ratified or

acceded to CITES (Parties) recognize

that:

(1) Wildlife and plants are an

irreplaceable part of the natural systems

of the earth and must be protected for

this and future generations.

(2) The value of wildlife and plants is

ever-growing from the viewpoints of

aesthetics, science, culture, recreation,

and economics.

(3) Although countries should be the

best protectors of their own wildlife and

plants, international cooperation is

essential to protect wildlife and plant

species from over-exploitation through

international trade.

(4) It is urgent that countries take

appropriate measures to prevent illegal

trade and ensure that any use of wildlife

and plants is sustainable.

(c) Domestic legislation. We, the

Service, implement CITES through the

U.S. Endangered Species Act (ESA).

§ 23.2 How do I decide if these regulations

apply to my shipment or me?

Answer the following questions to

decide if the regulations in this part

apply to your proposed activity:

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26687

Question on proposed activity Answer and action

(a) Is the wildlife or plant species (including parts, products,

and hybrids, whether wild-collected or bred, born, grown,

or propagated in captivity) listed in Appendices I, II, or III

of CITES?

(1) YES. Continue to paragraph (b) of this section.

(2) NO. The regulations in this part do not apply.

(b) Is the part, product, or manufactured article a personal or

household effect?

(1) YES. See § 23.12.

(2) NO. Continue to paragraph (c) of this section.

(c) Is the sample urine, feces, or synthetically derived DNA

(deoxyribonucleic acid)?

(1) YES. See § 23.13.

(2) NO. Continue to paragraph (d) of this section.

(d) 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 (e) of this section.

(e) Was the specimen that you possess, or want to put in

intrastate or interstate commerce, unlawfully acquired, illegally traded, or otherwise subject to conditions set out

on the CITES document?

(1) YES. See § 23.11(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.

§ 23.3 What other wildlife and plant

regulations may apply?

(a) You may need to comply with

other regulations in this subchapter that

require a permit or have additional

restrictions.

(b) If you are applying for a permit,

you must comply with the general

permit procedures in 50 CFR part 13.

(c) If you are importing (including

introduction from the sea), exporting, or

re-exporting wildlife or plants, you must

comply with the regulations in 50 CFR

part 14 for wildlife or 50 CFR part 24

for plants. Activities with plants are also

regulated by the U.S. Department of

Agriculture, Animal and Plant Health

Inspection Service (APHIS), in 7 CFR

parts 355 and 356.

(d) Many CITES species are also

covered by one or more parts of this

subchapter and have additional

requirements:

(1) 50 CFR parts 10 and 21 (migratory

bird list and permits).

(2) 50 CFR part 15 (Wild Bird

Conservation Act).

(3) 50 CFR part 16 (injurious wildlife).

(4) 50 CFR part 17 (endangered and

threatened species).

(5) 50 CFR part 18 (marine mammals).

(6) 50 CFR part 22 (eagle permits).

§ 23.4 What are Appendices I, II, and III?

Species are listed by the Parties at one

of three levels of protection (referred to

as appendices, see subpart H of this

part), which have different

requirements. Parties regulate trade in

specimens (live and dead) of AppendixI, -II, or -III species and their hybrids,

parts, and products through a system of

permits and certificates (CITES

documents). Such documents enable

Parties to monitor the effects of the

volume and type of trade to ensure trade

is legal and not detrimental to the

survival of the species.

(a) Appendix I includes species

threatened with extinction that are or

may be affected by trade. Requirements

to trade in specimens of Appendix-I

species include:

(1) Trade must be subject to

particularly strict regulation to avoid

further endangering their survival and

must be authorized only in exceptional

circumstances.

(2) The import or introduction from

the sea may not be for primarily

commercial purposes.

(3) A shipment requires an import

permit and an export permit or re-export

certificate unless the specimen is

accompanied by either a valid CITES

exemption document issued by the

exporting or re-exporting country or an

introduction-from-the-sea certificate.

(b) Appendix II includes species that

are not presently threatened with

extinction but may become so if their

trade is not regulated. It also includes

species that need to be regulated so that

trade in certain other Appendix-I or -II

species may be effectively controlled;

these species are most commonly listed

due to their similarity of appearance to

other related CITES species.

(1) CITES does not require import

permits for Appendix-II species.

(2) For specimens of Appendix-II

species to be traded, each shipment

must be accompanied by a CITES

document from the exporting or reexporting country or an introductionfrom-the-sea certificate.

(c) Appendix III includes species

listed by a range country to obtain

international cooperation in controlling

trade. For specimens of Appendix-III

species to be traded, each shipment

must be accompanied by an export

permit, certificate of origin, or a reexport certificate.

§ 23.5 How are the terms used in these

regulations defined?

In addition to the definitions

contained in Article I of the Treaty and

50 CFR part 10, and unless the context

requires, in this part:

Annotation means an official footnote

to the listing of a species in the CITES

appendices. A reference annotation

provides information that further

explains the listing (‘‘p.e.’’ for possibly

extinct). A substantive annotation is an

integral part of a species’ listing. It

designates whether the listing includes

or excludes a geographically separate

population, subspecies, species, group

of species, or higher taxa and the type

of specimens, such as live wildlife or

plants or certain parts or products that

can be traded. It may include export

quotas.

Artificially propagated means a plant

(including parts and products) grown

under controlled conditions from a

legally obtained seed, cutting, division,

callus tissue, other plant tissue, spore,

or other propagule that meets the

criteria in § 23.54.

Bred in captivity means wildlife

(including parts and products) that

meets the criteria in § 23.53 and is the

offspring of legally obtained parents that

either mated or otherwise transferred

egg and sperm under controlled

conditions if reproduction is sexual; or

of parents that were maintained under

controlled conditions when

development of the offspring began if

reproduction is asexual.

Certificate means a CITES document

designated as a re-export or other

certificate.

CITES document or CITES exemption

document means any certificate, permit,

26688 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

or other document issued by a

Management Authority of a Party or a

non-Party whose name and address is

on file with the Secretariat to authorize

the international movement of CITES

specimens.

Commercial means an activity whose

purpose is to obtain economic benefit,

including profit (whether in cash or in

kind) and is directed toward resale,

exchange, provision of a service, or

other form of economic use or benefit.

Conference of the Parties (COP) refers

to the meetings of the Parties to consider

amendments to the appendices and

resolutions to improve the

implementation of CITES

Cultivar means a horticulturally

derived variety where humans select for

specific morphological, physiological,

or other characteristics, such as color, a

large flower, or disease resistance.

Cultivated refers to a plant that is

grown, tended, or fostered by humans

for human use. A cultivated plant can

be treated as artificially propagated

under CITES only if it meets the criteria

in § 23.54.

Export means to send or carry out of

a country (for export from the United

States, see 50 CFR part 14).

Flasked means plant material

obtained in vitro, in solid or liquid

media, transported in sterile containers.

Founder stock means the original

breeding or propagating specimens that

produced the subsequent generations of

captive specimens and can be either

pre-Convention, previously imported

into the United States, or removed from

the wild if the species is native to the

United States.

Hybrid means any wildlife or plant

that results from a cross of genetic

material between two separate taxa,

when one or both are listed in Appendix

I, II, or III. See § 23.34 for plant hybrids

and § 23.35 for wildlife hybrids.

Import means to bring or carry into a

country (for import into the United

States, see 50 CFR part 14).

International trade means the import,

introduction from the sea, export, or reexport across jurisdictional or

international boundaries for any

purpose whether commercial or noncommercial.

In-transit shipment means the

immediate transshipment of any

wildlife or plant through an

intermediary country when the

specimen remains under customs

control.

Introduction from the sea means to

directly transport into a country any

specimen that was taken in the marine

environment not under the jurisdiction

of any country, including the air above

the sea, the sea-bed, and subsoil beneath

the sea.

Management Authority means a

governmental agency officially

designated by, and under the

supervision of, a Party or non-Party to

implement CITES, including the

granting of CITES documents on behalf

of that country.

Parental stock mean the wildlife or

plants that are the immediate parents of

a specimen.

Party means a country that has

ratified or acceded to CITES.

Permit means a CITES document

designated as an export or import

permit.

Precautionary measures mean that the

actions we take will be in the best

interest of the conservation of the

species, when there is uncertainty about

the status of a species or the impact of

trade on the conservation of a species.

Pre-Convention means a specimen

that was removed from the wild or held

in captivity or a controlled environment

before the date the species was first

listed on any appendix of CITES.

Primarily commercial purposes means

an activity whose non-commercial

aspects do not clearly predominate (see

§ 23.52).

Propagule means a structure, such as

a cutting, seed, or spore, that propagates

a plant.

Ranching means the rearing in a

controlled environment of eggs or

juvenile wildlife specimens taken from

the wild.

Readily recognizable means any

specimen that appears from a visual,

physical, scientific, or forensic

examination or test; an accompanying

document, packaging, mark, or label; or

any other circumstances to be a part or

product of any CITES wildlife or plant,

unless such part or product is

specifically exempt from the provisions

of CITES or this part.

Re-export means to send or carry out

of a country any wildlife or plant

(including parts and products)

previously imported or introduced from

the sea into that country, whether or not

the specimen was altered since import

or introduction.

Reservation means the action taken by

a Party to inform the Secretariat that it

is not bound by the effect of a specific

listing (see § 23.18).

Scientific Authority means a

governmental or independent scientific

institution or entity officially designated

by a Party or non-Party to implement

CITES, including making scientific

findings.

Secretariat means the entity

designated by the Treaty to perform

certain administrative functions (see

§ 23.75).

Shipment means any CITES specimen

in international trade whether for

commercial or non-commercial use,

including any personal item.

Species means any species,

subspecies, variety, or geographically

separate population of that species.

Specimen means any wildlife or

plant, whether alive or dead. For

Appendix-I and -II wildlife and

Appendix-I plants, this term includes

any readily recognizable part or

product. For Appendix-III wildlife and

Appendix-II and -III plants, all readily

recognizable parts or products are

included, except as annotated in the

appendices.

Sport-hunted trophy means raw or

tanned parts of a specimen that was

taken by the hunter, who is also the

importer, exporter, or re-exporter,

during a sport hunt for personal, noncommercial use. It may include the

hide, head, skull, tusks, horns, hair,

teeth, claws, meat, bones, or any

taxidermied part, including, but not

limited to, a taxidermied head,

shoulder, or full mount. It does not

include articles made from a trophy,

such as worked, manufactured, or

handicraft items for use as clothing,

curios, ornamentation, jewelry, or other

utilitarian items.

Sustainable use means the use of a

species in a manner and at a level that

maintain wild populations at

biologically viable levels for the long

term. Such use involves a determination

of the productive capacity of the species

and its ecosystem, to ensure that

utilization does not exceed those

capacities or the ability of the

population to reproduce, maintain itself,

and perform its role or function in its

ecosystem.

Trade means the same as

international trade.

Traveling live-animal exhibition

means an entity that uses live wildlife

for display or entertainment, such as a

circus or performing act, where the

exhibition is temporarily moving

internationally.

§ 23.6 What are the roles of the

Management and Scientific Authorities?

Under Article IX of the Treaty each

Party must designate a Management and

Scientific Authority to implement

CITES for that country. If a non-Party

wants to trade with a Party, it must also

designate such Authorities. The name

and address of these offices must be sent

to the Secretariat to be included in the

Directory. In the United States, different

offices within our agency have been

designated the Management and

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26689

Scientific Authority and do the

following:

Roles Scientific

authority

Management

authority

(a) Provide scientific advice and recommendations, including advice on biological findings for applications for certain CITES documents. Evaluate the conservation status of

species to determine if a species listing or change in listing is warranted ...................... 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 X

(d) Monitor trade ...................................................................................................................... X X

(e) Produce annual reports on CITES trade ............................................................................ X

(f) Coordinate with State conservation and Federal agencies on CITES issues, such as

the status of native species, development of policies, negotiating positions, and law

enforcement activities ........................................................................................................... X X

(g) 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

(h) Represent the United States at the meetings of the Conference of the Parties (COP),

on committees (see subpart G of this part), and on CITES work 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

(i) Provide assistance for the enforcement of CITES, including the inspection and clearance of shipments. Cooperate with enforcement officers at the Secretariat, International Criminal Policy Organization—Interpol, and World Customs Organization to

facilitate the exchange of information between enforcement bodies and for training

purposes ................................................................................................................................ X

(j) Provide financial and technical assistance to other governmental agencies and CITES

officials of other countries ................................................................................................... X X

§ 23.7 What office do I contact for CITES information?

Contact one of the following offices to receive information about CITES:

Type of information Office to contact

(a) CITES administrative and management issues:

CITES documents, including application forms

Information on the COP

List of CITES species

Names and addresses of other countries’ Management and

Scientific Authority offices

Notifications, resolutions, and decisions

Standing Committee documents and issues

Office of 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

E-mail: r9IA OMA@fws.gov

Fax retrieval system: (800) 770–0150 or (703) 358–2348

Website: international.fws.gov

26690 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Type of information Office to contact

(b) Scientific issues:

Animals Committee documents and issues

Findings regarding suitability of facilities

Listing of species in the appendices and relevant resolutions

Names and addresses of other countries’ Scientific Authority offices and scientists involved with CITES-related

issues

Non-detriment and other scientific findings

Plants Committee documents and issues

Office of Scientific Authority

U.S. Fish and Wildlife Service

4401 North Fairfax Drive, Room 700

Arlington, Virginia 22203

Tel: (703) 358–1708

Fax: (703) 358–2276

E-mail: r9osa@fws.gov

Website: international.fws.gov

(c) Wildlife clearance procedures:

Information about wildlife port office locations

Procedures for the import (including introduction from the

sea), export, and re-export of wildlife, including the inspection and clearance of shipments, and filing a Declaration of Importation or Exportation of Fish or Wildlife

(Form 3–177)

Validation of CITES wildlife documents

Office of Law Enforcement

U.S. Fish and Wildlife Service

P.O. Box 3247

Arlington, Virginia 22203

Tel: (703) 358–1949

Fax: (703) 358–2271

Website: www.le.fws.gov

(d) Plant clearance procedures:

Information about plant port office locations

Procedures for the import (including introduction from the

sea), export, and re-export of plants, including the inspection and clearance of shipments

Validation of CITES plant documents

U.S. Department of Agriculture APHIS/PPQ

4700 River Road

Riverdale, Maryland 20737–1236

Toll Free: (877) 770–5990/permit questions

Tel: (301) 734–5371/other CITES issues

Fax: (301) 734–5786/permit questions

Fax: (301) 734–8693/other CITES issues

Fax retrieval system: (301) 734–4327

Website: www.aphis.usda.gov/ppq

(e) Official list of CITES species: CITES Secretariat

Website: www.cites.org

§ 23.8 What are the information collection

requirements?

(a) The Office of Management and

Budget approved the information

collection requirements for application

forms 3–200–19 through 3–200–53

contained in this part under 44 U.S.C.

3507 and assigned OMB Control

Number 1018–0093. New application

forms 3–200–54 through 3–200–63 have

been submitted to OMB for assignment

of an approval number.

(b) When using a form, we cannot

collect or sponsor the collection of

information, and you are not required to

provide information, unless the form

displays a currently valid OMB control

number.

(c) We are collecting this information

to evaluate applications and make

decisions under this part on whether to

issue, suspend, revoke, or deny a

request for a CITES document.

(d) We are also collecting information

to review State and tribal management

programs for CITES species to

streamline the permitting process for

species taken under these programs.

(e) You must respond to our request

for information in order to get or retain

a CITES document.

(f) We estimate the public reporting

burden for the collection of information

under this part to vary from 20 minutes

to 40 hours per response with an

average of 1 hour. This estimate

includes time for reviewing

instructions, gathering and maintaining

data, and completing and reviewing the

forms.

(g) You may direct comments on this

information collection to the attention

of the Desk Officer for the Interior

Department, Office of Management and

Budget, 1849 C Street, NW, Washington,

DC 20503, with a copy to the

Information Collection Clearance

Officer, Mail Stop 222, Arlington

Square, U.S. Fish and Wildlife Service,

Washington, DC 20240.

Subpart B—Prohibitions, Exemptions,

and Requirements

§ 23.11 What is prohibited?

If you are subject to the jurisdiction of

the United States, it is unlawful for you

to conduct any of the following

activities unless you meet the

requirements of this part:

(a) Import, export, re-export, or engage

in international trade with any

specimen of a species listed in

Appendix I, II, or III of CITES.

(b) Introduce from the sea any

specimen of a species listed in

Appendix I or II of CITES.

(c) Possess any specimen of a species

listed in Appendix I, II, or III of CITES

imported, exported, re-exported,

introduced from the sea, or traded

contrary to the provisions of CITES, the

ESA, or this part.

(d) Attempt to commit, solicit another

to commit, or cause to be committed any

of the activities described in paragraphs

(a) through (c) of this section.

§ 23.12 How may I travel internationally

with my personal or household effects?

(a) Purpose. Article VII(3) of the

Treaty recognizes a limited exemption

for the international movement of

personal and household effects.

(b) Stricter national legislation. The

exemption for personal and household

effects does not apply if a country

prohibits or restricts the import, export,

or re-export of the item.

(1) You or your shipment must be

accompanied by any document required

by a country under its stricter national

legislation.

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(2) In the United States, this

exemption does not relieve you from

obtaining permission needed under

other regulations in this subchapter (see

§ 23.3).

(c) Required CITES documents. You

must obtain a CITES document for

personal or household effects if one of

the following applies:

(1) The Management Authority of the

importing, exporting, or re-exporting

country requires a CITES document.

(2) You or your shipment does not

meet all of the conditions for an

exemption as provided in paragraphs (d)

through (g) of this section.

(d) Personal effects. You do not need

a CITES document to import, export, or

re-export any part, product, or

manufactured article of a legally

acquired Appendix-II or -III wildlife or

plant, including a tourist souvenir, to or

from the United States if all of the

following conditions are met:

(1) No live wildlife or plant (including

eggs or non-exempt seeds) is included.

(2) No item from an Appendix-I

species is included, except for certain

worked African elephant ivory as

provided in paragraph (g) of this

section.

(3) No sturgeon caviar (Order

Acipenseriformes) is included except as

provided in paragraph (f) of this section.

(4) You personally own and possess

the item for non-commercial purposes,

including any item intended as a

personal gift.

(5) The item and quantity of items is

reasonably necessary or appropriate for

the nature of your trip or stay.

(6) You are either wearing the item as

clothing or an accessory or taking it as

part of your personal baggage, which is

being carried by you or checked as

baggage on the same plane, boat, car, or

train as you.

(7) The item was not mailed or

shipped separately.

(e) Household effects. You do not

need a CITES document to import,

export, or re-export any part, product, or

manufactured article of a legally

acquired Appendix-II or -III wildlife or

plant that is part of a shipment of your

household effects when moving your

residence to or from the United States,

if all of the following conditions are

met:

(1) No live wildlife or plant (including

eggs or non-exempt seeds) is included.

(2) No item from an Appendix-I

species is included, except for certain

worked African elephant ivory as

provided in paragraph (g) of this

section.

(3) No sturgeon caviar (Order

Acipenseriformes) is included.

(4) You personally own the item and

are moving it for non-commercial

purposes.

(5) The item and quantity of items is

reasonably necessary or appropriate for

household use.

(6) You import or export your

household effects within 1 year of

moving your residence.

(7) The shipment, or shipments if you

cannot move all of your household

effects at one time, contains only items

purchased, inherited, or otherwise

acquired before you moved.

(f) Sturgeon caviar. You may import,

export, or re-export 250 grams or less of

caviar of Appendix-II sturgeon (in the

Order Acipenseriformes and not listed

as endangered or threatened under the

ESA) without a CITES document as a

personal effect if it meets the

requirements in paragraph (d) of this

section. To import, export, or re-export

more than 250 grams of caviar, you must

have a valid CITES document for the

entire quantity.

(g) African elephant worked ivory.

You may export or re-export from the

United States worked African elephant

(Loxodonta africana) ivory and then reimport it without a CITES document if

you meet all of the following:

(1) The worked ivory is a personal or

household effect that meets the

requirements of paragraph (d) or (e) of

this section, except it is not a gift.

(2) You are a U.S. resident, owned the

worked ivory before leaving the United

States, and intend to bring the item back

to the United States.

(3) The ivory is substantially worked

and is not raw. Raw ivory means a tusk,

or a piece of tusk, which is polished or

unpolished, unaltered, or minimally

carved, including ivory mounted on a

stand or part of a trophy.

(4) When you return, you are able to

provide records, receipts, or other

documents to show that you possessed

the ivory before you left the United

States.

§ 23.13 What are the U.S. CITES

requirements for urine, feces, and

synthetically derived DNA?

(a) CITES documents. We do not

regulate any sample of urine, feces, or

synthetically derived DNA under CITES

but some countries may.

(1) You must obtain any collection

permit and/or CITES document required

by the foreign country.

(2) If the foreign country requires you

to have a U.S. CITES document for these

kinds of samples, we will treat the

sample as regulated and you must apply

for a CITES document.

(b) Urine and feces. Except as

provided in paragraph (a) of this

section, we consider urine and feces to

be wildlife by-products, rather than

parts or products, and exempt them

from the requirements of CITES and this

part.

(c) DNA. We differentiate between

DNA directly extracted from blood and

tissue and DNA synthetically derived as

follows:

(1) A DNA sample directly derived

from wildlife or plant tissue is regulated

by CITES and this part.

(2) A DNA sample synthetically

derived that does not contain any part

of the original template is exempt from

the requirements of CITES and this part.

§ 23.14 What are the requirements for

diplomatic, consular, military, and other

persons eligible for waiver privileges under

customs law?

A person receiving duty-free and

inspection waiver privileges under

customs laws is not exempt from the

requirements of CITES or the

regulations in this part.

§ 23.15 What CITES documents are

required to export Appendix-I wildlife?

Answer the questions in the following

decision tree to find out the section in

the regulations in this part that applies

to the type of CITES document you need

to export Appendix-I wildlife:

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§ 23.16 What CITES documents are required to export Appendix-I plants?

Answer the questions in the following decision tree to find out the section in the regulations in this part that

applies to the type of CITES document you need to export Appendix-I plants:

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§ 23.17 What CITES documents are

required for international trade?

(a) Purpose. Articles III, IV, and V of

the Treaty give the types of standard

CITES documents that must accompany

an Appendix-I, -II, or -III specimen in

international trade. Article VII

recognizes some exemptions and

provides that a CITES document must

accompany most exempt specimens.

(b) Stricter national legislation. Before

importing, introducing from the sea,

exporting, or re-exporting a specimen,

check with the Management Authorities

of all countries concerned to obtain any

documentation required under stricter

national legislation.

(c) CITES documents. Except as

provided in the regulations in this part,

you must have a valid CITES document

to engage in international trade with any

CITES specimen.

(d) CITES exemption documents. The

following table lists the CITES

exemption document that you must

obtain before conducting a proposed

activity with an exempt specimen. The

first column alphabetically lists the type

of specimen. The last column indicates

the section of this part that contains

information on the application

procedures, provisions, issuance

criteria, and conditions specific to each

CITES exemption document, as follows:

Type of specimen Appendix CITES exemption document Section

(1) Artificially propagated plant (see paragraph (d)(4) of this section for an Appendix-I plant propagated for commercial

purposes).

I,II, or III ....... 1CITES document with source code ‘‘A’’ ... 23.32

(2) Artificially propagated plant from a

country that has provided copies of the

certificates, stamps, and seals to the Secretariat.

II or III ........... 1Phytosanitary certificate with CITES

statement.

23.20(f)

(3) Bred-in-captivity wildlife (see paragraph (d)(5) of this section for Appendix-I wildlife bred for commercial purposes).I,II, or III ....... 1CITES document with source code ‘‘C’’ ... 23.33

(4) Commercial propagation of an Appendix-I plant.I ..................... 1CITES document with source code ‘‘D’’ ... 23.39

(5) Commercial registered breeding operation for Appendix-I wildlife.I ..................... 1CITES document with source code ‘‘D’’ ... 23.38

(6) Hybrid ...................................................... I, II, or III ...... 1CITES document or certification letter

from a Management Authority.

23.34

23.35

(7) In-transit shipment ................................. I, II, or III ...... CITES document designating importer and

country of final destination.

23.19

(8) Introduction from the sea under a preexisting treaty, convention, or international agreement for that species.I or II ............. Document required by applicable treaty,

convention, or international agreement.

23.31(d)

(9) Personally owned live wildlife for multiple cross-border movement.I, II, or III ...... 2CITES certificate of ownership .................. 23.36

(10) Pre-Convention speciment ................... I, II, or III ...... 1CITES document indicating pre-Convention status.23.37

(11) Registered scientific institution for

non-commercial loan, donation, or exchange of specimens.

I, II, or III ...... 3A 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.

23.40

(12) Traveling live-animal exhibition ......... I, II, or III ...... 2CITES document indicating pre-Convention or bred-in-captivity status.23.41

1 Issued by the Management Authority in exporting or re-exporting country.

2 Issued by the Management Authority in the exporting country.

3Registration codes assigned by the Management Authorities in both exporting and importing countries.

(e) Import permits, export permits, reexport certificates, and certificates of

origin. You must obtain the following

valid CITES documents before

conducting the proposed activity, unless

one of the exemptions in paragraph (d)

of this section or introduction from the

sea in paragraph (f) of this section

applies:

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Appendix Import permit

(§ 23.28) Export permit, Re-export Certificate, (§ 23.29) or Certificate of Origin (§ 23.30)

I ...................... 1Required ..... Required.

II ..................... Not Required Required.

III .................... Not Required Required:

• An export permit if coming from a country that listed the species.

• A re-export certificate if being re-exported from any country.

• A certificate of origin if originating in a country other than the listing country or as

annotated in the listing.

1The Management Authority of the importing country has granted the import permit or confirmed that it will be granted

before an export permit for a live or dead specimen or a re-export certificate for a live specimen can be issued. A re-export

certificate for a dead specimen can be issued without confirmation that the import permit has been issued, but the import

permit is required before the import can be allowed.

(f) Introduction-from-the-sea

documents. For introduction from the

sea, you must obtain the following valid

CITES documents before conducting the

proposed activity, unless the exemption

in paragraph (d)(8) of this section

applies:

Appendix

Either Or

Import Permit (§ 23.28) Introduction-from-the-Sea

Certificate (§ 23.31)

Re-export

Certificate (§ 23.29)

I ...................... Required ....................................... 1Required ..................................... Required

II ..................... Required ....................................... 1Required ..................................... Not required

III .................... Not required ................................. 2Required ..................................... Not required

1The export of a specimen that was previously introduced from the sea will be treated as a re-export.

2Although an Appendix-III specimen taken from the marine environment beyond any country’s jurisdiction does not require any CITES document to be introduced from the sea, the subsequent export of the specimen would require the

issuance of a certificate of origin.

§ 23.18 What happens if a country enters

a reservation for a species?

(a) Purpose. CITES is not subject to

general reservations. Articles XV, XVI,

and XXIII of the Treaty allow a specific

reservation to be entered on a species

included in Appendix I, II, or III, or on

parts or products from a species

included in Appendix III.

(b) General provision. A Party or a

country in the process of acceding to

CITES can enter a reservation as

follows:

(1) A Party must provide written

notification to the Depositary

Government (Switzerland) on a specific

new or amended listing in the

appendices within 90 days after the

COP that adopted the listing.

(2) A country must provide written

notification on a specific species’ listing

when it ratifies or accedes to CITES.

(c) Required CITES documents.

Except as provided in (c)(2) of this

paragraph, Parties treat a reserving Party

as if it were a non-Party for trade in the

species concerned (including parts and

products). A shipment must be

accompanied by a valid CITES

document, as follows:

If: Then the CITES document must indicate the specimen is

listed in:

(1) The trade between a Party and a reserving Party ............... The appendix in which the species is listed in the CITES is

appendices.

(2) A shipment is between a reserving Party and another reserving Party or non-Party and is transiting a Party.(i) Appendix II if the species is listed in Appendix I.

(ii) Appendix II if the species is listed in Appendix II.

(iii) Appendix III if the species is listed in Appendix III.

§ 23.19 What are the requirements for intransit shipments?

(a) Purpose. Article VII(1) of the

Treaty allows for in-transit shipments.

To control any illegal trade Parties are

to take measures to check for valid

CITES documents when a shipment is

moving through an intermediary

country.

(b) Document requirements. An intransit shipment does not require a

CITES document from an intermediary

country, but must be accompanied by

all of the following documents:

(1) A valid original CITES document

that designates the name of the importer

in the country of final destination and

is issued by the Management Authority

of the exporting or re-exporting country,

unless the item qualifies as a personal

or household effect (see § 23.12).

(2) For shipment of an Appendix-I

specimen, a copy of a valid import

permit that designates the name of the

importer in the country of final

destination, unless the CITES document

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in (b)(1) of this paragraph is an CITES

exemption document (see § 23.17).

(3) Transportation and routing

documents that show the shipment has

been consigned to the same importer

and country of final destination as

designated on the CITES document.

(c) Shipment requirements. An intransit shipment, including an on-board

store of an airplane, must meet the

following:

(1) When in an intermediary country,

only stay for the time needed to transfer

the specimen to the mode of transport

used to continue to the final destination

and remain under customs control.

Other than during temporary transfer,

the specimen may not be stored in a

duty-free, bonded, or other kind of

warehouse.

(2) At any time during transit, not be

sold, manipulated, or split.

(d) Reserving Party or non-Party. All

the requirements of this section apply to

shipments to or from a reserving Party

or non-Party that are being transhipped

through a Party. The CITES document

must treat the specimen as listed in the

appendix as provided in § 23.18(c).

(e) Specimen protected by other

regulations. Shipment of a specimen

that is also listed as a migratory bird (50

CFR part 10), injurious wildlife (50 CFR

part 16), endangered or threatened

species (50 CFR parts 17 and 217–227),

marine mammal (50 CFR parts 18 and

216), or bald or golden eagle (50 CFR

part 22), and is moving through the

United States is considered an import,

and cannot be traded as an in-transit

shipment.

§ 23.20 What information is required on

U.S. and foreign CITES documents?

(a) Purpose. Article VI of the Treaty

provides standard information that must

be on a permit and certificate issued

under Articles III, IV, and V. To identify

any false or invalid document, a CITES

document, including any CITES

exemption document, must contain

standardized information to allow a

Party to verify that the specimen being

shipped is the one listed on the

document.

(b) CITES form. A CITES document

issued by a Party must be on a form

printed in one or more of the three

working languages of CITES (English,

Spanish, or French). A CITES document

from a non-Party may be in the form of

a permit or certificate, letter, or any

other form that clearly indicates the

nature of the document and includes the

information in paragraphs (c) through

(e) of this section and the additional

information in § 23.22.

(c) Required information. Except for a

phytosanitary certificate used as a

CITES certificate for artificially

propagated plants in paragraph (f) of

this section, a CITES document issued

by a Party or non-Party must contain the

information set out in this paragraph

(listed alphabetically). Specific types of

CITES documents must also contain the

additional information identified in

paragraph (e) of this section. A CITES

document is only valid with the

following information:

Key phrase Required information

(1) Appendix ................ The appendix of CITES on which the species, subspecies, or population is listed. A certificate of

origin is valid only for Appendix-III specimens and is not required to list the appendix.

(2) Applicant’s

signature ................

The applicant’s signature, if the CITES document includes a place for it.

(3) Bill of lading or air

waybill.

As applicable for export or re-export by ocean or air, the bill of lading or air waybill number as

recorded on the CITES waybill document by the inspecting official at the port, if the document

includes a place for it.

(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 § 23.44 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.

(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 covers the export or re-export of live wildlife, a statement that the permit

is only valid if the live wildlife transport conditions comply with the CITES Guidelines for

Transport of Live Animals (available from the Office of Management Authority, see § 23.7) or,

in the case of air transport, with the International Air Transport Association Live Animal Regulations. The shipment must comply with container requirements of the Live Animal Regulations (LAR), 26th edition, October 1, 1999, by the International Air Transport Association

(IATA). The incorporation by reference of the LAR was approved by the Director of the Federal

Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from

IATA in Montreal, Canada, by calling 800–71–66–32–60 or ordering through the Internet at

http://www.iataonline.com. Copies may be inspected at the Office of Management Authority

(see § 23.7) or at the Office of the Federal Register, 800 North Capitol Street, NW., Suite 700,

Washington, DC.

(8) Indentification of

the specimen.

Any unique identification number or mark (such as a tag, band, ring, microchip, and serial number), including any mark required under a CITES resolution.

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Key phrase Required information

(9) Management

Authority ...............

The complete name and address of the issuing Management Authority as included in the CITES

Directory, which is available from the Office of Management Authority (see § 23.7).

(10) Name and address The complete name and address, including country, of the exporter (consignor) and importer

(consignee).

(11) Purpose of

transaction .............

The purpose of the transaction, using one of the codes given in paragraph (d) of this section, if

possible. 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 to be in the shipment and, if appropriate, the unit of measurement, which should be in metric:

(i) The unit of measurement should be appropriate to the type of specimen and, if possible, agree

with the preferred or alternative unit that is to be used in the CITES annual report. 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, when used for timber, should be in cubic meters.

(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 or the ESA, 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 us or the Secretariat’s website (see § 23.7). A CITES document may

contain higher taxon names in lieu of the species name only under one of the following circumstances:

(i) When the COP has agreed that the use of a higher taxon name is acceptable for use on CITES

documents.

(ii) When 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 is 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. Each page of an attached annex must also contain a stamp that is canceled and recorded.

(16) Signature ............... An original signature of a person authorized to sign CITES documents for the issuing Management Authority. The signature must be on file with the Secretariat.

(17) Source ................... The source of the specimen, except for a certificate of origin which must certify that the specimen

originated in the exporting country. See § 23.21 for a list of codes.

(18) Treaty name .......... Either the full name, the Convention on International Trade in Endangered Species of Wild Fauna

and Flora, or the CITES logo.

(19) Type of CITES

document ...............

The type of CITES document (import, export, re-export, or other). If marked ‘‘other,’’ the CITES

document must indicate the type of document, such as introduction-from-the-sea, pre-Convention, bred-in-captivity, scientific exchange, certificate of ownership, or artificially propagated. If

multiple types are authorized on one CITES document, the type that applies to each specimen

must be clearly indicated.

(20) 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 authority that carried out the

inspection at the time of export or re-export.

(d) Purpose of transaction. If possible, the CITES document should contain one of the following codes:

Code Purpose of transaction

B ............................ Breeding in captivity or artificial propagation

E ............................ Education

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Code Purpose of transaction

G ............................ Botanical garden

H ............................ Hunting trophy

L ............................ Law enforcement

M ........................... Biomedical research

N ............................ Reintroduction or introduction into the wild

P ............................ Personal

Q ............................ Circus and traveling exhibition

S ............................ Scientific purpose

T ............................ Commercial

Z ............................ Zoo

(e) Additional required information. The following describes the additional information that is required for specific

types of documents (listed alphabetically):

Type of document Additional required information

(1) Amended or renewed CITES document (see §§ 13.22 and 13.23).The number and date of issue of the amended CITES document and reason for

the change.

(2) 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 the total number of pages.

(3) Certificate of origin ............................. A statement that the specimen originated in the country that issued the certificate.

(4) Copy ..................................................... Where a copy of a CITES document is used in place of the original, a statement

on the face of the document by the Management Authority authorizing the use

of a copy.

(5) Export permit for a commercial registered breeding operation or nursery— Appendix-I specimens.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.

(6) Export permit with species’ quota ..... Numbers of specimens, such as 500/1000, that were:

(i) Exported thus far in the current calendar year, including those covered by the

permit.

(ii) Included in the current annual quota.

(7) Import permit (Appendix-I specimen) 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.

(8) Lost, damaged, stolen, or accidentally

destroyed CITES document.

When a CITES document is issued to replace an already issued CITES document, the number and date of issue of the CITES document that was replaced

and reason for replacement.

(9) Pre-Convention certificate .................. (i) An indication that the specimen covered by the CITES document is pre-Convention.

(ii) A date that shows the specimen was acquired before the pre-Convention date

(see § 23.5).

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Type of document Additional required information

(10) Re-export certificate .......................... (i) The country of origin, the number of the export permit of that country, and

the date of issue.

(ii) If previously re-exported, the country of last re-export, the number of the reexport certificate of that country, and the date of issue.

(iii) If all or part of this information is not known, a justification must be given.

(11) Retrospective CITES document ........ A clear statement that the CITES document is issued retrospectively and the reason for issuance.

(f) Phytosanitary certificate. A Party

that uses a phytosanitary certificate as a

CITES document for the export of

artificially propagated Appendix-II and

-III plants and artificially propagated

hybrids of unannotated Appendix-I

plants must include all of the following

information:

(1) 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.

(2) The type (such as live plant or

bulb) and quantity of the specimen

authorized to be in the shipment.

(3) A stamp, seal, or other specific

indication stating that the specimen is

artificially propagated as defined by

CITES (see § 23.54).

§ 23.21 What code is used to show the

source of the specimen?

The Management Authority must

indicate on the CITES document the

source of the specimen using one of the

following codes:

Source of specimen Code

(a) Artificially propagated plants: A

(1) An Appendix-II or -III artificially propagated plant (see § 23.54) or hybrid of unannotated Appendix-I species or other taxa whether artificially propagated for commercial or non-commercial purposes, as well as

parts and products.

(2) An Appendix-I plant species or hybrid of annotated Appendix-I species artificially propagated for noncommercial purposes, as well as parts and products.

(b) Bred-in-captivity wildlife: C

(1) Appendix-II or -III wildlife bred in captivity (see § 23.53) for commercial or non-commercial purposes, as

well as parts and products.

(2) Appendix-I wildlife bred in captivity for non-commercial purposes, as well as parts and products.

(c) Propagated or bred for commercial purposes: D

(1) An Appendix-I plant species or hybrid of annotated Appendix-I species artificially propagated for commercial purposes, as well as of parts and products.

(2) Appendix-I wildlife bred in captivity for commercial purposes, as well as parts and products, at an operation registered with the Secretariat.

(d) Wildlife born in captivity of parents that mated in captivity (first (F1) or subsequent generations) that do not

qualify as bred in captivity (see § 23.53), as well as parts and products.

F

(e) Confiscated or seized specimens ................................................................................................................................... I

(f) Ranched wildlife (wildlife that originated from a ranching operation) ....................................................................... R

(g) Source unknown (must be justified on the face of the CITES document) .................................................................. U

(h) Specimens taken from the wild: W

(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 plants, it includes a specimen grown in captivity from a propagule collected from a wild plant.

§ 23.22 What additional information is

required on non-Party CITES documents?

(a) Purpose. Under Article X of the

Treaty, a Party may accept a CITES

document issued by competent

authorities in a non-Party only if the

document substantially conforms to the

requirements of the Treaty.

(b) Additional certifications. In

addition to the information in § 23.20(c)

through (e), CITES documents issued by

non-Parties must contain the following

certifications on the face of the

document:

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Activity Certification

(1) Export ...................... (i) The Scientific Authority has advised that the export will Export not be detrimental to the survival of the species.

(ii) The Management Authority is satisfied that the specimen was legally acquired.

(2) Export or re-export

of a live plant.

The live plant will be transported so as to minimize the risk of injury or damage to the health of

the specimen.

(3) Import ...................... The import will be for purposes that are not detrimental to the survival of the species.

§ 23.23 When is a U.S. or foreign CITES

document valid?

(a) Purpose. Article VIII of the Treaty

provides that Parties take appropriate

measures to enforce the Convention to

prevent illegal trafficking in wildlife

and plants.

(b) Original CITES documents. A

separate original or a certified true copy

of a CITES document must be issued

before the import, introduction from the

sea, export, or re-export and must

accompany each shipment of

specimens.

No copy may be used in place of an

original except when endorsed on its

face by the issuing Management

Authority. Fax or electronic copies are

not acceptable.

(c) Acceptance of CITES documents.

We will accept a CITES document as

valid for import, introduction from the

sea, export, and re-export only if the

document meets the requirements of

§§ 23.20 and 23.22, subparts C and E of

this part, and the following conditions:

Key phrase Conditions for an acceptable CITES document

(1) Altered or modified CITES

document.

The CITES document has not been altered (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.

(2) Commercial registered

breeding operation for Appendix-I wildlife from a

Party.

(i) The operation is in the Secretariat’s register.

(ii) Each specimen is specifically marked and the mark is described on the CITES document.

(3) Commercial registered

nursery for Appendix-I

plants from Parties.

The operation is in the Secretariat’s register.

(4) Conditions .......................... All conditions on the CITES document are met.

(5) Extension of validity ......... The validity of a CITES document may not be extended except as provided in § 23.64 for

certain timber species.

(6) Humane transport .............. (i) The live wildlife was transported in compliance with the CITES Guidelines for Transport of Live Animals or, in the case of air transport, the International Air Transport Association Live Animal Regulations.

(ii) The live plant was transported so as to minimize the risk of injury or damage to the

health of the specimen.

(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 as a certificate for artificially propagated plants

only if the issuing Party has provided copies of the certificates, stamps, and seals to the

Secretariat.

(10) Pre-Convention ................ For a CITES document designating the specimen as pre-Convention, the date of acquisition

must be before the date the species was first listed in the CITES appendices, and the

specimen must be considered pre-Convention by both the importing and exporting countries.

(11) Ranched ............................ For any ranched specimen of a species transferred from Appendix I to Appendix II because

of ranching, international trade cannot involve a non-Party or a Party that holds a reservation on the species. Check our website for a list of these species (see § 23.7).

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26701

Key phrase Conditions for an acceptable CITES document

(12) Registered scientific institutions.Both importing and exporting scientific institutions are in the Secretariat’s register for scientific exchange.

(13) Shipment contents ........... The contents of the shipment match the description of specimens provided on the CITES

document, including the quantity, units, and species. A shipment cannot contain more

specimens or different species than certified or validated on the CITES document at the

time of export or re-export. The quantity of each specimen may be less than, but not

more than, the quantity stated for that specimen on the CITES document at the time of

issuance.

(14) Quotas .............................. For species with a quota on file with the Secretariat, the quantity exported from a country

does not exceed the quota.

(15) Wild-collected wildlife

specimens.

Wild-collected wildlife specimens (indicated on the CITES document with a source code of

‘‘W’’) are not coming from a country that is outside the range of the species, unless we

have information that shows the species has been established in the wild in that country

through accidental introduction or other means.

(d) Verification of CITES documents.K

We may request verification of CITES

documents from the Secretariat or a

foreign Management Authority before

deciding whether to accept a CITES

document under some circumstances,

including, but not limited to, the

following:

(1) We receive reliable information

from the COP, Standing Committee,

Secretariat, or other credible source that

indicates the improper implementation

of CITES by the country concerned.

(2) We have reasonable grounds to

believe that a CITES document is not

valid or authentic because the species is

being traded in a manner detrimental to

the survival of the species or in

violation of foreign wildlife or plant

laws, or the applicable Scientific

Authority finding has not been made.

(3) If the re-export certificate refers to

an export permit that does not exist or

is not valid.

(4) We have reasonable grounds to

believe that the document is fraudulent

or has unauthorized changes.

(5) We have reasonable grounds to

believe that the specimens identified as

bred in captivity or artificially

propagated are wild specimens.

(6) The import of a specimen

designated as bred in captivity or

artificially propagated is from a nonParty. For an Appendix-I specimen, we

must consult with the Secretariat.

(7) For a retrospectively issued CITES

document, if both the importing and

exporting or re-exporting countries’

Management Authorities have not

agreed to the issuance of the document.

(e) Information bulletin. If we

determine, based on reliable

information received from the

Secretariat, Standing Committee, or

other sources that a country is not

effectively implementing or complying

with CITES, we will issue an

information bulletin indicating what

action we will take on shipments

involving that country. We may restrict

the acceptance of CITES documents

from that country, either for all CITES

species or for only certain species.

§ 23.24 What CITES documents do I

present at the port?

(a) Purpose. Article VIII of the Treaty

provides that Parties establish an

inspection process that takes place at a

port of exit and entry. Inspecting

officials must verify that valid CITES

documents accompany shipments and

take enforcement action when

shipments do not comply with the

Convention.

(b) Process. Officials in each country

inspect the shipment and validate or

certify the CITES document. In the

United States, you must follow the

clearance requirements for wildlife in

50 CFR part 14 or plants in 7 CFR

355.22. The table in this paragraph (b)

provides information on:

(1) The types of original CITES

documents you must present to be

validated or certified by the inspecting

official in order to export or re-export

from a country.

(2) When you need to surrender a

copy of the original CITES document to

the inspecting official at the time of

export or re-export.

(3) When you need to surrender the

original CITES document to the

inspecting official at the time of import

or introduction from the sea.

Type of CITES document

Present original for export or re-export validation or certification

Surrender copy upon

export or re-export

Surrender original

upon import or introduction from the sea

Artifically propagated plants .............................. Required ....................... Required ....................... Required.

Bred-in-captivity wildlife (for Appendix-I species, only includes wildlife bred for noncommercial purposes).Required ....................... Required ....................... Required.

Certificate of origin .............................................. Required ....................... Required ....................... Required.

Certificate of ownership ...................................... Required ....................... Required ....................... Not required; submit

copy.

Commercial registered breeding operation ........ Required ....................... Required ....................... Required.

Commercial registered nursery ........................... Required ....................... Required ....................... Required.

Export permit ....................................................... Required ....................... Required ....................... Required.

Hybrid .................................................................. 1Required .................... Required ....................... Required.

Import permit ....................................................... Not required ................ Required ....................... Required.

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Type of CITES document

Present original for export or re-export validation or certification

Surrender copy upon

export or re-export

Surrender original

upon import or introduction from the sea

Introduction from the sea ................................... Not applicable ............. Not applicable ............. Required.

Multiple-use permit ............................................. Required ....................... Required ....................... Not required; submit

copy.

Pre-Convention document .................................. Required ....................... Required ....................... Required.

Re-export certificate ............................................ Required ....................... Required ....................... Required.

Registered scientific institution CITES label ..... Not required ................ 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.

Traveling live-animal exhibition ........................ Required ....................... Required ....................... Not required; submit

copy.

1Certification letter may not require validation.

Subpart C—Application Procedures,

Issuance Criteria, and Conditions

§ 23.25 How do I apply for a U.S. CITES

document?

(a) To apply for a U.S. CITES

document, you must complete a

standard application form and submit it

with the processing fee, unless you are

fee exempt (see 50 CFR 13.11(d)), to one

of the following offices (see § 23.7):

Type of CITES document Contact office

(1) All types of CITES documents ............................................. Office of Management Authority.

(2) Export of furs or skins of bobcat, river otter, Alaska lynx,

Alaska gray wolf, and Alaska brown bear, and American

alligator (see § 23.61).

Division of Law Enforcement at certain designated ports or

regional offices.

(3) Re-export of Appendix-II and -III wildlife (unless a permit is required under any other part in this subchapter).Division of Law Enforcement at certain designated ports or

regional offices.

(4) Export of a sport-hunted trophy, its parts or products, of

the Alaskan population of black bear (Ursus americanus).

Division of Law Enforcement at certain ports in Alaska.

(b) If you do not know the type of

CITES document you need for your

shipment, go to §§ 23.15–23.17.

(c) If a species is also listed under

another part of this subchapter (such as

endangered or threatened, see § 23.3),

the requirements of all parts must be

met. You may submit a single

application that contains all the

information needed to meet the

requirements of CITES and other

applicable parts.

(d) You must also follow the general

permit procedures in 50 CFR part 13.

(e) You should review the issuance

criteria of all applicable regulations in

this subchapter that apply to the type of

permit you are seeking before

completing the application form.

(f) We will review your application to

assess whether it contains the

information needed to make the

required findings.

(1) Based on available information, we

will decide if any of the exemptions

apply and what type of CITES document

you need.

(2) If we need additional information,

we will contact you. If you do not

provide the information within 45

calendar days, we will place your

application in our inactive files. When

you provide the additional information,

you may ask that we reactivate your

application.

§ 23.26 How do we decide to issue or deny

a request for a U.S. CITES document?

(a) Upon receiving a complete

application, we will decide whether to

issue a CITES document by considering:

(1) The general criteria in 50 CFR

13.21(b) and, if the species is protected

under a separate law or treaty, criteria

in any other applicable parts.

(2) The CITES issuance criteria

provided in this subpart (see subpart D

of this part for factors we consider in

making certain of these findings).

(b) As needed, we will forward a copy

of the application to the Office of

Scientific Authority, State or other

Federal government agencies, or other

applicable experts. We may also query

the Secretariat or foreign Management

or Scientific Authorities for information

to use in making the required findings.

(c) You must provide information to

satisfy us that all criteria specific to the

proposed activity are met before we can

issue a CITES document.

(d) We will base our decision on

whether to issue or deny the application

on the best available information.

§ 23.27 What records do I need to apply for

a U.S. CITES document?

(a) When you apply for a U.S. CITES

document, you will be asked to provide

information that shows the origin of the

specimen.

(1) You need to provide sufficient

information for us to determine if the

issuance criteria in this part are met (see

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the section in this subpart for each type

of CITES document).

(2) Depending on the type of CITES

document, you will need records to

show that the specimen or founder stock

was legally acquired (see § 23.50), that

founder stock was acquired without

detriment to the species, and that the

proposed activity will not be

detrimental to the survival of the

species (see § 23.51).

(b) Documents to be provided in

permit applications include, but are not

limited to, the following:

Source of specimen Types of records to keep

(1) Born, bred, grown, or propagated in captivity (see wildcollected 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

grown in captivity from a propagule collected from a wild

plant).

(i) Records that identify the breeder or propagator:

(A) Signed and dated statement that the specimen was bred

or propagated by the breeder or propagator.

(B) Name and address of the breeder or propagator.

(C) Identification of the specimen, including birth, hatch, or

propagation date. For wildlife the identifying information

could include sex, size, band number, or other markings.

(ii) Examples of documents that help identify a breeder or

propagator:

(A) International Species Inventory System (ISIS) records.

(B) Veterinary certificates.

(C) Plant nursery licenses and USDA General Permit.

(iii)Records that document the breeding or propagating of

specimens at the facility:

(A) Number of wildlife (by sex and age- or size-class) and

plants at the facility.

(B) How long the facility has been breeding or propagating

the specimens.

(C) Annual production and mortalities.

(D) Number sold or transferred annually.

(E) Number added from other sources annually.

(F) Transaction records with the date, 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.

(iv) If a plant is propagated from exempt plant material (see

§ 23.88(c)), records that document the name and address

of the person who sold you the plant material. If you will

be seeking a certificate for artificially propagated plants

for plants grown from exempt seeds, records that document the cultivated origin of the seed.

(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) Imported previously .............................................................. (i) Copies of canceled CITES documents that accompanied

shipments 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.

(4) Multiple ownership/purchased ............................................ (i) Records that show the specimen’s origin (pre-Convention,

previously imported, wild-collected, or born, bred, grown,

or propagated in captivity in the United States).

(ii) Records that document the history of all transfers in

ownership.

(iii) Each record needs to specifically identify the specimen

and give the name and address of the owner.

(5) Ranched or farmed ................................................................ Records documenting that the specimens were taken under

a State-approved program and that all State requirements

were met.

(6) Wild-collected ....................................................................... Records, such as permits, licenses, and/or tags, that the

specimen or the founder stock was legally removed from

the wild under relevant foreign, Federal, tribal, State, or

local wildlife or plant conservation laws or regulations:

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Source of specimen Types of records to keep

(i) If taken on private or tribal land, permission of the landowner.

(ii) If taken in a national, State, or local park, refuge, or protected area, permission from the applicable agency.

(iii) If taken on public land and no permit is required, a

statement from the appropriate State or other governmental agency.

(c) You should keep records for as

long as you possess the specimen, and,

if you sell, donate, or transfer ownership

of the specimen, you should provide

records to the new owner on the origin

of the specimen.

§ 23.28 What are the requirements for

import permits?

(a) Purpose. Article III(3) of the Treaty

sets out the conditions under which a

Management Authority can grant an

import permit.

(b) U.S. application forms. Complete

and submit the appropriate form for the

proposed activity to the Office of

Management Authority (see § 23.7):

Type of application for import permits for Appendix-I specimens Form No.

CITES:

African Elephant and Leopard Sport-hunted Trophies ........................................................................................ 3–200–19

Appendix-I Plants ................................................................................................................................................... 3–200–35

Appendix-I Wildlife ................................................................................................................................................ 3–200–31

Appendix-I Wildlife Biological Samples ............................................................................................................... 3–200–38

Endangered Species Act and CITES:

ESA Plants ............................................................................................................................................................... 3–200–36

ESA Wildlife ............................................................................................................................................................ 3–200–37

Marine Mammal Protection Act and CITES:

Marine Mammals ..................................................................................................................................................... 3–200–43

Wild Bird Conservation Act and CITES:

Personal Pet Bird ..................................................................................................................................................... 3–200–46

Scientific Research or Zoological Breeding/Display ............................................................................................. 3–200–47

Under an Approved Cooperative Breeding Program ............................................................................................ 3–200–48

(c) Issuance criteria. You must provide sufficient information for us to find that your proposed activity meets all

of the following criteria:

Issuance criteria for import permits for Appendix-I specimens Section

(1) The proposed import would be for purposes which are not detrimental to the survival of the species ........... 23.51

(2) The purpose of the import is not for primarily commercial purposes ................................................................. 23.52

(3) The recipient is suitably equipped to house and care for the live wildlife or plants to be imported. .............. 23.56

(4) The scientific name of the species is the standard nomenclature in the CITES appendices or the references

adopted by the COP .................................................................................................................................................... 23.20

(5) The live wildlife or plant will be prepared and shipped so as to minimize risk of injury, damage to the

health, or cruel treatment of the specimen ............................................................................................................... 23.20

(d) Standard conditions. In addition

to the conditions in § 23.45, you must

meet all of the following:

(1) You may import and subsequently

use the wildlife or plant only for the

purposes stated in your application and

specifically approved and conditioned

in the permit. To ensure that the

specimen will not be used for primarily

commercial purposes after import, you

must get a letter of approval from us to

use the specimen for a different purpose

or transfer the specimen where it will be

used for a different purpose.

(2) You may not import, subsequently

use, or transfer the specimen for any

commercial purpose.

(3) The specimen may not be used by

you or any other person to establish or

participate in an operation or nursery

that is breeding or propagating the

species for commercial purposes.

§ 23.29 What are the requirements for

export permits and re-export certificates?

(a) Purposes. Articles III, IV, and V of

the Treaty set out the conditions under

which a Management Authority may

grant an export permit or re-export

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26705

certificate for Appendix-I, -II, and -III

specimens.

(b) U.S. application forms. Complete

and submit the appropriate form for the

proposed activity to the Office of

Management Authority or Form 3–200–

26 to the Division of Law Enforcement

at certain designated ports or regional

offices (see § 23.7):

Type of application for export permits and re-export certificates Form No.

CITES:

American Ginseng ................................................................................................................................................... 3–200–34

Captive-born Raptors—Export only ....................................................................................................................... 3–200–25

Captive-born Wildlife (except raptors)—Export only ........................................................................................... 3–200–24

Furs or Skins of Bobcat, River Otter, Alaska lynx, Alaska Gray Wolf, Alaska Brown Bear, or American Alligator ...................................................................................................................................................................... 3–200–26

Plants ........................................................................................................................................................................ 3–200–32

Trophies of Alaska Black Bear ............................................................................................................................... 3–200–26

Trophies by Taxidermists ....................................................................................................................................... 3–200–28

Wildlife .................................................................................................................................................................... 3–200–27

Wildlife—Re-export only of Appendix-II and -III specimens from some Law Enforcement offices ................. 3–200–26

Wildlife Biological Specimens ............................................................................................................................... 3–200–29

Endangered Species Act and CITES:

ESA Plants ............................................................................................................................................................... 3–200–36

ESA Wildlife ............................................................................................................................................................ 3–200–37

ESA Wildlife Biological Samples ........................................................................................................................... 3–200–29

Marine Mammal Protection Act and CITES:

Marine Mammals ..................................................................................................................................................... 3–200–53

(c) A plant propagated from exempt

plant material. A plant grown from

exempt plant material (see § 23.88(c)) is

regulated by CITES.

(1) The proposed shipment of the

specimen is treated as an export even if

the exempt plant material from which it

was derived was previously imported

into the United States.

(2) When you apply for a CITES

document, the plant may be eligible for

an export permit under this section or

a certificate for artificially propagated

plants (§ 23.32) depending on the

species and the records you have on the

origin of the exempt plant material. See

§ 23.27 for the type of records you need.

(3) See § 23.54(f) on what we consider

in deciding if a plant grown from

exempt plant material qualifies as

artificially propagated.

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

(1) For an export permit:

Issuance criteria for export permits

Appendix

Section

I II III

(i) The wildlife or plant was legally acquired ....................................................... Yes ....... Yes ....... Yes ....... 23.50

(ii) The proposed export would not be detrimental to the survival of the species.Yes ....... Yes ....... N/A ...... 23.51

(iii) An import permit has already been granted or the Management Authority

of the importing country has confirmed that it will be granted.

Yes ....... N/A ...... N/A ...... 23.17

(iv) The scientific name of the species is the standard nomenclature in the

CITES appendices or the references adopted by the COP.

Yes ....... Yes ....... YES ...... 23.20

(v) The live wildlife or 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 ....... 23.20

(vi) For Appendix-III, the specimen originated in a country that listed the species.N/A ...... N/A ...... Yes ....... 23.17

(2) For a re-export certificate:

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Issuance criteria for re-export certificates

Appendix

Section

I II III

(i) The wildlife or plant was legally acquired ....................................................... Yes ....... Yes ....... Yes ....... 23.50

(ii) The scientific name of the species is the standard nomenclature in the

CITES appendices or the references adopted by the COP.

Yes ....... Yes ....... Yes ....... 23.20

(iii) For live specimens, an import permit has already been granted or the

Management Authority of the importing country has confirmed that it will

be granted.

Yes ....... N/A ...... N/A ...... 23.17

(iv) The live wildlife or plant will be prepared and shipped so as to minimize

risk of injury, damage to the health, or cruel treatment of the specimen.

Yes ....... Yes ....... Yes ....... 23.20

(v) For re-export of specimens introduced from the sea under an international

treaty, convention, or agreement that was in force for the species’ protection

on July 1, 1975, the specimens were taken in accordance with that treaty,

convention, or agreement.

Yes ....... Yes ....... N/A ...... 23.31

(vi) For re-export of confiscated Appendix-II specimens only, the proposed reexport would not be detrimental to the survival of the species.N/A ...... Yes ....... N/A ...... 23.50

(e) Confiscated specimen. A

Management Authority may issue a reexport certificate for a confiscated

specimen when the certificate indicates

the specimen was confiscated and when

the re-export is for one of the following:

(1) For any CITES species, the return

of a live specimen to the country of

export (see subpart F), placement of a

live specimen in a rescue center, or

judicial use.

(2) For an Appendix-II or -III species,

the disposal of the specimen in the best

manner possible to benefit enforcement

and administration of the Convention.

§ 23.30 What are the requirements for

certificates of origin?

(a) Purpose. Article V(3) of the Treaty

explains when a shipment of AppendixIII specimens must be accompanied by

a certificate of origin.

(b) U.S. application forms. For a

certificate of origin to export specimens

that are listed in Appendix III by

another country, but originated in the

United States, complete and submit one

of the following forms to the Office of

Management Authority (see § 23.7):

(1) Application Form 3–200–27 for

wildlife.

(2) Application Form 3–200–32 for

plants.

(c) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

(1) The specimen originated in the

United States.

(2) The scientific name of the species

is the standard nomenclature in the

CITES appendices or the references

adopted by the COP.

(3) The live wildlife or plant will be

prepared and shipped so as to minimize

risk of injury, damage to the health, or

cruel treatment of the specimen.

§ 23.31 What are the requirements for

introduction-from-the-sea certificates?

(a) Purpose. Articles III(5), IV(6), and

IV(7) of the Treaty set out the conditions

under which a Management Authority

may grant a certificate of introduction

from the sea.

(b) U.S. application form. Complete

and submit Form 3–200–31 to the Office

of Management Authority (see § 23.7).

(c) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Issuance criteria for introduction-from-the-sea certificates

Appendix

Section

I II

(1) The proposed introduction from the sea would not be detrimental to the survival of

the species.

Yes ....... Yes ....... 23.51

(2) The purpose of the import is not for primarily commercial purposes ............................. Yes ....... N/A ...... 23.52

(3) The recipient is suitably equipped to house and care for live wildlife or plants ........... Yes ....... N/A ...... 23.56

(4) The scientific name of the species is the standard nomenclature in the CITES appendices or the references adopted by the COP.Yes ....... Yes ....... 23.20

(5) The live wildlife or plant will be prepared and shipped so as to minimize risk of injury, damage to the health, or cruel treatment of the specimen.Yes ....... Yes ....... 23.20

(d) Exemption. As allowed under

Article XIV(4) and (5) of the Treaty, you

may directly transport into the United

States any Appendix-II wildlife or plant

taken in the marine environment that is

not under the jurisdiction of any

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26707

country without a CITES document

when all of the following conditions are

met:

(1) The United States is a party to an

international treaty, convention, or

agreement that affords protection to the

species and was in force on July 1, 1975.

(2) The ship that harvested the

specimen is registered to the United

States.

(3) The specimen was taken in

accordance with the international treaty,

convention, or agreement, including any

quotas.

(4) The shipment is accompanied by

any official document required under

the international treaty, convention, or

agreement or otherwise required by U.S.

law.

(5) To re-export specimens, you must

obtain a certificate from the Office of

Management Authority (see § 23.7) that

the specimens were taken in accordance

with the provision of the pre-CITES

international treaty, convention, or

agreement.

(e) Appendix III. Introduction-fromthe-sea certificate requirements do not

apply to Appendix-III species.

§ 23.32 What are the requirements for

certificates for artificially propagated

plants?

(a) Purpose. Article VII(5) of the

Treaty, grants an exemption to plants

that are artificially propagated and a

Management Authority grants a

certificate.

(b) General provisions. We may grant

a certificate for plants artificially

propagated at your facility or acquired

from another facility provided we find

that the criteria in paragraph (d) of this

section are met.

(1) For an Appendix-I plant species or

a hybrid of an annotated Appendix-I

species, only specimens that are

artificially propagated for noncommercial purposes are eligible for

this exemption. See § 23.39 for export of

Appendix-I plants artificially

propagated for commercial purposes.

(2) The certificate and any subsequent

re-export certificate (§ 23.29) must show

the source code as ‘‘A’’ for artificially

propagated.

(3) For Appendix-I specimens that

satisfy the requirements of this section,

no CITES import permit is required.

(c) U.S. application form. Complete

and submit Form 3–200–33 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Issuance criteria for certificates for artificially propagated plants

Appendix

Section

I II III

(1) The plant was legally acquired ......................................................................... Yes ....... Yes ....... Yes ....... 23.50

(2) The plant was artificially propagated ............................................................... Yes ....... Yes ....... Yes ....... 23.54

(3) The Appendix-I species and hybrids of annotated Appendix-I species were

propagated for non-commercial purposes.

Yes ....... N/A ...... N/A ...... 23.32

(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 ....... 23.20

(5) The live plant will be prepared and shipped so as to minimize risk of injury or damage to the health of the specimen.Yes ....... Yes ....... Yes ....... 23.20

(e) Standard conditions. In addition to

the conditions in § 23.45, you must meet

all of the following conditions:

(1) You may not export or re-export

plants removed from the wild or grown

directly from wild seed, and their parts

and products under this certificate.

(2) You may not export specimens of

Appendix-I species and hybrids of

annotated Appendix-I species

propagated for commercial purposes

under this certificate.

(3) You may export native plants

under this certificate only when

specifically approved for export and

listed on the certificate, inventory sheet,

or an approved species list.

(4) You may export specimens under

a higher taxon name only if you

identified the taxon in your application

and we approved it on this certificate.

§ 23.33 What are the requirements for

bred-in-captivity certificates?

(a) Purpose. Article VII(5) of the

Treaty grants an exemption to wildlife

that is bred in captivity and a

Management Authority grants a

certificate.

(b) General provisions. We may grant

a certificate for wildlife bred in captivity

at your facility or acquired from another

facility provided we find that criteria in

paragraph (d) of this section are met.

(1) For Appendix-I wildlife, only

specimens that are bred in captivity for

non-commercial purposes are eligible

for this exemption. See § 23.38 for

registration of an Appendix-I

commercial breeding operation.

(2) The certificate and any subsequent

re-export certificate (§ 23.29) must show

the source code as ‘‘C’’ for bred in

captivity.

(3) For Appendix-I specimens that

satisfy the requirements of this section,

no CITES import permit is required.

(c) U.S. application form. Complete

and submit Form 3–200–24 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Issuance criteria for bred-in-captivity certificates

Appendix

Section

I II III

(1) The wildlife was legally acquired .................................................................... Yes ....... Yes ....... Yes ....... 23.50

26708 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Issuance criteria for bred-in-captivity certificates

Appendix

Section

I II III

(2) The wildlife was bred in captivity ................................................................... Yes ....... Yes ....... Yes ....... 23.53

(3) The Appendix-I species were bred for non-commercial purposes 1 ............... Yes ....... N/A ...... N/A ...... 23.33

(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 ....... 23.20

(5) The live wildlife will be prepared and shipped so as to minimize risk of

injury, damage to the health, or cruel treatment of the specimen.

Yes ....... Yes ....... Yes ....... 23.20

1This issuance criterion does not apply to live wildlife that is part of a traveling live-animal exhibition.

§ 23.34 What are the requirements for plant hybrids?

(a) General provisions. Except as provided in paragraph (b) of this section, the export, re-export, or import of a

plant hybrid must be accompanied by a valid CITES document, as follows:

If the plant is: Then the specimen is:

(1) An artificially propagated hybrid of one or more

unannotated Appendix-I species or other taxa.

Treated as if listed in Appendix II.

(2) A hybrid that includes two or more CITES species in its

lineage and is not a specimen covered in paragraph (a)(1)

of this section.

Considered to be listed in the more restrictive appendix,

with Appendix I being the most restrictive and Appendix

III the least.

(3) A hybrid that includes one CITES species in its lineage

and is not a specimen covered in paragraph (a)(1) of this

section.

Considered to be listed in the appendix in which the species

is listed in the CITES appendices.

(b) Exception. Plant hybrids may be

excluded from CITES controls by an

annotation in Appendix II or III (see

§ 23.88).

§ 23.35 What are the requirements for

wildlife hybrids?

(a) Definition of recent lineage. Recent

lineage for the purposes of this section

means the last four generations of that

specimen’s ancestry (direct line of

descent).

(b) General provisions. Except as

provided in paragraph (c) of this

section, the export, re-export, or import

of a wildlife hybrid must be

accompanied by a valid CITES

document that shows the hybrid listed

in the following appendix:

If at least one specimen in the recent lineage is included in: Then the specimen

is included 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.

(c) Exempt wildlife hybrid. Shipment

of a wildlife hybrid that does not have

CITES specimens in its recent lineage

(exempt wildlife hybrid) must be

accompanied by either a CITES

document or a letter issued by us or a

foreign Management Authority. The

letter must describe the specimen,

provide the scientific name, and certify

that the wildlife contains no CITES

specimens in the last four generations of

its ancestry.

(d) U.S. application for an exempt

wildlife hybrid. To apply for a hybrid

exemption letter, provide the following

to the Office of Management Authority

(see § 23.7), or complete and submit

application Form 3–200–57:

(1) A signed and dated request for a

hybrid exemption letter.

(2) Your name and address.

(3) The name and address of the

recipient in the foreign country.

(4) The scientific and common names

of the species in the hybrid.

(5) Description of the wildlife,

including sex and birth date, if known.

(6) Information that shows a CITES

species does not occur in the last four

generations of the specimen’s ancestry.

This includes, but is not limited to, a

pedigree or official registration showing

direct lineage.

(7) The U.S. port through which the

export or re-export will occur.

(e) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26709

(1) The wildlife hybrid does not

include any CITES specimen in its

recent lineage.

(2) The scientific name of the CITES

specimen that is in the lineage of the

hybrid is standard nomenclature in the

CITES appendices or references adopted

by the COP.

§ 23.36 What are the requirements to travel

internationally with my personally owned

live wildlife?

(a) Purpose. A Management Authority

may use the exemption in Article VII(3)

of the Treaty to issue a certificate of

ownership that approves cross-border

movements of personally owned live

wildlife.

(b) General provisions. You, the

owner of live wildlife, may apply for a

certificate of ownership if you

frequently take the wildlife with you for

companionship or a non-commercial

competition to another country.

(1) You must obtain the certificate

from the Management Authority in the

country where you usually live.

(2) If offspring are born or you acquire

specimens while you are traveling in

another country, you must obtain the

appropriate CITES document for the

export or re-export of the wildlife, not

a certificate of ownership, from the

Management Authority of that country.

(3) Upon return home, you may apply

for a certificate of ownership for wildlife

born or acquired overseas.

(c) U.S. application form. Complete

and submit Form 3–200–54 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

(1) You own the live wildlife and the

cross-border movement is for personal

companionship or use in a noncommercial competition, such as

falconry.

(2) You usually live in the United

States.

(3) The wildlife was legally acquired

(see § 23.50).

(4) You do not intend to sell or

otherwise transfer the wildlife while

traveling internationally.

(5) The scientific name of the species

is the standard nomenclature in the

CITES appendices or the references

adopted by the COP.

(6) The Management Authority of the

country of import has agreed to the

cross-border movement.

(7) The wildlife is appropriately

identified or securely marked.

(8) The wildlife is transported and

cared for in a way that minimizes risk

of injury, damage to the health, or cruel

treatment of the specimen.

(e) Standard conditions. In addition to

the conditions in § 23.45, all of the

following conditions must be met:

(1) You may transport the wildlife for

non-commercial purposes only.

(2) You must accompany the wildlife

during any cross-border movement.

(3) You may not sell or otherwise

transfer the specimen while traveling

internationally.

(4) You must retain the original

certificate and have it validated at each

border crossing.

(5) If the certificate is lost, stolen, or

accidentally destroyed, you must obtain

a replacement certificate from the

issuing Management Authority (see

§ 23.42).

(6) If you no longer own the live

wildlife, the original certificate must be

immediately returned to the issuing

Management Authority.

§ 23.37 What are the requirements for preConvention specimens?

(a) Purpose. Article VII(2) of the

Treaty allows international trade in preConvention specimens when the

exporting or re-exporting country is

satisfied that the specimen was acquired

before the provisions of CITES applied

to it and issues a CITES document to

that effect.

(b) General provisions. The following

general provisions apply:

(1) Trade in specimens under the preConvention exemption is only possible

if the specimen is considered preConvention by both the importing and

exporting countries.

(2) When a species is transferred from

one appendix to another (such as

Appendix II to Appendix I), the preConvention date is the date the species

was first listed under CITES.

(3) For qualifying Appendix-I

specimens, no CITES import permit is

required.

(4) The pre-Convention exemption

does not apply to offspring of any

wildlife or plants born or propagated

after the date the species was first listed

under CITES.

(c) U.S. application form. Complete

and submit Form 3–200–23 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

(1) The wildlife or plant (including

parts and products) was removed from

the wild or held in captivity or a

controlled environment before the date

CITES first applied to it.

(2) The scientific name of the species

is the standard nomenclature in the

CITES appendices or the references

adopted by the COP.

(3) The live wildlife or plant will be

prepared and shipped so as to minimize

risk of injury, damage to the health, or

cruel treatment of the specimen.

(4) For the re-export of a preConvention specimen previously

imported under a CITES document, the

wildlife or plant was legally acquired

(see § 23.50).

(e) U.S. inventory. If you possess an

inventory or stockpile of specimens of

species newly listed, the following

applies:

(1) You may register with us the

inventory or stockpile that you

possessed before the effective date of the

listing. Complete and submit

application form 3–200–59 to the Office

of Management Authority (see § 23.7).

This registration will expedite the

review of applications for preConvention certificates.

(2) If you wish to commercially export

or re-export pre-Convention stock after

the effective date of listing and have not

registered your inventory, we will

require convincing evidence that the

specimens are pre-Convention. This

evidence may include information from

your recordkeeping system that shows

an audit trail of initial stock and

quantities exported, re-exported, sold or

disposed of domestically, and new stock

acquired since the listing.

§ 23.38 What are the requirements for

registering an Appendix-I commercial

breeding operation?

(a) Purpose. Article VII(4) of the

Treaty provides that Appendix-I

specimens that are bred in captivity for

commercial purposes shall be treated as

if they were listed in Appendix II.

(b) General provisions. If you are

breeding Appendix-I wildlife for

commercial purposes, you may apply to

register your operation.

(1) If you are proposing to breed nonnative species, you must conduct a

study of ecological risks that the escape

of specimens may pose to the ecosystem

and native species and how to prevent

any negative effects.

(2) In the United States, upon receipt

of a complete registration request from

a U.S. operation, we will publish a

notice of receipt in the Federal Register.

Each notice will invite interested

entities to submit written data, views ,

or comment with respect to the

registration request within 30 days after

the date of the notice.

(3) If we are satisfied that the

operation meets the conditions for

registration, we will send the request

from a U.S. operation to the Secretariat

or provide comments to the Secretariat

on requests by other Parties.

26710 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

(4) If the request is the first

registration for a species, the Secretariat

will refer it to the appropriate experts

for advice and notify the Parties of the

registration request. If any Party objects

to the registration within a 120-day

comment period, approval of the

registration will require a two-thirds

majority vote by Parties at the next COP

or by a postal vote.

(5) If other operations have already

been registered for the species, the

Secretariat may send the request to

appropriate experts for advice if

significant new information is available

or if there are other reasons for concern.

(6) If the Secretariat is not satisfied

that the operation meets the conditions

for registration, it will provide the

submitting Management Authority with

an explanation of the reasons for

rejection and indicate the specific

conditions that must be met before the

registration can be accepted.

(7) When the Secretariat is satisfied

that the operation meets the registration

requirements, it will include the

operation in its register.

(8) Operations are assigned an

identification number and listed in the

official register. Registration is not final

until the Secretariat notifies all Parties.

(9) A Management Authority may

apply special criteria for the registration

of operations intending to breed

specimens of species that are known to

be difficult to breed in captivity, species

that have specific requirements for

successful breeding in captivity, or

specimens that are known to be difficult

to distinguish from wild-taken

specimens when in trade.

(10) If a Party believes that a

registered operation does not meet the

bred-in-captivity requirements, it may,

after consultation with the Secretariat

and the Party concerned, propose that

the COP delete the operation from the

register by a two-thirds vote of the

Parties.

(11) The registering Management

Authority must monitor registered

operations to ensure that they continue

to meet the registration requirements.

(12) A Party may unilaterally request

the removal of a registered operation

within its jurisdiction by notifying the

Secretariat.

(c) U.S. application to register.

Complete and submit Form 3–200–55 to

the Office of Management Authority (see

§ 23.7).

(d) Criteria. For your breeding

operation to be registered, you must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Criteria for registering an Appendix-I breeding operation Section

(1) The specimen was bred for commercial purposes ................................................................................................. 23.38

(2) The founder stock was legally acquired .................................................................................................................. 23.50

(3) The wildlife was bred in captivity .......................................................................................................................... 23.53

(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 and the Secretariat that the removal is or was not detrimental to the conservation of the species ............................................................................................................................................................................... N/A

(5) The scientific name of the species is the standard nomenclature in the CITES appendices or the references

adopted by the COP .................................................................................................................................................... 23.20

(6) The breeding operation will make a continuing, meaningful contribution to the conservation of the species,

as warranted by the conservation needs of the species ........................................................................................... N/A

(e) Standard conditions of the

registration. In addition to the

conditions in § 23.45, you must meet all

of the following conditions:

(1) You must uniquely mark, as

proposed at the time of registration, all

specimens from the breeding operation.

Birds must have closed bands.

(2) You may not import Appendix-I

specimens for primarily commercial

purposes (such as to establish a

commercial captive-breeding operation)

except from breeding operations

registered for that species.

(3) You must provide information

each year on the year’s production and

your current breeding stock. You may

provide the information by mail, fax, or

e-mail.

(4)You must allow our agents to enter

the premises at any reasonable hour to

inspect wildlife held or to inspect,

audit, or copy applicable records.

(f) Export procedure for registered

operations. Appendix-I species bred at a

registered operation are treated as if

listed in Appendix II.

(1) The export permit (see § 23.29)

may be granted to the registered

operation or to persons who have

purchased a specimen that originated at

the registered operation if the specimen

has the unique mark applied by the

operation.

(2) The export permit must show the

source code as ‘‘D’’ and give the

identification number of the registered

breeding operation where the specimens

originated.

(3) Any subsequent re-export

certificates (§ 23.29) for these specimens

must also show the source code as ‘‘D’’

and give the number of the breeding

operation.

(4) No CITES import permit is

required for qualifying specimens.

§ 23.39 What are the requirements for

export of Appendix-I plants artificially

propagated for commercial purposes?

(a) Purpose. Article VII(4) of the

Treaty provides that Appendix-I plants

artificially propagated for commercial

purposes shall be treated as if they were

listed in Appendix II.

(b) General provisions. An export

permit can be issued for specimens of

Appendix-I species and hybrids of

annotated Appendix-I species

artificially propagated for commercial

purposes at your facility or acquired

from other facilities when the species

meets the criteria in paragraph (d) of

this section. These artificially

propagated specimens are treated as if

listed in Appendix II.

(1) The export permit is valid for only

6 months and must show the source

code as ‘‘D’’ for plants artificially

propagated for commercial purposes.

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26711

(2) Any subsequent re-export

certificate (§ 23.29) for these specimens

must also show the source code as ‘‘D.’’

(3) No CITES import permit is

required for qualifying specimens.

(c) U.S. application form. Complete

and submit Form 3–200–33 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

Issuance criteria for export permits Section

(1) The specimen was propagated for commercial purposes ...................................................................................... 23.39

(2) The founder stock was legally acquired .................................................................................................................. 23.50

(3) The proposed export would not be detrimental to the survival of the species ................................................... 23.51

(4) The plant was artificially propagated ...................................................................................................................... 23.54

(5) The scientific name of the species is the standard nomenclature in the CITES appendices or the references

adopted by the COP .................................................................................................................................................... 23.20

(6) The live plant will be prepared and shipped so as to minimize risk of injury or damage to the health of the

specimen ..................................................................................................................................................................... N/A

(e) Nursery registration. [Reserved]

§ 23.40 What are the requirements for

registered scientific institutions?

(a) Purpose. Article VII(6) of the

Treaty grants an exemption that allows

international trade in certain specimens

for non-commercial loan, donation, or

exchange between scientific

institutions.

(b) General provisions. Scientific

institutions must register with the

Management Authority in their country.

Scientists who wish to use this

exemption must be affiliated with a

registered scientific institution.

(1) The Management Authority will

assign the institution a five-character

code, consisting of the ISO country code

and a unique, three-digit number. In the

case of a non-Party, the Secretariat will

ensure that the institution meets the

standards and assign it a unique code.

(2) The Management Authority

communicates the name, address, and

assigned code to the Secretariat, who

maintains a list of registered scientific

institutions and provides that

information to all Parties.

(3) A registered scientific institution

does not need separate CITES

documents for the non-commercial loan,

donation, or exchange of preserved,

frozen, dried, or embedded museum

specimens, herbaria specimens, or live

plant material with another registered

institution. The shipment must have an

external label that contains specified

information.

(c) U.S. application to register. To

register, complete and submit

application Form 3–200–39 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You, a registered

scientific institution, must provide

sufficient information for us to find that

your proposed activity meets all of the

following criteria:

(1) Collections of wildlife or plant

specimens are permanently housed and

professionally curated, and

corresponding records are kept.

(2) Specimens are accessible to all

qualified users, including those from

other institutions.

(3) Records are properly accessioned

in a permanent catalog.

(4) Records are permanently

maintained for loans and transfers to

other institutions.

(5) Specimens are acquired primarily

for research that is to be reported

in scientific publications.

(6) Collections are prepared and

arranged in a way that ensures their

utility.

(7) Specimen labels, permanent

catalogs, and other records are accurate.

(8) Specimens are lawfully acquired

and possessed under a country’s

national wildlife and plant laws.

(9) Appendix-I specimens are

permanently and centrally housed

under the direct control of the

institution that manages them in a way

that prevents their use for decoration,

trophies, or commercial purposes.

(e) Standard conditions. In addition to

the conditions in § 23.45, you must meet

all of the following conditions:

(1) You are only authorized to send

and receive preserved, frozen, dried, or

embedded museum specimens, herbaria

specimens, or live plant material as a

non-commercial loan, donation, or

exchange.

(2) You and the receiving or sending

scientific institution must be registered

by the applicable Management

Authorities, and the registrations must

be on file with the Secretariat.

(3) You must ship specimens only for

scientific research and not for use as

decoration, trophies, or commercial

purposes.

(4) You must affix a customs

declaration label to the outside of each

shipping container or package that

contains all of the following:

(i) The acronym ‘‘CITES.’’

(ii) A description of the contents

(such as ‘‘herbarium specimens’’).

(iii) The names and addresses of the

sending and receiving institutions.

(iv) The signature of a responsible

officer of the sending registered

scientific institution.

(v) The scientific institution codes of

both registered scientific institutions

involved in the loan, donation, or

exchange.

(5) You must have information to

show that specimens were legally

acquired in the country of origin and/or

legally imported.

(6) You are only authorized to receive

specimens that are under the authority

of a registered scientific institution and

have been permanently and accurately

recorded by the sending institution.

(7) You are authorized to import,

export, or re-export preserved, frozen,

dried, or embedded biological tissue

samples, including blood and tissue

samples, that will be partially destroyed

during analysis provided a portion of

the sample is maintained at the museum

for future scientific reference. This does

not include samples that will be

completely destroyed during analysis.

§ 23.41 What are the requirements for

traveling live-animal exhibitions?

(a) Purpose. Article VII(7) of the

Treaty grants an exemption for

specimens that qualify as bred in

26712 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

captivity or pre-Convention and are part

of a traveling live-animal exhibition.

(b) General provisions. You, as an

exhibition wishing to travel

internationally with live wildlife, must

register with the Management Authority

in the country where the exhibition is

usually based.

(1) You must obtain an original preConvention or bred-in-captivity

certificate for each specimen that

indicates it is part of a traveling liveanimal exhibition (see § 23.5).

(2) Parties should not collect the

original certificate at their borders but

should treat this CITES document like a

passport for export and re-export from

each country.

(3) Parties should check specimens

closely to determine that the specimen

matches the certificate and ensure that

each specimen is being transported and

cared for in a manner that minimizes

the risk of injury, damage to the health,

or cruel treatment of the specimen.

(4) If offspring are born or you acquire

specimens while traveling in another

country, you must obtain the

appropriate CITES document for the

export or re-export of the wildlife from

the Management Authority of that

country (for persons subject to the

jurisdiction of the United States, the

purchase in foreign commerce or import

of any ESA species also requires a

permit from the Office of Management

Authority, see 50 CFR part 17).

(5) Upon return home, you may apply

for a traveling live-animal exhibition

certificate for wildlife born or acquired

overseas.

(c) U.S. application form. Complete

and submit Form 3–200–30 to the Office

of Management Authority (see § 23.7).

(d) Issuance criteria. You must

provide sufficient information for us to

find that your proposed activity meets

all of the following criteria:

(1) You own the live wildlife, and the

cross-border movement is for display or

entertainment purposes, and not for

breeding or other purposes.

(2) You are based in the United States.

(3) The specimen meets the issuance

criteria for a pre-Convention certificate

in § 23.37(d) or a bred-in-captivity

certificate in § 23.33(d).

(4) You do not intend to sell or

otherwise transfer the wildlife while

traveling internationally.

(5) The wildlife is securely marked or

identified in such a way that border

officials can verify that the certificate

and specimen correspond.

(e) Standard conditions. In addition to

the conditions in § 23.45, you must meet

all of the following conditions:

(1) The certificate may be used by

you, but must not be transferred or

assigned to another person or traveling

live-animal exhibition.

(2) You must transport internationally

the specimen only for display or

entertainment purposes, not for

breeding or other purposes.

(3) You must retain the original

certificate and have it validated at each

border crossing.

(4) You must not sell or otherwise

transfer the specimen while traveling

internationally.

(5) If the certificate is lost, stolen, or

accidentally destroyed, you must obtain

a replacement certificate only from the

issuing Management Authority (see

§ 23.42).

(6) If you no longer own the wildlife,

the original certificate must be

immediately returned to the issuing

Management Authority.

§ 23.42 What are the requirements to

replace lost, damaged, stolen, or

accidentally destroyed CITES documents?

(a) General provisions. A Management

Authority may issue duplicate CITES

documents to replace lost, damaged,

stolen, or accidentally destroyed CITES

documents under the following general

provisions:

(1) For commercial shipments, the

issuing Management Authority should

immediately inform the Management

Authority in the country of destination

and the Secretariat or send them a copy

of the replacement CITES document.

(2) The replacement CITES document

must indicate that it is a ‘‘true copy of

the original’’ and include the number

and expiration date of the document

being replaced and the reason for

replacement.

(b) U.S. application procedures. To

amend or renew a CITES document, see

50 CFR part 13. To apply for a

replacement CITES document, you must

provide all of the following:

(1) Complete and submit application

Form 3–200–56 to the Office of

Management Authority (see § 23.7).

(2) Submit an application processing

fee unless you are fee exempt (see 50

CFR 13.11(d)).

(3) Consult the list to find the types

of information you need to provide

(more than one circumstance may apply

to you):

If: Then:

(i) The shipment has already

occurred.

Provide copies of:

(A) For wildlife, the validated CITES document and cleared Declaration for Importation or

Exportation of Fish or Wildlife (Form 3–177).

(B) For plants, the validated CITES document.

(C) Any correspondence you have had with the shipper or importing country’s Management Authority concerning the shipment.

(ii) The original CITES document no longer exits.Submit a signed, dated, and notarized statement that:

(A) Refers to the permit 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.

(c) Issuance criteria. For us to issue or

accept a replacement CITES document,

you must provide sufficient information for us to find that your proposed activity

meets all of the following criteria:

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26713

(1) You have fully explained the

circumstances responsible for the lost,

damaged, stolen, or accidentally

destroyed CITES document and they are

reasonable.

(2) If the shipment has already been

made, the Management Authority of the

importing country has indicated it will

accept the replacement CITES

document.

(d) Standard conditions. In addition

to the conditions in § 23.45, you must

meet all of the following conditions:

(1) If the original CITES document is

found, you must return it to the issuing

Management Authority.

(2) A CITES document issued for a

shipment that has already occurred does

not require validation.

(e) Validation. For an export or reexport that has not left the United

States, follow the procedures in § 23.24.

If the shipment has been made and is in

a foreign country, submit the original

un-validated replacement CITES

document to the appropriate foreign

authorities. We will not validate the

replacement CITES document for a

shipment that has already been shipped

to a foreign country.

§ 23.43 What are the requirements for

retrospective CITES documents?

(a) General provisions. Except as

provided in paragraph (b) of this

section, a Management Authority will

not:

(1) Issue CITES documents

retrospectively.

(2) Provide exporters, re-exporters,

and/or consignees in importing

countries with declarations about the

legality of specimens exported or reexported from their countries without

the required CITES document.

(3) Provide exporters, re-exporters,

and/or consignees in importing

countries with declarations about the

legality of CITES documents that at the

time of export, re-export, or import did

not meet the requirements of CITES.

(4) Accept CITES documents,

including ones for in-transit shipments,

that were issued retrospectively.

(b) Special provisions. A Management

Authority can issue or accept a

retrospective CITES document only if

the Management Authorities of the

importing and exporting countries, after

a prompt and thorough investigation

and in close consultation, are satisfied

that all the following conditions are

met:

(1) The request for a retrospective

CITES document is being made at the

time the shipment is being imported.

(2) The exporter, re-exporter, or

importer is not responsible for the

irregularities.

(3) The export, re-export, or import of

the specimens are otherwise in

compliance with CITES and the relevant

national legislation of the countries

involved.

(4) The Management Authority sends

a copy of any retrospective CITES

document to the Secretariat. It must

contain a statement that it was issued

retrospectively and give the reason for

the issuance.

(c) U.S. application. You must

provide the following information to the

Office of Management Authority

(§ 23.7):

(1) A completed application Form 3–

200–58.

(2) A completed application form for

the type of activity you conducted (see

§ 23.17).

(d) Issuance criteria. For us to issue or

accept a retrospective CITES document,

you must provide sufficient information

for us to find that your proposed activity

meets all of the following criteria:

(1) The wildlife or plant has been

exported, re-exported, or introduced

from the sea without a valid CITES

document and was presented to the

appropriate official for inspection at the

time of import.

(2) The wildlife or plants would have

qualified for the applicable CITES

document if you had applied for it

before importing, introducing from the

sea, exporting, or re-exporting the

specimen.

(3) The import, introduction from the

sea, export, or re-export did not require

a U.S. permit under another part of this

subchapter.

(4) As provided in paragraph (e) of

this section, the irregularities are not

attributable to you or an agent on your

behalf.

(5) The importing Management

Authority has agreed to accept the

retrospectively issued CITES document.

(e) Irregularities. In the United States,

irregularities include one of the

following:

(1) You tried to find out the

requirements and can show that you

were misinformed about CITES

requirements by an employee of the U.S.

Fish and Wildlife Service, APHIS (for

plants), or the Management Authority in

the foreign country that should have

informed you about CITES documents.

(2) The wildlife or plant item qualifies

as a personal or household effect (see

§ 23.12).

(3) For live Appendix-II or -III wildlife

or plants, the specimen is owned by you

for your personal use, accompanied you

as personal baggage, and number no

more than two.

(4) For a pre-Convention Appendix-I

wildlife or plant, you own the specimen

for your personal use and it

accompanied you as personal baggage.

(f) Validation. Submit the original unvalidated retrospective CITES document

to the appropriate foreign authorities.

We will not validate the retrospective

CITES document for a shipment that has

already been shipped to a foreign

country.

§ 23.44 How long is a CITES document

valid?

(a) Purpose. Article VI(2) of the Treaty

sets the time period within which an

export permit is valid. Validity periods

for other CITES documents are

prescribed in this section.

(b) Time of validity. CITES documents

are valid only if presented for import or

introduction from the sea within the

time of validity (before midnight of the

expiration date) noted on the face of the

document.

(1) An export permit and re-export

certificate will be valid for no longer

than 6 months from the issuance date.

(2) An import permit, introductionfrom-the-sea certificate, and certificate

of origin will be valid for no longer than

12 months from the issuance date.

(3) A certificate for traveling liveanimal exhibitions and certificate of

ownership will be valid for no longer

than 3 years from the issuance date.

(4) Other CITES documents will state

the length of their validity, but no U.S.

CITES document will be valid for longer

than 4 years from the issuance date.

(c) Extension of validity. The validity

of a CITES document may not be

extended beyond the expiration date on

the face of the document, except under

limited circumstances for certain timber

species as outlined in § 23.64.

§ 23.45 What CITES document conditions

do I need to follow?

(a) General conditions. You must

comply with all of the following general

conditions:

(1) For a U.S. CITES document, you

must comply with the provisions of 50

CFR part 13 as conditions of the

document. You must comply with all

applicable foreign, local, State, tribal, or

Federal wildlife or plant conservation

laws, as well as the regulations in this

subchapter, including, but not limited

to, any that require permits.

(2) For export and re-export of live

wildlife, the CITES document is only

valid if the transport conditions comply

with the CITES Guidelines for Transport

of Live Animals or, in the case of air

transport, with the International Air

Transport Association Live Animal

Regulations.

(3) For export and re-export of live

plants, you must prepare and ship the

26714 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

specimens so as to minimize the risk of

injury or damage to health. You must

ensure that living specimens to be

shipped are healthy.

(4) You must return the original

CITES document to the issuing office if

you do not use it, it expires, or you

request renewal or amendment.

(5) When appropriate, a Management

Authority may require that you identify

Appendix-II and -III wildlife or plants

with a mark. All live Appendix-I

wildlife must be securely marked or

uniquely identified.

(b) Standard conditions. You must

comply with the standard conditions

provided in this part for specific types

of CITES documents.

(c) Special conditions. We may

condition a CITES document with

special conditions based on the needs of

the species or the proposed activity.

You must comply with any special

conditions contained in or attached to a

CITES document.

Subpart D—Factors We Consider in

Making Certain Findings

§ 23.50 What factors do we consider in

making a legal acquisition finding?

(a) Purpose. Articles III, IV, and V of

the Treaty require a Management

Authority to make a legal acquisition

finding before granting export permits

and re-export certificates.

(b) Legal acquisition. Legal

acquisition refers to both:

(1) Whether the specimen and its

founder stock were traded

internationally in accordance with the

provisions of CITES.

(2) Whether the specimen and its

founder stock were obtained in

accordance with the provisions of

national laws for the protection of

wildlife and plants. In the United States,

these laws include all applicable local,

State, Federal, tribal, and foreign laws.

(c) General provisions. We must make

a finding that a specimen was legally

acquired before we can issue certain

kinds of CITES documents.

(1) We make this decision on a caseby-case basis considering all available

information.

(2) As provided in paragraphs (d)

through (j) of this section, you, the

applicant, must provide sufficient

information to establish the origin of the

specimen and whether it was legally

acquired (see § 23.27 for details on

recordkeeping or the applicable

application form referenced in subpart C

of this part).

(3) For States and Tribes that have

requested export approval on a Statewide or reservation-wide basis and that

have management programs that

provide us with the information

necessary to make administrative

findings, we make legal acquisition

findings on a State or tribal basis. Permit

applications for exports under these

administrative findings must be

accompanied by information showing

that the specimens were legally

acquired under State or tribal

requirements.

(4) As necessary, we consult with

foreign Management or Scientific

Authorities, the CITES Secretariat, State

conservation agencies, enforcement staff

within our agency and APHIS, and other

appropriate experts.

(d) Personal use. To establish legal

acquisition of any specimen to be

exported or re-exported for your

personal use, you must provide

sufficient information for us to find that

your proposed activity meets all of the

following criteria (If any of the

following criteria do not apply, then you

must comply with paragraphs (e)

through (i) of this section.):

(1) You acquired the specimen in the

United States and personally own and

possess it for strictly non-commercial

purposes.

(2) The number of specimens is

reasonably appropriate for the nature of

your export or re-export as personal use.

(3) There is no persuasive evidence of

illegal transactions involving the

specimen.

(4) You must provide information on

the origin of parental or founder stock,

if we request it as provided in paragraph

(f)(2) of this section.

(5) You must provide information to

show legal acquisition:

If the specimen was: Then you must provide:

(i) Born, bred, propagated, or grown in captivity in the

United United States (see wild-collected 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 grown in captivity from a

propagule collected from a plant).

A signed breeder’s or propagator’s statement (see § 23.27) or

a statement with the name and address of breeder or propagator, date of sale or transfer, species, and birth or hatch

date for wildlife.

(ii) Imported previously by someone other than the applicant.Copies of a canceled CITES or other import documents

under which the specimen was exported or re-exported.

(iii) Of unknown origin .............................................................. A complete description of the circumstances under which

you acquired it (such as where, when, and from whom

you acquired the specimen), including your efforts to obtain information on the origin of the specimen.

(iv) Taken from the wild in the United States ......................... Information showing the specimen was legally removed

from the wild under relevant wildlife or plant conservation laws or regulations.

(e) Multiple ownership. In addition to

meeting the requirements of paragraphs

(f) through (i) of this section, if you were

not the importer, collector from the

wild, or breeder or propagator, you must

show a clear record of the history of

ownership that identifies the specimen

and, if applicable under paragraph (f) of

this section, its founder stock through

each owner.

(f) Born, bred, grown, or propagated in

captivity. For the export of specimens

that are born, bred, grown, or

propagated in captivity, we need

reasonable proof that the founder stock

or parental stock was legally acquired.

For wildlife that was born in captivity

from an egg collected from the wild

from parents that mated or exchanged

genetic material in the wild, or a plant

that was grown in captivity from a

propagule collected from a wild plant,

go to paragraph (h) of this section.

(1) You must provide information as

follows:

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26715

If the species is listed in: Then you must establish that:

(i) Appendix I ............................................................................. The founder stock was legally acquired.

(ii) Appendix II or III and the founder stock was collected

from the wild in the United States.

The founder stock was legally acquired.

(iii) Appendix II or III and the founder stock was not collected from the wild in the United States, except for a

plant grown from exempt plant material (see § 23.88(c)).

The parental stock was legally acquired and, if requested

under paragraph (f)(2) of this section, founder stock was

legally acquired.

(2) You must also provide information

to establish that the founder stock was

legally acquired if we request it based

on any of the following factors:

(i)The species is uncommon in

captivity in the United States.

(ii) The species has not been

documented to breed or propagate

readily in captivity.

(iii) There is significant illegal trade

in the species.

(iv) There is little or no record of legal

import of the species into the United

States.

(v) Range countries do not allow

commercial export, or allow only

limited, non-commercial export, of the

species.

(g) Imported previously. For the reexport of specimens that were

previously imported into the United

States:

(1) You must provide information to

satisfy us that the specimen was legally

imported.

(2) We consider any reliable, relevant

information we receive concerning the

validity of a CITES document,

regardless of whether the specimen has

been imported and the shipment cleared

by us or APHIS.

(h) Wild-collected in the United

States. For specimens collected from the

wild in the United States:

(1) You must provide information

showing the legal collection of any

specimen.

(2) We consider the site where the

specimen was collected, whether the

species is known to occur at that site,

the abundance of the species at that site,

and whether permission of the

appropriate management agency or

landowner was obtained to collect the

specimen.

(i) Confiscated specimens. We may

issue CITES documents to export or reexport confiscated Appendix-II and -III

wildlife or plants under the following

circumstances:

(1) You must provide a copy of the

legal document that shows the transfer

of the confiscated specimen to you and

shows that any conditions on the

document have been met.

(2) If the specimen is offspring of the

confiscated wildlife or plant, you must

provide information that it is the

offspring of the documented confiscated

specimen.

(3) All CITES findings must be made,

including the finding by the Office of

Scientific Authority that the export or

re-export will not be detrimental to the

survival of the species (see § 23.51).

(j) Donated specimens of unknown

origin. We may issue CITES documents

to export or re-export donated wildlife

or plants of unknown origin under the

following circumstances:

(1) You are a public institution (see 50

CFR 10.12) that did not solicit the

donation.

(2) You follow standard

recordkeeping practices and make

reasonable efforts to obtain supporting

information on the origin of the

specimen.

(3) You provide information to show

you made a reasonable effort to find a

suitable recipient in the United States.

(4) The export or re-export will

provide a conservation benefit to the

species.

(5) There is no persuasive information

of illegal transactions involving the

specimen.

(6) The export or re-export is noncommercial, with no money or barter

exchanged except for shipping costs.

(7) There is no history of institutions

receiving a series of rare and valuable

specimens or a large quantity of wildlife

or plants of unknown origin.

(8) All other CITES findings must be

made, including the finding by the

Office of Scientific Authority that the

export or re-export will not be

detrimental to the survival of the

species (see § 23.51).

§ 23.51 What factors do we consider in

making a non-detriment finding?

(a) Purpose. Articles III and IV of the

Treaty require that before we issue a

CITES document we find that a

proposed export or introduction from

the sea of Appendix-I or -II specimens

is not detrimental to the survival of the

species and that a proposed import of an

Appendix-I species is not for purposes

that would be detrimental to the

survival of the species.

(b) Types of detriment. Detrimental

activities, depending on the species,

could include, among other things, nonsustainable use (see § 23.5) and

proposed activities that would pose a

net harm to the status of the species in

the wild. For Appendix-I species, it also

includes use or removal from the wild

that results in habitat loss or

destruction, interference with recovery

efforts for a species, or stimulation of

further trade.

(c) General factors. The applicant

must provide sufficient information for

us to make a finding of non-detriment.

In addition to factors in paragraphs (d)

and (e) of this section, we will consider

whether:

(1) There is scientific information that

demonstrates the proposed activity

represents sustainable use.

(2) The removal of the animals or

plants from the wild is part of a

scientifically based sustainable-use

management plan, if established, that is

designed to eliminate over-utilization of

the species.

(3) If there is no sustainable-use

management plan established, the

removal of the plants or animals from

the wild would not contribute to the

over-utilization of the species,

considering both domestic and

international uses.

(4) The proposed activity, including

the methods used to acquire the

specimen, would pose no net harm to

the status of the species in the wild.

(5) The proposed activity would not

lead to long-term declines that would

place the viability of the affected

population in question.

(6) The proposed activity would not

lead to significant habitat or range loss

or restriction.

(d) Additional factor for Appendix-II

species. In addition to the general

factors in paragraph (c) of this section,

we will consider whether the intended

export of an Appendix-II species would

be unsustainable or cause a significant

risk that the species would qualify for

inclusion in Appendix I.

(e) Additional factors for Appendix-I

species. In addition to the general

factors in paragraph (c) of this section,

26716 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

we will consider whether the proposed

activity:

(1) Would not cause an increased risk

of extinction for either the species as a

whole or the population from which the

specimen was obtained.

(2) Would not interfere with the

species’ recovery.

(3) Would stimulate additional trade

in the species. If the proposed activity

does stimulate trade, we will consider

whether the anticipated increase in

trade would lead to the decline of the

species.

(f) How we make our findings. We

base the non-detriment finding on the

best available biological information.

We also consider trade information,

including trade demand, or other

scientific management information.

(1) We consult with the States, other

Federal agencies, experts, and the range

countries of the species.

(2) We consult with the Secretariat

and other Parties to monitor the level of

trade that is occurring in the species.

(3) Based on the factors in paragraphs

(c) through (e) of this section, we

evaluate the biological impact of the

proposed activity.

(4) In cases where insufficient

information is available or the factors

above are not satisfactorily addressed,

we act in a precautionary manner and

would be unable to make the required

finding of non-detriment.

(g) Risk assessment. We review the

status of the species in the wild and the

degree of risk the proposed activity

poses to the species to determine the

level of scrutiny needed to make a

finding. We give greater scrutiny,

require more detailed information, and

make our decisions in a more

precautionary manner for activities that

pose a greater risk to a species in the

wild. We consider the cumulative risks,

recognizing that each aspect of

international trade has a continuum of

risk (from high to low) associated with

it as follows:

(1) Status of the species: From

Appendix I to Appendix II.

(2) Origin of the specimen: From

wild-collected specimens to captive or

cultivated specimens that cannot be

considered artificially propagated or

bred in captivity to specimens that are

artificially propagated or bred in

captivity.

(3) From plants grown from nonexempt seeds or seedlings to plants

grown from exempt seeds or seedlings.

(4) From native species to non-native

species.

(5) From high potential for invasive

effects to limited potential for invasive

effects.

(6) From high volume of commercial

trade to low volume of trade.

(7) From commercial shipment to

non-commercial shipment.

(8) From high occurrence of illegal

trade to low occurrence of illegal

trade.

(9) From high risk of disease

transmission to limited risk of disease

transmission.

(10) From listed under Article II(1) or

II(2)(a) of the Treaty to listed under

Article II(2)(b).

(h) Quotas for Appendix-I species.

When an export quota has been set by

the COP for an Appendix-I species, we

will consider the scientific and

management aspects used as the basis of

the quota when we make our nondetriment finding. We will contact the

Scientific and Management Authorities

of the exporting country for further

information if needed.

§ 23.52 What factors do we consider in

making a finding of primarily commercial

purposes?

(a) Purpose. Under Article III,

paragraphs 3(c) and 5(c) of the Treaty,

an import permit or an introductionfrom-the-sea certificate for Appendix-I

species can be issued only if the

Management Authority is satisfied that

the specimen is not to be used for

primarily commercial purposes.

(b) General principles. We will follow

these general principles in making a

decision on whether a proposed activity

is for primarily commercial purposes:

(1) Trade in Appendix-I species must

be subject to particularly strict

regulation and authorized only in

exceptional circumstances.

(2) The definition of ‘‘commercial’’ in

§ 23.5 applies.

(3) We will look at all aspects of the

intended use of the import or

introduction from the sea. If the noncommercial aspects do not clearly

predominate, we will consider the

import or introduction to be primarily

commercial.

(4) The burden of proof for showing

that the intended use is clearly noncommercial is on you, the applicant.

(5) While the nature of the transaction

between the owner in the country of

export and the recipient in the country

of import or introduction may be

commercial, it is the intended use of the

specimen that must not be for primarily

commercial purposes.

(6) All net profits generated in the

United States must be used for the

conservation of the Appendix-I species

in a range country.

(7) Net profit includes all funds or

other valuable considerations (including

enhanced value of common stock

shares) received or attained by you or

those affiliated with you as a result of

the import or introduction, to the extent

that such funds or other valuable

considerations exceed the reasonable

expenses that are properly attributable

to the proposed activity.

(c) Examples. The following are

examples of categories of transactions in

which the non-commercial aspects may

predominate depending on the facts of

each situation. The discussions of each

example provide further guidance in

assessing the actual degree of

commerciality on a case-by-case basis.

These examples outline the

circumstances commonly encountered.

They do not cover all situations where

import or introduction could be found

not to be for primarily commercial

purposes.

(1) Purely private use. A specimen

that is imported or introduced purely

for private use is not considered to be

for primarily commercial purposes. An

example is the import of a personal

sport-hunted trophy by the person who

hunted the wildlife for display in his or

her own home.

(2) Scientific purposes. The import or

introduction of an Appendix-I specimen

may be permitted in situations where it

is being imported or introduced by a

scientist or scientific institution and the

resale, commercial exchange, or exhibit

for economic benefit of the specimen is

not the primary intended use.

(3) Conservation, education, or

training. Generally an Appendix-I

specimen may be imported or

introduced by government agencies or

non-profit institutions for purposes of

conservation, education, or training. For

example, a specimen could be imported

or introduced primarily to train customs

staff in effective CITES control.

(4) Biomedical industry. Import or

introduction of an Appendix-I specimen

by an institution or company in the

biomedical industry is initially

presumed to be commercial since

specimens are typically imported or

introduced to develop and sell products

that promote public health for profit.

However, if the importer clearly shows

that the sale of products is only

incidental to public health research and

not for the primary purpose of economic

benefit or profit, then such an import or

introduction could be considered as

scientific research under paragraph

(c)(2) of this section if the principles of

paragraph (b) of this section are met.

(5) Captive-breeding programs. As a

general rule, import or introduction of

an Appendix-I specimen for a captivebreeding program must have as a

priority, the long-term protection and

recovery of the species in the wild. The

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26717

captive-breeding program must be part

of a program aimed at the recovery of

the species in the wild and be

undertaken with the support of a

country within the species’ native range.

Any profit gained must be used to

support this recovery program. If a

captive-breeding operation plans to sell

surplus specimens to help offset the

costs of its program, import or

introduction would only be allowed if

any profit would be used to support the

captive-breeding program to the benefit

of the Appendix-I species, not for the

personal economic benefit of a private

individual or share-holder.

(6) Professional dealers. Import or

introduction by a professional dealer

who states a general intention to

eventually sell the specimen to an

undetermined recipient would be

considered to be for primarily

commercial purposes. However, import

or introduction through a professional

dealer by a qualified applicant may be

acceptable if the ultimate intended use

would be for one of the purposes set out

in paragraphs (c)(2), (3), and (5) of this

section and where a binding contract,

conditioned on the granting of permits,

is in place.

(d) For-profit entities. Commercial

organizations may be considered for an

import permit or introduction-from-thesea certificate, but the nature of these

kinds of organizations to carry out

activities in the pursuit of gain or profit,

makes it more difficult for us to find

that a proposed import or introduction

is not to be used for primarily

commercial purposes.

(e) General information. As provided

in paragraphs (b) and (c) of this section,

you must provide sufficient information

to establish that the intended use of the

specimen is not for primarily

commercial purposes. This includes,

but is not limited to:

(1) A description of your proposed

activities, including any public outreach

that may increase revenue and the

disposition of any offspring.

(2) A statement of the reasons you

believe your proposed activities are

not primarily commercial.

(3) If there is any anticipated net

profit, a description of any conservation

project to be funded and, if the species

was or is to be taken from the wild, how

the project benefits the species in its

native range (including agreements,

time frames for accomplishing tasks,

and anticipated benefits to the species).

(4) A plan to monitor any proposed

conservation project, including

expenditure of funds or completion of

tasks.

(5) You must also provide the

additional information in paragraph (f)

of this section if you are a for-profit

entity or if we request it based on any

of the following factors:

(i) The species is uncommon in

captivity in the United States.

(ii) The species has high public

appeal.

(iii) The proposed use of the specimen

could be capable of generating

substantial revenues.

(f) Additional information. You must

provide a statement from a licensed,

independent certified public accountant

that your internal accounting system is

sufficient to account for and track funds

generated by the proposed activities.

You must also provide one of the

following:

(1) A detailed analysis of expected

revenue (both direct and indirect) and

expenses to show any anticipated net

profit and how you will track funds.

(2) A description of how your

proposed activities will benefit the

Appendix-I species in its native range

and how the costs of providing that

conservation benefit equal or exceed

any net profit anticipated from the

proposed activities.

§ 23.53 What factors do we consider in

making a bred-in-captivity finding?

(a) Purpose. Article VII, paragraphs 4

and 5 of the Treaty, provides

exemptions that allow for the special

treatment of wildlife that was bred in

captivity (see §§ 23.33 and 23.38).

(b) Definitions. The definition of

‘‘bred in captivity’’ relies on the

following terms:

(1) A controlled environment means

one that is actively manipulated for the

purpose of producing specimens of a

particular species, that has boundaries

designed to prevent specimens,

including eggs or gametes, from entering

or leaving the controlled environment,

and has general characteristics which

may include artificial housing, waste

removal, provision of veterinary care,

protection from predators, and

artificially supplied food.

(2) A first-generation (F1) offspring is

a specimen produced in a controlled

environment from parents at least one of

which was conceived in or taken from

the wild.

(3) An offspring of second generation

(F2) or subsequent generations is a

specimen produced in a controlled

environment from parents that were also

produced in a controlled environment.

(4) The breeding stock of an operation

means the ensemble of all the wildlife

in the operation used for reproduction.

(c) Bred-in-captivity criteria. For a

specimen to qualify as bred in captivity,

we must find all the following criteria

are met:

(1) If reproduction is sexual, the

specimen was born to parents that either

mated or transferred gametes in a

controlled environment.

(2) If reproduction is asexual, the

parents were in a controlled

environment when development of the

offspring began.

(3) The breeding stock meets the

criteria in paragraph (d) of this section.

(d) Breeding stock. The breeding stock

must meet all of the following criteria:

(1) Was established according to the

provisions of CITES and relevant

national laws.

(2) Was established in a manner not

detrimental to the survival of the

species in the wild.

(3) Is maintained with only occasional

introduction of wild specimens as

provided in paragraph (e) of this

section.

(4) Has consistently produced

offspring of second generation or

subsequent generations in a controlled

environment or the captive population

of the species in the United States is

managed in a way demonstrated to be

capable of reliably producing secondgeneration offspring.

(e) Addition of wild specimens. A

breeder may introduce a very limited

number of wild specimens (including

eggs or gametes) into the breeding stock

provided all of the following conditions

are met:

(1) The specimen was acquired in

accordance with the provisions of

CITES and relevant national laws.

(2) The specimen was acquired in a

manner not detrimental to the survival

of the species in the wild.

(3) The specimen was added either to

prevent or alleviate deleterious

inbreeding, with the amount of such

addition determined by the need for

new genetic material, or to dispose of

confiscated animals according to

§ 23.70.

§ 23.54 What factors do we consider in

making an artificially propagated finding?

(a) Purpose. Article VII, paragraphs 4

and 5, of the Treaty provides

exemptions for the special treatment of

plants that were artificially propagated

(see §§ 23.32 and 23.39).

(b) Controlled conditions means a

non-natural environment that is

intensively manipulated by human

intervention for the purpose of

producing selected species or hybrids.

General characteristics of controlled

conditions may include, but are not

limited to, tillage, fertilization, weed

control, irrigation, or nursery operations

such as potting, bedding, or protection

from weather.

(c) Artificially propagated criteria. For

a plant specimen to qualify as

26718 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

artificially propagated, we must find all

the following criteria are met:

(1) A plant (including parts and

products) must be grown from a seed,

cutting, division, callus tissue, other

plant tissue, spore, or other propagule

under controlled conditions.

(2) The cultivated parental stock used

for artificial propagation must have been

established according to the provisions

of CITES and relevant national laws;

(3) The cultivated parental stock must

have been established in a manner not

detrimental to the survival of the

species in the wild; and

(4) The cultivated parental stock must

be managed so that long-term

maintenance of the cultivated stock is

guaranteed.

(d) Seeds. A seed of a species listed

in Appendix I or listed in Appendix II

or III with an annotation to include

seeds is artificially propagated only

when the criteria in paragraph (c) of this

section are met.

(e) Grafted plant. A grafted plant is

artificially propagated only when both

the rootstock and the graft have been

artificially propagated according to

paragraph (c) of this section.

(f) Exempt plant material. A plant

grown from:

(1) A flasked seedling or tissue culture

is considered artificially propagated,

provided we have reasonable grounds to

believe the specimen did not originate

from wild propagules.

(2) A plant from an exempt seed will

not be considered artificially propagated

if the seed is of wild origin. If limited

information is available on the origin of

the seeds, we will consider whether the

species is commonly artificially

propagated and the expected level of

seed collection from the wild, in making

a finding of whether the plant qualifies

as artificially propagated.

(g) Timber. Timber taken from trees

grown in a monospecific plantation is

considered artificially propagated.

§ 23.55 What factors do we consider in

making a finding of bred or propagated for

commercial purposes?

(a) General provisions. To decide

whether to grant an exemption under

Article VII(4) or Article VII(5) of the

Treaty, we must make a finding on

whether an Appendix-I specimen was

bred or propagated for commercial

purposes.

(1) We make this decision on a caseby-case basis considering all available

information.

(2) The definition of ‘‘commercial’’ in

§ 23.4 applies.

(3) We assess the total circumstances

surrounding the intention of the public,

private, non-profit, or commercial (forprofit) entity in carrying out the captive

breeding or propagation activity.

(4) We consider the reproductive

biology of the species and all aspects of

the breeding or propagation program at

the facility.

(5) As necessary, we consult with

experts.

(b) Required information. You, the

applicant, must provide sufficient

information to establish whether you

have bred or propagated a specimen for

commercial purposes. This includes,

but is not limited to:

(1) A description of the overall goals

and objectives of the breeding or

propagation program.

(2) Information on the program, such

as management of genetic stock, size of

breeding or propagation stock,

approximate number of specimens

produced each year, maximum number

of individuals that can be maintained at

the facility, how you decide stock is

surplus, and how you plan to dispose of

any surplus stock.

(3) Information demonstrating the

commercial or non-commercial nature

of the proposed trade. This includes the

number of specimens of the species you

placed outside your facility in the last

5 years, purpose of each transaction, any

net profit gained, and anticipated

transactions in the next year.

§ 23.56 What factors do we consider in

making a finding that an applicant is

suitably equipped to house and care for a

live specimen?

(a) Purpose. Under Article III(3)(b)

and (5)(b) of the Treaty, an import

permit or introduction-from-the-sea

certificate for a live specimen of an

Appendix-I species can be issued only

if we are satisfied that the proposed

recipient is suitably equipped to house

and care for it.

(b) General principles. We will follow

these general principles in making a

decision on whether an individual or

institution has facilities that would

provide proper housing to maintain the

specimens for the intended purpose,

and whether persons caring for the

specimen have the expertise to provide

proper care and husbandry or

horticultural practices.

(1) All individuals or institutions that

would be receiving a specimen must be

identified in an application and their

facilities approved by us, including

individuals or institutions that are likely

to receive a specimen within 1 year of

it arriving in the country.

(2) You, the applicant, must provide

sufficient information for us to make a

finding, including, but not limited to, a

description of the facility, photographs,

or construction plans, and resumes of

the recipient or staff who will care for

the specimen.

(3) We look at all possible uses of the

specimen, including the possibility of

offspring being produced even though

breeding is not the main purpose of the

import or introduction.

(4) We use the best available

information on the requirements of the

species in making a decision, and will

consult with other Federal and State

agencies and experts, as appropriate.

(5) The degree of scrutiny that we give

an application is based on biological

and husbandry or horticultural needs of

the species.

(c) Specific factors considered for

wildlife. In addition to the general

provisions in paragraph (e) of this

section, we consider the following

factors in evaluating suitable housing

and care for wildlife:

(1) Sufficient space, both indoors and

outdoors if appropriate, to allow the

wildlife to move, behave in a normal

manner, and interact with other

members of its species, as necessary.

(2) Appropriate forms of

environmental enrichment, such as

nesting material, perches, climbing

apparatus, ground substrate, or other

species-specific materials or objects.

(3) If the wildlife is on public display,

an off-exhibit area, consisting of indoor

and outdoor accommodations that can

house the wildlife on a long-term basis.

(4) A plan to house and care for any

offspring and disposition of any

offspring that will not remain at the

facility.

(5) Provision of water and nutritious

food of a nature and in a way that are

appropriate for the species.

(6) An individual or staff that is

properly trained and experienced in

providing daily care and maintenance

for the species being imported or

introduced, or closely related species.

(7) Readily available veterinarian care

or veterinary staff experienced with the

species or a closely related species,

including emergency care.

(d) Specific factors considered for

plants. (1) Sufficient space, appropriate

lighting, and environmental conditions

to ensure proper growth and

reproduction.

(2) An individual or staff with

experience with the imported species or

related species with similar

horticultural requirements.

(e) General factors considered for

wildlife and plants. In addition to the

specific provisions in paragraph (c) or

(d) of this section, we will consider the

following factors in evaluating suitable

housing and care for wildlife and plants:

(1) Adequate enclosures or holding

areas to prevent escape or unplanned

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26719

exchange of genetic material with

specimens of the same or different

species outside the facility.

(2) Appropriate security to prevent

theft of specimens and measures taken

to rectify any previous theft or security

problem.

(3) A reasonable survival rate of

specimens of the same species or closely

related species at the facility, including

number of births or plants propagated,

mortalities for the previous 5 years,

significant injuries to wildlife or damage

to plants, and occurrence of significant

disease outbreaks over the previous 5

years, and measures taken to prevent

similar moralities, injuries, damage, or

diseases. Significant injuries, damage, or

disease outbreaks are those that are

permanently debilitating or reoccurring

(more than twice in the previous 5

years) or which affect behavior,

breeding, educational use, or other

conservation uses of the specimen.

(4) Sufficient funding on a long-term

basis to cover the cost of maintaining

the facility and the specimens imported.

(f) Incomplete facilities or insufficient

staff. For applications submitted to us

before the facilities to hold the

specimens are completed or the staff is

identified or properly trained:

(1) We will review all available

information, including construction

plans or intended staffing, and make a

finding based on this information.

(2) We will place a condition in any

positive finding that the import cannot

occur until the facility has been

completed or the staff hired and/or

trained and approved by us.

Subpart E—International Trade in

Certain Specimens

§ 23.60 How can I trade internationally in

American ginseng?

(a) General provisions. Whole plants

and roots (whole, sliced, and parts,

excluding manufactured parts or

products, such as powders, pills,

extracts, tonics, teas, and confectionery)

of American ginseng (Panax

quinquefolius), whether wild or

artificially propagated, are included in

Appendix II.

(1) Wild ginseng categories include:

Wild Wild simulated Wild cultivated

Cultivation .............................. None ...................................... Planting of seeds or roots

only.

Intensive. .

Fungicide use ......................... None ...................................... None ...................................... Extensive.

Habitat ..................................... Within natural range, in suitable ginseng habitat.Within natural range, in suitable ginseng habitat.Grown in fields, whether

within the natural range,

or not.

Harvest Methods ..................... Dug by hand .......................... Dug by hand .......................... Often dug by mechanical

means.

Origin ...................................... Naturally occurring ............... Wild seeds or roots planted

in natural habitat.

Wild seeds or roots.

(2) Artificially propagated ginseng (also referred to as cultivated ginseng) categories include:

Cultivated Cultivated Woodsgrown

Cultivation ..................... Intensive ............................................................... When planted, largest rocks removed and

drainage ditches may be dug around beds.

Fungicide use ................ Extensive .............................................................. Extensive.

Habitat ........................... Grown in fields, whether within the natural

range or not..

Grown in woods similar to natural habitat,

whether within the natural range or not.

Harvest Methods ........... Often dug by mechanical means ......................... Dug by hand.

Origin ............................. Cultivated seeds or roots ..................................... Cultivated seeds or roots.

(b) Approved export. States and

Tribes set up and maintain ginseng

management and harvest programs

designed to monitor and protect

American ginseng from over-harvest.

For States and Tribes with management

programs that provide us with the

necessary information, we make

administrative findings on a State-wide

or reservation-wide basis. States and

Tribes for which these administrative

findings have been made are requested

to complete and submit form 3–200–61

as an annual report to provide

information on the previous year’s

harvest to us by May 31 of each year.

Annual reports should include at least

the following:

(1) Pounds of wild ginseng and

artificially propagated ginseng

harvested.

(2) For wild ginseng, average number

of roots per pound.

(3) Average age of wild-harvested

plants estimated by counting bud scars

or converting dry weight to age.

(4) Trends in abundance of wild

ginseng populations, preferably as

measured in field surveys.

(5) Information that the export of

ginseng will not be detrimental to the

survival of the species in the wild in

that State or on tribal lands.

(6) Information on, and a copy of, any

changes in ginseng laws or regulations.

(c) New State-wide or reservationwide export approval for wild ginseng.

States or Tribes that wish to set up a

new management program for wild

ginseng to obtain export approval on a

26720 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

State or tribal basis must provide us

with sufficient information to determine

that the export of ginseng will not be

detrimental to the survival of the

species in the wild in that State or on

tribal lands, and that the ginseng was

legally obtained.

(d) New State-wide or reservationwide export approval for cultivated

ginseng. States or Tribes that wish to set

up a new management program for

cultivated ginseng to obtain export

approval on a State or tribal basis must

be able to document the source of the

ginseng used. In addition, they should

develop procedures to minimize the risk

that wild-collected plants would be

claimed as cultivated.

(e) U.S. application forms. A list of

approved States and Tribes and

application forms can be obtained from

our website or by contacting us.

Complete and submit the applicable

form to the Office of Management

Authority (see § 23.7):

Type of application for export or re-export of Ginseng Form No.

(1) Artificially Propagated Ginseng from an Approved State or Tribe (see § 23.29 for export requirements) ......... 3–200–32

(2) Wild Ginseng from an Approved State or Tribe ..................................................................................................... 3–200–33

(3) Wild or Artificially Propagated Ginseng NOT from an Approved State or Tribe ................................................ 3–200–34

§ 23.61 How can I trade internationally in

furs of bobcat, river otter, Alaska lynx,

Alaska gray wolf, and Alaska brown bear?

(a) Approved export. States and Tribes

set up and maintain management

programs for certain native furbearers

that are included in CITES based on

Article II(2)(b) of the Treaty (see

§ 23.85). For States and Tribes whose

programs provide us with sufficient

information to determine that the export

of the specimens from that State or

Tribe will not be detrimental to the

survival of the species in the wild that

the species was listed to protect, that the

species does not decline to a point that

it might qualify for listing itself, and

that the specimens were legally

obtained, we make administrative

findings on a State-wide or reservationwide basis. States and Tribes for which

these administrative findings have been

made are requested to complete and

submit to us by April 30 of each year

form 3–200–62 as an annual report

containing information on the previous

harvest season. Annual reports can refer

to information provided in previous

years if there has been no change and

should include at least the following:

(1) For each furbearer species, the

number of specimens taken (by trapping

as well as other methods) and the

number of animals tagged (if different).

(2) A statement based on the State’s or

Tribes’s professional assessment of the

status of each species involved,

including whether the population is

stable, increasing, or decreasing, and at

what rate; and whether the harvest will

not be detrimental.

(3) A description of the types of

information on which the assessment is

based; for example, an analysis of

carcass demographics; population

models; analysis of past harvest levels

as a function of fur prices or trapper

effort; or indices of abundance

independent of harvest information,

such as scent station surveys, archer

surveys, track or scat surveys, or road

kill counts.

(4) Copies of any relevant reports for

any furbearer species that the State or

Tribe has prepared for the year in

question as part of its existing

management program for the species.

(5) Information on, and a copy of, any

changes in furbearer laws or regulations.

(b) CITES export tags. We provide

CITES export tags to States and Tribes

for which administrative findings have

been made. Each fur, including skins

and pelts, to be exported must have a

CITES export tag permanently attached.

(1) The tag must be inserted through

the fur and permanently locked in place

using the locking mechanism of the tag.

(2) The legend on CITES export tags

include a CITES logo, an abbreviation

for the State or Indian Tribe of harvest

and the species (BCAT = bobcat, ROTR

= river otter, LYNX = Alaska lynx,

WOLF = Alaska gray wolf, and GBR =

Alaska brown bear), the season of

taking, and a unique serial number.

(c) U.S. application forms. A list of

approved States and Tribes and

application forms can be obtained from

our website or by contacting us.

Complete and submit the applicable

form to the Office of Management

Authority or to the appropriate Law

Enforcement office (see § 23.7):

Type of application for export or re-export of bobcat, river otter,

Alaska lynx, Alaska gray wolf, and Alaska brown bear Submit to Form No.

(1) Export or re-export of furs from an approved State or Tribe

(you must include a list of tag numbers with your application

for export).

Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

(2) Export of furs NOT from an approved State or Tribe (see

§ 23.29 for export requirements).

Office of Management Authority.3–200–27

(3) Re-export of furs NOT from an approved State or Tribe (see

§ 23.29 for export requirements).

Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

(4) Export of live specimens (see § 23.29 for export requirements).Office of Management Authority.3–200–27

(5) Re-export of live specimens ...................................................... Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26721

Type of application for export or re-export of bobcat, river otter,

Alaska lynx, Alaska gray wolf, and Alaska brown bear Submit to Form No.

(6) Export of manufactured products ............................................. Office of Management Authority.3–200–27

(7) Re-export of manufactured products ........................................ Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

(d) Broken CITES export tags. Furs

with broken tags may not be exported.

(1) When a tag breaks and the State of

harvest cannot replace it, you may apply

to us for a replacement tag before or

when you apply for an export permit.

You must provide information to show

that the fur was legally acquired and

give us the broken tag.

(2) If we are satisfied that the fur was

legally acquired, we will replace the

broken tag with a CITES replacement

tag.

(e) Finished furs and manufactured

products. A finished fur or

manufactured fur product is not

required to have a tag attached, but you

must surrender the tag from the fur used

to make the product when you apply for

a CITES export permit.

§ 23.62 How can I trade internationally in

crocodilians skins and parts of skins,

including American alligator skins?

(a) General. For the purposes of this

section, crocodilian refers to all species

of alligator, caiman, crocodile, and

gavial.

(b) Crocodilian skins. Skins includes

whole or partial skins or flanks. You

may import, export, or re-export

crocodilian skins, including unmounted

sport-hunted trophies, only if each skin

is tagged prior to export. The tag must

be non-reusable, inserted through the

skin, and permanently locked in place

using the locking mechanism of the tag.

Unless a replacement tag under

paragraph (d) of this section has been

authorized, the tag must:

(1) Be self-locking, heat resistant, and

inert to chemical and mechanical

processes.

(2) Be permanently stamped with the

two-letter code for the country of origin,

a unique serial number, a standardized

species code, and the year of production

or harvest.

(c) Parts of crocodilian skins. You

may import, export, or re-export

crocodilian parts, including tails,

throats, feet, backstrips, and other parts

when the following conditions are met:

(1) Parts must be packed in

transparent sealed containers.

(2) The containers must be clearly

marked with a parts tag or label that

includes a description of the contents,

the total weight (contents and

container), and the number of the CITES

document.

(d) Skins with broken, cut, or missing

tags. Skins with broken, cut, or missing

tags may not be imported, exported, or

re-exported.

(1) Replacement tags must meet all

the requirements in paragraph (b) of this

section except they do not require the

country of origin code or the species

code.

(2) In the United States, when a tag

breaks and the State of harvest cannot

replace it, you may apply to us for a

replacement tag before or when you

apply for an export permit. You must

provide information to show that the

skin was legally acquired and give us

the broken tag. If we are satisfied that

the skin was legally acquired, we will

replace the broken tag with a CITES

replacement tag.

(e) Manufactured crocodilian

products and meat. A manufactured

crocodilian product is not required to

have a tag attached. When you apply for

an export permit for an item

manufactured in the United States, you

must surrender the tags from the skins

used to make the item. The export of

meat does not require a tag.

(f) Documentation requirements.

CITES documents for crocodilian skins

must contain all information that is

given on the tag. This information must

be included on the CITES document

itself or on an annex (see § 23.20(e)(2)).

(g) Approved export for American

alligator (Alligator mississippiensis).

States and Tribes set up and maintain

alligator management programs. For

States and Tribe with programs that

provide us with sufficient information

to determine that the export of the

alligator skins, parts, or products will

not be detrimental to the survival of the

species in the wild in that State or on

tribal lands, and that the alligators were

legally obtained, we are able to make

administrative findings on a State-wide

or reservation-wide basis. States and

Tribes for which administrative findings

have been made are requested to

complete and submit to us by May 31

of each year form 3–200–63 as an

annual report containing information on

the previous harvest season. Annual

reports can refer to information

provided in previous years if it has not

changed. Annual reports should include

at least the following:

(1) The number of skins from wild,

ranched, and farmed alligators tagged in

the State or Tribe.

(2) A statement, based on the State’s

or Tribe’s professional assessment of the

status of their alligator population, such

as whether the population is stable,

increasing, or decreasing, and at what

rate; and whether the harvest will not be

detrimental.

(3) For wild alligators, information on

harvest of nuisance alligators, whether

there is a wild alligator hunt, methods

used to determine harvest levels,

demographics of the harvest, and

methods used to determine the total

number and population trends of

alligators in the wild.

(4) For ranched alligators, information

on whether collecting and rearing of

eggs or hatchlings is allowed, what

factors are used to set the harvest level,

and whether or not any alligators are

returned to the wild.

(5) For captive-bred (see § 23.53)

alligators, information on the sources of

the breeding stock, numbers of alligators

produced through captive breeding, and

whether any captive-bred alligators are

returned to the wild.

(6) Copies of any relevant reports that

the State or Tribe has prepared for the

year in question as part of its existing

management program for the American

alligator.

(7) Information on, and a copy of, any

changes in American alligator laws or

regulations.

(h) American alligator export tags. We

provide CITES export tags to States and

Tribes for which administrative findings

have been made. The CITES export tags

include a CITES logo, an abbreviation

for the State or Indian Tribe of harvest

and the species (MIS = Alligator

mississippiensis), the season of taking,

and a unique serial number.

(i) U.S. application forms. A list of

approved States and Tribes and

application forms can be obtained from

our website or by contacting us.

Complete and submit the applicable

form to the Office of Management

Authority or to the appropriate Law

Enforcement office (see § 23.7):

26722 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Type of application for export or re-export of crocodilians, including american alligator Submit to: Form no.

(1) Export or re-export of American alligator skins, parts, or

products from an approved State or Tribe:.

(i) For export or re-export of skins, you must include all of the

information on the CITES tags (species, year of take, and

unique serial number)..

(ii) For export of parts or products, you must include Authority

the information on the CITES tags that were on the skins

from which the parts or products originated.

Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

(2) Export of American alligator skins, parts, or products NOT

from an approved State or Tribe (see § 23.29 for export requirements).

Office of Management Authority.3–200–27

(3) Re-export of American alligator skins, parts, or products

NOT from an approved State or Tribe.

Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

(4) Export of live specimens of American alligator and other

crocodilians (see § 23.29 for export requirements).

Office of Management Authority.3–200–27

(5) Re-export of live specimens of American alligator and other

crocodilians.

Law Enforcement or Office of

Management Authority.

3–200–27

(6) Export of other crocodilian skins, parts, or products .............. Office of Management Authority.3–200–27

(7) Re-export of other crocodilian skins, parts, or products ......... Law Enforcement or Office of

Management Authority.

3–200–26 or 3–200–27

§ 23.63 How can I trade internationally in

sturgeon caviar?

(a) Pre-Convention. Sturgeon caviar

may not be imported, exported, or reexported under a pre-Convention

certificate.

(b) General provision. Except as

provided for personal effects in

§ 23.12(f) and for on-board passenger

consumption in paragraph (c) of this

section, the import, export, or re-export

of Appendix-II sturgeon (Order

Acipenseriformes and not listed under

the ESA) caviar requires valid CITES

documents (see § 23.29 for export

permits and re-export certificates).

(c) On-board passenger consumption.

An airplane or cruise ship may export

or re-export sturgeon caviar from the

United States without a CITES

document if the following conditions

are met:

(1) The caviar is legally acquired and

only for passenger consumption during

each specific flight or cruise.

(2) The quantity of caviar placed on

board for each specific flight or cruise

cannot exceed 250 grams per passenger

intended to be served caviar (such as

first class passengers), and must be

consumed or disposed of before arrival

in another country.

§ 23.64 How can I trade internationally in

timber?

(a) General provisions: Trade in

timber species listed in Appendix II or

III and annotated to include only logs,

sawn wood, and veneer sheets must

follow the CITES requirements of this

part, except as provided in paragraphs

(b) and (c) of this section.

(b) Change in destination. A

Management Authority may change the

name and address of the importer

(consignee) indicated on the CITES

document after the shipment has left the

exporting or re-exporting country under

the following conditions:

(1) The quantity imported is the same

as the quantity certified by a stamp or

seal and signature of the Management

Authority on the CITES document at the

time of export or re-export.

(2) The number of the bill of lading

of the shipment is on the CITES

document, and the bill of lading is

presented at the time of import.

(3) The import takes place before the

CITES document expires, and the period

of validity has not been extended.

(4) The Management Authority

includes the following statement in

block 5 of the CITES document: ‘‘Import

into the [country] permitted in

accordance with Resolution Conf. 10.2

(section VII.) on [date].’’ The

modification is certified with an official

stamp and signature.

(5) The Management Authority sends

a copy of the amended CITES document

to the country of export or re-export and

the Secretariat.

(c) Extension of CITES document

validity. A Management Authority may

extend the validity of an export permit

or re-export certificate beyond the

normal maximum of 6 months after the

date of issue under the following

conditions:

(1) The shipment has arrived in the

port of final destination before the

CITES document expires, is being held

in customs bond, and is not considered

imported.

(2) The time extension does not

exceed 6 months from the date of

expiration of the CITES document and

no previous extension has been granted.

(3) The Management Authority has

included in block 5 of the CITES

document the date of arrival and the

new date of expiration on the document,

certifying the modification with an

official stamp and signature.

(4) The shipment is imported into the

country from the port where the

Management Authority granted the

extension and before the amended

CITES document expires.

(5) The Management Authority sends

a copy of the amended CITES document

to the country of export or re-export and

to the Secretariat.

§ 23.65 How can I trade internationally in

personal sport-hunted trophies?

(a) General provisions. Except as

provided for personal and household

effects in § 23.12, the import, export, or

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26723

re-export of personal sport-hunted

trophies requires valid CITES

documents.

(b) Definition. Your trophy must meet

the definition of ‘‘sport-hunted trophy’’

in § 23.5.

(c) Use after import. You may use

your sport-hunted trophy for the

following purpose after import:

If the species is listed in Allowed use once imported is:

(1) Appendix I ............................................................................ Only personal; may not be used or transferred for a commercial purpose.

(2) Appendix II with a species’ annotation for sport-hunted

trophies where other specimens of that species are treated

as included in Appendix I.

Only personal; may not be used or transferred for a commercial purpose.

(3) Appendix II (other than paragraph (c)(2) of this section)

or Appendix III.

Any purpose.

(d) Leopard (Panthera pardus)

conditions. In addition to the conditions

in § 23.45, you must meet all of the

following conditions:

(1) You may import no more than two

trophies in any calendar year.

(2) Each raw or tanned skin imported

or re-exported must have a self-locking

tag attached which indicates the county

of export, the number of the specimen

in relation to the annual quota, and the

calendar year in which the specimen

was taken in the wild.

(3) The export permit or re-export

certificate must contain the information

from the tag.

Subpart F—Disposal of Confiscated

Live Wildlife and Plants

§ 23.70 How do we dispose of confiscated

live wildlife and plants?

(a) Purpose. Article VIII of the Treaty

requires that Parties confiscate

specimens that are traded in violation of

CITES or return them to the country of

export.

(b) Consultation process. Before

making a decision on the disposal of

confiscated specimens, the Management

Authority may consult with the

Scientific Authority, the Management

Authority in the country of export, and

other relevant governmental and nongovernmental experts.

(c) Disposal options. 50 CFR part 12

provides the options on how we dispose

of forfeited and abandoned wildlife and

plants. These include maintenance in

captivity either in the United States or

in the country of export, return to the

wild under limited circumstances, sale

of certain Appendix-II or -III specimens,

euthanasia, or destruction.

(d) Action plans. CITES Parties are

urged to develop action plans for the

disposal of confiscated specimens.

(1) We use a plant rescue center

program for confiscated plants.

Participants in this program may also

assist APHIS in holding seized

specimens as evidence pending any

legal decisions.

(2) We dispose of confiscated live

wildlife on a case-by-case basis at the

time of seizure and consider the

quantity, protection level, and

husbandry needs of the wildlife.

§ 23.71 How may I participate in the Plant

Rescue Center Program?

(a) Purpose. We have established the

Plant Rescue Center Program to dispose

of confiscated live plants as quickly as

possible to prevent damage to or loss of

the plants.

(b) Criteria. Institutions interested in

participating in this program must:

(1) Be a public institution (see 50 CFR

10.12), such as a public, non-profit

botanical garden, arboretum, zoological

park, or research institution.

(2) Be willing to transfer confiscated

plants from the port where they were

confiscated to their facilities at their

own expense.

(3) Accept and maintain a plant

shipment as a unit for a minimum of 30

days in the event the country of export

or re-export requests return of the

shipment.

(c) Application. Institutions wishing

to participate must complete and submit

application Form 3–200–60 to the Office

of Management Authority (see § 23.7).

Subpart G—CITES Administration

§ 23.75 What are the roles of the

Secretariat and the committees?

(a) Secretariat. The Secretariat is

headed by the Secretary General and

implements the policies of the COP and

the Standing Committee. The functions

of the Secretariat are listed in Article XII

of the Treaty and include, in part:

(1) Providing Parties with trade

information and technical support.

(2) Acting as a liaison among Parties.

(3) Contracting scientific and

technical studies.

(4) Informing governments and the

public about CITES wildlife and plant

trade developments.

(5) Investigating possible CITES

violations and threats to wildlife and

plants due to trade.

(6) Organizing meetings of the COP.

(7) Providing coordination and

consultation on proposed amendments

to Appendix I or II, notifying the Parties

of Appendix-III listings, and

periodically publishing current lists of

species included in the appendices.

(8) Preparing annual reports to the

Parties.

(9) Carrying out tasks directed by the

COP or technical committees.

(10) Making recommendations for

effective implementation of CITES.

(b) Committees. The Parties have

established five committees to provide

administrative and technical support to

the Parties and to the Secretariat. The

COP may charge any of these

committees with tasks.

(1) The Standing Committee steers the

work and performance of the

Convention between COP’s. This

Committee oversees development and

execution of the Secretariat’s budget,

coordinates and advises other

committees, appoints working groups,

and carries out activities on behalf of

the Parties between COP’s. Regional

representatives are elected by the COP

as members of this Committee.

(2) The Animals Committee and the

Plants Committee compile and evaluate

data on Appendix-II species that are

considered significantly affected by

trade; periodically review the status of

wildlife and plant species included in

the appendices; advise range countries

on management techniques when

requested; draft resolutions on wildlife

and plant matters for consideration by

the Parties; assist the Nomenclature and

Identification Manual Committees on

issues concerning wildlife and plant

species; and report to the COP and the

Standing Committee. The Animals

Committee also deals with the transport

of live animals.

(3) The Identification Manual

Committee provides guidance and

26724 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

coordination in the preparation of

identification manuals for wildlife and

plant species to assist Parties in the

accurate identification of specimens

listed in the CITES appendices.

(4) The Nomenclature Committee is

responsible for developing or

identifying standard nomenclature

references for wildlife and plants and

making recommendations on

nomenclature to the COP, other

Committees, working groups, and the

Secretariat.

§ 23.76 What is a Conference of the Parties

(COP)?

(a) Purpose. Article XI of the Treaty

provides general guidelines for meetings

of the Parties. The Parties currently

meet for 2 weeks every 2 to 3 years. At

these meetings, the Parties consider

amendments to the appendices and

resolutions to improve implementation

of CITES. The Parties adopt

amendments to the lists of species in

Appendix I and II and resolutions by a

two-thirds majority of Parties present

and voting. The Secretariat or any Party

may also submit reports on wildlife and

plant trade for consideration.

(b) COP locations and dates. At a

COP, Parties interested in hosting the

next meeting notify the Secretariat. The

Parties vote to select the location of the

next COP. Once a country has been

chosen, that country works with the

Secretariat to set the date. The Parties

are then notified of the date for the next

COP.

(c) Attendance at a COP. All Parties

may participate and vote at a COP. NonParty countries may participate, but may

not vote. Organizations technically

qualified in protection, conservation, or

management of wildlife or plants may

participate in a COP as observers if they

are approved, but they are not eligible

to vote.

(1) International organizations should

apply to the CITES Secretariat for

approval of observer status.

(2) National organizations must apply

to the Management Authority of the

country where they are located for

approval of observer status.

§ 23.77 How can I obtain information on a

COP?

(a) As we receive information on an

upcoming COP from the CITES

Secretariat, we will publish notices in

the Federal Register. The notices will

provide:

(1) A summary of the information we

have received with an invitation for the

public to comment and provide

information on the agenda, proposed

amendments to the appendices, and

proposed resolutions.

(2) Information on times, dates, and

locations of public meetings.

(b) We will post information

concerning upcoming COP’s on our

website.

§ 23.78 How does the United States

develop negotiating positions for a COP?

(a) In developing negotiating positions

for a COP, we:

(1) Consult with appropriate Federal

and State agencies, foreign

governmental agencies, and others.

(2) Review the comments received in

response to Federal Register notices

concerning proposals related to an

upcoming COP.

(3) Publish a notice that includes a

summary of the information and

comments that we received, a summary

of our proposed negotiating positions,

and the reasons for those proposed

positions.

(4) Request public input and

comments on the proposed positions.

(5) Schedule at least one public

meeting.

(6) Submit all draft resolutions and

other documents to the Secretariat at

least 150 days before the COP.

(7) Submit proposals for amendment

of the appendices, if all range countries

have been consulted, 150 days before

the meeting. If the range countries are

not consulted, the proposal must be

submitted 330 days before the COP.

(8) Provide the public with our final

negotiating positions.

(b) The Director may publish a notice

in the Federal Register that modifies or

suspends any of these procedures if

following the procedures would

interfere with the timely or appropriate

development of negotiating positions.

(c) We may receive additional

information at a COP or circumstances

may develop that have an impact on our

published negotiating positions. As a

result, the United States representatives

to a COP may find it necessary to

modify, reverse, or abandon any of those

positions where to do so would be in

the best interests of the United States.

Subpart H—Lists of Species

§ 23.85 What are the criteria for listing

species in Appendix I or II?

(a) Purpose. Article XV of the Treaty

sets out the procedures for amending

CITES Appendices I and II. A species

must meet appropriate biological and

trade criteria to be listed.

(b) Listing a species in Appendix I.

Any species that meets at least one

biological criterion specified in the

CITES listing criteria resolution and is

known to be in trade, is probably in

trade, has a potential international

demand, or might enter trade if not

subject to strict controls should be

included in Appendix I.

(1) When determining whether a

species qualifies for inclusion in

Appendix I, we will utilize the best

available scientific and biological

information, and evaluate that

information against the criteria adopted

by the Parties.

(2) Those criteria include factors

pertaining to: the size of the wild

population; ongoing, past, or potential

population or distribution declines;

population fragmentation; habitat

availability or quality; area of

distribution, range fragmentation;

species-specific vulnerabilities due to

biology, behavior, or other factors,

including migration; patterns of

exploitation; threats from factors such as

the effects of pathogens, competitors,

parasites, predators, hybridization,

introduced species and the effects of

toxins and pollutants; or decreases in

reproductive potential.

(c) Listing a species in Appendix II

due to potential threats. Any species

that meets either of the criteria

identified in the CITES listing criteria

resolution for Appendix II qualifies for

inclusion in Appendix II. Those criteria

are:

(1) It is known or expected that unless

trade in the species is subject to strict

regulation, it will meet at least one of

the criteria for inclusion in Appendix I

in the near future.

(2) It is known or expected that the

harvesting of specimens from the wild

for international trade has or will have

a detrimental impact on the species by

either exceeding the level that can be

sustainably harvested or reducing it to

a population size where its survival

would be threatened by other

influences.

(d) Listing a species in Appendix II

due to similarity of appearance. Any

species that meets either of the criteria

identified in the CITES listing criteria

resolution for Appendix II due to

similarity of appearance and related

factors qualifies for inclusion in

Appendix II. Those criteria are:

(1) The specimen resembles

specimens of a species included in

Appendix II due to criteria in paragraph

(c) of this section or in Appendix I, such

that a non-expert, with reasonable effort,

is unlikely to be able to distinguish

between them.

(2) The species is a member of a taxon

of which most of the species are

included in Appendix II due to criteria

in paragraph (c) of this section or in

Appendix I, and the unlisted species

should be listed to bring trade in listed

ones under effective control.

Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules 26725

(e) Other issues. The Parties have

addressed other issues pertaining to

listing of species in the CITES

appendices. We will evaluate any

potential changes to the appendices

taking those other issues (as specified in

the CITES listing criteria resolution)

into consideration, including but not

limited to: split-listing, listing of higher

taxa, specific plant-related listing issues,

use of subspecies, and the listing of

hybrids.

(f) Precautionary measures. When

considering changes to the CITES

appendices, in the case of uncertainty in

regard to the status of a species or the

impact of trade on the conservation of

a species, we will act in the best interest

of the conservation of the species. We

will evaluate any potential transfers

from Appendix I to II or removal of

species from the appendices in the

context of the precautionary measures

in the CITES listing criteria resolution.

(g) Proposal. If it is felt that a species

qualifies for inclusion or removal from

the CITES appendices, a proposal must

be submitted to the Secretariat for

consideration by the COP. The proposal

should indicate the intent of the specific

action (such as inclusion in Appendix I

or II, or transfer from Appendix I to II)

and the criteria against which the

proposal is to be judged. The proposal

must be in a prescribed format with all

of the components addressed in the

CITES listing criteria resolution. Contact

the Office of Scientific Authority (see

§ 23.7) for either a copy of the format or

the resolution which includes the

prescribed format. Any proposal

submitted by the United States will

conform with the proposal format in the

CITES listing criteria resolution.

§ 23.86 What are the criteria for listing

species in Appendix III?

(a) Purpose. Article XVI of the Treaty

sets out the procedures for amending

Appendix III.

(b) General procedure. A Party may

unilaterally, at any time, submit a

species to be included in Appendix III

to the CITES Secretariat. The Secretariat

will notify the Parties.

(c) Criteria for listing. For a Party to

list a species in Appendix III, all of the

following criteria must be met:

(1) The species must be native to the

country listing the species.

(2) The species must be protected

under that country’s regulations to

prevent or restrict exploitation and

control trade, and the regulations are

being implemented.

(3) The species is in international

trade and there are indications that

the cooperation of other Parties would

help to control illegal trade.

(4) The listing Party must inform the

Management Authorities of other range

countries, the known major importing

countries, the Secretariat and the

Animals Committee or the Plants

Committee that it is considering the

listing and seek their opinion on the

potential effects of the listing.

(d) Annotation. The listing Party may

annotate the Appendix-III listing to

include only specific parts, products,

derivatives or life stages, as long as the

Secretariat is notified of the annotation.

(e) U.S. procedure. The procedure to

list a species native to the United States

in Appendix III is as follows:

(1) We will consult with and solicit

comments from all States where the

species occurs and all other range

countries.

(2) We will publish a proposed listing

in the Federal Register to solicit

comments from the public.

(3) If after evaluating the comments

and available information we determine

the species should be included in

Appendix III, we will notify the

Secretariat of the listing and publish a

notice in the Federal Register.

(4) The listing will become effective

90 days after the Secretariat notifies the

Parties of our request.

(f) Removing a species from Appendix

III. We will monitor the international

trade in Appendix-III species listed by

us and periodically evaluate whether

the species continues to meet the listing

criteria in paragraph (b) of this section.

We will remove a species from

Appendix III provided all of the

following criteria are met:

(1) International trade in the species

is very limited (fewer than 5 shipments

per year or fewer than 100 individual

animals or plants).

(2) Legal and illegal trade in the

species, including international trade or

interstate commerce, is determined not

to be a concern.

(g) Transferring a species from

Appendix III to Appendix I or II. If, after

monitoring the trade and evaluating the

status of an Appendix III species we

listed, we determine that the species

meets the criteria in § 23.85(b), (c), or (d)

for listing in Appendix I or II, we will

consider whether to submit a proposal

to amend the listing at the next COP.

§ 23.87 How do I find out if a species is

listed?

(a) CITES list. The official CITES list

includes species of wildlife and plants

placed in Appendix-I, -II, and -III in

accordance with the provisions of

Articles XV and XVI of the Treaty. This

list is maintained by the CITES

Secretariat based on decisions of the

Parties. You may access the official list

from the CITES website (www.cites.org).

(b) Unofficial list. For your

convenience, we maintain an unofficial

list in an easy-to-use format that is

available from our website or as a

printed publication (see § 23.7).

§ 23.88 Are any wildlife or plants, and their

parts or products, exempt?

All living or dead wildlife and plants

in Appendix I, II, and III and all their

readily recognizable parts and products

must meet the requirements of CITES

and this part, except:

(a) Parts and products of Appendix-III

wildlife or Appendix-II or -III plants

that are specifically included by

annotation.

(b) An Appendix-II or -III plant hybrid

may be excluded from CITES controls

by an annotation in the CITES list.

(c) The following plant materials are

exempt:

Plant listing Exempt parts or products

(1) Appendix-II and -III

plants 1.

(i) Flasked seedlings or tissue culture.

(ii) Spores and pollen (including pollinia).

(iii)Seeds (other than Mexican Cactaceae originating from Mexico).

(iv) Cut flowers of artificially propagated plants.

(2) In addition, for AppendixII Cactaceae species 1.

From artificially propagated or naturalized plants:

(i) Separate stem joints (pads) and their parts and products of the genus Opuntia subgenus

Opuntia.

(ii) Fruits and their parts and products.

26726 Federal Register / Vol. 65, No. 89 / Monday, May 8, 2000 / Proposed Rules

Plant listing Exempt parts or products

(3) In addition, for AppendixII Orchidaceae species 1.

Fruits and their parts and products for artificially propagated plants of Vanilla species.

(4) For Appendix-I

Orchidaceae species.

Flasked seedlings or tissue culture.

1An artificially propagated hybrid of one or more unannotated Appendix-I species is treated as if listed in Appendix-II if

no individual plant in its lineage is an annotated Appendix-I species.

Dated: November 30, 1999.

Donald J. Barry,

Assistant Secretary, Fish and Wildlife and

Parks, Department of the Interior.

[FR Doc. 00–9980 Filed 5–5–00; 8:45 am]

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