DEC

4 2006

•^Kfes

'S/Ty

FEDERAL AND

INTERNATIONAL

SCIENTIFIC

PERMITS:

A workshop for

natural history museums

and collectors

January 29-31 , 1997

San Diego

Natural History Museum

and

Association of

Systematics Collections

PERMISOS

CIENTIFICOS

INTERNACIONALES

Y FEDERALES:

Un taller para museos

de historia natural

y coleccionistas

Enero 29-31 , 1997

Museo de Historia Natural

de San Diego

y

Asociacion de

Colecciones Sistematicas

Proceedings of the

San Diego Society of Natural IHistory

33

Contents

Introduction

Sallv Shelion 3

Elements for Soiuid Treaties, Legislation, and Regulations on the Collecting of Biological Specimens

K. Elaine Hoaghmd 5

Collecting Pemiiis and Otlier Requirements in Respect to Research Funded by the National Science

Foundation of the United States

Meredith A. Lane 9

A Fistful of Permits; The Tale of a Scientific Collector

Paul H. Barber 12

Export/Import Permits and Scientific Exchanges

Carol Anderson. Charles Dane, and John Neal 16

CITES and Museums

James Perran Ross 20

Collecting Permits in Mexico and the National Zoological Collections

Fernando A. Cervantes 22

Permits for Non-commercial and Scientific Research Collecting; The Case of Mexico

Jorge Soherdn, Eleazar Ixia. Jose Maria Reyes Gomez, and Pilar Rodriguez 24

Normativa para Investigar, Colectar y Exportar Flora y Faiuia Silvestre en el Ecuador

Sergio Lasso B 29

Normas Legales y Eticas de la Argentina para Geologos y Paleontologos Extranjeros; Comentarios

sobre el Marco Juridico en los Paises Suramericanos

Mario A. Hilnicken 31

Research and Scientific Collecting in National Park Service Areas (USA)

Robert A. Winfree 34

Collecting Fossils on Public Lands; Managing a Scientific Resource

iMurie J. Bryant 36

International Collaboration for the Collection of Biological Materials; Thoughts from a Mexican

Perspective

EricMellink 38

APPENDICES

1. Memorandum of agreement between the Association of Systematics Collections and U.S. Fish and

Wildlife Service on the donation of undociunented naliual history collections to public collections

repositories 40

2. What you need to know About importing and exporting scientific and museiun specimens. Fact

Sheet Series, Office of Management Authority, U.S. Fish and Wildlife Service 45

3. The Convention on International Trade in Endangered Species of Wild Fauna and Flora. Fact Sheet

No. 1. Office of Management Authority, U.S. Fish and Wildlife Service 48

4. Guidelines for non-commercial loan, donation, or exchange of museum and herbarium specimens.

Conf. 2. 14. Resolution of the Conference of the Parties, Convention of International Trade

in Endangered Species of Wild I'auna and Flora 52

5 Collection, importation, and exportation of marine mammal parts and products for scientific research.

National Oceanic and Atmospheric Administration, United States Department of Commerce 55

6. Application form for certificate of scientific exch;uige (fonn 3-200) (see excerpts from Code of

Federal Register included with Appendix 7). Office of Management Authority, U.S. 1-ish and

Wildlife Service 56

7. Application form for export of samples collected from CITES and/or liSA-Listed Wildlife

(form 3-200) plus excerpts from Code of Federal Register. Office of Management Authority,

U.S. Fish and Wildlife Service 60

Elements for Sound Treaties, Legislation, and Regulations on the Collecting of Biological Specimens

8. 1996 Revision of 50 CFR Ch. 1 Part 14 — Importation, Exportation, and Transportation of Wildlife.

Office of Management Authority, U.S. Fish and Wildlife Service 82

9. Guidelines for requesting pemiits for scientific research and collection in areas under Mexican

jurisdiction. Prepared by the Office of Environment, Science and Technology, Embassy of the

United States in Mexico, 1/27/97 109

10. Expedir el instrucUvo que regula la investigacion, coleccion y exportacion de flora y fauna

silvestre. [Ecuador] 114

11. Ley No. 9080. Declarando de propiedad de la nacion las ruinas y yacimientos arqueologicos y

paleontologicos de interes cientifico. [Argentina] 119

12. Siendo necesario reglanientar la Ley No. 9080 sobre proteccion de yacimientos arqueologicos,

antropologicos, paleontologicos y paleoantropologicos. [Argentina] 120

13. Normas y principios eticos para los estudios paleontologicos de material argentino efectuados con

or por personas extranjeras. [Aigennnsi] Ameghiniana 19(3^): 377-378 123

14. Ethical rules and principles for paleontological studies on Argentinian material performed by or

with foreigners 125

15. Statement of principles on the protection of the fossiliferous patrimony of Argentina 127

16. Normas y principios eticos paia los estudios geologicos en la Argentina efectuados con o por

personas extranjeras. Revistade la Asociacion Geologica Argentina 50 (1^) 130

17. Requisitos exigidos por la Repiiblica Argentina para personas o instituciones extranjeras que

soliciten permisos de exportacion de ejemplares o muestras con fmes cientiTicos 131

18. Application procedures for research and collecting permits, December 1996.Grand Canyon

National Park and Glen Canyon National Recreation Area 132

19. Information about: Fossil collecting on public lands. Bureau of Land Management, U.S.

Department of tlie Interior 153

20. Paleontological resource use permits. Instruction Memorandum No. 95-51. Bureau of Land

Management, U.S. Department of tlie Interior 155

21. Application and permit to move live plant pests or noxious weeds. PIX^ Form 526. U.S.

Deparmient of Agriculture 213

22. Collecting or conducting research on plants in California. Research and collecting permits for rare,

tlireatened, and endangered plants.

California Department of Fish and Game 215

23. Collecting or conducting research on animals in California. Scientific collecting permits for

animals. California Department of Fish and Game 216

24. Internet sites of interest Back Cover

PROCEEDINGS

ot Ihe

San Diego Society of Natural History

Founded 1 874

Numhcr 3?

15 December IW7

Introduction

Sally Shelton

Director. CoUeclions Care and Conser\'alum. San Diego Natural History Museum

Tliis volume is tlie culmination of a tliree-year project. In

some ways, it began even earlier, during the San Diego Natu-

ral History Museum's strategic-planning process in 1992.

During tliat process, tlie museum redefined its geographic

focus and scope to include all of Baja California as well as

southern California, from the major fault zones on the east to

deep ocean on Uie west. Geologically and ecologically, Uiis is

very logical. Politically, this has meant a tremendous shift of

focus and priorities for the museum, particularly its

Biodiversity Research Center of the Califomias, and has re-

quired a primary commitment to new collaborations between

institutions and researchers at all levels and on both sides of

the border.

The problems encountered by scientific collectors who

seek to collect biological and geological specimens in one

area, transport them, and suidy them in another area liave been

tlie subject of much frustrated discussion but few problem-

solving sessions. In 1994, 1 began working on the idea of

producing sometliing more than a session for complaints. This

workshop was intended from the outset to provide that needed

balance by bringing together scientific collectors, agency rep-

resentatives, and delegates from professional organizations.

The San Diego Natural History Museum provided a neutral

forum for discussion of many of the issues affecting collectors

seeking permission to collect specimens protected by Federal

and international laws and policies.

The response in terms of both speakers and registrants was

impressive, as was Ihe level of thoughtful debate, the depth and

usefulness of tlie infomiation presented, and the range of view-

points represented. Fifty-five registrants and fifteen speakers

were present, representing Australia, the United Kingdom,

Canada, Mexico, Argentina, Ecuador, the District of Columbia,

and 23 states of the United States. A day and a half of presenta-

tions was followed by a "permits bazaai" to allow participants

the chance to discuss issues in depth with agency representa-

tives from the U.S., Canada, and Mexico. On the fmal day, an

open forum discussion allowed both speakers and participants

to summarize the key issues and propose useful and promising

strategies for forging new alliances.

This volume is intended to summarize the results of the

workshop as a starting point for the work of coalition-build-

ing and policy change tliat needs to be undertaken. The

workshop opened many key issues for discussion, but their

resolution will take ongoing conunitment by all collectors,

all agencies, and all professional organizations affected by

tlie very real problems set in motion when spheres of respon-

sibility conflict with fields of research. Future workshops

will conUnue and expand the productive work begun in San

Diego.

ACKNOWLEDGMENTS

Many people at the San Diego Natural History Museum and

elsewhere contributed a tremendous amount of time, expertise, re-

sources, and valuable reinforcement Everyone who attended the work-

shop contributed greatly to its success. AU of us at the Biodiversity

Research Center of the Calil'omias thank the speakers and participants

for making this a lively, productive, and ongoing discussion.

Special thanks are due to the following for their help with local

arrangements and contributions to the program:

M. Patricia Beller. iiirch Aquarium, Scripps Institution of Ocean-

ography

William H. Clark. Orma J. Smith Museum of Natural History

John Gerwin. Division of Birds. North CaroUna Museum of

Natural History

Bill Gibbons-Fly. U.S. Rmba.ssy. Mexico City

Diana Hickson. Natural Heritage Division. California Depart-

ment of l-ish and Game, Sacramento

Eric Mellink. Ecologia de Fauna Silvestre, Centro de Investi-

gacion Cientifica y Educacion Superior de Ensenada

Margie Stinson. Palomar College

Ed Wilcox. Balboa Park Inn

Peartrees Catering

From the San Diego Natural History Museum:

Dr. Michael W. Hager, Executive Director

Maryann Beck, Executive Assistant

Patricia Woolery. Accounting

Dr. Katie Boskoff, Corporate and Foundation Relations

Philip Unitt. Department of Birds and Mammals

Dr Jon Rebman. Department of BoUuiy

Judy Gibson, Department of Botany

David Faulkner. Department of Entomology

Sally Shelton

Dr. Tom Dcmere, Department of Paleontology

Rusty Gehm. Building Manager

Gar\' Carlson. Ron Morgan, and Mary lltley. Building Operations

Pal Flanagan. Hducation Director

Dee Norton. F''ducation Program Coordinator

Carol Radford. Education Specialist

Denise Brook Schwartz. Institutional Graphics

Ellen Sweet. Education Volunteer

Betsy Olson. Covey

Dorothy Hester. Volunteer Coordinator

Our deep and sincere gratitude also goes to the host institutions of

our speakers and registrants, for making their participation possible. I

wish to thank Paisley Calo and Philip Unitt personally for e<liting this

volume. Thanks too are extended to Eric Mellink and John E.

Sinunons for their assitance in editing and translations. Their work

has been tremendous, and the results speak for tliemselves.

SPEAKERS AND CONTRIBUTORS

Carol Anderson, USFWS-CITES, Office of Management

Aullioiity, 4401 N. Fairfax Dr., Room 420, Arlington, VA

22203, USA

Paul H. Barber, Department of Integrative Biology, Univer-

sity of California, Berkeley, CA 94707, USA

Laurie J. Bryant, Senior Tecluiical Specialist-Paleontology,

Bureau of Land Management, Casper District Office, 1701

East E, Casper, WY 82601, USA

Fernando A. Cervantes, Instituto de Biologia, Universidad

Nacional Autonoma de Mexico, Apdo. Postal 70-153,

Coyoacan, 04510 M6xico, D. F., Mexico

Charles Dane, USFAVS Law Enforcement, Office of Scientific

Authority, 4401 N. Fairfax Dr., Arlington, VA 22203, USA

Jennifer Frie, USFWS-Recovery Permits, Portland Regional

Office, 911 E. 11th Ave., Portland, OR 97232, USA

K. Elaine Hoagland, Executive Director, Association of Sys-

tematics Collections, 1725 K St. NW, Suite 601, Washing-

ton, D. C. 20006-1401, USA

Mario A. Hiinicken, Museo de Paleontologia, Universidad

Nacional de Cordoba, Avenida V. Sarsfield 229, C. Correo

36, Cordoba 5000, Argentina

Mereditli A. Lane, Program Director, Biotic Surveys, Inven-

tories, and Research, Collections in Systemalicsand Frol-

ogy. Division of Environmental Biology, National Science

Foundation, 4201 Wilson Blvd., Rm. 635, Arlington, VA

22230, USA

Sergio Lasso B., Instituto Ecuatoriano Forestal y de Areas

Naturales y Via Silvestre (INEFAN), Av. Amazonas y Av.

Eloy Alfaro, lidif. Ministerio de Agricultura, 8° piso,

Quito, Ecuador

Thomas Mclntyre, Marine Resource Management Special-

ist, National M;uine Fisheries Service/NOAA, 1315 F.ast-

West Highway, Silver Spring, MD 20918, USA

Eric Mellink, Centro de Investigacion Cientifica y de

Educacion Superior de Ensenada, Apdo. Postal 2732,

Ensenada, B, C, Mexico

John Neal, USFWS Office of Management Authority, 4401

N. Fairfax Dr., Arlington, VA 22203, USA

Jose Ma. Reyes Gomez, Comision Nacional para el

Conocimiento y Uso de la Biodiversidad (CONABIO),

Fernandez LeaJ 43, Coyoacan, 04020 Mexico, D. F.,

Mexico

James Perran Ross, Florida Museum of Natural History,

University of Florida, Gainesville, FL 32601, USA

Jorge Soberon Mainero, Comision Nacional para el

Conocimiento y Uso de la Biodiversidad (CONABIO),

Fernandez Leal 43, Coyoacan, 04020 Mexico, D. F.,

Mexico

Robert A. Winfree, Grand Canyon National Park, 1 3 1 Bilby

Research Center, P. O. Box 6, Northern Arizona Univer-

sity, Hagstaff, AZ 8601 1, USA

Elements for Sound Treaties, Legislation, and Regulations

on the Collecting of Biological Specimens

K. Elaine Hoagland

Association of Systemalics Collections (current affiliation: Council on Undergraduate Research)

ABSTRACT. — The Biixiiversity Convention is the pohtical context in which new international niles are being set for collecting and exchanging

biological specimens. Given the new framework of national patrimony and fair return on resources, many countries are contemplating the enactment

of laws that would perhaps inadvertently restrict technology transfer and comparative taxonomic research. However, scientists and policymakers do

agree on certain elements that are necessary for sound treaties and laws. The following factors should be considered: (1 ) Conservation goals should be

paramount. (2) Also important are the equitable access to and use of biological resources, including national sovereignty, indigenous rights, and benefit

to humankind in general. (3) Technology transfer can best be implemented via scientific cooperation and mutual respect. (4) The taxonomic

impediment, that is. the problem of insufficient human and collections resources for the study of biodiversity, can be ameliorated by gcxxl treaties,

legislation, and regulations. Given these four needs, flexible and wise legislation can be drafted, but the miemational scientific community (especially

including scientists from the South) should have a seat at the table as these issues are discussed.

RBSUMEN. — I^ Convenci6n de Biodiversidad [Biodiversity Convention] es el conlexlo politico en el cual nuevas reglas intemaciunales se esl&n

eslableciendo para la coIecdt'Sn e intercambio de ejemplares biol6gicos. Dado el ^mbito nuevti de patnmonio nacional y r^ditt> justo de recursos,

numerosos pafses estin contemplando la promulgaci6n de leyes que, tal vez inadvertidamente, restringirdn la transferencia de tecnologfa y la

investigaci6n taxoniSmica comparada. Sm embargo, cientjficos y polfticos estin de acuerdo en ciertos elementos que son necesarios para tratados y

leyes adecuados. Los siguienles factores deben ser considerados; (1 ) Los objecOvos de conservaci6n deben ser lo mis importanlc. (2) Es importante

tambi^n. el acceso equitativo al iiso de los recursos biol6gicos, incliiyendo soberanfa nacional. derechos de los indfgenas y beneficio a la humanidad

en general. (3) Las transferencias de tecnologfa pueden ser mejorada via cooperaci6n cientifica y el respeto mutuo. (4) La limitante laxondraica, es

decir. el problema de insuficientes recursos humanos y de colecciones para el estudio de la biodiversidad, puede ser mejorado mediante buenos

tratados, Iegislaci6n y regulaciones. Dado estas cuatro necesidades, Iegislaci6n flexible y adeciiada puede ser redactada, pero la comunidad cientffica

intemacional (incluyendo sobre todo cientlficos del .Siir) debe tener un asienio en la mesa de discusiones ciiando esos temas son tratados.

INTRODUCTION

I speak as an advocate for science in conservation. In

particular, I speak for the taxonomists, who, with iheir sys-

tematics collections, provide the basic information that al-

lows us to understand and use biological diversity. 1 would

like to address recent events that have changed the way

scientists work in foreign countries. Some changes have been

for the goixl, increasing the collaboration between scientists

of different coiuitries and causing their research to be taken

more seriously by society. However, some recently proposed

legislative and regulatory changes have made it increasingly

difficult for scientists, especially taxonomists, to do interna-

tional work and to share information with colleagues.

There is a paradox. An increasing international spirit

pervades taxonomic research and the use of biological col-

lections. Non-taxonomists now recognize the value of col-

lections. There is a clamor for data on biodiversity, including

museum specimen records. Yet there is also a loss of access

to international research sites and to specimens themselves.

The new framework that has brought about these

changes is the Convention on Biodiversity. It has been

signed by most countries of the world and now signed but

not ratified by the United States. The purpose of the Con-

vention is to improve conservation of the world's

biodiversity via country-level inventory and planning. An

important rationale for conservation is use of biodiversity

in a way that gives a country and its indigenous peoples fair

return for their biological resources. In other words,

biodiversity is valued economically as a means of saving it,

and value is linked to national interest.

This soimds fine so far. How could valuation of

biodiversity hurt taxonomic research? Because, in the coiu^se

of writing country-level laws and regulations to implement

the fairness aspect of the biodiversity treaty, international

access to research sites and to the collecting of specimens has

been compromised. Ironically, this could hurt the technology

transfer that is also a key goal of the Biixiiversity Convention.

There is a parallel problem within the United States.

Taxonomists, ecologists, and other scientists have drawn

attention to conservation needs. One result has been increas-

ingly strict collecting restrictions for scientists in many states

and on federal lands, lliose who need access to biological

specimens in order to understand conservation needs are

denied or delayed access. Yet tliere may be lotipholes (e.g.,

incidental "take" permits) for persons actually intent upon

destroying whole natural habitats. The suppression of re-

search can be likened to a negative feedback lixjp. The more

scientists learn, the less they themselves have access to

further knowledge.

THE CONVENTION ON BIODIVERSITY

I would like lo focus on the Convention on Biodiversity

and resulting national legislation. My purpose is to see how

we might promote laws and regulations more in keeping with

the three goals of the Convention: providing information for

conservation strategies, providing equity for nations in the

use and control of iheir own biological resoiu^ces, and provid-

ing for technology transfer. 1 would like to recognize the

common interests of taxonomists and other scientific collec-

tors (both native and foreign) and national governments.

Scientists want access to specimens and the ability to create

new information, but they also want habitat protection and

preservation of biodiversity. Most also recognize the need for

equity in the use of national resources. The state wants conser-

vation, equity, and new information. Is it a viable strategy to

diminish scientific access while trying to control the national

economic value of biological resoiu^ces, or can a balance

between access and conu^ol be achieved that is more in

keeping with national goals? First, 1 will review the conserva-

tion aspects of collecting specimens; then 1 will add the

K. Elaine Hoagland

complexities brought about by the need for both equity and

technology transfer.

CONSERVATION GOALS

Conservation goals should be the driving force behind

national legislation to implement the Biixliversity Conven-

tion. The strategy to achieve the goals can include a partner-

ship between scientists, conservationists, and government

officials. Scientists, particularly those who do field work, are

the eyes and ears of policymakers. Scientists identify the

problems and may propose technical solutions, which must

be passed through various political and economic tests of

feasibility. For example, taxonomists may identify regions

rich in taxonomically distinct endemic species, which de-

serve protection in order that whole genetic lineages not be

lost. They and ecologists may observe "keystone" species

such as pollinators or grazers that have special roles in

orgiinizing ecosystems. However, tliese biological facts must

be overlain upon ptipulation and land-ownership patterns and

existing governmental and private commitments before final

decisions are made.

There should be a cohort of active field taxonomists in

every country who can interact with their own policymakers.

This is much preferable to foreigners proposing solutions.

However, no country has experts in every taxonomic group.

To achieve efficiency, it is best tliat there be international

sharing of taxonomic resources. Dan Janzen has called this

phenomenon the "international taxasphere," which can be

drawn upon for taxonomic expertise wherever needed in the

world. Also, taxonomists cannot identify and study new

species without reference to specimens from many countries.

Species do not recognize national Ixiundaries, and compara-

tive international research is at the heart of taxonomy. Taxo-

nomic names and basic descriptions cannot be proprietary.

The whole point of taxonomy is to provide a stable world

nomenclature so that other scientists and the general public

can talk about biology "on the same wavelength." Hence the

taxonomists and tlie policymakers have a common interest.

They both want intemational access to taxonomic expertise.

They both need taxonomists to have intemational access to

the world's biota.

Sometimes it appears to scientific collectors that regula-

tors have an agenda different from the original law. In the

case of the Biodiversity Convention, country-level laws ap-

pear to have an agenda different from the Convention itself.

This occurs when laws seem counter to species protection

(when commercial interests have an easier time collecting

than do scientists) or when fees for permits are higher than

academic scientists can afford. Similar fees of several hun-

dred U.S. dollars for collecting beetles and for trophy collect-

ing of homed mammals trigger the thought that research is

being equated with tourism dollars. It is naturally resented by

those who feel that their research itself contributes value to

the host country. The result is that the law loses its authority

in the eyes of the scientist.

The goal should be regulations consistent with legislative

intent. Consistency within regulations for all users can be

tempered by the legitimate differences in uses that are made

of specimens and information. The more that use is related to

conservation goals and the less it harms the resource, the

easier the permit process should be. It should be at least as

easy to collect a common insect as it is to use pesticides or

clear a piece of land, from a conservation viewpoint. (What is

ultimately done with the insect will be affected by equity

arguments below.) Scientific information should be used in

the formulation of laws, and especially regulations, when-

ever possible. However, I recognize that regulators require

simplicity and not all biological idiosyncrasies can be taken

into consideration; otherwise regulations would be unwieldy.

There are two objections to open access for taxonomists.

ITie first is that collecting can lead to extinction of the very

biota we wish to protect. But ethical collecting for scientific

purposes generally involves the taking of a tiny percentage of

any population and rarely endangers a species. The few cases

where there is a problem are usually in areas where the

species has already been severely restricted by loss of habitat

and where reproduction is very low. Native scientists can

help their permitting authorities build restrictions into col-

lecting permits limiting numbers of specimens taken in these

circimistances.

One might worry that the wide access to biotic diversity

by taxonomists allows leakage of information into the private

sector, even though basic taxonomic research is not commer-

cially driven and is not proprietary. This raises the second

intent of the Biixliversity Convention: equity for southern

nations rich in biodiversity but less rich in technology to

develop it within their borders and often taken advantage of

in the past.

EQUITY

The Convention on Biodiversity can be a vehicle for

redressing the historical inequity of colonized nations. Bio-

logical resources can become as oil and minerals: national

property understate control. No longer is biological diversity

a free good in the world, of value only after commercializa-

tion. Americans should be able to understand the grievance

of the developing world, for after all, it was one of the

grievances of those who held the Boston Tea Party. Why

should Britain take cheap raw materials from the American

colonies and return them with "value added"? Why should

modem companies take micro-organisms and plants from

tropical forests in South America only to return them as

expensive drugs? Certainly this is a legitimate complaint

against the old regime of free access to undeveloped biologi-

cal resources.

Is this concern for equity compatible with the conserva-

tion goal of the Convention? On the surface, yes. But there is

a problem. Concern for equity has commanded dispropor-

tionate attention in early meetings of the Conference of the

Parties to the Convention. Progress on conservation goals

has lagged. We see powerful political and economic interests

competing, while science is on the sidelines. National gov-

ernments, indigenous peoples, intemational corporations,

conservation and social-action groups, each with a contin-

gent of lawyers, have dominated discussions of national

laws, while science has not been at the table in most of these

discussions. Scientific aspects have been discussed sepa-

rately if at all.

Academic scientists need to be at the table to discuss the

equity aspects of the Convention because the resulting na-

Elements for Sound Treaties, Legislation, and Regulations on the Collecting of Biological Specimens

tional legislation will affect them and their ability to provide

resources for conservation. Scientists, native and foreign, are

a part of the equity question: wliat is fair for them? Is it fair

for llicni to pay for the privilege of providing their services to

a nation, ;uid not to be paid for their infomiation?

Taxonomisls and other non-industrial scientists can be

honest brokers for bitxiiversity interests. They function morc

naturally under an ethical than a legal regime, and can pro-

vide conscience to negotiations. Currently there ;u-e many

jurisdictional rivalries over who will issue permits ;uid en-

force Uieir requirements. ITiere are sovereignty struggles

between indigenous peoples and their national governments.

In some ways, the taxonomist is in a position very similar to

that of the kxal ptipulation — tlie holder of imptirtant infor-

mation, but taken for granted and nearly ptiwerless. The

taxonomist sitting at the table with other interest groups can

broaden Uie discussion and depolarize some issues, ;uid can

add strengtli to some of the weaker sides. Most importantly,

(s)he Ciui fill in mi.ssing information in the areas of science

and international thinking to balance an otherwise incom-

plete equation. Without them, it is all t(xi easy to forget that

there was something to gain on the kxal level by interna-

tional access to information, and some cost will be incurred

by its diminution.

TECHNOL(XJY TRANSRiR

The Convention on Biodiversity calls for technology

transfer from northcm to soutJiem countries in exchange for

the use of southem biological diversity. The goal is for

southern counuies to be able tt) add value to their own n;Uural

prtxlucts, rather ih;ui exptirting raw materials, liixonomic

information ;uid research skills have been recognized as :in

importiint e;u"ly step in technology U"ansfcr. However, it is not

always recognized that many developing countries already

have a go<xl start on developing taxonomic expertise. ITiere

are many fine syslematics collections and resc;u"chers al-

ready partnering williin tJie international "taxasphere." A

better term might be "value exchange" rather ih;in technol-

ogy transfer, which implies that all Llie trjuisfer is in one

direction.

Access to collecting sites can be lluiught of as a benefit for

foreign taxonomists that requires an equal exchange of value.

Access to international research pitrtners is another such

benefit, which is by its nature recipriKid. Typically, tlie for-

eign resciircher traveling to a developing country shares

technicid knowledge and access to background literature and

international specimens. ITie Kxal researcher excels in field

knowledge and logistical information as well as unpublished

liKal infomiation. A p;ulnership between kx:al and outside

researchers is required for die study of less-known taxo-

nomic groups that might be widely distributed outside one

liKal area. F'hylogenetic assessments of broader taxonomic

groups also require comparison of specimens from many

countries.

Currently, there ;u^e strong ethics sl;md;tfds that require

researchers to share information ;uid expertise when working

in a foreign country. Items of value for exchange include

specimens from other parts of the world so that Uxal re-

searchers can have access to international comparative col-

lections of their own. Botanists have long practiced interna-

tional exchange of specimens to accomplish lliis goal. Other

exchange of value incurs with the training of students, pre-

sentation of seminars, co-autliorship of papers, and the shar-

ing of grantsmanship (the ability to write research proposals

lor international funding). Data are also now regularly ex-

changed over die Internet.

These forms of value exchange are immediate, not depen-

dent upon future economic success as are royalties. Also,

Ihey go directly to the people who can build "value added" in

their own countries in the future, raUier th;ui having to be

redistributed from a central government. l'in;dly, they build

personal relationships into die future, developing shared in-

terest in conservation as well as taxonomy. While some

economists say Uiat cash is always preferable to a barter

system, this non-commercial exchiuige isappn>priate within

the culture of academic research. It allows fair trade in

knowledge and is based up<.in mutual respect. It does not

require any special treatment or allowances for developing

countries, for these principles of collaboration are as valid in

liurope and the U.S. as they are in Africa. Ilie goal they may

achieve is a stronger network of intemational colleagues.

Aldiough riv;dries among scientists certainly ixcur, and pride

is assiKiated with description of new taxa, most taxonomists

fcx'l isolated by the lack of colleagues iind welcome more into

their ranks. A taxasphere that can recognize competent spe-

cialists from all nations and help pair them with taxonomic

problems around the world would be a fine accomplishment

for die Convention on Bitxliversily and its national laws.

RliPATRIATION

Continuing die theme of technology transfer, some

polic>'m;ikers have suggested that datxi be "repatriated" to

developing countries from northern scientists ;uid institntii>ns.

The AsscK'iation of Systematics Collections' ethics statement

calls for sciendsts ;ind natural history collections to ccKiperate

with institutions in developing countries and elsewhere' to

obtain specimen label data to augment information on species

distributions and taxonomy. However, we do not agree widi

die term "re^patriation" to describe this scientific ctxiperation.

The infomuition itself was generated by Uie scientists who

collected die specimens, identified them, and studied Uiem —

diese individuals might be from niiuiy nations. While the

specimens nuy hiive been from a panicuku' country, die infor-

mation may never have been there". ITiis might seem like a

technical p<iint, and the world has moved beyond it. However,

we feel tliat it is imporiiuit to cre'dit scientists for dieir iniellcx-

tual prtxluctivity, while not restricting the fiow of scientific

infomiation. Otherwise, stime nadons niiiy ffy to restrict ac-

cess to die infivmation diat has come out of scientific ex-

diangesand intemaUonal noncommercial research. An indi-

vidual sciendst might be in the ptisidon of being asked to work

in a foreign country, only to find that (s)he is not fre^e to publish

scienufic information tkit derived from specimens from diat

country. Such a state of affairs would be counterpnxJucUve to

the understanding of bitxliversily.

ITiere is justification for the repatriation of actual speci-

mens, but only in cases where the material was clearly

removed from a country illegally. Laws that retroactively

K. Elaine Hoagland

demand return of specimens collected, curaied, and stored in

good faith are disruptive to scientific work and will harm

scientific cixiperation in the future (see Cervantes, this vol-

ume). Specimens are not raw samples of biological material

but have value added by scientists and collections reposito-

ries. It is expensive (some would say a burden) to maintain

collections, ;uid llieir transfer should not be treated lightly.

In many cases, it is far more valuable for a nation to possess

a series of specimens from several countries within a bio-

geographic province than for each nation to collect material

solely from within its own borders. Institutions and nations

should be encouraged to exchange ;uid build comparative

collections so that world-class taxonomic research can be

performed locally. Different counuies can specialize in dif-

ferent taxa, to avoid duplication of scarce taxonomic re-

sources.

t:li-mi;n IS i'or national li-xiisi.ation

By now it c;ui be seen that taxonomic reseitfch by experts

who work internationally is of value to each nation ;ind is to

be encouraged ;ujd rewarded. Taxonomists are a scarce re-

source for countries writing e v;Uuations of their bitxli versity

and phinning for conservation and equiliible use of biological

resources, fherc is no substitute for open, compiirative re-

search, because species cannot have a unique name in each

country if progress to be made, liach country's laws in

response to the Convention on Biodiversity c;ui help with tiie

ilevelopmeni of the worldwide taxasphere of experts who can

be called upon to solve taxonomic problems in concert with

l(Kal scientists. Southem scientists will be full members of

such a taxasphere.

Just as national regulations implement national laws, na-

tional laws implement international treaties. One must be

cjuvful to preserve the intent of the framersat each step in the

implementation pnKcss. Ilie following are elements that can

be considered in tlie implementation of tlie Convention on

likxliversity. In order to meet its triple Intent: conservation of

biological diversity in a way that allows equitable control

and use of biological resources in the country of origin and

that provides technology transfer as a p;ul ol that equity.

Use the intent of treaty framers to vet priKedures. ITiere

should be a clear, logic;d path from intent to the treaty to the

regulation ;uid enforcement, with feedback Irom field biolo-

gists to ensure tliat understanding has been achieved.

nohidi)i:na(]i;ndas

Laws should focus on the intent of the Convention, not on

requirements that subvert that intent. Particularly, open sci-

entific exchange must be protected. Laws should not turn

scientific collecting inloa national profit center akin to tour-

ist dollars.

Scientific collecting should be distinguished from com-

mercial collecting. It should be encouraged as adding to

technology Inuisfer to developing countries. It can be thought

of as free labor, and a ready source of training. Reducing the

cost and time it takes for scientists to forge collaborative

links across national boundaries and obtain permits will lead

to greater scientific resources for all counuies.

Laws obliging academic researchers to become middlemen

in U'ansactions between nations, indigenous peoples, and in-

dusO-ies once tliey have done tlieir own work must be avoided.

Similar procedures for scientific collecting in several

countries would also be beneficial by reducing confusion and

improving compliance with collecting-permit requirements.

1 ^t a country 's scientists be involved in negotiations to create

country-level laws and regulations. Give the intematioiud scien-

tific community the chance to provide feedback on how the laws

will affect it.

Use existing ethical stiuidards when possible as a baseline

for regulations. Inconsistency between them will undermine

enforcement.

Regulations must make biological sense and remain flex-

ible to new circumstances, while still being as consistent as

possible. We cannot have special regulations for collecting

each species, but some generic mies can be written tliat allow

llexibility for beetles and mosquitoes versus endangered ante-

lope. If tliere is an exemption to allow clearing of mosquito-

infested swamps, let biologists collect in these swamps first!

Work with existing national museums or collections to

advance scientific ccxiperation and exchange of specimens.

Allow institutional agreements to satisfy technical transfer

and value -exchange principles. Be sensiUve to limits to funds

within the academic scientific community and to the richness

of value in knowledge and exchange of prepared scientific

specimens.

Regulations should strive for simplicity, ease of luider-

standing, and speed of issuance. Infonnalion collected in tJie

pennitting prix'ess should be preserved in a form usable for

conservation. Keep costs as low as pt>ssible, and apply them

to direct administration of tlie pennit prcx;ess and resource

preservation to allay cynicism.

linlorcement should be based on conunon sense and bal-

ance of priorities. Distinguish between accidental infrac-

tions, misunderstandings of pnxess, and intentional mis-

deeds, llie enforcement officer should remember that not

every scientist is a violator. Hie scientist should remember

that the enforcement pnxess should be taken seriously de-

spite rules that may not be founded in biological tliinking.

Remember that the actions of one individual, whetJier an

enforcement official or a permit grantor or a scientist, may be

taken as typical of a much Uu^ger group. We all must tliink as

responsible representatives of our professional colleagues.

CONCLUSION

Scientific, non-commercial researchers whose work is

fundamental to biixliversity conservation should be encour-

aged to work with national ptilicy-makcrs and otJicrs to

promote the goals of the Bicxliversity Convention and na-

tional laws to protect biixliversity. One way to achieve this

end is to include them in discussions as national laws ;m;

wntten. llieir problems and potential benefits to a nation are

not the same as commercial endeavors and they should not be

working under the s;uiie rules. Ilie international taxasphere

can help identify biixliversity pmblem artas, can insure equi-

table availability of information, and can even help in en-

forcement. Biixliversity dix's not recognize national bound-

aries and tixi little is known for provincialism to prevent

valuable collaboration.

Collecting Permits and Other Requirements in Respect to Research Funded

by the National Science Foundation of the United States

Meredith A. Lane

Biotic Survexs & Iinenlories. ami Research Collections in Sxstematics & Ecology,

Division oj Environmental Biology, National Science Foundation

ABSTRACT. — The National Science Foundation Grant General Conditions document (NSF GC- 1 ) specifies thai grant acU\ities earned on outside the

United Stales are lo be coordinated as necessary with appropnate government authonUes and that appropnale visas, licenses, permils and/or approvals

are to be obtained prior to undertaking proposed activities. In addition, the NaUonal Science FoundaUon (NSF) requires thai any granlee perfomimg

research on vertebrate animals comply with the Animal Welfare Act. The NSF ilself is not. however, an enforcement agency. The responsibility lor

compliance rests with the grantee institutions and their investigators. Therefore, proposals for projects that involve activities outside the U.S. and/or

handling of vertebrates should clearly explain the means by which the principal investigator and the institution will comply with the relevant laws and

regulations. It is the experience of the NSI- that the process of obtaining permits often is facilitated by establishing working relationships with

colleagues in other countries. Such relationships are also beneficial for other reasons. Among these are sound scientific practice, maintenance of good

international relations, and international exchange of scientific expertise. Indeed. relaUonships such as these fosterthe training of graduate students and

otherwise build scientific infrastructure.

RESUMEN. — El documento que eslablece las normas para la obtencnSn de un apoyo de la NSF (National Science Foundation), la publicacuSn GranI

General Conditions (NSF GC- 1 ), especifica que aquellas actividades subvencionadas por la NSF fuera de los Fstados Unidos deberin ser coordinadas.

en la medida que sea necesario. con las entidades concerriientes de los respectivos gobiemos y, ademas, que los permisos, las visas, las licencias. y/o

las aprobaciones que scan de ngor deber^ ser obtenidas antes de emprender toda actividad investigativa. Tarabi^n. la NSF requiere que todo director

de proyecto que lleve a cabo investigaciones con arumales vertebrados. cumpla con la ley estadixinidense sobre la proteccK'in de animales. No obstante,

la NSF misma no es una agencia reguladora — la responsabilidad para la articulacii5n de eslos reglamentos pesa sobre las instituciones a las cuales se

les da el apoyo y en los investigadores de estas instituciones. Por consiguiente. las propuestas para proyectos que. ya sea. involucran acUvidades fuera

de los Estados Unidos o, que conllevan el manejo de verlebrados. deberAn ex plicar claramente las medidas medianle las cuales el investigador pnmano

y su instituci^n cumplirdn con las leyes y reglamentos que ataiien. Fs la expenencia de NSF" que todo el proceso de obtener permisos en un pals

extranjero. se facilita grandemente si los investigadores lorjan lazos de colaboraci6n con sus colegas en el pais correspondiente. listas relaciones.

luntlamenladas a menudo en el bcnclicio mutuo. son Irecuenlemcnlc de bcnelitio en muchos olros scnlidos. Cabe seiialar que lomentan la buena

pr^clica cientlfica. el suslenlo de las buenas relacuines intemacionales. y el intercambio de idea.s y de punlivs de vnsia dlterentes ci^n el ci^nsiguiente

enriquecimiento de las expenencias cienlfficas. TambicJn. con Irecuencia. redundan en oportunidades para entreniir estudiantes graduados y para

fortalezer la infraestructura cientlfica. Es por eso que las mismas son alentadas por la NSF.

INTRODUCTION tliose lor tlie Biotic Surveys and Inventories Program, in-

clude instructions specific to liie program tor which they iire

The National Science I'oundation (NSF) is an agency of ^vritten. It" Uie two diKunients differ. Program Guidelines

the United Stiites goveniment that has a legislatively estab- supersede the CiPG

lished mission "to pronuMe Uie progress of science" (42 -n^^. remainder of Uiis paper discusses Uie several refer-

U.S.C. 1861 et seq.; 42 U.S.C. 1885; 20 U.S.C. 3911 to ences in the NSI- dtKumenls mentioned abtwe thai relate lo

.3022). Hie NSl ■ is not a regulatory agency ;uid has no law- collections of natural history specimens,

cniorcement ptiwers. However, as a government agency, it

has the responsibility to ensure insofar as possible that the qq^ ] pctinq PERMITS

laws of tlie United States and of other countries are followed

by its awardee institutions and project investigators. To tliis Tlie Biolic Surveys ;ind Inventories Program ( BSD Guide-

end, there are statements in several NSl* publications that lines (NSl- 97-136, available al <http://www.nsf.gov>)

relate requirements that must be met by awardee institutions clearly slate that "documentation that the necessary research

;uid/or project investigators in order lo qualify for funding. agreements and/or collecting pemiils have been obtained

NSl'-wide requiremenls die presented in several diKu- will be required prior lo an award." It is the intent of the

ments, including the Gnuil Policy Manual, ihe Grant Cicneral guidelines that the term "collecting permits" covers the range

Conditions, ;uid the Gnuii l*ropos;U (luide. Hie Griuit Policy of permils needed not only to remove specimens frtim the

M;uiual (GPM) is a compendium of basic NSl" ptilicies ;uid field but also those required to expon or import them across

pnxedures for use by gnuitees and NSl' staff. It can be found naliomil boundaries, including compliance with CITES regu-

on the World Wide Webal <hllp://www. nsf.gov> by clicking lalions, etc. 'l"his requirement is true of projects conducted

on "Grams and Awards." ITie (jnini General Conditions within the United Stales and its territories, or within another

(GC- 1 ), also on the NSl- home page, is an abstract of die country, although iliere arc additional NSl" requirements for

Grant Policy Manual, for quick reference by applicants and research of any type in other countries (see below). Typically,

NSl- staff I-inally, the Grant Proptisal Guide (GPG) is a a successful propi>sal will explain that permits are in hand at

concise set of instructions for prepanuion of proptisals to tlie tlie time of writing of the proposal, or, because of differing

NSl"; it also contains stime of llie rules conceming collecting systems in some countries, tJiat application for the appropri-

and other permits and is available via Uie NSF ht>me page, ate pemiits has been made. In Uie latter case the permit

The CiKi should be followed precisely (unless Program prix;ess must be completed before the Program Director

Guidelines specify otherwise). Program Guidelines, such as recommends an award of funds.

10

Meredith A. Lane

PROJECTS IN A FOREIGN COUNTRY

In the interests of international cooperation and encour-

aging scientific infrastructure building, the BSI guidelines

also state that "the profKisal must include a description of

collaborations that have been established with scientists

and students from the host country, and how tliese individu-

als will be involved in the project, as well as arrangements

for the in-country housing of specimens and data." Ar-

rangements to divide the specimens between host country

inslitution(s) and U.S. institutions may be made (see the

final section of this paper on "deposition of specimens"),

but it is the intent of the guidelines that type specimens and

quality representative specimens should remain in the host

coujiUy and Uial llie project be conducted in collaboration

with scientists from that country. Such collaborations en-

courage good will; they often assist in the process of obtain-

ing the permits necessary to do the research and in other

arrangements that may be required.

NSI- fluids may not be used in support of a project which is

prohibited by law in tiie country in which it is undertaken, llie

GC- 1 , Article 37 (Activities Abroad) states, "tlie grantee should

assure tliat grant activities carried on outside the U.S. are

coordinated as necessary witli appropriate (lovemment au-

thorities and tliat appropriate licenses, pemiits, or approvals

arc obtained prior to undertaking proposed activities." The

■■grantee" is the institution to which ilic award is made; that is,

a researcher's university or institute is liable if that researcher

d<x;s not comply with all relev;uit laws. However, the liability

extends no further: "NSI" d(K"s no{ assume responsibility for

grantee compliance with the laws ;uid regulations of the coun-

try in which tlie work is to be conducted." Nonetlieless, NSI"

funds ciui be withdrawn from a gnuilee that is found, after

appropriate investigation by the NSI" Inspector (leneral, to

have failed to observe the appropriate legalities.

Additional guidance along these lines is provided by the

CiPM, Article 763: "lYior to undertaking any projects out-

side the U.S., the gr;uilce should ensure that any permits or

licenses required by tiie host country or tiie political subdi-

vision in which the project will be performed have been

obtained and that the researcher(s) will abide by the appro-

priate ordin;uices of such foreign countries." Again, respon-

sibility lies witli tlie grantee university or institution, al-

though the NSI' l*rogr;uii Oirector(s) who oversee a p;irticu-

lar award will ascertain whether such compliances have

been met before funds are made available. Another provi-

sion of the CiPM, Article 764 (Passports and Visas), re-

minds grantees that "NSI" assumes no responsibility for

securing passports or visas required by any person because

of participation in an NSI"-suppor(ed project. It should be

noted that some countries that normally do not require visas

for touristsdo require special visas for scientists engaged in

research or studies." Thus, it is incumbent uptin the grantee,

and tliereby its researchers, to determine in a timely fashion

whether scientific visas are required, ;uid to obtain them

prior to conducting the research. In this area as well, the

process often can be smoothed by collaboration with host-

country researchers.

SPECIAL REQUIREMENTS FOR RESEARCH

IN POEAR AREAS OR COASTAL WATERS

Because of the delicacy of their ecosystems and political

considerations, special requirements for research in Antarc-

tica and Greenland have been established by international

treaties. Application forms for such research, deadline dates,

and instructions are available from the Director, Office of

Polar l*rograms. National Science Foundation, 4201 Wilson

Boulevard, Room 755, Arlington, VA 22230 (phone: 703-

306-1030). The international law of the sea governs research

in die sovereign waters of any nation. Assistance witli dem-

onstrating compliance with these regulations may be ob-

tained from the Biological Oceanography Program (Geo-

sciences Directorate) of the NSF (same address, phone: 703-

306-1587).

Antarctica

Proposals that involve field work in Antarctica must in-

clude information about the logistical and operational requi-

sites of tlie proposed research, as required by tlie Antarctic

Conservation Act of 1978. Instructions on proposal prepara-

tion for research in Antarctica are provided in tlie ftogram

Announcement and Proptisal Ciuide for the Antarctic I^ro-

gram of liie Office of Polar I'rogranis (OPP). Infonnalion on

working in Antarctica should be obtained from the OPPprior

to preparation of a proposal.

Greenland

All research projects in Greenland must be approved in

advance by the government of Denmark, as stated in the

GPM, article 763. Applications for projects in which U.S.

citizens and U.S. nationals are involved in any way (logisti-

cal, operational and/or fin;uicial support) shall be submitted

to tlie Danish Govemmenl tlirough diplomatic chaiuiels (i.e.,

tlirough the U.S. Depiuinieni of State and the American

limbassy, Copenhagen) to the Danish Ministry of l"oreign

Affairs. The OPP will assist in the submission of these

applications ;uid should be contacted for instructions prior to

preparation of a proptisal.

Ship Pemiits

"I^oposals to survey marine biodiversity tliat require tlic

scheduling of NS1"-UN()I .S ship time must include a complete

NSF-UNOLS Request l"onu (NSI- I-onn 83 1 )" as required by

tlie BSI Guidelines. The UNOLS form may be obtained from

tlie Biological (Xeanography I'rogram, National Science

I-oundation (phone: 703-306-1587) or directly from the

UNOLS World Wide Web site, <http://www.uri.edu/UN()LS/

UNOLS.html>. If the proposal requires tirpe aboard non-

UNOLS vessels, th^; prqppwj NflfitT i\]W rpflpcf t|ie direct

cost o(' 5|iip (iqic- Use pf UN^i't ^^ ^^^^^ ^'P '''^" "^^^

requires that permits to cnlcr SOV^rvV^^ >^^t^/^- in j;oi^nJia;ice

with international laws of the sea, be obtained with the assis-

tance of tlie U.S. Department of State if tlie researcher(s) plan

Collecting Permits and Other Requirements in Respect to Research Funded by the National Science Foundation on the United States

11

to collect specimens in any nation's sovereign waters. The

Biological Oceanography ftograiii ol the NSP' can assist in

these negotiations. As of tliis writing, tlic contact person is

Emma (Dolly) Dieter (edieter@nsf.gov).

HANDLING OF VERTEBRATES

If the proposed research includes the collection of verte-

brate aniniids, the Principal Investigator must respond to

GPG section 11, part D, paragraph 12, subparagraph e: "For

proposals involving the use of vertebrate animals, sufficient

information should be provided within the 15-page project

description to allow for evaluation of the choice of species,

number of animals to be used, and any necessary exposure of

animals to discomfort, pain, or injury. All projects involving

vertebrate animals must have approval from the

organization's Institutional Animal Care and Use Committee

(lACUC) before issuance of an NSF award. NSF recom-

mends inclusion of the approval form (in Section I of the

proposal) with the proposal submission. The box for Verte-

brate Animals' should be checked on the NSF Form 1207

with the lACUC approval date (if available) identified in the

space provided."

DEPOSITION OF SPECIMENS

As noted above, the BSI ftogram expects that proposals

will include descriptions of the arrangements for the in-coun-

try housing of specimens and data. To this end, the BSI

Guidelines state, "the proposal should include [as supplemen-

tary information] letters from the curators of the selected

repositories, and these must specifically indicate their willing-

ness to accept, to curate, and to maintain the collections" (NSF

97-136). It is the intent of the guidelines to foster international

C(X)peration in research and the open and accessible sharing of

data across international boundaries while at the same time

assuring that specimens collected Kxlay will be available for

study by researchers (of any nationality) in die future.

ACKNOWLEDGMENTS

Any opinions expressed in this paper are those of the

author and do not necessarily represent policies or positions

of the National Science Foundation. Ilianks to Emma Dieter,

Eduardo Feller, and Lew Grotke of the National Science

Foundation for their assistance with ensuring accuracy of this

subject matter, and to Harold Stolberg, also of NSF, for

editing and translating die abstract.

12

A Fistful of Permits: The Tale of a Scientific Collector

Paul H. Barber

Department of Integrative Biologx, University of California

ABSTRACT. — To complete a genetic study of the Canyon Treefrog, Hyla arenicohr. I collected in numerous ranger districts of seven national forests

m Anzona. New Mexico. Texas, and Utah. Applications for scientific collection permits to state fish and game departments were largely similar.

Collecting on U.S. Forest Service lands required possession of a special use permit. These were obtained from each nauonal forest, and, in some cases,

individual ranger distncts. The process of obtaining a special use permit was highly variable. This has led many researchers to circumvent or ignore the

requirement of a special use permit, costing the U.S. Forest Service access to potentially valuable research. A more centralized, streamlined, and

biologically relevant permittmg prcKedure, possibly m collaboration with stale fish and game departments, would benefit all parties and ensure that

results of scientific research acuvities on public lands be distributed to those involved in their management.

RESUMEN. — Para complelar una investigacidn gen^tica de la rana Hyla arenicohr, colecciom^ en numerosos distritos de siete bosques nacionales en

Anzona, New Mexico. Texas y Utah. Las solicitudes para obtener los permisos de colecci6n cientifica fiieran muy similares entre los departraentos del

vida silvestre de los estados. Las colecciones en iSreas de Bosques Nacionales de EE.UU. [U.S. Forest Service) requieren la obtenci6n de un perraiso

de uso especial. Estos se obtuvieron en cada bosque nacional y, en algunos casos, en los disUntos individuales. El proceso para obtener un permiso de

uso especial fue muy variable. Corao resultado de eslo, muchos invesUgadores omitan o ignoran el requisito de un permiso de uso especial ortagado por

el Servicio de Bosques Nacionales de EE.UU., esta situaci6n impide el aceso a mvestigaciones potencialmente vahosas. Un procedimiento mas

centraUzado. eficiente. y biologicamente relevante, posiblemente en colaboraci6n con los departamentos estatales de pesca y caza, beneficiaria a todos

los participantes y aseguraria que los lesultados de los actividades de investigacion cientifica en ireas pubhcas sean distribuidas a quienes estan

comprometidos en su manejo.

INTRODUCTION

Scientific collecting permits are a very real and necessary

part of field biology. Beyond granting legal authorization for

scientific collections of natural resources, whether plant,

animal, fossil, or mineral, they provide an essential link

between scientists utilizing resources and the state and fed-

eral agencies managing the resources. At its best, the permit-

ting process is a symbiosis of researchers and managers.

Researchers benefit by the authorization of their studies on

public lands. Management agencies not only benefit by being

informed of the activities conducted on the lands they man-

age, but they also benefit by receiving information (often in

the form of yearly reports) about the resources on the lands

they manage. This information can be critical in the formula-

tion of management policy and comes at no expense to the

agency.

While the above represents the ideal, it is not necessarily

the norm. The permit process is often confusing. Scientific

studies conducted in a single area may require permits from

multiple agencies. Even the best efforts by a researcher to be

in total compliance with all regulations may fall short due to

the maze of permits and regulatory agencies. The following

is an account of my experience obtaining permits for my

d(x;toraI dissertation research.

THE PROJECT

Hyla arenicohr, the Canyon Treefrog, is a small (2-5 cm)

cryptic hylid frog that is found commonly in rocky mountain

canyons of the desert Southwest. On the Colorado Plateau,

suitable habitat is largely continuous and population bound-

aries are generally arbitrary. However, on the montane "is-

lands" of southeastern Arizona, most populations are com-

plete geographic isolates. The goals of my project were as

follows: (I) to determine the population-genetic structure of

Hyla arenicohr, (2) to contrast population-genetic structur-

ing in continuous and fragmented habitat, and (3) to deter-

mine the colonization history of isolated populations. To do

this, samples for genetic analysis would have to be collected

from numerous localities through the entire United States

range of the species. Thus began the journey through the

pemiit maze.

STATE PERMITS

Most biological collections made in the United States are

regulated by slate governments, often through the issuance of

scientific collector's permits by state fish and game depart-

ments. I made collections in Arizona, New Mexico and

Texas. All three states issue scientific collector's permits. I

obtained penults from Arizona and New Mexico. Both have

sffaightforward applications. They require a prospectus, a list

of proposed collecting localities, species desired, number of

each species to be collected, and a nominal application fee.

Additionally, a year-end report must be filed, accounting for

species collected, numbers taken, and localities collected. I

did not apply for a collecting permit in Texas. Texas requires

two letters of recommendation in addition to the above, and

the cost is $50 for three years. Because of the limited nature

of the collections I needed from Texas, however, they were

made on a fishing license.

U.S. NATIONAL FOREST SERVICE

Although a state scientific-collecting permit provides au-

thorization for the collection of wildlife on state land, it does

not provide authorization on federal lands, Indian reservations,

and national parks. Page 3 of Arizona (jame and Fish Depart-

ment form 904M18 (Rev 11/90) states, "On lands managed

by the U.S. Forest Service, Bureau of Land Management or

U.S. Fish and Wildlife Service, collecting pursuant to a scien-

tific collecting pemiit may only be lawful if the appropriate

special use permit has been issued by the land-managing

agency." Although this seems paradoxical since state game

and fish agencies have jurisdiction over the wildlife in the

stale, the U.S. Forest Service has jurisdiction over the u.se of

the lands that they manage and they can regulate the activities

A Fistful of Permits: Tlie Tale of a Scientific Collector

13

that occur on those huids. Thus, despite having permission

from tlie stale to collect and possess tJie wildlife as described in

the collecting permit, on U.S. Forest Service land (and other

federal lands), one must have special permission to conduct

the activity of collecting. To get this permission, one must

apply to the U.S. Forest Service for a special use permit, using

USDA-Forest Service form FS-2700-3 (7/92).

Because of its ecology, most extant populations of Hyla

arena olor cx'cur on U.S. Forest Service land. Completion of

the study required collecting in seven national forests. Al-

tliough the U.S. Forest Service has a Soutliwestem Regional

Office that oversees all of the nation:U forests where collections

were made, it does not issue special use permits to work in the

national forests of the entire region. F-ach national forest within

the region is a semi-autonomous unit, and special use permits

are issued pursuant to the policy of each national forest. These

policies are inconsistent between national forests, and there is

even disagreement within each national forest as to its policy.

Additionally, within each national forest, there are ranger dis-

oicts. Although some national forests issue a special use permit

for the entire forest, many defer judgment to the individual

ranger disnicts (there are 46 ranger districts in the 7 national

forests where 1 collected). Policies regarding the granting of

special use permits are often made by individual ranger dis-

tricts, resulting in inconsistent policies within national forests.

Finally, even within the national forests that do issue blanket

special use pennits for the entire forest, special use permits can

still be obtained directly through individual ranger districts.

While it would be useful to describe my experience with

the policies of each of the national forests and ranger dis-

tricts, I will not attach names to policies in this forum. To do

so would require that individuals, ranger districts, or national

forests be singled out. Instead, the following summarizes the

specUTim of procedures experience in obtaining special use

permits.

THE APPLICATION

One can apply for a special use pemiit with USDA-Forest

Service fomi FS-2700-3 (7/92). Although this application is

used for special use permits needed for biological studies, it is

not exclusive to scientific shidies. A special use permit is a

blanket permit used to authorize any activity on U.S. Forest

Service lands deemed a "special use." These activities can

range from the desmictive (e.g., building roads and erecting a

concessions stand) to the benign (e.g., getting married in a

field of wildflowers or collecting a dead butterfly). The follow-

ing are examples of the questions asked in the application:

(7) Describe in detail the land use, including; (a) type of

use, activity, or facility; (h) related structures and facili-

ties; (c) physical specifications (length, width, acres,

etc.); (d) term of years needed; (e) time of year of use or

operation; (0 duration and timing of construction; (g)

temporary work areas needed for construction; and (h)

anticipated need for future expansion.

(9) Give statement of yoiu- technical and financial capabil-

ity to construct, operate, and terminate the use for

which authorization is requested, including the protec-

tion and restoration of federal lands.

(11) Provide a statement of need for proposed use, including

the economic feasibility and items such as (a) cost of

proposal (constmclion, operation and maintenance); (b)

estimated cost of the next best alternative; and (c) ex-

pected public benefits.

( 12) Describe probable effects on the area [human] popula-

tion, including social and economic aspects, and rural

lifestyles.

Much of this information is irrelevant to the scientific

collector. It seems excessive to discuss the impact that hiking

along a stream and catching two frogs and ten tadpoles will

have on rural lifestyles. Additionally, none of this informa-

tion provides the management agency with a clear idea of

what the researcher plans to do on U.S. Forest Service lands,

or what the potential benefits the research will have to the

forest. Without this information it is impossible for the U.S.

Forest Service to utilize fully the intellectual resources being

made available to them.

All applications for special use permits were approved.

Turn-around time varied from nearly immediate to several

months. Most permits were granted under condition that the

District Biologist be contacted 48 hours prior to the start of

collecting, and most wanted a copy of the state scientific

collector's permit. Additionally, many required the submis-

sion of a year-end report stating the findings of the research.

Some requested copies of all publications resulting from

work conducted in die areas Uiey manage.

APPLICATION! .ESS PERMITS, ETC.

Although authorization to work on U.S. Forest Service

land was obtained most frequently through an application

for a special use permit, this was not always the case. Often,

special use permits were obtained simply by telephoning a

district biologist and explaining the project. Upon under-

standing the negligible physical and biological impact of

my activities, special use permits were granted without

application. In some cases, a special use permit was never

issued. Instead a letter of authorization was given to pro-

vide permission to work in the forest. I have since been

informed by an individual in one such national forest that

Uiese letters are invalid and permission to do biological

collections or research can only be granted Uirough issu-

ance of a special use permit. Thus, despite having a signed

letter from the forest supervisor (the commander-in-chief

of that national forest) authorizing my collections, they

were, apparently, legally unauthorized.

Several ranger districts would not issue special use per-

mits or letters, arguing that my impacts were so trivial as to

not justify the paper work necessary to provide a permit or a

letter of authorization. Instead, I was thanked for keeping

them informed, given an oral permission to work in the

ranger disu-ict, and courteously wished well with the study.

The final response received in applying for special use

permits highlights the primary focus of this discussion. In

response to an inquiry about obtaining a special use permit in

one national forest, the following was received: "After inter-

nal review of yoiu application, it was determined that the

requested authorization is not within Uie Forest Service's

auUiority. RaUier, Uie authority lies with Arizona Game and

Fish Department..." Not only are there inconsistencies within

14

Paul H Barber

the U.S. Forest Service, as well as inconsistencies and dis-

agreement within individual national forests, but some of-

fices are not even aware that they have the jurisdiction to

autliorize or not authorize scientific collecting and/or re-

search on the lands they manage. If those in charge of

granting authorization do not even know what their policies

are, or even lliat they have jiuisdiction to grant authorization,

how can an individual scientist expect to successfully negoti-

ate the permit maze?

DISCUSSION

1 have two piuposes in relating tliese experiences. The

first is to illustrate the process of obtaining permits so tliat

researchers may be better informed of the permits they need

and how they are obtained. To this end, a list of contacts

useful in the southwestern United States is provided at the

end of this paper to facilitate the acquisition of necessary

permits.

The second goal, however, is the more pressing — to draw

attention to the problems with the current permitting system.

Although tliese problems often make it difficult to obtain

necessary permits, and the variation in the permitting process

can result in countless hours of unnecessary work, these are

not the problems of primary concern. The main issue is the

breakdown of the symbiosis of the researcher and manage-

ment agency Excessively comphcated pemiitting procedures

rarely prevent individuals from conducting their research or

making collections. It merely prevents individuals from do-

ing it legally, or, forces the legad circumvention of the permit-

ting process. Uptin reading the advisory in the scientific

collector's permit application of the Arizona Game and lish

Department (quoted above) and realizuig that a special use

permit would be required to collect on U.S. Forest Service

land, I questioned numerous colleagues as to the procediu^es

for obtaining special use permits. Few knew what it was or

that it was necessary. Fewer still knew how to apply. Only

one had ever applied for one. While some are ignorant or

simply chose to ignore the requirement of a special use

permit, others creatively circumvent its necessity. For those

working on reptiles and amphibians, often collections can be

made legally with fishing or hunting licenses. Catching frogs

is considered fishing and can be done legally on a fishing

license in many states. Fishing, unlike scientific collecting, is

not a "special use" of U.S. Forest Service land and does not

require a special use permit. Thus, the fishing license pro-

vides authorization for the activity of 'fishing" for the frogs,

and the state scientific collector's permit provides authoriza-

tion for the capture and possession of the frogs. Incidentally,

this technique was initially suggested to mc by a wildlife

biologist at a national forest.

While circumvention such as this may allow the research

to function within legal bounds, it undermines the symbiosis

of researcher and land manager and runs counter to the goals

of science. When a researcher ignores or circumvents pennit

requirements, land-management agencies lose an incredibly

valuable resoiu'ce. Many government agencies are under-

staffed. Many cannot afford to hire specialists in various

disciplines. Researchers provide a free and willing intellec-

tual resource. As highly trained, and sometimes better funded,

scientists, we can provide information about the public lands

tliat we use Uiat the land managers could not obtain Uiem-

selves. This uiformation can be invaluable in helping shape

management policy, but it must be disseminated to the man-

agement agencies to have an impact. This happens most

easily through the permitting process.

If the above appears to be a scathing attack on the bureau-

cracy of obtaining permits, it is not the intent of this dis-

course. This is not a rebuke of the U.S. Forest Service and its

policies. On the contrary, I am deeply grateful to all of those

in the U.S. Forest Service who so diligently tried to facilitate

my studies. They have a challenging job and many share my

frustrations. While diis account focused on problems in the

U.S. Forest Service, those problems are not imique to that

agency. They are the unforttuiate focus of a dialog that could

have been about the National Parks Service, the Bureau of

Land Management, or just about any land- or resource-

management agency that grants permits to work on its lands.

Instead, this paper is a plea. It is a plea for cooperation,

cooperation between researchers and land-management agen-

cies, cooperation between management agencies. Research-

ers must not ignore or circumvent permit requirements. When

we do, we deprive land managers of information they desper-

ately need to make informed decisions, and when informed

decisions cannot be made, management of natural resources

is impossible. The land-management agencies, however, must

help the researcher to provide this information. Permitting

procedures need to be understandable, both to the researchers

and to the employees of the agencies. State and federal land

managers must put aside their "turf wars" over who has

jurisdiction over resources and work together. Certainly a

state-issued scientific-collection permit that obviously re-

quires work in federal lands could be reviewed externally by

the managers of those federal lands such that a single permit

could be issued to the researcher. An understandable, central-

ized permitting process would eliminate the confusion sur-

rounding the process. It would facilitate the flow of informa-

tion not only between researchers and management agencies

but also between management agencies. In this manner, the

symbiosis of researchers and managers will thrive, serving a

common good.

ACKNOWLEDGMENTS

« 1 thank Sally Shelton for her efforts in organizing an

excellent and timely symposium, and the San Diego Natural

History Museum for playing host. I am also indebted to the

agencies that have granted me permits and facilitated my

research. Theirs is a thankless job. It should not be.

PERMIT CONTACTS

The following is a list of agencies that I dealt with in the

course of my research. When possible, the names of contacts

have been provided. Most of the agencies listed have pages

on the World Wide Web. These, however, are not included

because of the rapid tiunover in URL's.

State Agencies

For a complete listing of all state game and fish departments

A Fistful of Permits: The Tale of a Scientific Collector

15

on the World Wide Web: http://www.tpwd.state.tx.us/adniin/

hot/stdepts.htm#A

Arizona Game and Fish Department, 2222 W. Greenway

Road, Phoeni,x, AZ 85023; (602) 942-3000

Texas Parks and Wildlife, 4200 Smith School Road, Austin,

TX 78744; (512) 389-4800

Utah State Department of Natural Resources, 1 596 W. Nortli

Temple, Salt Lake City, UT 84116; (801) 538-4700

Federal Agencies

Bureau of Land Management, Office of Public Aftairs, 1 849 C

Street, Rm. 504-LS, Washington, D.C., 20240; (202) 452-5 125

Terry Myers. Wildlife Biologist; Joe Sehar, Special Use Per-

mits, Apache-Sitgreaves National Lorest, 309 South Moim-

tain Ave., U.S. Highway 180, P.O. Box 640, Springerville,

AZ 85938; (520) 333-4301

Greg Goodwin, Wildlife Biologist; Brenda Anderson, Spe-

cial Use Permits. Coconino National Forest, 2323 E.

Greenlaw Lane, Flagstaff, AZ 86004; (520) 527-3600

Randal Smith. Wildlife Biologist; Marquita McCone, Spe-

cial Use Permits, Coronado National Forest, F'ederal Build-

ing, 300 West Congress, Tucson. AZ 8570 1 ; (520) 670-4552

Mike Leonard, Wildlife Biologist; Special Use Permits

through district offices only, I^escott National Forest, 344

South Cortex Street, Prescott. AZ; (520) 445- 1 762

Mike Ross, Wildlife Biologist; Lisa Subsasky. Special Use

Permits. Tonto National Forest 2324 H. McDowell Road.

Phoenix, AZ 85006; (602) 225-5200

Santa Fe National Forest, 1220 St. Francis Drive. P.O. Box

1689, Santa Fe, NM 87504; (505) 988-6940

Paul Bcx-her, Wildlife Biologist. Gila National Forest. 3005 E.

Caminodel Bosque SilverCity. NM 88061; (505) 388-8201

Beverly deGruyter. Wildlife Biologist; Elaine Sigler, Special

Use Permits, Cilxila National l-orest. 2113 Osuna Road NE,

Suite A, Albuquerque, NM 871 13-1001; (505)76 1-46S0

16

Export/Import Permits and Scientific Exchanges

Carol Anderson, Charles Dane, and John Ncal

United States Fish and Wildlife Sen'ice. Department of the Interior

ABSTRACT. — The Office of Management Authonly will review the CITES Certificate for Scientific Exchange, the types of documentation needed

for museum specimens, and transfer of dead specimens to museum collections. The Office of Scientific Authority (OSA) will review the ScienUfic

Authority findings required by CITES for export, import, and introduction-from-the-sea permits and the biological opinions on imports and exports,

as required by Section 7 of the U.S. Endangered Species Act. The types of information needed by the OSA for these findmgs will be discussed. Other

activities of OSA as they relate to researchers and museums will also be identified. Law Enforcement will offer a bnef overview of the Designated port

system, Designated Port Exception permits, and scientific exemptions in ."^O CH? 14 that was revised in June 1996.

RESIIMEN. — I^ Oficina de la Autondad de Mancjo (Office of Management Authority ] rcvisarS los Certificados de Intercambio Cientffico de CITES,

el tipo de documentaci6n necesana para los ejemplares de museos y para la transferencia de ejcmplares muertos a colecciones de rauseos. La Oficina

de la Autoridad Cientffica (Office of Scientific Authority ( revisard los resullados de la Autondad Cientffica requendos por CITES para los permisos de

exportaci6n. imp<jrtaci6n e introducci6n por mar y las opiniones biol6gicas acerca de las importaciones y exportaciones. tal lo requerido por la Secci6n

7 del Acta de Especiesen Peligrode los EI-. UU. (U.S. Endangered Species Act[.Sediscutirin lostiposde informaci6n para esos resultados necesanos

para la OSA [Oficina de Autoridad Cienlificaj. Se identificarSn otras actividades de la OSA. concemientes a mvestigadores y museos. La Division de

Ejecuci6n Legal (Law Enlorcementj olrecerS una breve visi6n general del sistema de Puerto Designado. de los permisos para Excepci6n de f^ierto

Designado, y para exepciones cientlticas en 50 CFR 14 que fuera reMsado en junto de 1996.

Figure 1 depicts the relationships among the Office of

Scicniinc Authority, Office of Management Authority, and

tJie Division of I.aw finforeement. Recognize also tliat the

law enforcement agents in the field and wildlife inspectors

at the designated ports are supervised through tlie Regional

Offices, and refer to Figure 2 for a map of Uie Service's

U.S. Fish and Wildlife Service

Staff Offices

Human Resources

Training and Education

Public .Affairs

Legislative Sen'ices

Federal Aid

Director

Deputy Directors

Shaded areas indicate offices involved with the implementation of CITES

X

Assistant Director,

Refuaes and Wildlife

X

Assistant Director,

Policy, Budget, and

Administration

Regional Director - Region i (Portland, OR)

Regional Director - Region 2 (Albuquerque, NM)

Regional Director - Region 3 (Twin Cities, MN)

Regional Director - Region 4 (.Atlanta, GA)

Regional Director - Region 5 (Hadley, MA)

Regional Director - Region 6 (Denver, CO)

Regional Director - Region 7 (Anchorage, AK)

X

Law Enforcement Agents

Wildlife Inspectors

Assistant Director,

Ecoloaical Ser\ices

Other divisions/offices

Mr Marshall Jones

Assistant Director,

International Affairs

Division of Law

Enforcement.

Mr. Tom Striegler, Chief

Office of Management Authority

Mr. Kenneth Stansell, Chief

Forensic Laboratory

Dr. Ken Goddard

Assistant Director,

Fisheries

Office of Scientific Authority

Dr Charies Dane, Chief

Office of Intemational Affairs

Dr. Herb Raffaele, Chief

I'igure I. Organi/^lion of the U.S. I'lsh and Wildlife Serivce: otTices with Cm-^S responsibilities are highlighted.

Exporl/lnipiirl Permits and Scientific Exchanges

17

IINIITII ^iTAIt;^ nsll AND WIl.lll.lFt; .SIvliVICK

i;i:gi()NM. office uoiindakifs

4

f-ieure 2 II, S. Fish and Wildhfe Service Regions.

regions. One recent change is that tlie Forensics Lalxiratory

now is supervised hy the Division of I.aw linl'orcement.

Hie Onice of Scientific AutJiority is responsible tor imple-

menting biological aspects of the Convention on Interna-

tional Trade in l-;ndangered Species of Wild l-auna ;uid Mora

(CrriiS), captive-breeding and reseaah-pemiit applications

under the Wild Bird Conservation Act ( WRCA), listing and

delisting actions under CITF.S ;uid llie U.S. lindimgcred

Species Act (i:SA), and review of museum requests for

scientific exchange certificates. Its major activities ;u-e

Convention on International Trade in Endangered Species

SA advices on export and import pcmiits

I isting/delisiing of species

Bred in captivity :uid artificial propagation

Technical assistance to other Service otTiccs

Piulicipation at international level

Wild Bird Conservation Act

Review of pcmiits for research, zix^logical breeding, and

C(X)perative breeding programs

Approval of foreign captive-breeding facilities

Approval of management plans in oilier countries

Captive-bred species

Endangered Species Act

Biological opinions on expert and import permits

Listing/delisting of foreign species

African Elephant Conservation Act

Advice on rese;u-ch-grant proposals

Review of management plans in other countries if ivory

trade reopened

Other

I'echnical assistance to FAVS regions when expertise re-

quested

Participation in activities assixriated with bilateral agree-

ments with Mexico, Russia, and llie People's Republic of

China

Advice on species listings under SPAW

Technical review of BS A p<ilicies and plans

In addition, the OlTice of Scientific Authority's CITES

resptmsibiliues are as follows:

(1) To advise whether an expon or intrixluction from the

sea of Appendix 1 and II specimens will be detrimental

to the survival of the species;

Carol Anderson, Charles Dane, and John Neal

U.S. Forest Service

U.S. Department of Agriculture

(Animal and Plant Health

inspection Service - APHIS)

X

y^

Smithsonian Institution

and other natural

histoPN museums

Office ot~

Scientific Authority

^

U.S. Geological Survey

(Biological

Resources Division)

V

Other U.S. Fish and

Wildlife Service Offices

(Office of Management

Authority, Regional Offices.

Law Enforcement, etc.)

Universities and

Non-government

Organizations

U.S. Department of

Commerce

(National Marine

Fisheries Service)

State Natural

Resource Management

Departments

I'igure .^. Sources of inlormalion lor Office of Scienlilic Aulhonly actions.

(2) To advise whether (he imporlation of Appendix I

spocimcn(s) will he lor purposes detrimental to the

survival of the sjiccies;

(.^) To delcmiine whether a proposed recipient of a living

Appendix I specimen to be imported is suitably

equipped to house and care for the specimen(s);

(4) To advise whellicr or not scientific institutions seeking

registration pursuant to Article VII, piu'agraph 6 meet

the criteria established in resolution Conf. 2. 14;

(3) To advise whellicr a facility breeding Appendix I speci-

mens for commercial purposes meets the Article VII,

pivagraph 4 bred-in-captivity criteria (as further de-

scribed in resolutions Conf. 2.12 and X. 1 .S) or artificially

propagated criteria (as further described in resolutions

Conf. 2.l2,y.l«,;ind9.19);

(6) To advise wheilier a species qualifies as bred in captiv-

ity or whether specimens quidify as artificially propa-

gated in accordance with Article VII, p;u^graph ."> and as

further described in resolutions Conf. 2.12 and 9.18;

(7) To gatlier atid analyze information on the biological sta-

tus ;ind trade levels for species in uade, and to prepare or

ccxirdinate tJie prep;iration of projxisals neeess;uy to

;imend the appendices;

(8) To review proposals to amend the appendices submitted

by oLlier parties, and to co«irdinate the development of

the U.S. i>osition on these proposals;

(9) To update the Cl'R list of ClTF^S-protected species,

provide guid;uice as to the correct nomenclature, pro-

vide interpretation as to the entity protected by specific

listings, and identify nomendalural issues to be re-

viewed by tlie Nomenclature Coiiunittee and/or parties;

(10) Fo participate in work of the CITIiS Committees, in-

cluding Animals, Pkuits, and Nomenclature, and to co-

ordinate the development of the U.S. position on mat-

ters being addressed by these committees;

(11) To participate in training activities for CITFS authori-

ties in other countries, provide technical assistance to

CITFS Secretariat when requested, and cixirdinate the

Export/Import Permits and Scientific Exchanges

19

CITES Advices

No detriment Export Advice

► High Volume - Review of Stale management programs

Initially - adm. decision document

Followed by - publication in Federal Register

► Low volume, low risk situations

Standing advice in memo form

► Individual reviews

Low risk - check list

Moderate risk - E mail

Moderate - high risk - Careful analysis in memo form

For purposes not detrimental Import Advice

► Advice based on published policy on specific species

► Advice based on Doc 3.27 (often w/ conditions)

► Advice on trophy specimens

Special Provisions

► Recommendation on art. prop.

► Recommendation on b-i-c (Art. VII, para 5)

► Recommendation on b-i-c (Art. VII, para 4)

Inspections - depends on facility (accredited zoo vs individual)

and species (panda vs parrot)

Figure 4. Types and forms of advices issued by the Office of Scientific

Authority.

preparation of identification sheets for listed species

proposed by the U.S.;

(12) To exchange information with the many and diverse

constituent groups and individual citizens to address

their concerns and to improve the implementation of

CITES.

The office comprises seven biologists and a secretary, so

we depend on information from many individuals and orga-

nizations (I'ig. 3). We may seek out special expertise on the

biology of a species and on the situation in a particular

foreign coimtry. We issue several types of advice and rec-

ommendations dealing with applications for export, import,

and introduction from the sea (Fig. 4). In developing these

reconmiendations, we try to assess the risk of the planned

activity to wild population. No- or low-risk situations we

deal with by preparing a general reconmtendation allowing

that and other similar activities without further review.

Obviously, our assessment as to whether an activity will be

detrimental to the survival of the species depends, among

other things, on the status of the species, its reproductive

characteristics, the total take (not just the number collected

for this specific trade), how the samples will be collected,

and the quality of the management program. 'ITie harvest

and export of large numbers of U.S. native specimens under

stale management programs are addressed tlirough the Fed-

eriU Register notice review procedure, whereas the import

of a few specimens as might be acquired by a /oo or a

museum involves a finding in memorandum form or an

approval of the institution under the scientific exchange

registration provisions of CIFRS.

The Office of Management Authority is responsible for

issuing CITES permits, certain Marine Mammal Permits,

and ESA export/import permits. Take permits for endan-

gered species and migratory birds are issued by the Service's

regional offices. In addition, our office has several fact

sheets on different permitting issues; for copies of our fact

sheet on ImportAixport of Museum Specimens, see Appen-

dix 2. In addition, our permit application form for becoming

a registered scientific exchange institution lists the infor-

mation needed by our office and the Office of Scientific

Authority and is based on CITES resolution Conf. 2.14

(Appendix 3).

The U.S. Fish and Wildlife Service has recently issued

new regulations that include different procedures for Uie

importation/exportation of certain scientific specimens. For

the new Code of Federal Regulations, see Appendix 4.

20

CITES and Museums

James Perran Ross

Florida Museum of Natural History

ABSTRACT. — The Convention on IntemaUonal Trade in ELndangered Species of Wild Fauna and Flora (CITES) is an international agreement among

some 134 countries thai controls the international commerce (imports and exports) of endangered plants and animals. Implementation of CHHS is

administered by national agencies in each signatory country. The U.S. Fish and Wildlife Senice administers CITES in the Umted Slates of America

(USA). The Convention lists species in three appendices and imposes different degrees of regulation and permit requirements for imports and exports.

Species Usted in Appendix I are prohibited in commercial trade, and permits from both exporting and importing countries are required for scientific and

educational purposes. Species listed in Appendix II may be traded commercially and require an export permit from the country of origin. In the USA,

however, stncler domestic legislaUon like the Fjidangered Species Act may require additional permits.

A special exempUon for CITES permitting requirements is provided for Ihe transfer of scientific specimens between institutions that have been

registered for this purpose by their national management authority. This exemption applies only to museum specimens exchanged between registered

institutions and requires a defined labeling pnxredure. Any other exchanges of CITES listed specimens, for example, the collection and importation of

new specimens, or importation from non-registered institutions, requires the full permitting procedure.

RESUMIiN. — La Convenci6n sobre el Trilico Intemacional de Especies en Peligro de la Flora y la Fauna Silvestres (CITES) es un acuerdo

intemacional entre casi 134 pafses para controlar el comercio intemacional (exportaci6n y importaci6n) de plantas y animals en peligro. La

iraplementaci6n de CITES esul a cargo de agencias nacionales in cada pafs signalono. El Servicio de Pesca y Fauna Silvestre del EE.UU. [U.S. Fish

and Wildlife Service] administra CITES en los Estados Unidos de America (EE.UU). La Convenci6n enumera especies en tres ap^ndices e impone

diferentes grados de regulaci6n y requenmientos para la emisi6n de permisos de exportaci6n e imponaci6n. Las especies Ustadas en el Ap^ndice I

tienen su trMico comercial prohibido y permisos de los dos pafses. importador y exportador, son necesanos para propi'isitos cientlficos y educacionales.

Las especies hsiadas en el Ap^ndice II piieden ser comerciahzadas pero necesilan el permiso de exportaci6n del pafs de origen. Sin embargo, en los

EE.UU., Iegislaci6n dom^stica mis exuicia como la Ley de Especies en Peligro requiere permisos adicionales. Una excepci6n especial para los

permisos requendos de CITES es permitida para la transferencia de ejemplares cientlficos entre instituciones que estin registradas para ese prop6sito

por la aulundad de manejo nacional. Esta exception se aphca solamenlc a ejemplares de muscos de intercambio entre mstituciones registradas y

necesila un procedimienio definido de etiquetado. Cualquier otro intercambio de ejemplares listados en CITES, por ejemplo, la colecci^n e

importaci6n de nuevas ejemplares o la importaci6n a partir de instituciones no regisU^das, requiere del procedimiento de permisos complete.

The Convention on Inlemational Trade in Endangered

Species of Wild Fauna and Flora (CITES) origiiialed at a

conference in Washington, D.C, in 1973 and came into

effect in July 1975. It cumentJy counts 1 34 parties or member

states. The treaty is administered by a secretariat and func-

tions through the activities of designated management au-

thorities and scientific authorities in each member state, llie

treaty regulates international conuiierciaJ trade of wildlife

(plants and animals) and their parts, products, and deriva-

tives. The treaty identifies species that occvs in international

commerce and establishes three appendices listing organ-

isms and imposing different levels of regulation of trade on

them. The treaty provides a framework to coordinate the

issuance of permits by national management authorities and

also monitors trade voliunes. The Secretariat of CITES is

quite small, with a staff of about 25 based in Geneva, Swit-

zerland.

The treaty is defmed by its original text; it is periodically

refined, and implementing regulations (called "resolutions")

are developed at biannual conferences of the parties. The text

of the treaty and the more recent resolutions are available on

the World Wide Web at http://www.imep.ch/cites.html. In

addition to the treaty text and the appendices, the body of

non-binding resolutions adopted by the parties at their bien-

nial conferences increasingly constitutes the substance of the

treaty, establishing nimierous rules and interpretations for

regulating wildlife trade.

The Convention is implemented by the national laws of

each member state and the national management authorities

and scientific authorities established in each. In the USA, the

management authority and scientific authority are both the

U.S. Fish and Wildlife Service (FWS).

CTTES provides the framework for a system of interlock-

ing permits for the exptirl and import of specimens that afllrms

the legal origin of the materials, and monitors the volume and

patterns of ffade. CITF^ does not seek to eliminate or even

reduce trade in wildlife but does attempt to regulate trade to

ensure that it is conducted in maimer that does not endanger

species, llie eftectiveness of the Convention is entirely depen-

dent upon the effectiveness of the national management and

scientific authorities; CITES lacks the ability to enforce or

coerce its members, relying instead on persuasion and consen-

sus governance to encourage international cooperation.

The CITES appendices list several hundred species of

plants and animals and impose regulations restricting their

international trade. Species listed in Appendix 1 are consid-

ered to be threatened with extinction and are or may be

threatened by trade. Commercial trade in Appendix 1 species

is prohibited. International ffansport (import and export) for

scientific and educational purposes requires special permit-

ting from both the exporting and importing counUy.

Species listed in Appendix II may become threatened

with extinction unless trade is subject to regulation. Appen-

dix II also includes species that are not easily distinguished

from threatened species. Appendix II species can be traded

internationally with a permit from the country of origin based

on a scientific finding that the trade is not detrimental to the

species.

Appendix 111 is a little-used mechanism that allows indi-

vidual countries to impose unilateral permitting and monitor-

ing requirements. The treaty also allows the parties to estab-

lish more stringent national legislation for wildlife-trade con-

trol that may create conu-adictions between national and

international requirements. There are numerous species in

CITES and Mubcums

21

Appendix II that may be traded (with an export permit) under

CITI-S but are prohibited from import by the U.S. F-ndan-

gered Species Act. Marine Mammal ftotection Act, Migra-

tory Bird Treaty, and otlier domestic legislation.

CUBS affects natural history museums because most

countries use CITES as a basis for national regulation of

wildlife imports and exports. Altliough the Convention ap-

plies to international commercial trade, the definition of

conuTiercial trade is sufficiently loose that scientific materi-

als ;uid museiun specimens generally fall under ClTIiS con-

trol; this is particularly true in the USA. In its simplest form,

any museum specimen that is of a species listed in the

Appendices requires the appropriate permits for export from

its country of origin and import. The treaty applies to whole

organisms, wheQier alive or dead, and to parts and deriva-

tives; Uius, samples, anthropological material, cultural mate-

rial, archeological specimens, and artistic objects may fall

under CITES requirements if they include, for example,

tissues, blood, shells, feathers, bones, furs, or scales of a

listed species.

Permit considerations fall into two broad areas, exchange

or ffansfer of exisung accessioned specimens, and acquisition

of new specimens. The convention provides a simple exemp-

uon for the exchange of accessioned specimens between insti-

tutions that have been approved and registered by their na-

tional management authority, requiring only some straightfor-

ward labeling and reporting. The exemption is based in the

original text of the ttealy. Article VII, Paragraph 6:

"The provisions of Articles III, IV and V (permits etc.)

shall not apply to the non-conmiercial loan, donation or

exchange between scientists or scientific institutions regis-

tered by a Management Authority of their State, of herbarium

specimens, other preserved, dried or embedded museum

specimens and live plant material which carry a label issued

or approved by a Management Authority."

The three vital components of this ruling are that the

exchange is (1) of museum specimens between (2) registered

institutions and (3) an approved label is applied. This article

was further ttfmed by Resolution Conference 2.14, which

provides a process for management authorities to register their

institutions. A list of registered institutions is available in

CITES notifications numbers 924 and 939 [available at ftp://

ftp.wcmc.org.uk/services/species/trade/cites (CITES notifica-

tions 924, 939)]. The FWS has approved all U.S. Postal Ser-

vice customs declaration and parcel post dispatch notes as

approved labels. The following information should appear on

the label:

The words, " Museum/Herbarium Specimens."

Name, address, and CITES registration number of the

sending institution.

Name, address, and CITES registration number of the

receiving institution.

The scientific name(s) to highest level possible of the

contents.

The number of specimens of each.

The FWS registers institutions by issuing them witli a

"scientific exchange certificate" and also requires that mu-

seum materials follow their standard inspection and clear-

ance procedures upon import or export, which are described

elsewhere in this Proceedings. International museum loans

are not exempt from this prwess. Botli the outgoing loan

(export) and incoming loan return (import) should follow the

procedure. A guide to this process, "What you need to know

about Importing and Exporting Scientific and Museum Speci-

mens," is available from the Office of Management Author-

ity, 4401 N. Fairfax Drive, Room 430, Arlington VA 22203

(see Anderson et al., this volume).

New specimens of appendix-listed species require full

CITES documentation, which involves application to the

authority of the country of origin for an export permit and

(for Appendix I material) a cortesponding import pennil.

Regrettably, a few institutions have been found deliberately

circumventing CITI-.S import requirements, for example, il-

legally importing sportsmen's safari trophies as "museum

specimens," so that full permit applications are required even

for bona fide museums. Successful permit application can be

greatly facilitated and accelerated by carefully adhering to

the application requirements and opening direct communica-

tion with the permit office of the FWS, the regional offices,

and the FWS inspector services at the designated ports of

entry for wildlife.

REFERENCES

Anonymous. Undated. What you need to know about importing

and exporting scientific and museum specimens. Office of

Management Authority. 4401 N. Fairfax Drive. Room430.

Arlington. VA 22203. 3 pp.

Anonymous I. Undated. Fish and Wildlife Facts. The Conven-

tion on International Trade in Endangered Species of Wild

Fauna and Flora. Office of Management Authority. 4401 N.

Fairfax Drive. Room 430. Adington, VA 22203. 5 pp.

Brautigam. A. 1994. CITES: A Conservation Tool. lUCN Spe-

cies Survival Commission, Gland. Switzerland. 122 pp.

Bums. C. W. 1990. CITES and the regulation of international

U-ade in endangered species of flora: A critical appraisal.

Dick. J. International Law 8: 203.

Garrison. J. L. 1994. The Convention on International Trade in

Endangered Species of wild fauna and flora: A conserva-

tion or trade U-eaty? Pace Law Review 1994.

KoslofL L. H.. and M. C. Trexler. 1987. The Convention on

International Trade in Endangered Species: Enforcement

theory and practice in the United States. B. U. International

Law Journal 327:336.

Wijnstekers. W.. 1992. The Evolution of CITES. CITES Secre-

tariat. Lausanne. Switzerland.

22

Collecting Permits in Mexico and the National Zoological Collections

Fernando A. Cervantes

Insiiiiiio cle Biologia, UniversidadNacionalAutonoma de Mexico

ABSTRACT. — The goal of this talk is to convey the infomiation that(l) a collecting permit issued by the Mexican government requires that a small

fraction of the total number of zoological specimens collected during the field work be given back to the govemment, and (2) this fracUon is deposited

m the National Zoological Collecaons of the Instituto de Biologia, at the Universidad Nacional Aut(5noraa de Mexico. These collections are among the

oldest, largest and most important of the country. The specimens denved from collecting jwrmits become part of the Collections, and are catalogued,

curaled and made available for study to any interested scientist. In addition, staff at the Collections and the Mexican govemment promote and assist

scientists in the procedures for loans and exchange of specimens at domestic and international levels. They ensure the museum specimens remain

available for research and education.

RESUMEN. — El pro[x5sito de esta presentaci6n es informar que ( I ) 'os permisos de colector expedidos por el gobiemo de Mexico requieren que una

pequena fraccidn del nuraero total de ejemplares colectados durante trabajos de campo sean devueltos al gobiemo, y (2) que tal fracci6n debe ser

depositada en las Colecciones Zool6gicas Nacionales del InsUtulo de Biologia de la Universidad Nacional AutiSnoma de Mexico. Estas colecciones se

cuentan entre las mas antiguas, grandes y mas importantes del pals. Los ejemplares denvados de los permisos de colector se convierten en parte de esas

colecciones, son catalogados, ordenados y puestos a disposici6n de cualquier cientlCco interesado para su estudio. Ademis, las Colecciones Zool6gicas

Nacionales y el gobiemo mexicano onenlan y auxilian a los cienlfficos en los procedimientos para pr^stamos e intercambio de ejemplares a nivel

nacional e mtemacional. Las autondades mexicanas y las uruversitanas trabajan para que los ejemplares de museo perraanezcan disponibles para

mvestigaci6n y educaci6n.

INTRODUCTION

The National Zoological Collections (NZC) of the Na-

tional University of Mexico play an important role in pre-

serving museum specimens obtained from collecting permits

issued by tlie Mexican govemment. This role, however, is

little known and understood. Should more scientists become

aware of this fact, the likelihixxl increases that more and

better museum specimens will be deposited in the NZC.

Therefore, the aim of this communication is to report on and

describe the relationships between the collecting permits

issued by the Mexican govemment and the NZC.

THE NATIONAL ZOOLOGICAL COLLHC TIONS

The NZC are housed in the Instituto de Biologia,

Universidad Nacional Autonoma de Mexico (UNAM), in

Mexico City, Mexico. Their holdings include representatives

of invertebrates and vertebrates. Tliese collections are the

oldest, largest and most important scientific holdings of fauna

in Mexico (Lot H. 1 995). The main objectives of the NZC are

to carry out ( 1) the inventory of the Mexican fauna, and (2)

research on the systematics, evolution, biogeography, and

conservation of selected taxonomic groups of Mexican fauna.

The NZC maintain high standards of curation

(Cervantes 1993). Most curators and staff of the NZC are

active faculty at the Ph.D. level. They conduct research in

the field and in the laboratory, and the majority serve on

tutorial committees of graduate students. With respect to

the collection holdings, once the conventional procedtnes

of curation are finished, the infomiation concerning most

catalogued specimens is stored in database files. Daily

curatorial activities involve loans and exchanges of speci-

mens at domestic and international levels, showing the

extent of the use of these collections. In addition, informa-

tion requests concerning the holdings are conmionly re-

ceived and answered by electronic mail. More informa-

tion on the NZC is available at the home page of Instituto

de Biologia, UNAM (http://www. ibiologia.unam.mx).

THE NATIONAL ZOOLOGICAL COLLECTIONS

AND SEMARNAP

There are close ties between the NZC and the environ-

mental branch of the Mexican govemment, Secretaria de

Medio Ambiente, Recursos Naturales y Pesca

(SEMARNAP). On one hand, the faculty and staff of the

NZC are advisers of SEMARNAP in matters of environ-

mental policy. On tlie other hand, the Mexican govemment

has determined that the NZC are the official depositories of

the govenunent for museum specimens of the Mexican

fauna. This is why one of the regulations for collecting

permits is the deposition of a small fraction of the collected

material in a National Zoological Collection. Furthermore,

another related regulation states that the curator of the

relevant collection must issue a formal statement addressed

to SEMARNAP certifying that the collecting -permit user

deposited museiun specimens in the National Zoological

Collection. The specimens derived from collecting permits,

consequently, become part of the National Zoological Col-

lections, which means as well that the specimens are federal

property.

The ciu^ators and staff make sure that museum specimens

derived from collecting permits and deposited in the NZC are

available for examination and study to any interested scien-

tist upon request. Permit users may be sure they will have

access to the holdings and the associated information at any

time. In addition, specimens are kept under the same condi-

tions of safety and care as for any other specimen in the NZC.

Similarly, loans and exchanges of specimens commonly in-

clude specimens received from permit users. In summary, the

NZC guarantee the preservation of their holdings and make

them available for scientific purposes.

The consequences of these procedures regarding museum

specimens derived from permits are of mutual benefit to the

scientists, the Mexican government, and the NZC. These

conditions have applied for both domestic and foreign collec-

tors and have proved to be practical to implement.

Collecting Permits in Mexico and the National Zoological Collections

23

IN THE PAST

However, such a mutually beneficial arrangement has not

always worked out the same way. In the past, some con-

straints limited the collaboration between Uie Mexican gov-

ernment ;ind the NZC. At times, the office work at the

Mexican government was slow, or the NZC did not have staff

or facilities adequate for curatorial procedures. In addition,

scientists did not apply for permits. They either did not have

information available to apply for collecting permits, or they

just did not want to apply. F;ven if a scientist collected under

a permit, the collectors did not deposit specimens in Mexican

collections. Sometimes if a collector did comply with the

regulations, the specimens deposited were of poor scientific

value. Of course, type material was not turned into the NZC.

On the other hand, it was conuiion to learn tliat specimens

returned to tlie Mexican government became lost or damaged

in federal buildings. In other instances, specimens were just

sent back directly to a government olTice, and no contact was

made with curators and staff of the respective National Zoo-

logical Collection.

AT PRESENT

Fortunately, at present, the joint efforts between the NZC

and the Mexican government have improved the preserva-

tion of specimens and access to them. Tlie Mexican govern-

ment has improved its paper system and promoted new and

better regulations. Hie staff of tlie National Zoological Col-

lections curate tlie specimens well and ensure tlieir preserva-

tion (Cervantes 1993). ITie staff and facilities of tlie NZC

facilitate access to museum specimens and the information

associated witli tlieni.

Numerous type specimens are now part of the holdings of

the NCZ. The NZC report to the Mexican government when

a permit user complies with the regulations has pnxluced a

good feedback system to benefit the collector, the NZC, ;uid

the Mexican fauna. Prixluctive discussions and exchanges of

ideas t;ike place between penmil users and faculty and staff of

the NZC. One good consequence is that collections staff ;uid

pemiit users can freely make arrangements directly for tlie

pnxedures to deposit specimens. Similar conditions apply

for procedures involving loans and exchanges of specimens.

The quality and quantity of the holdings of the NZC and

those of imporuuit scientific collections in the United Slates

and Iturope have increased due to the transportation and

mutually beneficial exchanges of specimens.

CONCLUSIONS

The National Zoological Collections communicate suc-

cessfully with the Mexican government regarding collecting

permits of fauna.

The National Zoological Collections guarantee tlie pres-

ervation of the specimens derived from collecting permits,

including type material.

Museum specimens are available to any interested scien-

tist upon request.

The National Zcxilogieal Collections may be reached by

both electronic mail and a home page on the Internet.

LITERATURE CITED

Brailovsky. H.. and B. Gomez V. (eds.). 1993. Colecciones

Zoologicas. Colecciones Biologicas Nacionales del

Instituto de Biologia. Universidad Nacional Autonoma de

Mexico. Mexico. D. F. 196 pp.

Cervantes. F. A. 1993. La Coleccion Mastoztxilogica del

InstiUitode Biologia. Pp. 169- 196 in H Brailovsky and B.

Gomez V. (eds.). Colecciones Zoologicas. Colecciones

Biologicas Nacionales del Instituto de Biologia.

Universidad Nacional Autonoma de Mexico. Mexico. D. F.

196 pp.

Cervantes. F. A. 199.S. 1^ investigacion ztxilogica en el Instituto

de Biologia. UNAM. Ciencia lirgo Sum 2:2.^9-262.

Cervantes. F. A. 1995. Permisos de investigacion y de colector

cientifico de flora y fauna silvestres. Ciencia 46: 1-6.

Lot H.. A. 1995. Las colecciones biologicas n.acionales de

Mexico: Colecciones del Institutode Biologia. UNAM. 1^.

3-15 in F. Palacios. C. Martinez, and B. Thomas (eds.).

International Synip*isium and First World Congress on Pres-

ervation and Conservation of Natural History Collections.

M,adnd. Spain, vol. 2. Direccion General de Bellas Artes y

Archivos. Ministeriode Cullura. Madrid. 426 pp.

24

Permits for Non-commercial and Scientific Research Collecting:

The Case of Mexico

Jorge Soberon and Eleazar Loa

Comisk'm Naciomd para el Conocimiento y Uso de la Biocliversidad (CONABIO)

Jose Mana Reyes Gomez

Insliluto Nacional de Ecologia (INE)

Pilar Rodnguez

Comisitin Nacional para el Conocimiento y Uso de la Biodiversidad { CONABIO]

ABSTRACT. — The legal situation of scientific collecting permits in Mexico pnor to the Law of Fxology of 1988 was charactenzed by a state of almost

free access to live specimens in Mexico. After the Law of Fxology of 1988 was passed, some low-level regulaUons for collecting were established, but

without real enlorcemeni capacity. Moreover, the mechaiusm for obtaining permits was complex and poorly defined, and it included the participation

of many governmental agencies. The current Law of Ixology of 1996 provides a framework for the new policy for collection permits, one which

disUnguishes between scienufic collecUng and commercial collecting; a simplified procedure is being discussed. The new proposal consists of three

kinds of permits: the Permit for ScienUfic Collector [Permiso o Cartilla de Colector Cienttfico|. with automaUc annual renewal after delivery of the

report, but limited toMexican collectors; the Temporary Collection Permit |el Permiso Temporal de Colecla), appbed for the collection of species under

specific regulations; and a Permit for Foreign Scientific Collector (el Permiso de Colector Cientffico Extranjero). The philosophy of the new policy is

based on trust and on the view that humifide scienuiic collecting is beneficial to Mexico.

RF,SUMI-:N — La sitiiacirtn legal de los pemiisos de colecla cienlifica en Mt^xico previa a la Ixy de Exologfa de 1988 estaba caraclerizada por tin estado

de bbre acceso a cast cualquier especimen vivo en Mexico. Despu^s de que se implemenl6 la Ley. se establecii) cierto control y regulaci6n de la actividad

de colecta, aunque sin una capacidad real de ejecuciAn. AdemSs. el mecanismo para obtener permisos era complejo y pobremente definido, y que inclufa

la paiticipacion de numerosas agencias gubemamenlales. La actual Ley de Fxologla ( 1 996) provee una eslructura para la normaUvidad sobre permisos de

colecla ijiie disUngue enire colecla cienttfica y comercial; considera lambii?n prixedimienlos mis simples. I a nueva propuesta consisle de tres lipos de

permisos: Permiso o Cartilla de Colector Cienllfico (Permit for Scientific Collector), con renovaci6n anual automitica una vez que se entrcgua un informe

anual. Estc permiso es exclusivo para colectores mexicanos; el Permiso Temporal de Colecta (Temporary Collection Permit), que se aplica para la colecta

de especies bajo alguna regulaci6n especffica; y el Pernuso de Colector Cientffico Extranjero (Perirut for Foreign Scientific Collector ). La filosofia de la

nueva norma esl.1 basaiia en la conlian/a y en la visi6n de que la colecla cienttfica "bona fide" es ben^fica para M(Jxico.

INTRODUCTION lead to a detailed taxonomic description of some taxonomic

groups, such as the mammals and birds, which are the best

Mexico is one of Uic 1 1 countries classified as having ij,own taxa of the country ( Arita and Leon-Paniagua 1993;

biological megadiversity. Il is the country richest in reptiles Ramire/-l\iIido and Castro-Campillo 1993; Navarro and

(119! of the world's diversity), second in mammals (1 1%), Beni'te/ 1993). l.itrge herbaria with active taxonomists also

;uid fourth in amphibians ( 1 1 %) and phints ( \0%). A number j-xist in Mexico, and the number of institutional collections is

of invertebrate groups are also very well represented in niorethan 1 70 (www.conabio.gob.mx/textos/conabio.html).

Mexico (Llorente et al. 1996). Mexict) is characterized by a k,\\\\ ;, majority of Mexican specimens have been col-

high level of endemism in plants and luiimals; for example, i(.j.,ed by foreigners and are held in museums outside the

62% of the itmphibians and 52*^ of the plants of Mexico country. Most professional taxonomists in Mexico are satis-

(xcuronlyinitsten-ilory(Mittermeier;indMiliemieier 1992; |-,cj with the level of cooperation and good will prevalent

R;imani(Xirthyetal. 1993). llie overall pattern of distribution among foreign scientists and institutions, although excep-

of species in Mexico is very irreguhu", leading to a high beta ,ions doiK'cur Because the information generated by taxono-

diversity in many groups (Sarukh^ el al. 1996). ^\^y^^ nation:il and foreign alike, is of paramount importance

Hie importance of biodiversity to Mexicoaffccts various (or any country, cixiperalion should be guaranteed (Soberon

segments of the population. I'or example, the rural ptipula- ^.j al. 1 996). However, destructive commercial collecting has

tion ( 30% of Mexican population) depends upon nuuiy wild also been widely practiced in Mexico. Sometimes disguised

species mid on tlie prwesses of ecosystems Uiat contain as scientific, this activity h;is included tlie wholesale collec-

them. These species are used directly as Itxxi and indirectly ,}(,„ ,^f entire populations ;uid, sometimes, of hundreds of

as products for medicines, textiles, etc. Biodiversity is an u,ousands of specimens ( Tridfic 1992a, b; Naiurale/.a y

integral part of the present culture, as well as an invaluable jrafico 1996). Two clear examples of Uiis situation ;u-e tlie

natural heritage for future generations. Actual ;ind potential collecting of reptiles and binls for the pet market in the

uses of biodiversity include medicinal and biological con- United Suites and the illegal expt^ation of Cactacea for the

trols and construction and omiimental resources, critical for markets of liurope and Japan (Rose 1991 ; Trainc 1996). ITiis

biotechnological industries and global markets. situation has been allowed, in part, because of the unclear

Scientific collecting has contributed significantly to the i^gal regulation that has characterized scientific and com-

prcsent knowledge of the biixli versity of Mexico. The expio- niercial collecting in Mexico. In this presentation, we review

ration of the territory since the beginning of Uiis century has ,1,^ past and present legal aspects of the situation.

Peniiits for Non-commercial and Scicntiric Research Collecting: The Case of Mexico

25

THRRE PERIODS OF COLLECTING IN MEXICO

Scientific collecting in Mexico can be divided in three

periods: (1) before Uie Law of Ecology of 1988, (2) from

1988 to the present, and (3) die near future. The legal situa-

tion before die Law of Ikology of 1988 (LGEE, 1988) was

unclear, alUiough the basic approach appe;ired to be, "Scien-

tific collecting is irrelev;uit. Who cares about a few bugs or

weeds?" In this context, the legal situation was characterized

by a slate of almost free access to specimens. Nearly anyone

could collect in the country, widi very slight conuol, if any.

ITierc aie famous anecdotes of municipal officers granting

permits for collecting cacti by the tnickload. Butlerfiy col-

lecting was done wholesale, regardless of tlie final destina-

tion, nuisemns or markets. Nevertheless, some legal proce-

dures were established m diis period. The "Ley Federal de

Caza" (Game Law), which was intended to guarantee tJie

conservation, restoration, and development of tiie game

fauna, the legally defined as well as the potential game fauna;

this law also regulated hunting. ITie Ley de Pesca (Fishery

Law) established policy for the conservation, preservation,

and rational use of natural fishery resources, and the basis for

its administration. In addiUon, some phytosiuiitary and vet-

erinary regulations were established.

Tliese general regulations were not implemented togetlier

with technical or institutional support, resulting consequently

in a situation of nearly free access to specimens. As this is the

period when most of tlie large collecting expeditions by

foreign institutions came to Mexico, there is a significant

percentage of total Mexican specimens obtained during Uiat

time. However, because of Uie legal vacuum prevalent at tlie

time, the current non-written policy of Mexican authorities is

one of not claiming rights over specimens collected during

that period.

After the Law of Fxology of 1988, tliis situation changed.

Some low-level legal regulations (internal memoranda) for

collecting pennits were established. IXiring diis periixl, many

scientists (national and foreign) perceived that die position

taken by many authorities could be described by the phrase,

"At best, scientific collecting is threatening to wildlife. At

worst, it is just commercial collecting in disguise. Scientists,

and especially foreign scientists, should be closely con-

trolled." Over a period of five years, administrative prtKC-

dures that made the obtaining of permits dilLicult ;uid compli-

cated, even for Mexican scientists, were created and imple-

mented. Despite die fact that many Mexican scientists and

dieir foreign counterparts have regarded die administrative

procedures as bureaucratic and ineffectual, diose are the

legal procedures valid in Mexico, llierefore, die current

pohcy of die Mexican authorities is that any specimens taken

out of the country widiout a permit since 1988 may be subject

to claims by die appropriate legal authorities. However, no

such claims will be made unless a foreign institution widi-

holds information about specimens or prevents access to

Mexic;ui scientists to study them, according to accepted

taxonomic practices. To date, very few, if any, claims have

been made against foreign scientific institutions because

diere is a generally satisfactory level of C(Xiperation among

foreign and Mexican institutions or scientists. It is unlikely

diat diis piilicy will change because diere is now regular

consultation between scientific institutions and the f'ederal

Government, and it is now very common for scientific pro-

Procedure to obtain the collecting permit for foreign

researchers

Foreign

Researcher

Embassy of their country

in Mexico

Ministry of Foreign Affairs

I ♦

Coordination of International

Affairs/SEMARNAP

\

Institute of Ecology/SEMARNAP

I Approved I

Rejected

I

Analysis of information

Incomplete

information

Hjiurc I. F*riKe<lure for foreign researchers' oblaining a Mexican scienufic collecting permil.

26

Jorge Soberon, Eleazar Loa, Jose Maria Reyes Gomez and Pilar Rodriguez

Procedure to obtain the collecting permit for

Mexican researchers

f

Mexican

researcher

Institute of Ecology/

SEMARNAP

Analysis of information

Approved

Rejected

I

I

Incomplete Information

back to the applicant

Resolution

I'igure 2. Procedure for Mexican researchers' obtaining a Mexican scientific collecUng permit.

Icssionals lo occupy iJic administrative position related to

collecting permits. Since 1088, there has been one non-

prolessional (the tirst olTicer in this position), three profes-

sional biologists, <'uid a wildlife siK'cialist.

During tliis period, tJie angulations forobt:iining collecting

IX'nnils were not clearly defined (especially for lerresU"ial

fauna), ;tnd decisions made were subject to the criteria of

govemmeni otFicers. ITiis period was ch;iracteri/ed by tlie lack

of a real enforcement capacity, a complex legal setting, and

troublesome administrative pnxredures; several laws (I'ishery

Law, St;uid;ml ;uid Metrology I .aw, l\iblic Administration

Law) and regulations (Regulation of I'isheries Law; Regula-

tion of iJie 1 -aw of 1 icology in 1 in vironmental Impact Assess-

ment) had articles a'lated to ilie matter. ITie Mexic;ui Nomi of

I Endangered Species was also estiiblishcd in tliis time; this is a

useful legal tool that guides collecting in Mexico, as it estab-

lishes by name which species arc subject to special regulations

(N()M-().S9, 1W4).

Related problems for obtaining collecting permits were

red tape and duplication of functions in different agencies

(especially for foreign applicants). I "or example, the govern-

mental agency directly responsible for collecting permits

was the Mexican Ministry of Environment, Natural Re-

sources and 1-isheries (SLM ARNAP); however, tJie Ministry

of Foreign Affairs (SRli), the Ministry of Agriculture, Live-

stock and Rural Development (SAGAR), and iJie MinisUy of

Communications and Transptirt (SCI) were otJier agencies

with responsibilities for collecting permits. Consequently,

the legiil situation ;uid the institutional organization prevalent

\n this period made the process for obtaining collecting

penniis long ;uid complex. Mexican and foreign researchers

follow different legal procedures lo apply for collecting per-

mits, and these were more complex for the latter (l-igures I,

2). This situation continues to be critical up to the present,

and the application process can lake more than six months.

Nf;W DIRIXTION I'OR SClIiNl'lFIC COLLF-rilNG

Since the Convention on liiological Diversity, collecting

activity has been taking a dilTerent direction. This Conven-

tion specifies that genetic resources, including species, be-

long to nations and that, accordingly, access to genetic re-

sources requires "a prior informed consent." This interna-

tional recommendation was ratified by 1 60 countries, includ-

ing Mexico. It is important lo slate that afier the Convention

on Biological Diversity was ratified by the Mexiciui Senate,

tlie need to obtain collecting pennits was upgraded to the

level of ;ui international treaty, lliis is also the case in most

countries of the world, with the sole exception of the L'nited

Stales of America, which is the only imptirtanl country that

has not ratified the Convention on Biological Diversity.

The new Mexican Law of licology (approved in Novem-

ber 1996, and already in force) supersedes tlic Law of 1988

and slates importiuil differences regarding tlic subject of tliis

Permits for Non-commercial and Scientific Research Collecting: The Case of Mexico

27

convention. The articles concerned with scientific collecting

are contained in article 15 of the Convention of Biological

Diversity (87 and 87 BIS; LGEE 1996); these make a clear

distinction between scientific collecting sensu stricto and

commercial collecting. It emphasizes the necessity for unam-

biguous and less complex procedures for collecting permits.

In response, a new set of procedures is being discussed by

Mexican authorities, and the opinions of different sectors are

being taken into account. The "Norma Mexicana" (Mexican

Official Standard) that will establish the administrative de-

tails for tlie implementation of this law will probably be

ready in the first half of 1997; these will establish the proce-

dures and requirements for obtaining the collecting permits

for scientific purposes. The main feature of the Mexican

Official Standard will be that it regards scientific collecting

as useful to Mexico because it is based on a mechanism that

will encourage cooperation among institutions and because it

assumes bona fide scientific collecting. Disguised commer-

cial or destructive collecting will be severely punished.

One of the principal differences of the new proposal is that

it distinguishes between Mexican researchers and outsiders;

this is important considering that nearly 15% of the total

number of permits issued are to foreigners. Three types of

collecting permit are proposed: The Permit for Scientific

Collector [Permiso o Cartilla de Colector CienUfico], the

Temporary Collection Permit [Permiso Temporal de Colecta],

and the Permit for Foreign Scientific Collector [Permiso de

Colector Cientifico Extianjero]. The process to obtain a Per-

mit for Scientific Collector is an uncomplicated procedure.

The application to obtain such a card is completed only once,

and its annual renewal is automatic. The latter is accom-

plished by sending a simplified and standardized report of the

annual use of the permit. Ilie Scientific Collector Permit has

important limitations. It is a license extended only to Mexican

researchers and it is not valid for endangered species. The

holder of the permit can generate extensions to students and

associated researchers, including foreign ones. The design of

this procedure is the result of a panel that includes Mexican

scientists with some consultation with foreign counterparts.

The Temporary Collection Permit has the benefit that it

can be used for collection of species under specific regula-

tions in Mexico (endangered, threatened, etc.). Its principal

limitation is that each collection requires a specific applica-

tion and subsequent evaluation. A detailed report after the

expiration of the permit is required.

The Permit for Foreign Scientific Collector is intended as

a simplification of the procedures foreign researchers have to

follow. If a foreign researcher wishes to collect in Mexico,

she/he has two primary options. She/he can establish a for-

mal collaboration with a Mexican scientist holding a Permit

for Scientific Collector. In this case, the authorities will issue

an extension of the permit to her/him, and an annual (stan-

dardized) report will have to be made. The Mexican scientist

is responsible for the "good use" of the extension of the

permit, and abuse of the permit carries penalties for both the

Mexican and the foreign scientist. If unable or unwilling to

establish a formal collaboration with a Mexican permit

holder, the foreign scientist may get a permit by a procedure

which is a slightly simplified version of the current one. A

third alternative for foreign researchers to obtain collecting

permits has been suggested; it proposes that the Permit for

Scientific Collector given to a Mexican researcher could be

used by a foreign one on tlie basis of establishment of a

collaboration between the two. However, this alternative is

still being discussed and will be resolved soon.

Collecting for commercial purposes, including prospect-

ing for biotechnology purposes, will be handled by a separate

law. This will also include specimens that leave the country

under a permit for scientific collecting but that later are used

directly as samples for the biotechnology or agroinduslry.

CONCLUSION

In Mexico, both alpha and beta components of species

richness are very high. This produces a megadiversity coun-

try, but also implies that huge gaps still remain regarding our

documentation of the country's biological diversity. Without

scientific collecting, we will never fill the gaps nor will be

able to protect, enjoy, and use in a sustainable manner oiu-

biological heritage. This should be done in such a way that

the legitimate rights of Mexico to protect its biological wealth

are harmonized with the obtaining of information, through

the best scientists available and witli tlie strengthening of our

institutions and taxonomists. The best way to do this is by

acknowledging that most taxonomists are responsible per-

sons whose activities are of the greatest importance to the

coiuitry, and by promoting the cooperative efforts of Mexi-

can and foreign institutions and scientists. We believe that the

new approach that the Mexican authorities are taking will be

a step in the right direction.

REFERENCES

Arita, H. T.. and L. Leon-Paniagua. 1993. Diversidad de

mamiferos teirestres. Ciencias. Niimero Especial 7.

I.GRR. 1988. Ley General del F.quilibrio Rcologico y la

Proteccion al Ambiente. Secretaria de DesarroUo Social

(SEDESOL). Diario Oficial de la Federaci6n. marzo de

1988, Mexico.

, 1996. Ley General del Equilibrio Ecologico y la

Proteccion al Ambiente. Secretaria de Medio Ambiente,

Recursos Naturales y Pesca (SEMARNAP). Diario Oficial

de la Federacion, 13 de diciembre de 1996, Mexico.

Llorente. B. J., A. Garcia, and E. Gonzalez (eds.). 1996.

Biodiversidad. taxonomia y biogeografia de artropodos de

Mexico: Hacia una sintesis de su conocimiento. Institute de

Biologia, Universidad Nacional Autonoma de Mexico.

Mexico.

Mittemieier, R. A., and C. G. Mittermeier. 1992. La importancia

de la diversidad biol6gica de Mexico. Pp. 63-73 in J.

Saruhkan and R. Dirzo (compilers). Mexico ante los retos

de la biodiversidad. CONABIO, Mexico.

Naturaleza y Trafico. 1996. Boletin Informativo. Niimero 2,

julio de 1996. Teyeliz. A. C. Mexico.

Navarro, A., and H. Benitez. 1993. Patrones de riquez^ y

endemismo de las aves. Pp. 45-54 in O. Flores and A.

Navarro (compilers). Biologia y problemStica de los

vertebrados en Mexico. RevislaCiencia, Niimero Bpecial

7. Facultad de Ciencias. Universidad Nacional Autonoma

de Mexico, Mexico.

28

Jorge Soberon, Eleazar Loa, Jose Maria Reyes Gomez and Pilar Rodriguez

NOM-059-ECOL- 1994. Determina las especies de flora y fauna

silvestres. terrestres y acualicas. raras. endemicas.

amenazadas. en peligro de extincion y sujetas a proleccion

especial. Diario Oficial de la Federacion. 30 de diciembre

de 1994. Mexico.

Ramamoorthy. T. P.. R. Bye, A. Lot, and J. Fa (eds.). 1993.

Biological diversity of Mexico: Origins and distribution.

Oxford University Press, Oxford, England.

Ramirez-Pulido. J., and A. A. Castro-Campillo. 1993.

Diversidad Mastozoologica en Mexico. Revista de la

Sociedad Mexicana de Historia Natural. Volumen especial

(XLIV): 413^27.

Rose. DA. 1991 . A North American free trade agreement: The

impacts on wildlife trade. World Wildlife Fund, USA.

Sarukhan, J.. J. Soberon, and J. Larson. 1996. Biological con-

servation in a high beta-diversity country. Pp. 171-179 in F.

di Castri and T. Younes (eds.). Biodiversity, Science and

Development: Towards a New Partnership. CAB Interna-

tional. Wallingford, U. K.

Soberon, M. J., J. Llorente, and H. Benitez. 1996. An interna-

tional view of national biological surveys. Annals of the

Missouri Botanical Gardens 83:562-573.

Traffic. 1992a. Mexico accedes to CITES. Traffic, USA. A

newsletter on mtemational trade in wildlife and wildlife

products. World Wildlife Fund 11 (2):l-5.

. 1992b. The sharks of Mexico: A resource for all sea-

sons. Traffic, USA. A newsletter on international trade in

wildlife and wildlife products. World Wildlife Fund 11

(4):4-6.

. 1996. Traffic, USA. A newsletter on international trade

in wildlife and wildlife products. World Wildlife Fund,

April 1996.

29

Normativa para Investigar, Colectar y Exportar

Flora y Fauna Silvestre en el Ecuador

Sergio I.asso B.

InsliluU) Ecuatoriano Foreslaly de Areas Naturales v Vida Silvestre

RESUMEN. — La junsdicci6n del Institulo Ficualonano Foreslal y de Areas Naturales y Vida Silvestre (INEFAN) para realjzar la conservaci6n.

investigaci6n y manejo de los recursos silvestres dentro del Patrimonio de Areas Protegidas y fuera de ellas, esti determinada por la Ley forestal y de

Conservaci6n de Areas Naturales y Vida Silvestre. asf corao por un conjunto de reglamentos y convenios intemacionales. Todas las personas naturales

o juridical interesadas en realizar investigaci6n relacionada con el recurso silvestre del Ecuador deberdn obtener la autonzaci6n correspondienle de la

Direcci6n Nacional de Areas Naturales y Vida Silvestre del INEFAN. En el cumplimiento de lo que determina el R(5gimen Comun de Acceso a los

Recursos Gen^ticos. en los pafses andinos. las instituciones nacionales y extranjeras que hacen investigaci6n, raanUenen colecciones de flora y fauna

silvestre. y que adem^ reabzan o deseen realizar mvesligaci6n en el pais, deben firmar previamenle con el INEFAN un Conlrato Marco que ampare

todos los proyectos de invesligaci6n.

ABSTRACT. — The jurisdiction of INEFAN to carry out the conservation, research, and management of natural resources within and outside of

Ecuador's National Protected Areas [Patrimonio de Areas Protegidas] is determined by the Forestry and Conservation of Natural Areas and Wildlife

acts [Ley Foreslal y de Conservacion de Areas Naturales y Vida Silvestre). and m conjunction with international regulations and conventions. All

persons or institutions interested in carrying out research related to wildlife resources in Ecuador need to obtain prior authorization from the National

Administration of Natural Areas and Wildlife [Direcci6n Nacional de Areas Naturales y Vida Silvestre] of INFJ^AN. In the corollary to the Common

Rules for Access to Genetic Resources [Regimen Comun de Acceso a los Recursos Geneticos[ established by the Andean countries, national and

foreign institutions that do research, maintain collections of wild flora and fauna, as well as carry out or desire to carry out research m the country, must

sign beforehand a Standard Contract with INEFAN that encompasses all research projects.

En el Ecuador, en los ultimos tres anos (1994-1996) se

han realizado 289 investigaciones sobre flora y fauna

silvestres, con aulorizacion emitida por la Direccion Nacional

de Areas Naturales y Vida Silvestre del INEI'AN, como se

describe a continuacion:

Flora Fauna

1994 36 45

1995 42 52

1996 49 65

El 2 1 % de estas investigaciones han sido ejecutadas por

investigadores del Ecuador, 44% por investigadores de los

Estados Unidos y 35% por investigadores de otros paises.

El 90% de las mismas ha requerido colecta de ejemplas y

autorizaciones de exportacion.

La investigacion, colecta y exportacion de vida silvestre

en el Ecuador esta normada en la Ley Forestal y de

Conservacion de Areas Naturales y Vida Silvestre. El articulo

76 de esta misma senala que la flora y fauna silvestres son de

dominio del Estado. La institucion encargada de ciunplir y

hacer cumplir esta ley es el INEFAN.

Entre los principales requisitos para otorgar autoriza-

ciones de investigacion se indican los siguientes:

• Las autorizaciones de investigacion se entregaran ante del

incio de cualquier actividad de investigacion.

• Las investigaciones dentro del patrimonio de areas

naturales protegidas se coordinaran con los jefes de estas

areas.

• Se debera presentar el correspondiente proyecto de

investigacion, que incluira: titulo; justificativos; objetivos;

cronograma de trabajo; areas o sitios donde se realizara la

investigacion; presupuesto personal de apoyo en la

investigacion; bibliografia; curriculum vitae del

investigador o investigadores.

• El INEFAN tiene la potestad privativa de sefialar la

cantidad de ejemplas a colectar y el museo donde se

depositaran.

• En caso de colecta, las mejores muestras, asf como los

tipos, seran depositados en el museo que el INEI'AN

disponga.

Los investigadores extranjeros deben presentar adicional-

mente, entre otros, los siguientes requisitos;

• Compromise de financiamiento de los gasto de un ecua-

toriano, que participar^ en la investigacion; el nombre del

ecuatoriano debe constar en las publicaciones correspon-

dientes como coautor o colaborador

• Carta de auspicio de una institucion de investigacion con

reconocida trayectoria de su pais.

• Carta de auspicio de una institucion ecuatoriana de investi-

gacion.

El inciunplimiento de los compromisos adquiridos por el

investigador determinara que se niegue la posibilidad de

volver a realizar investigacion en el Ecuador

La colecta de muestras esta ligada necesariamente a lui

proyecto de investigacion. No existe la figura de colecta con

el objetivo linico de completar las especies de un grupo

taxonomico cualquiera, mantenidas en un museo o herbario.

La exportacion de ejemplaes se autoriza exclusivamente

para identificacion taxonomica, para lo cual se solicitara un

certificado de entrega de duplicados, otorgado por el museo

que fue senalado por el INEFAN en la autorizacion de

investigacion.

Todas las musetras deben retomar al Ecuador, con

excepci6n de aquellas que scan enviadas bajo la regulacion de

un contrato marco, firmado entre la institucion ecuatoriana

que respalda la investigacion y el INEFAN. Este contrato

marco determina la corresponsabilidad de la institucion

30

Sergio Lasso B.

ecuatoriana que apoya a un investigador extranjero, en la

adniinistracion de los ejemplaes de flora y fauna silvestres, que

seran niantenidos en un niuseo o herbario extranjero. En este

caso, la institucion ecuatoriana de apoyo se compromete a

colaborar con el INEFAN en el control, seguimiento y uso que

se den a las musetras que salen del pais. El INfEFAN se

compromete a autorizar la exportacion de material biologico

para fines de ideniificacidn, y solicitar a los investigadores

extranjeros que la mejor muestra de la coleccion, asi como los

tipos, scan depositados en el lugar que el INEFAN disponga.

En el contexto de este contrato niarco no se dara tramite a

propuestas de acceso a recursos geneticos. Es decir, los

proyectos de investigacion sobre bioprospeccion deberan

enmarcarse en el Regimen Comiin andino de Acceso a los

Recursos Geneticos, lo cual es tema de otro taller.

Esta normativa esla en proceso de revision por

instituciones de investigacion del Ecuador, por lo que todavi'a

esta sujeta a modificaciones, antes de su emision oficial.

31

Normas Legales y Eticas de la Argentina para Geologos y Paleontologos Extranjeros:

Comentarios sobre el Marco Juridico en los Paises Suramericanos

Mario A. Hiinicken

Museo de Paleontologia, Universidad Nacional de Cordoba

En la mayoria de los paises de America del Sur, las leyes

y reglanientos que brindan proleccion legal al palrimonio

cientio, integrado por los yaciniicnios y colecciones

paleontologicas, involucran de maiiera niuy especial los

yacimienlos y objelos arqueologicos y en algunos casos

como Colombia y Chile, se incluyen las colecciones

zoologicas y botanicas, areas para las cuales, diversos paises

tienen leyes especificas. Tales nomias, generalmente regulan

la participacion de insUtuciones e investigadores nacionales

y extranjeros.

La Repiiblica Argentina es el pais que cuenla con el

cuerpo legal mas antiguo, la Ley No. 9080, sancionada en

1913. En virtud de la organizacion federal del pais, las

diversas provincias ban sancionado a su vez, sus propias

leyes de proleccion del los yacimienlos y acervo

paleontologicos.

ANTECEDHNTFS

Los paises suramericanos brindaron cuaniiosas

colecciones geohSgicas y biologicas a las inslilucioncs y

naturalislas extranjeros, principalmente europeos, desde fines

del siglo XVllI hasla la aclualidad. lin este hirgo periixlo de

fruclifera cooperacion exlranjera se puedcn dislinguir ires

etapas bien definidas.

La priiiiera, desde 1787, ano del descubrimiento del

primer Megatherium, a orillas del no Lujan, en la Provincia

de Huenos Aires, Repiiblica Argentina, hasta 1 869, afio de la

lundacion de la Academia Nacional de Ciencias, en Cordoba,

R. Argentina. I in los numerosos cstudios que se llevaron a

cabo, porque tcxlo era nuevo para la ciencia, intervienen solo

investigadores eiu-opeos, que se ixuparon de las grandes

colecciones, especialmente paleontologicas, petrologicas,

mincrakSgicas y biologicas, debidas principalmente a

Alexander von Humboldt, diu-anle su famoso viaje a America

del Sur, el Caribe y Mexico (1799-1804), a Alcides

d'Orbigny, durante su viaje por Brasil, Uruguay, Argentina,

Chile, Bolivia y Peru { 1826- .33) y al no menos famoso viaje

de Charles Darwin, por Brasil, Uruguay, Argentina, Chile,

Peru y algunas islas del Atlanlico (Malvinas y Tierra del

I'uego) y del Pacifico sur (Galapagos). Cabe agregar las

colecciones de Antonio Raimondi en el Peru, de Ignacio

Domeyko y Armando Philippi en Chile, de Damaso

1 .arr;inaga en el Uruguay y en Brasil, entre otros extranjeros,

de Rtxlolfo Agassiz, I'ederico H;ult y Orville Derby.

1 -a segunda etapa, abarca desde 1 869 hasta 1 930, fecha de

publicacion de dos obras fundamentales para el conocimienlo

de la geologia suramericana, la Geologia Argentina de

Anselmo Windausen y la Geologia del Peril de Ciustavo

Steinm;inn. I a crcacion de la Academia Nacional de Ciencias

de la Argentina, trajoaparejadounbrillantedesperlar para las

Ciencias Nalurales, al incorptirar hombres de ciencia

alemanes, quienes iniciaron los esludios cientificos de la

geologia, de la botanica y de la zixilogi'a argeniinas. Muchas

colecciones quedaron en museos y repositorios argentinos,

especialmente de minerales, de fosiles, de planias y animales,

debidas entre otros a I'rancisco Javier Muiiiz, Gemian

Bumieister, Alfredo Slelzner, Pablo Lorentz, Jorge

Hieronymus, Hendrik Weyenbcrgh, Luis Brackebusch, Fran-

cisco P. Moreno, 1-lorentino y Carlos Ameghino, Guillemio

Bixlenbender, federico Kurtz y Carlos Berg. Muchas otras

colecciones se enviaron p;ua su esiudio a diversos paises

europeos y a lislados Unidos de Norte America. Esas

colecciones no regresaron al pais, a pesar de la vigencia de la

Ley 9080 de proleccion de los yacimienlos y colecciones

arqueologicas y paleontologicas. Este fue el resultado, entre

oB"as, de las colecciones debidas a Gustav Sleinmann, durante

sus expediciones a Chile, Peni, Bolivia y la Argentina ( 1 882-

1908), a Olon Nordenskjcild y C. Skotlsbcrg, durante las

Expediciones Suecas a la Patagonia y la Ant;inida (189.S-

1909) y a J. B. Hatcher, en la lixpedicion de la Universidad

de l^nceton a la Patagonia Austral (1896-1899).

La lercera eiapa se cumplio del930 hasta la aclualidad,

peritxlo durante el cual se incorporaron al quchacer cientifico

de la Natiu-aleza en la Argentina, cenienares de geologos,

p;deont6logos, bolanicos, zwlogos y enteimcSlogos, egresados

de las luiiversidades del pais y extranjeros incorporados a las

insUtuciones y pmgramas nacionales, ya sea que se radicaron

en el pais o participan en convenios bilaierales.

PROTECCION JURIDICA DEL PAFRIMONIO

PAl.EONTOLC'XilCO Dl- LA RI- PUBLIC A ARGPiNTINA

—LEYES DE LOS liSTADOS PROVlNClALliS

lin la segunda etapa comentada (1869-1930) y

especialmente hasta comienzos de este siglo, el palrimonio

paleonlologico aigentino caaxia de una adecuadii proleccion

legal y, por lo lanio, resullaba licilo realizar exploraciones

geologicas y colecciones de fosiles, enviando eslas al exte-

rior sin retomo, a numerosos museos y rep<isitorios del

niundo, sin que Iributara al pais ningiin beneficio a nivel

academico y en la formacion de rccursos humanos, salvo el

universal conocimienlo de los geomaleriales (rocas,

minerales y fosiles).

Ante eslos hechos, y siguiendo el ejemplo de muchos

paises en el mundo, surgio la necesidad de contar con el

instnunenio legal adecuado: la ley 9080, sancionada en 19 1 3

y reglamenladaen 1921 (Anexo 11, 12). Estaley "declarade

propiedad de la Nacion las ruinas y yacimienlos

ivqueologicos y paleontologicos de interns cientifico,"

regliuiienuuido las investigaciones de cientificos nacionales

y extranjeros y protegiendo los yacimienlos y colecciones de

f6siles realizadas en el pais. El avance evidenle de la Ley

9080 sobre las autonomias y palrimonios de los estados

32

Mario A. Hunicken

federales (provincias) fue subsanado, en gran medida, con la

ret'omia del Codigo Civil Argentino mediante La Ley 17.7 1 1

del ano 1968. A partir de esc nionienlo, la mayoria de los 22

estados provincialesdictaron oactualizaron suspropias leyes

de proteccion del patrimonio cientifico y cultural

(arqueologico, aniropologico, paleonlologico, etc.), que

establecen ademas nonnas precisas para la obtencion de los

respectrvos permisos y sobre el destino de las colecciones.

NORMAS Y PRINCIPIOS ETICOS PARA LOS

ESTUDIOS Gi:OL(Xjia)S Y PALi:ON 10L(JGlCOS

EN LA REPUBLICA ARCJENTllNA— ERiCTUADOS

CON o FOR pl:rsonas i;xtranjeras

Ante la deficiencia de los controles legales y las continuas

transgresiones a las normas jun'dicas, cometidas por

prot'esionales y/o investigadores cxtranjcros, que efectuaban

estudios geoUSgicos y/o paleoniologicos en territorio

argentino, individualmente o en colaboracion con colegas

del pais, y con el animo de favorecer dichos estudios, si ellos

se ajustan a la legislacion vigente y a las actividades que

realizan los inlegrantes de la comunidad geologica y

paleontologica nacional, la Asociacion Paleontologica Ar-

gentina (APA), aprobo en 1982 el cuerpo nomiativo que se

conienta(Anexo 13, 14, 15), estableciendoclpnxediniiento

que deben seguir los cspccialislas y/o instituciones

extranjeras que proyccten desarrollar estudios

paleoniologicos en la Argentina y/o sobre niatcriales

argeniinos. La APA, conio resullado de una prolongada

experiencia en el estudio de las legislaciones nacional y

provinciales, en consultas con eniidades oficiales y pri vadas,

en su actuacion en Irecuentes lr;uisgresiones a las leyes

codigos vigentes y con el pro|X)sito de propender a una nueva

legislacion, aprobo en 199.5 una "Declaracion de principios

sobre la proteccion del patrimonio fosilifero del pais."

Ante la necesidad de brindar resguardo a otras areas de la

actividad geologica en el pais, p*ir la Irecuenle participacion

no autori/ada de investigadores y/o instituciones extranjeras,

en I99.S, la Asociaci6n (ieologica Argentina, aprobo las

"Nomias y principios clicos para los estudios geologicos en

la Argentina, elecluados con o por personas extranjeras"

(Anexo 16). E.I cumlimiento de las mencionadas normas

brinda a lixlo investigador y/o institucion extr;tnjera, la

necesaria seguridad y el debido resp;ildo durante el desarrollo

de su proyecto, desde la formulacion del mismo, el

cumplimiento legal de las actividades de campo y los

convenienies permisos y autori/aciones para el Iraslado de

las colecciones de geomateriales, que una vez concluido el

estudio y publicados los resultados, deberan serrestituidas al

pais. La obscrvancia de cstas normas de la Asociacion

Geologica o de la Asociacion I'alconlologica Argentinas

evitara a los investigadores extranjeros y argentinos

colaboradores y a las rcspectivas instituciones, las

progresivas sanciones morales contempladas en ambos

Codigos de Etica.

ALGUNAS TRANSGRESIONTiS A LAS LEYES

Y NORMAS ARCil-lNTINAS

Muchas colecciones de fosiles, algiuias niuy valiosas para

la docunientacion biocstratigrafica de nuestras secuencias

sedimentarias, fueron sacadas ilegalmente del pais, yendo a

enriquecer indebidamente los repositorios de los museos y

universidades europeos y norteamericanos, y creando a los

investigadores argentinos una real dependencia cientifica.

A pesar de la vigencia de la Ley 9080, resulta denigrante

el conu-abando de colecciones al exterior, destinadas a la

compra-ventade fosiles, ampliamente publicitadaen revistas

norteamericanas y europeas.

Un caso de flagrante ilegalidad fue protagonizado en el

verano de 1971 por el profesor K. J. Reuter de la L'reie

Universital de Berlin, que siendo profesor Visitante en la

Universidad de Chile, entr6 como tiu-ista en la lYovincia de

San Juan (Argentina) y extrajo 20 muestras de calizas

ordovicicas de la l^ecordillera, enviandolas desde Chile a

Italia, al IX linrico Serpagli, de la Universidad de Modena.

Dichas muestras dieron mas de 1600 conodontes, que fueron

la base de una excelenie monografia, publicada en 1974 y

titulada "Lower Ordovician Conodonts from Precordilleran

Argentina, Province of San Juan." I ,a Universidad de M('xlena

es el repositorio de esta coleccion. Es un episodio que en su

momento ha interferido nuestros proyectosde invesligacion.

Desde fines de la decada del 80 hasta laactualidad, varios

graduados e investigadores geologos y paleontologos de la

Universidad de lirlangen, Alemania, que responden a la

direccion del l>. Werner Buggisch, non recorrido ilegalmente

la Record i Hera de La Rioja, San Juan y Mendoza, guiados

por prot'esionales argeniinos, conocedores del area,

desarrollando invesiigaciones micropaleontol6gicas sobre

conodontes, con desconocimiento total de institucion

argentina alguna, Los Sefiores Werner Buggisch, Martin

Keller, Oliver Lehnert, J. liberlein y otros, en coauloria con

algunos investigadores argeniinos, han publicado mas de ?>5

trabajos, bajo ningiin convenio, permiso o carta intencion

que los anipare y lo que aiin es peor, las cuantiosas

colecciones de macro y microfosiles no han sido reinlegradas

a la Argentina, sino que algunas han sido destinadas ya a

repositorios de instituciones alemanas (Hunicken 1993,

1996).

lil casode los fosiles, de edad jurasica, aproxiinadamente

140 millones de aiios, del Parquc Nacional de Bosque

Petrificado dc la I^ovincia de Santa Cm/, R. Argentina,

resulta realmenie increible. Se trala de uno de los yacimientos

fosiliferos de Amurahas (troncos y estrobilos) mds

imporlanle del mundo. De all! precisaniente, el Serior Ulrich

Dembach, quimicodel grup<i farmaceutico Merck en Berlin,

durante dos campaiias en la Patagonia Austral, en 1987 y

1988, extrajo ilegalmente. una gran canlidad de estrobilos

(conos) fosiles de araucaria, que aparecen bella y

profusiunente ilustradasen un lujoso librobilingue, publicado

en Alemania en 1992. lil pais ha sido nuevamente desp<ijado

de fosiles valiosisimos, que los coleccionistas privados o

comerciantes venden entrc 200 y .500 d_lares cada uno y que

ya en la actualidad son verdaderas rarezas en el propio

Parque Nacional del Bosque Petrificado (Hunicken 1993).

RILIIIRENCIAS

Asociacion Cicologica Argentina. 1995. Nomias y principios

cticos para los estudios geol6gicos de la Argentina,

efectiiados con or por personas exU-anjeras. Revista de la

Asociaci6n Cieol6gica Argentina 50 (1-4).

Normas Legales y Elicas di- la Argentina para Geologos y Palconlologos Extranjeros;

Comcntarios sobre el Marco Juriilico en los Paises Suramericanos

33

Asociacion Paleontologica Argentina. 1982. Normas y

principios eticos para los estudios paleonlologicos de mate-

rial iirgentino. efectuados con o por personas e.xtranjeras.

Amcghiniana 19(.^-4):.H77-378.

. 1995. DecUiracion dc principios sobre laprotccciondel

patrinionio fosilifero del pais. Anieghiniana 32 (2):205-

207.

Hunicken. M. 1993. Denuncia de infraccion a la Ley 9080. s/

Ruinas y yacimientos arqueologicos y paleonlologicos ante

el Ju/.gado hVderal No. 1 de Cordoba. Asociacion

Paleontologica Argentina. Boletin Infomiativo 26: 1 1-15.

. 1996. Denuncia ante las Asociaciones Paleontol6gica

Argentina y Geologica Argentina sobre la actuacion

cienlifica ilegal de investigadores de la Universidad de

Rrlangen, Alemania. Nomina de trabajos publicados desde

1989. Cordoba. R Argentina (inedito).

Jung, W.. Selmeier. A., y iSernbach. U. 1992. Ulrich Dembach's

Araucaria. Die Verstemeiten Araucarien vom Cerro

Cuadrado. Argentinien. The Petrified Araiicarias from the

Cerro Cuadrado. Argentina Berlin.

Republica Argentina. Ley No. 9080. 1913, IX-cUira propiedad

de la nacion las ruinas y yacimientos arqueologicos y

paleonlologicos de interns cientffico. Boletin of icial 26 02

1913, Buenos Aires.

. 1921 . Ley No. 9080. Decreto Reglaraentario. Boletin

Oficial 29-12-1921. Buenos Aires.

. 1968. Ley No. 17711. ReformaalCodigo Civil. Boletin

Oficial 22-04-1968. Buenos Aires.

34

Research and Scientific Collecting in National Park Service Areas (USA)

Robert A. Winfree

Grand Canyon National Park, Arizona

ABSTRACT. — Grand Canyon National Park comprises a truly world-class outdoor laboratory, unparalleled in its revelation of much of the North

Amencan continent's geologic, biologic and human history, and breathtaking in its majesty and extent. It is only natural, therefore, that the Canyon

continually attracts the interests and energies of many scientists. The research program at Grand Canyon includes a broad range of basic and applied

research, resource inventory, monitoring, and information synthesis, including such seemingly diverse topics as fire and flood ecology; geology,

speleology, hydrology and sedimenlology; wildlife, fishenes. and limnology; botany, entomology, and forestry; climatology; history, archaeology and

sociology. Studies in all scientific disciplines are cixirdinated through a single office. The Park's Senior Scientist is responsible for ensunng that new

studies are well designed and documented, follow relevant legal and policy requirements, and are completed in a Umely, efficient, and non-intrusive

manner ApplicaUons and study proposals are required for field research, specimen collection, and for access to sensitive data or restricted locations,

(juidelines will be provided.

RESUMEN. — El Parquc Nacional del Gran Cafi6n [Grand Canyon National Park) constiluye un verdadero laboratorio al aire libre de priraera

calegorfa, sin paralelo en la exposicu'm de miicho de la historia geol6gica, biol6gica, y humana del conlinente Norteamencano, y sobrecogedor en su

niajestuosidad y extension. Es natural, por lo tanio, que el Canon alraiga continuamente el interns y energfa de muchos cientfficos. El programa de

investigaciones en el Gran Can6n incluye un amplio rango de mvestigacK)nes b^sicas y aplicadas, inventano de recursos, monitoreo, y sfntesis de

informaci6n, incluyendo l6picos aparentamente diversos como eailogta del fuego y de inundaciones; gcologfa, espeleogfa, hidrologfa, y sedimentologfa;

fauna, pesca y limnologla; botdnica, enlomologfa y silvicultura; cUmalologla, hislona, arqueologfa y sociologfa. Los estudios en todas las disciplinas

cientUicms son c<x)rdinados por una sola olicina. HI Cientffico de Rango Supenor |Senior Scientist] del Parque es responsable por asegurar que los

nuevos estudios est^n bien disei^ados y diKumenlados, y que sigan los pettinenles requisilos legales y poKticos, y scan terminados en tiempo, en forma

eficiente y de manera nointrusiva. Se requiere aplicaciones y propuestas de estudio para las investigaciones de campo, la colecta de ejemplares. y para

el acceso a datos sensiuvos o a ItKalidades resU^ingidas. Se proveerin directrices.

ITie National I'ark .Service encourages and siipport.s research

in National Park Service areas. Rese;irch in National Park Ser-

vice units is governed by lederal law ;uid policy including

• Code of Federal Regulations

36C1'R 2.5 — specimen collecting,

43 Cl-R 3, 7, 1()— archaeology,

24 Cf'R— fish & wildlife,

37 Cl'R— caves;

• National Park Service management p<ilicies authorizing

legislation for park unit.

The National P;irk Service research-permitting system is

intended to ensure that

• the specific activities undenaken during a study iire consis-

tent with legal authority;

• the work will contribute to a better understanding of park

resources and m;uiagement alternatives;

• proptised studies are well designed, statistically valid, and

scientifically credible.

U.S. federal law requires permits for field studies and speci-

men collection. Pennitsare valid only for

• the piirk in which they are issued;

• the persons to whom they are issued;

• tJie activities specified;

• for a sjiecific period of time.

Examples of National Park Service permits or approvals (the

specific requirements depend on llie proposed activities)

include

• research (special use) permit;

• collecting permit;

• federal archaeology permit;

• approvals for access including

aviation ( helicopter or airplane)

backcountry camping,

boating,

caving.

Investigators should check for requirements of other agen-

cies, for example,

• other federal permits, including

cndiuigered species,

migratory bird collecting,

bird biuiiJing/salvage;

• Office of Management and Budget survey approval;

• state permits, for example,

native plant collecting or transport

fish and wildlife collecting or transptirt.

SA1'1;TY AND LIABILITY

ITie principal investigator is personally responsible for

ensuring that the study is ciuried out in a safe ;ind environ-

mentally responsible manner Adviuice phuining. training,

and proper equipment (including safely and conmiunications

gear) iu'c import.'uit. luich member of llie field crew should be

covered under liability and accident insurance.

PLRMIT RF; VIHW CONSI DERATIONS

V;u-ious criteria ;ire considered during the review of per-

mit applications, including resource protection, safety/liabil-

Research and Scienliric Collecting in National Park Service Areas (USA)

35

ity, scientific significance, costs incurred by the park, prod-

ucts expected as a result of the project, and past performance

of the principal and co-principal investigators.

Scientific Collecting

Collecting permits are required in all National Park Ser-

vice areas. Permits may be issued only to representatives of

scientific, educational, andgovemment institutions. Permits

are issued for non-commercial scientific use only. Collecting

must be necessary to accomplish tlie study's objectives, and

suitable specimens must not be otherwise available. Perma-

nent specimens must be cataloged, and federal ownership is

retained for the permanent collections.

The Application Process

Contact the specific park's Resource Management Divi-

sion for application materials. Develop a study plan and

proposal. Submit the application and proposal for permit

review and approval. At the Grand Canyon National Park,

the proposal review process includes a peer review of the

scientific method, the investigator's qualifications, and so

on, as well as an administrative review of resource protec-

tion, safety, etc. Competition for agency-fiuided support is

encouraged. The permit stipulates specific conditions and

requirements that must be followed. The specific products

and reports that are required include

• investigator's annual report (National Park Service for-

mat);

• final report;

• reprints of all publications;

• lists of collected specimens;

• other requirements as applicable for specific projects, for

example,

specimens returned to park museum,

presentation of results to park staff, and

photographs, maps, databases, metadata, etc.

General permit stipulations include

• carry and display yoiu" permits;

• collect away from public areas and out of public view;

• damage to scenic, natural, or cultiu-al resources is not

allowed;

• use "minimum tool" in designated wilderness areas;

• National Park Service may require a designated National

Park Service representative to accompany field crews

working in sensitive areas;

• information on specific locations of resoitfces subject to

theft or vandalism (e.g., archaeological or paleontological

sites, rare or endangered species) is not for public release;

• no disturbance of cultural sites is pemiitted witliout spe-

cific authority for archaeological research, survey, or miti-

gation.

INTERACTION WITH THE PUBLIC

Public opinion about scientists and scientific research can

be greatly influenced by chance encoiuiters between visitors

and scientists working in national parks. The National Park

Service encourages all scientists to respond to visitors' in-

quiries in a friendly, informative, and professional manner.

36

Collecting Fossils on Public Lands: Managing a Scientific Resource

Laurie J. Bryant

Casper District Office, Bureau of Land Management. Department of the Interior

ABSTRACT. — The Bureau ofl.andManagemennBLM) is an agency of the IIS. Department of the Intenor with responsibihty fornearly 270 million

acres of land. Most of this acreage is in the 1 1 western states where fossils are abundant. Vertebrate fossils and large specimens of petnlied wood have

been protected by a permit system for 90 years; plants, invertebrates, and other kinds of fossils are generally available lothepublic for hobby collecting.

The current ELM permil system is designed to meet several needs: (1 ) to identify qualified individuals and institutions that can properly collect and

store sigruficant fossils and data, (2 ) to keep these fossils and data in the public trust where Ihey remain Ihe property- of all Americans, and (3) to provide

a tracking system so that land managers, scientists, and educators can locate and retrieve fossils they may wish to study or display. Because interest in

fossils continues to grow, land-managing agencies such as the BLM are devising new strategies to ensure that these resources remain available for

research, educauon. and recreation. Cooperative projects and partnerships that explore several aspects of earth history are particularly encouraged, as

are those that could include participation by students or the general pubhc.

RESUMEN. — La Oficma de Manejo de Tierras [Bureau of Land Management] (BLM) es una agencia del Depaitaraento del Interior [Department of

the Intenor] de los IiE. UU. con responsibilidad para casi 270 milhones de acres de tierra. La mayorfa de estas tierras se localizan en los 1 1 estados

occidentales donde los f6siles son abundantes. Vertebrados f6siles y grandes ejemplares de madera petnficada ban estado protegidos por 90 anos por

un sislema de permisos; plantas, invertebrados y otros Upos de f6siles estin generalmente disponibles al publico para su colecci6n como pasatiempo.

El sistema actual de permisos del BLM estS desmado para hacer frente a algunas necesidades: (1 1 idcntificar individuos e mstituciones calificadas que

puedan adecuadaraente colectar y guardar f6siles importantes con sus datos, (2 ) manlener esos f6siles y datos en dep6sito publico, donde permanecen

en propiedad de lodos los Amencanos. y (3) proveer de un sistema de siguimiento para que manejadores de tierra, cientlficos y educadores puedan

localuar v recobrar f6siles que deseen estudiar o exhibir. Dado que el interns en f6siles continiia creciendo, agencias que maneja tierras como el BLM

estin disenando nuevas estrategias para asegurar que esos recursos queden disponibles para la investigaci6n, educaci6n y recreaci6n. Se foraentan

parucularmente los proyectos cooperatjvos y los consorcios que exploran algunos aspectos de la hislona de la Tierra, asi como los que incluyen la

participacidn de estudiantes o el publico en general.

INTRODUCTION

Lands administered by the Bureau of Land Management

(BLM) are often those that were unsuitable for honiestead-

ing; they remained in the public trust because they were arid,

barren, or deeply eroded. These same qualities are exactly

those sought out by paleontologists because fossils are best

preserved and exposed where excessive moisture, soil for-

mation, and vegetative cover do not damage or obscure them.

COLLECTING FOSSILS ON PUBLIC LANDS

Collecting vertebrate and other scientifically significant

fossils requires a permit issued to qualified paleontologists

by the appropriate BLM state office. But hobbyists and

amateurs may collect some fossils for recreational purposes

without a permit. Fossil invertebrates and plants are gener-

ally available for personal, noncommercial use unless col-

lecting in a specific area is prohibited. Petrified wood, up to

25 pounds per day plus one piece but no more than 250

pounds per person per year may also be collected for non-

commercial use. Fossils cannot be collected from public

lands for sale or trade.

COLLECTING PERMITS

Collecting permits (Paleontological Resources Use per-

mits) no doubt seem needlessly bureaucratic, but they serve

several purposes for both paleontologists and land managers.

During the application process, BLM staff paleontologists

have an opportiuiity to review the credentials, the research

proposal, and the commitment of the repository. Because

scientifically significant fossils from public lands remain

forever the property of the American people, land managers

have an obligation to ensiu-e tliat they are collected and

preserved in such a way that their value is maintained and so

that ihey remain accessible for study, display, or reproduc-

tion. The history and future commitment of the repository to

collection and data management are very important. Permit-

tees must show that they know how to collect and report on

meaningful contextual data and agree to provide this infor-

mation to the BLM.

By law, public lands are designated for multiple use. That

is, many kinds of activities are allowed and encouraged.

Mineral and energy exploration and development, timber

harvesting, and grazing return fees to the federal govern-

ment. Recreational activities such as camping, hiking, and

rockhounding are allowed and encouraged. And some re-

soiu^ces — fossils, artifacts, cultiu"al sites, threatened and en-

dangered species, and wildlife habitat — are carefully man-

aged to prevent damage and promote thoughtful use.

Land-managing agencies such as the BLM have more

than a casual interest in fossils and associated data. Decisions

about future land use are based on an understanding of what

resources exist in a given area and what their scientific,

educational, and cultiiral importance may be. Various legal

authorities, primarily the Federal Land Policy and Manage-

ment Act of 1976 (FLPMA) and the National Environmental

Policy Act of 1969 (NEPA), govern the way public lands

must be managed for multiple use and long-term productiv-

ity. These laws require that managers know what resources

exist on pubhc lantjs and that these resoiu-ces be managed for

the current and future benefit of all Americans. Scientific,

cultiu-al, and natwal aspects of the environment must be

preserved and protected. Fossils, as scientific resources, are

thus considered whenever surface disturbance or the sale or

Collecliiig Fossils on Public Lands: Managing a Scientific Resource

37

exchange of federal lands is proposed. Data supplied by

pemiittees is an integral part of tlie system of planning for

land use so tliat significant localities and specimens are not

damaged or lost in the course of any legal use of the land.

When impacts to fossils cannot be avoided, mitigation meth-

ods to offset any possible damage or loss are proposed.

Many people tJiink of "fossils" and "dinosaurs" as synony-

mous, but public lands preserve a wide variety of specimens

for both recreationiil and scientific use. Many thousands of

museum specimens of petrified wood, fossil fish, amphibians,

turtles, crocodiles, birds, and mammals have come from public

lands. A recent survey of natural history museums revealed

that nearly 50 percent of fossil specimens in their holdings

were collected from federal lands — those managed by the

BLM, U.S. Forest Service, National Park Service, and other

agencies. Federal lands are thus an important soiu-ce of re-

search and educational materials that are oft-Umits to commer-

cial exploitation and available to investigators through the

pemiit process.

OBTAINING AND WORKING UNDER A PERMIT

Permit application materials are available from any BLM

state office. Applicants may ask to work in specific areas or

on all public lands within a state. Application materials are

evaluated by BLM paleontologists and then forwarded to

BLM field offices for review. If the field-office manager and

staff agree to issue a permit, it may be valid for one to three

years and can be renewed indefinitely if all the terms and

conditions are routinely met. Permittees are required to con-

tact the field-office managers where they plan to work, to

inform them about the nature of their work and when they

plan to do it, and to submit a list of tliose working with diem.

Managers need this information in order to prevent conflicts

between various kinds of land use and to ensure public safety.

For example, a large quarry might not be permitted in areas

where threatened or endangered species live or where (here

are archaeological sites. Havards such as toxic materials or

sour gas (H,S) are identified for the permittee, and when all

such considerations have been addressed, the permit must be

countersigned by die field-office manager to be valid.

Upon finishing field work for a season, permittees must

notify the field-office manager. By Uie end of tlie calendar

year, at least a brief report which includes locality ;ind speci-

men data for all collections made from public lands must be

submitted. At the end of the year when a permit expires, the

permittee must submit a more detailed final report.

BLM and U.S. Forest Service paleontologists are work-

ing to develop a permit process that will be effective on all

the lands managed by these two agencies.

PALEONTOLOGISTS AS PARTNERS

IN RESOURCE MANAGliMENT

Paleontologists who work on lands administered by the

BLM and other federal agencies are in effect partners in the

management of these resources. Land-management agencies

can hire only a few paleontologists, so much of our expertise

and information must come from those who work with us and

have a commitment to the resource and to its best use.

Students, volunteers, amateurs, youth groups,

elderhostel participants, and many others are important

contributors to the work of permittees. All aspects of pale-

ontology— research, education, recreation, and aesthetic

appeal — can and should be satisfied on public lands. Pro-

posals for work that involves a variety of participants and

purposes are especially encouraged. Permittees may even

be asked to visit local schools or present talks for die public,

or to open their camps for a visiting day for the local

community. BLM recognizes that an interest in fossils may

spark an interest in other sciences, and that citizens who are

educated about the natural world are its best advocates.

38

International Collaboration for the Collection of Biological Materials:

Thoughts from a Mexican Perspective

Eric Mellink

Centro de Invesligacion Cientifica y de Educacidn Superior de Ensenada

During tlie Workshop on Federal and International Sci-

entific Permits, held at the San Diego Natural History Mu-

seimi, 29-31 January 1997, many participants expressed

concerns about the procedures for obtaining permits to

collect biological materials in Mexico. Among other issues

discussed were the confusion of the process and the high

(non-refundable) fee required when submitting an applica-

tion. Some participants pointed out that through involve-

ment in collaborative projects with Mexican participants as

principal investigators, acquiring the proper permits be-

came much simpler, as it was incumbent upon the latter to

obtain the permits. This commentary is a post-symposium

contribution in which I present my thoughts on such col-

laborative arrangements. 1 have been involved in collabora-

tive projects, have rejected some offers for collaboration,

and am aware of collaborative arrangements between for-

eign scientists and other Mexican scientists in which tlie

collecting permits were issued to the Mexican participant.

The thoughts 1 present are strictly my own and they do not

represent any official posture nor are they necessarily shared

by my colleagues (either Mexican or foreign).

TYPES OF COLLABORATIVE PERMITS

International collaborative projects in which tlie collect-

ing permit is held by a Mexican scientist fall within six

categories or combinations tliereof. The titles I have chosen

for these categories are not precise but represent my percep-

tion of tliem, as explained by the accompanying definitions:

( 1 ) Altruistic: "1 know that your research is good, or needed,

or fundamental, for Mexico. Therefore I will include you as

my collaborator on my collecting permit. 1 will not be a co-

author of any of tlie publications that derive from such a

collection, as I do not paiticipate. 1 am paid by knowing that

the information is being produced."

(2) Prostituted: "I put you on my permit, you put me as a

co-author on your papers."

(3) Need for knowledge (or curiosity): "1 put you on my

permit, because 1 need the knowledge that you will produce."

(4) Material exchange: "1 put you on my permit, and you

provide me with materials and equipment that are much

needed in my lab."

(5) Educational: "1 put you on my permit, and 1 will

participate (or my technician/students will) in the field/lab

work with you, because 1 want to learn the techniques (or

have my technician/students learn them)."

(6) Peer-collaboration: "I put you on my permit, you

provide a prearranged share of the logistics, and we will

jointly engage in trying to find the truth in some biological

problem. We will collect, prepare, analyze, write, and publish

the results together."

Two types of potential collaboration that I have not known

to occiu" are

(7) Compensatory funding: "I put you on my permit, and

you provide me with funding for my own research project,

(8) Commercial: "1 put you on my permit, in exchange for

a fee (euphemistically, salary compensation)."

Type 1 agreements do happen, and 1 don't find anything to

comment on them. Type 6 represents real scientific partner-

ship and should be the rule, but 1 can see the point in cases 3,

4, and 5 as well. Tliese three might help fulfill very important

necessities of some research groups that cannot be satisfied

easily other ways. Collaborative programs very often are

made up of combinations of types 3, 4, 5, and/or 6. By

diemselves, type 3, 4, and 5 collaborations should not involve

co-authorship on any papers derived from the research asso-

ciated with them. Type 7 collaboration would be equivalent

to type 4.

I find type 2 collaboration totally unacceptable. This type

can be a practical working arrangement for both parties but is

totally dishonest. Because of its refiection of the ethical integ-

rity of the participants, I would be hesitant even to trust the

results and conclusions of anyone engaged in such an arrange-

ment. Type 8 collaboration would be similaily unacceptable.

OUTCOME OF A COLLABORATIVE ARRANGEMENT

Although many, even most, international collaborative

efforts have an outcome satisfactory to all parties involved,

sometimes one or more participants feel abused. The best

way to avoid negative outcomes is the establishment of clear

rules diuing the planning of the project and sticking to them.

ITiese rules should include responsibilities (administrative,

technical, financial), use of the data, criteria for authorship in

published works, etc.

DEPOSITION OF SPECIMENS

I feel that if the specimens are collected under a permit

granted to a Mexican scientist, tlie specimens should be

deposited in a Mexican collection. If a foreign institution,

very likely the one with which the foreign scientist is affili-

ated, is interested in obtaining some of the specimens, proper

artangements should be made between the curators of both

collections. It is only fair tliat if Mexico enriches some other

country's museums witli specimens, it should also enrich its

own collections with specimens from abroad.

International Collaboration for the Collection of Biological Materials: Thoughts from a Mexican Perspective

39

When making arrangements to exchange specimens, spe-

cial care should be taken to assure tliat type specimens

remain in Mexico, available to Mexican scientists. However,

use of syntyj>es would allow for multiple repositories, per-

haps even foreign ones.

ARE YOU LOOKING FOR A MEXICAN

COLLABORATOR? : A RECOMMENDATION

Many of us have received proposals from people want-

ing us to collaborate on subjects of their interest, sometimes

very insistently. I'oreign colleagues trying to collaborate

should remember that we, too, are scientists, and that we

have our own research interests and agendas. Also, our

perception of priorities may be very different from those of

a foreign colleague, especially if he/she comes from a

country that is stxially, economically, or culturally very

different. Rather than trying to impose upon us tlieir priori-

ties, foreign researchers should explore the Mexican scien-

tific arena for colleagues working on the same subject, then

try to establish common interests and work out a collabora-

tive agenda. I do value the opinion of foreign colleagues,

but also oppose any form of academic imperialism.

One warning note is in order. liven with the best inten-

tions of the foreign scientist, the relation can be somehow

forced. Miuiy Mexican scientists ;ue not gtnid at saying "no,"

even though they would like to. I'oreign colleagues should

priKced carefully ;uid sensitively to be sure that if a Mexic;ui

counterpart agrees to collaborate, he/she really means it. Iliis

enhances the chance of a mutually satisfactory and long-

lasting relationship.

I ;un convinced tliat some retlection on the issues I liave

ptiinled out will be of value to intematiotuil scientists in acquiring

successful working a^alionsliips witli intea-sted colleagues in

Mexico or in other countries.

ACKNOWLEDGEMENTS

1 thank Amadeo Rea for useful comments.

40

Memorandum of Agreement

between the Association of Systematics Collections

and U.S. Fish and Wildlife Service

on the Donation of Undocumented Natural EUstory Collections

to Public Collections Repositories

This Memorandum Of Agreement (MO A) is entered into this 21st day of May, 1996, between the

United States Fish and Wildlife Servjce and the Association of Systematics Collections.

* WHEREAS, not-for-profit natural history museums, herbaria, university

collections, governmental institutions, and related institutions house scientific

and historically-valuable specimens of plants, animals, and microbial

organisms of scientific/educational quality as unique resources for research and

education in the public interest; and

* WHEREAS, these natural history specimens numbering in the millions play

an important role in public understanding of the need to protect natiiral

resources; and

* WHEREAS, these specimens are the primary resource for generating the

scientific knowledge necessary to use and preserve biological diversity and to

assess the need for governments to regulate access to biological resources,

including endangered species; and

* WHEREAS, spechnens collected in the past may represent locaUties or

species that have since become rare or impossible to collect, and for purposes

of conserving existing populations it is desirable to make maximum use of

already-collected and preserved materials; and

* WHEREAS, laws have been adopted at various times in various countries and

states restricting collecting and import/export of specimens, and many of these

laws have not been well-known to the general pubhc leading to confusion over

compUance with such laws and documentation of such compUance (especially

with regard to foreign laws); and

* WHEREAS, many amateur naturalists and mdividual scientists have collected

specimens in both the distant and recent past that are not now well-documented

with respect to the various permits that may have been required at the time of

collecting, yet their collections are well-documented in terms of the time and

place of collection and are highly valuable to science; and

* WHEREAS, many amateur collectors or their heirs, or scientists firom

institutions that do not maintain permanent collections, now wish to donate

their collections to permanent repository institutions; and

Memorandum of Agreement hclwccn the Association of Systematics Collections and U.S. 1 ish and 41

Wildlife Service on the Donation of Undocumented Naniral History Colleclions to Public ("olleclions Reposltones

* WHEREAS, these not-for-profit institutions are interested in accessioning the

material for research and educational purposes, including the documentation

of the world's biodiversity, but in many cases both donor and potential

recipient are concerned about the legal issues that might cloud tide to the

specimens or bring legal risk to the donor or recipient; and

* WHEREAS, it is a logistical burden to retroactively research the permits that

might have been needed at the time and place each specimen was collected and

some collectors may destroy scientifically valuable specimens in order to avoid

this burden; and

* WHEREAS, the Association of Systematics Collections (ASC) represents

legitimate not-for-profit institutions in North America that serve as permanent

repositories for scientific and educational natural history specimens; and

* WHEREAS, the U.S. Fish and Wildlife Service (FWS) has the responsibility

to enforce many of the laws and regulations of the United States with regard

to natural history specunens; and

* WHEREAS, ASC and the FWS share a desire to promote the best use of

existing specimens in the public interest, to see that the material is not lost to

science, and to promote compliance with existing laws;

NOW, THEREFORE, ASC and FWS agree to the terms of this Memorandum of Agreement as

follows:

A. Procedure. The followdng procedure may be followed by parties wishing to transfer natural

history specimens, including biological samples, of scientific/educational quality to permanent

repository institutions:

1 . The transferring party will select a repository institution, which institution must agree

to accept the specimens to be transferred. The institution must (1) be a 503(c)(3) not-

for-profit institution, a state institution with a mission of research and/or education, or

an institution meeting the definition of "Public" contained in Section 10.12 of Title 50

of the Code of Federal Regulations (C.F.R.), and (2) have a mission including the

permanent deposition of scientific and educational specimens. The specimens to be

transferred must have at least minimal data associated with them, including the date

or period when the specimens were collected.

2. The transferring party must send to FWS a completed donation form, found as

Appendix I to this memorandum. This form will serve two piuposes. First, the

transferring party will agree to abandon to FWS the specimens to be transferred. This

abandonment will take efifect only upon all parties, including FWS, having signed the

42

donation form. Second, FWS and the repository institution will agree to terms of a

donation of the abandoned specimens from FWS to the repository institution pursuant

to 50 C.F.R. § 12.36. The completed form must be signed by the transferring party,

ASC, and the repository institution. Signature by ASC will indicate ASC's agreement

that the proposed repository mstitution meets the requirements of paragraph 1 . In

addition, FWS may refuse to sign the form if FWS does not agree that the proposed

repository institution meets the requirements of paragraph 1.

3. Prior to signing the donation form, FWS may require the transferring party to make

the specimens available for inspection by FWS personnel. However, FWS will not

require inspections on a routine basis.

4. When FWS signs the donation form, FWS v^Il send copies of the form to the

transferring party, ASC, and the repository institution. The repository institution must

retain a copy of the form and make it available for inspection by any FWS law

enforcement officer.

5. The specimens must physically leave the trzinsferring party's possession within 6

months after the transferring party receives a copy of the donation form signed by

FWS. The specimens must be shipped directly from the transferring party to the

repository institution. Neither ASC nor FWS will take physical custody of any

specimens to be transferred according to this procedure. All shipping and storage

costs associated with the transfer will be paid by the transferring party or the

repository institution.

6. Once the specimens are in the possession of the repository institution, they may not

be placed on bulk loan back to the transferring party. However, the transferring party

may borrow small numbers of specimens for his/her own research use under the

normal procedures for research loans at the repository institution. Material once

deposited at the repository institution must be available for scientific use and public

access consistent with recognized museum stewardship practices, including future

inspection by Service personnel. This does not preclude futiire transfer of materials

to other public institutions, provided that accurate records are maintained of the

disposition of all material donated under this agreement.

7. ASC wiU serve as a cleziringhouse for these transfers and as a good-faith broker to

assist transferring parties, repository institutions, and FWS in transactions pursuant to

this agreement. ASC will publicize the opportunity to the professional and amateur

communities. ASC v^U provide a partial list of repository institutions that meet the

requirements of paragraph 1 to FWS and potential transferring parties, but ASC will

not choose the repository institution for specific transfers.

Memorandum of Agreement between the Association of Systcmatics Collections and U.S. Tish and 43

Wildlife Service on the Donation of Undix-iimcnted Natural History Collections to Public Collections Repositories

B. Effects. Transfers under this agreement will be accorded the following treatment by FWS:

1. FWS will not refer for prosecution any violation of law by the transferring party

stemming from missing collecting or import/export permit documentation required by

state, federal, or foreign law for specimens transferred under the procedures set forth

in Part A.

2. The provisions of 5Q. C.F.R. § 12.32 will apply to all specimens transferred under the

procedures set forth in Part A; thus, the efifect of any prior illegality will terminate with

respect to all subsequent holders.

C. Limitations and Restrictions. In addition to the limitations and restrictions set forth in Part

A, the following limitations and restrictions apply to transfers under this agreement:

1. This agreement apphes only to spechnens collected at least five years prior to the date

of this agreement, and neither imported into or exported from the United States within

the five years prior to the date of this agreement.

2. This agreement does not apply to animal specimens taken as a result of sport hunting

(1) for the sole purpose of trophy display, and (2) with no intent for use m fiiture

scientific research.

3. Commercial dealers may not act as transferring parties or repository institutions under

this agreement. For the purpose of this agreement, commercial dealer means any

person or entity who engages in the sale, resale, trade, or barter, the offering for sale,

resale, trade, or barter, or the actual or intended distribution or transfer in the pursuit

of gain or profit, of any item of wildlife, including the use of any wildlife article for

the purpose of soliciting sales, without regard to weight or quantity.

4. Persons, businesses, and organizations that are the subject of investigation involving

offenses described in Chapter 27 of Titie 18 of the United States Code (U.S.C),

including smuggling, as defined in 1 8 U.S.C. § 545, may not act as transferring parties

or repository institutions under this agreement.

5. Transferring parties must be private individuals who are U.S. residents or institutions

that do not maintain permanent collections of natural history specimens of the taxon

being donated for public use. A transferring party may receive no benefit, financial

or otherwise, from the repository institution as a result of the transfer.

6. All prohibitions, restrictions, or requirements that apply to a particular species of

wildlife or plant under the laws or regulations of any state or the United States will

remain in effect with respect to subsequent holders of all specimens tiansferred under

this agreement.

Appendix 1

DEPARTMENT OF THE INTERIOR

U.S. FISH AND WILDLIFE SERVICE

DIVISION OF LAW ENFORCEMENT

ASC/MOA

Donation Form

1. Description of collection to be donated including dates and/or period of collection and geographic origin:

2. Name of Donor

3. Address

l(we) hereby abandon and quitclaim all of my (our) nght. title and interest in and to the above-described property to the United States and waive

any further rights or proceedings relative to this property. I(we) understand and agree to abide by the tenns and conditions contained in the

attached memorandum of agreement between ASC and FWS,

4. Signature of Donor(s)

5. Date

6. Repository Institution

7. Address

l(we) understand and agree to abide by the tenns and conditions contained in 50 C.F.R. 12.36(b) and in the attactied memorandum of

agreement between ASC and FWS. I(we) understand that material once deposited at the repository institution must be available for scientific

use and public access, Including future inspection by Service personnel.

8. Signature of Repository Representative

9. Date

10. Name of ASC Representative

1 1 . Address

I (we) certify that the above named repository institution complies with all terms and/or conditions of the attacfied memorandum of agreement.

12. Signature of ASC Representative

13. Date

SERVICE USE ONLY-CERTIFICATE OF DONATION

14. Signature and Badge Number of FWS Officer

15. Date

16. Method of Transfer

17. Witness

comes OF this form will be retained by the recipient iNsmi/noN

AND WILL BE MADE AVAILABLE FOR INSPECTION BY ANY FWS OFFICER.

45

What You Need To Know...

...About Importing And

Exporting Scientific And

Museum Specimens

The Convention on International

Trade in Endangered Species

(CITES) is an international treaty

designed to protect species threat-

ened with extinction and to regu-

late or monitor trade in those spe-

cies not presently threatened with

extinction but which may become

threatened unless their trade is

regulated. CITES recognizes the

ecological role of the earth's liv-

ing resources and that trade must

be controlled to prevent the

overexploitation of species in in-

ternational trade. At the time the

treaty was drafted, countries also

recognized the important role that

museum specimens play in the pro-

tection of wild fauna and flora. The

CITES Parties granted an exemp-

tion in the treaty for a closed sys-

tem that would allow non-commer-

cial loans, donations, or exchanges

between scientific institutions that

became registered in their country.

This exemption would facilitate the

movement of herbarium speci-

mens, other preserved, dried, or

embedded museum specimens, and

live plant material that are

accessioned into a museum or sci-

entific institution.

The Certificate for Scientific Ex-

change only authorizes activities

regulated by CITES. If a species

is protected by other laws, i.e., the

U.S. Endangered Species Act

(ESA), additional permits and au-

thorizations are needed. Lists of

species protected under the ESA,

the Migratory Bird Treaty Act,

Lacey Act, Marine Mammal Pro-

tection Act, and Wild Bird Conser-

vation Act, as well as CITES are

available from the Office of Man-

agement Authority.

What is a scientific exchange

certificate?

This certificate is issued when an

institution qualifies for the exemp-

tion provided in Article VII, para-

graph 6, of the CITES treaty. This

provision exempts non-commercial

loans, donations, or exchanges be-

tween scientists of registered

CITES scientific institutions both

of which are registered with the

Management Authority of their

country from the permitting provi-

sions of Articles III, IV, and V of

the Treaty. The scientifc exchange

certificate authorizes the import,

export, and re-export of CITES-

listed animal and plant specimens

that are accessioned (part of the

collection) into a museum or sci-

entific institution. This includes

herbarium specimens, other pre-

served, dried, or embedded mu-

seum specimens, and live plant

material when they are shipped as

a non-commercial loan, donation,

or exchange between scientists of

registered scientific institutions.

Shipments must bear a label that

has been approved for use by the

Management Authority of the

country in which the receiving or

sending institution is located. Ex-

changes may only be made with

other institutions that are registered

with the CITES Secretariat. If you

are unsure whether an institution

is registered with the CITES Sec-

retariat, you may call OM A to con-

firm whether an institution is reg-

istered. A complete list of institu-

tions may be obtained by request

from the Office of Management

Authority or through the fax re-

trieval system or off the internet,

when available.

How do I use ttie Certificate for

Scientific Excliange?

The export shipment must have the

Parcel Post Customs declaration

label affixed to the outside of each

package or container. It must iden-

tify the shipper and recipient. The

letters "CITES", a description of

the contents of the shipment (such

as "herbarium specimens"), and the

scientific institution number (lo-

cated in Block 5 of the certificate)

must be entered on the Customs

label as well. The shipment must

^flK

Office of Management Authorit) • 4401 N. Fairfax Drive • Room 430 • Arlington. Virginia 22203

Phone 703.358.2 1 04 or 1 .800.358.2 1 04 • Fax 703.358.228 1

Fact Sheet Series

46

be imported through one of the

ports designated for the import and

export of wildlife. Use of non-

designated ports requires addi-

tional authorizations that may be

included on your certificate if it is

requested at the time the applica-

tion is submitted.

Why can't I collect my own

specimens with tlie scientific

exchange certificate?

The scientific exchange certificate

authorizes activities for specimens

maintained in a scientific or mu-

seum collection. IT IS NOT A

COLLECTING PERMIT.

Resolution Conf 2.14 states that

the exemption should apply to du-

plicate specimens including those

legally collected in one country for

shipment to another country, but

only as non-commercial loans, do-

nations, or exchanges between reg-

istered scientific institutions.

Specimens must be recorded as ac-

quired or authorized by the send-

ing institution. Authorization

would allow recently collected

specimens, not part of the sending

institution's actual holdings, to be

covered by the scientific exchange

exemption provided that written

authorization is made by the send-

ing institution. The authorization

must be acquired prior to any field

work; field records are deposited

with the sending institution prior

to export; full identification of the

specimens is provided to the Ser-

vice and the sending institution;

and, removal of the specimens

from the wild is not to the detri-

ment of the species concerned. To

collect specimens not already

accessioned as part of a museum

or scientific collection or autho-

rized by a scientific institution, you

would need permission in the coun-

try where you plan to collect speci-

mens as well as CITES and any

other permits required by state.

Federal or foreign law to collect,

export and import those specimens.

Collection of specimens that have

not been accessioned into a mu-

seum collection requires that the

country of export has found that the

specimens were not collected to the

detriment of the species. For spe-

cies on Appendix 1, the importing

country must make a similar find-

ing. Additionally, for any species

that is subject to more restrictive

domestic laws of either the export-

ing or importing country, the ap-

propriate permits must be issued to

authorize any activities that would

otherwise be prohibited.

Can I get one for my personal

use?

No. These certificates are issued

to museums and scientific institu-

tions only.

If I'm not selling these

specimens, why do I need a

permit?

CITES regulates trade, which in-

cludes all importing and exporting

activities, regardless of whether

commerce is involved. Conse-

quently, whenever you plan to send

CITES protected species across

international borders, you need

some type of CITES document to

accompany the shipment.

Can I use it to export or import

species listed under other

Federal laws?

No. The CITES Scientific Ex-

change certificate is only for spe-

cies listed in Appendix I, II, and

III. For species that are listed un-

der other Federal or State laws, you

will need additional authorizations

to export or import such specimens.

The authorizations must be ob-

tained from the Federal or State

agency that administers such laws.

For example, if you have speci-

mens that are listed under the Ma-

rine Mammal Protection Act, the

U.S. Endangered Species Act, the

Bald and Golden Eagle Act or the

Migratory Bird Treaty Act, you

would need specific authorizations

under those domestic laws to im-

port or export those specimens.

These authorizations may be given

under one permit in order to facili-

tate movement of the specimens

and to reduce the total amount of

paperwork required. Permits un-

der the MMPA and the ESA may

be obtained from the OMA; the

MBTA from the Regional Migra-

tory Bird Management Offices and

the Bald and Golden Eagle Act

from the Regional Offices of the

Division of Law Enforcement.

What is an ESA museum permit?

An ESA museum permit authorizes

the export and reimport of speci-

mens listed under the Act, except

bald and golden eagles, that are

already accessioned into a U.S.

museum or scientific institution.

These permits were designed to

facilitate the movement of museum

collections of species listed under

the Act between scientists or sci-

entific institutions for research or

other activities that would serve to

enhance the survival of the species.

Movement of specimens

accessioned into museum or scien-

tific collections will not jeopardize

the continued existence of the

listed species in the wild. This is a

required finding under the Act.

The museum permit does not

authorize the first-time import of

species listed under the Act; you

need a separate permit under the

^»

Office of Management Authority • 440 1 N. Fairfax Drive • Room 430 • Arlington, Virginia 22203

Phone 703.358.2104 or 1.800.358.2104 • Fax 703.358.2281

Fact Sheet Series

What You Need to Know About Importing and Iixporting Scientific and Museum Specimens

47

Act to import these specimens.

How do I use the ESA museum

permit?

Shipments must be accompanied

by three copies of each of the fol-

lowing:

♦ the permit; and

♦ the export/re-import re-

port (which is part of the spe-

cial conditions attached to the

permit).

These documents are presented at

the designated port of exit/entry for

clearance by Service Law Enforce-

ment personnel. A validated

(stamped and signed by Service

inspector) copy of the export/re-

import report must be sent to the

OMA.

What about importing marine

mammals?

You will need to obtain specific

permits to import marine mammal

scientific and biological speci-

mens. This authorization is re-

quired in addition to any CITES

and Endangered Species Act per-

mits you would need to obtain.

Authorizations for the following

marine mammals may be obtained

through OMA; polar bear, mana-

tee, sea otter, walrus, dugong, and

marine otter. Authorizations for all

other marine mammals may be

obtained through the National Ma-

rine Fisheries Service, Office of

Protected Resources, 1335 East-

West Highway, Room 8268, Sil-

ver Spring, Maryland 20910.

What ports can I use?

The Fish and Wildlife Service has

13 ports designated for the import

and export of wildlife. These ports

include; Los Angeles and San

Francisco, California; Miami,

Florida; Honolulu, Hawaii; Chi-

cago, Illinois; New Orleans, Loui-

siana; New York, New York; Se-

attle, Washington; Dallas/Ft.

Worth, Texas; Portland, Oregon;

Baltimore, Maryland; Boston,

Massachusetts; and Atlanta, Geor-

gia.

The Service may issue permits to

import or export wildlife at

nondesignated ports for scientific

purposes depending upon specific

circumstances. Information re-

garding these permits can be ob-

tained through the Service's Re-

gional Offices. In addition, wild-

life not requiring permits under

CITES, ESA, MMPA, MBTA, and

Injurious Wildlife and whose

country of origin is Canada, the

United States, or Mexico, may be

imported at certain designated bor-

der ports listed in 50 CFR Part 14.

CITES and ESA listed herbarium

specimens must be imported

through U.S. Department of Agri-

culture designated ports. Addi-

tional information regarding im-

porting plant materials may be ob-

tained from the USDA, Animal and

Plant Health Inpection Service,

Plant Protection and Quarantine,

Permit Unit, 4700 River Road, Unit

136, Riverdale, Maryland 20737,

telephone 301-734-8645.

Can I mail my shipments?

Yes and no. If the shipment con-

sists of dead, preserved, dried or

embedded scientific specimens

imported or exported by accredited

scientists or scientific institutions

for taxonomic or systematic re-

search purposes, and no permits

under CITES or ESA. the ship-

ments may be sent through the

mail. CITES and ESA listed spe-

cies cannot be mailed.

How does it get cleared?

If the shipment consists of dead,

preserved, dried or embedded sci-

entific specimens imported or ex-

ported b\ accredited scientists or

scientific institutions for taxo-

nomic or systematic research pur-

poses, and no permits under CITES

or ESA, the shipment is exempt

from clearance requirements at the

time of import A wildlife decla-

ration form. Form 3-177, must be

filed within 180 days of importa-

tion. The form may be filed with

the appropriate Assistant Regional

Director-Law Enforcement in the

Region where import occurs.

^^

Onice of Management Authority • 4401 N Faiii'ax Dnve • Room 430 • Arlington. Virginia 22203

Phone703.358.2104orl 800 358 2104 • Fax 703.358.2281

Fact Sheet Series

M

48

THE CONVENTION ON INTERNA TIONAL

TRADE IN ENDANGERED SPECIES OF

WILD FA UNA AND FLORA

^1^1

Known as: The Convention or CITES

APPENDIX I PERMITS

Protected species listed in 50 CFR 23.23

(Appendices I, II and III)

Applies only to IMPORT and EXPORT

There are over 100 Party Nations

Regulations to enforce CITES took effect in May

1977. Under these regulations, the United States

established procedures to regulate the im- port and

export of imperiled species covered by the treaty.

U.S. regulations require that imports or exports of

wildlife and plants listed on any of the three

appendices of CITES be accompanied by proper

permits or certificates of exemption. CITES

export documentation is always required; import

permits are necessary only for species listed in

Appendix I. This is explained in more detail

below.

The U.S. Fish and Wildlife Service, Office of

Management Authority (OMA), acts as the U.S.

Management Authority for CITES. This office

accepts permit applications, coordinates their

review and determines whether or not a permit or

certificate should be issued.

IMPORTANT: Some species that are protected

under CITES are also protected by other U.S. laws

under which permit requirements may be more

stringent. Stricter domestic laws of the United

States include the U.S. Endangered Spe- cies Act,

African Elephant Conservation Act, Marine

Mammal Protection Act, Wild Bird Conservation

Act, Migratory Bird Treaty Act, Eagle Protection

Act and the Lacey Act. Permit applicants must

satisfy the requirements of all laws under which a

particular species is protected. OMA may be

contacted for more information on these laws.

Most other countries also have their own stricter

domestic measures.

Appendix 1 includes species presently threatened

with extinction. The Convention's most strin- gent

controls are directed at activities involving these

species. All shipments of Appendix I species

(including parts and products) require two permits

- one from the importing country (obtained first)

and another from the exporting country. Import

for primarily commercial purposes is prohibited.

Permits are granted only when the import or

export will not be detrimen- tal to the survival of

the species. An Introduc- tion from the Sea permit

is required for the import of Appendix I specimens

taken in the marine environment not under the

jurisdiction of any country or state.

APPENDIX II PERMITS

Appendix II species are not presently threatened

with extinction but may become so unless their

trade is regulated. Import permits are not needed;

however, an export permit or reexport certificate

from the exporting country must accompany each

shipment. Appendix II export permits may be

issued for any purpose as long as the export or

reexport will not be detrimental to the survival of

the species. Reexport certificates are required for

the export of specimens that were previously

imported, including items subsequently converted

to manufactured goods. They may be issued when

evidence of legal import has been provided. An

Introduction from the Sea permit is required for

the import of Appendix II specimens taken in the

marine environment not under the jurisdiction of

any country or state.

APPENDIX III

Appendix III species are those for which any

Party has regulations within their county "for the

purpose of preventing or restricting exploitation,

U.S. Fish and Wildlife Service, Office of Management Authority, 4401 N Fairfax Drive, Room 430, Arlington, Virginia 22203 Phone:

(703) 358-2104 or 1(800) 358-2104 Fax: (703) 358-2281 FACT SHEET No.l (9/95)

•n,c Convcnfon on In.crna.umal Iradc ,n Kndangcrcd fPf-s of W>ld P^ma and^lora

Fact Sheet Series, Office of Managemenl Amhonty, U.S. Fish and VviUtl.fe SerMc.

49

and as needing the cooperation of other Parties in

control of trade." Appendix 111 species are issued

three different types of documents under CITES:

• Export Permit: Issued for specimens that

originated in a country that listed the species

on Appendix III. NOTE: The U.S. has not

listed any species on Appendix 111, so no U.S.

export permit will be issued for the export of

an Appendix III species.

• Certificate of Origin: Issued by any country

other than the listing country when the wild-

life in question originated in that country

(example: A U.S.-born blackbuck antelope

(Antilope cervicapra) is issued a Certificate of

Origin by the U.S. Management Authori- ty

for export, rather than an export permit).

• Reexport Certificate: Issued for the export of

Appendix III specimens that were pre- viously

imported into the U.S.

CERTIFICATES OF EXEMPTION

Pre-Convention Certificate: If a species was

obtained prior to its date of listing under the

Convention, it may be granted a Pre-Convention

Certificate by the management authority of the

exporting country. In the case of Appendix I

species, no import permit is required if the

Specimen is accompanied by a valid Pre-

Convention Certificate from the exporting country.

Captive-Bred Certificate/Certificate For Artifi-

cially Propagated Plants: If a species meets the

criteria for bred in captivity or artiificially

propagated as set forth in CITES Conf 2.12 or

8 17 the management authority of the exporting

country may issue a Captive-bred Certificate or

Certificate for Artificially Propagated Plants

(rather than an export permit or reexport

certificate) for the species in question. In the case

of an Appendix I species being imported for

purposes that are not primarily commercial, no

import permit is required if the specimen is

accompanied by a valid Captive-bred Certificate

or Certificate of Artificial Propagation. If

Appendix I plants are accompanied by a valid

Certificate for Artificial Propagation, whether

being imported for commercial purposes or not,

the importer need not obtain an Appendix I import

permit prior to the import of the plants.

If, on the other hand, the Appendix 1 species is a

species of wildlife and is being imported for

primarily commercial purposes, the specimen must

have originated at a facility that has been

registered with the CITES Secretariat as a facility

engaged in captive breeding Appendix I species in

accordance with CITES Conf 2.12 for primarily

commercial purposes. In this case, the

management authority of the exporting country

must issue an Export Permit (rather than a

Certificate) which specifies that the specimen

originated at a registered facility and is being

exported in accordance with Article VII(4) of the

Convention.

Scientific Exchange Certificate: Scientific

institutions are eligible for the Certificate of

Scientific Exchange which authorizes import and

export of museum and herbarium specimens.

Such specimens must be imported and exported as

non-commercial loans, donations or exchanges

between scientific institutions registered with the

CITES Secretariat.

Exceptions to Permit/Certificate Requirements:

Under CITES, when a shipment is merely tran-

siting a country, no import or export permits are

required, as long as the wildlife remains under

Customs bond. However, this varies from country

to country. In general, U.S. importers and

exporters should always check with the other

countries involved in the shipment(s) to ensure

compliance with all foreign laws. Addresses for

the management authorities in other countries may

be obtained from OMA.

CITES imposes no restrictions or controls on

shipments between States or U.S. territories,

including the District of Columbia, Guam, the

Commonwealth of Puerto Rico, the Trust

Territories, the U.S. Virgin Islands and American

Samoa.

The United States recognizes an exemption from

permit requirements for certain personal or

household effects, not including live wildlife or

plants. Parts and products of Appendix II and III

wildlife that are intended for personal use and are

accompanying personal baggage or household

effects may be imported into or exported from the

U S. without CITES documentation PROVIDED

the reciprocal foreign country does not require a

CITES permit or certificate for this type of export

50

or import. Appendix I species acquired abroad

may not be imported into the U.S. without the

required CITES permits. Furthermore, this

exemption does not apply to shipments of CITES-

protected plants.

FOREIGN DOCUMENTATION

If you are importing protected wildlife or plants

from a nation that is not a Party to CITES, you

must still obtain from that nation documents that

contain all the information normally required in

CITES export permits. On request, the Office of

Management Authority will provide you with

sample "in lieu of documentation and addresses

of the proper authorities to contact in non-CITES

nations to obtain such documents.

All plant shipments must be made through ports

designated by the U.S. Department of Agriculture

(USDA), as listed in 50 CFR 24.12, and must

comply with other USDA requirements. You may

obtain information about USDA requirements by

writing: Permit Unit, USDA, Room 638, Federal •

Building, Hyattsville, Maryland 20782 (301/436-

8645).

YOUR APPLICATION

Your application for a U.S. CITES permit or

certificate consists of two parts - the Fish and

Wildlife Service Standard Permit Application

(Form 3-200) and specific information required by

the Convention. Specific questions should be

found on the back of the CITES application form

provided by OMA. A processing fee is required

with each application.

Permit applicants should submit applications for

CITES permits or certificates at least 60 days prior

to the requested effective date. Incomplete

applications are the most frequent cause for delay

in review of permit applications. You can help

expedite review of your application by ensuring

that you supply all of the requested information.

THE SHIPMENT

All wildlife shipments must enter and leave this

country through Customs ports designated by the

U.S. Fish and Wildlife Service, as listed in 50 CFR

14.12. Currently there are 13 designated ports:

New York, NY; Miami, FL; Baltimore, MD; New

Orleans, LA; Dallas/Ft. Worth, TX; Los Angeles

and San Francisco, CA; Chicago, IL: Seattle, WA;

Honolulu, HI; Boston, MA; Newark, NJ; and

Portland, OR. If there are special circumstances

that preclude the exporter or importer from using

one of these designated ports, an Exception to

Designated Port permit is required and must be

obtained from the U.S. Fish and Wildlife Service

(USFWS), Division of Law Enforcement.

51

THE FOLLOWING CITES DOCUMENTS MUST BE PRESENTED TO THE USFWS INSPECTOR

AT THE U.S. PORT FOR IMPORT, EXPORT OR REEXPORT OF CITES SPECIES:

Appendix I

IMPORT 1) provide original

foreign to U.S.

export permit (if from

certificate

2) provide original foreign

export permit or reexport

certificate

Appendix II

1) provide original

U.S. import permit

or reexport certificate

Certificate of Origin;

Appendix III

I) provide original

foreign export permit

listing country); or

or reexport

EXPORT/ 1) provide original

REEXPORT export permit or

out of reexport certificate

U.S.

2) provide copy of

foreign import

permit

MISCELLANEOUS POINTS:

• For all imports, exports and reexports, prior

notice to the USFWS inspector and U.S.

Customs Service Inspector is vital. 72 hours

prior notice is recommended.

• Don't always assume that the USFWS

inspector or Customs inspector is familiar with

every species of wildlife. Be specific and be

prepared to provide the proper common and

scientific name when you contact them.

• All wildlife shipments must be marked on the

outside of the container with the names and

addresses of the consignor and the consignee

(exporter and importer), an accurate

identification of the species, and the numbers

of each species in the container.

• Documents that are required by USFWS at

port:

- CITES permits or certificates necessary for

Appendix I, II and III wildlife;

- Form 3-177 (Wildlife Declaration Form): an

original, plus 3 copies;

I) provide original

export permit or

reexport certificate

1) provide original

Certificate of Origin of

reexport certificate

- Copy of invoice (Pro-forma invoice if

shipment is non-commercial).

For more information write or call:

U.S. Fish and Wildlife Service

Office of Management Authority

4401 N. Fairfax Drive

Room 430

Arlington, VA 22203

Call: 1-800-358-2104

(Rev, 7/95)

- Copy of airwaybill or bill of lading;

52

^

CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES

OF WILD FAUNA AND FLORA

Second Meeting of the Conference of the Parties

San Jose (Costa Rica), 19 to 30 March 1979

RESOLUTION OF THE CONFERENCE OF THE PARTIES

Conf 2.14*

Guidelines for Non-Cnmmercial I. nan, Dnnatir^n

or Exchange of Mnseum and Herbarium Spprimpn<:

ITlT^^^^J^"' '^'''"' ^"' ^'''^''^^ ^' "^'^^ Convention provides an exemption from requirements of the

regulation of trade m specimens of species included in Appendices I II and ITI for "Ln . '^^I" cements ot the

or exchange between scent.sts or scLt-Hc mst.tut.ons r^^ a^naTel^ ntTuZ^roH: :rtatt:f""

"r-r-p:o:^;-M::t^^

^s?^f:^r d szr ;::^:;^ *^^^"^ -^^-^ --^ -^ ^'^ ^-'— ^^- - -^^r the

RECALLING the recommendations of the first meeting of the Conference of the Parties (Berne 1976) and the

special workmg session (Geneva, 1 977) on this subject; ^

THE CONFERENCE OF THE PARTIES TO THE CONVENTION

RECOMMENDS

'^ farna'anffllfaXt^r^^^^^ '''"'"' °'^'^ ^°"^^"^'°" ^« ^"'^""^^^ -'-^'^^ — rch on wild

become sofaTd "'' '" '°"'"^'"^ '"''"" ^'^'^ ''' '^''^''''''^ ^''^ ^^^'"'^^'°" °'- ^^at may

'^ foUolT'" ""'"""' ''' """''°" '" '"'"'""'= ^^'^'^^"^^ '" ^'^''^'^ ^"' P-^g-Ph 6, of the Convention as

i) registration of scientific institutions should be done in a manner that extends the exemption to all

scientific institutions meeting certain standards in each Party as determined to be bona fide upon the

advice of a Scientific Authority; P

'^ Iddre^es oHhot ^"^^"^i^.^'^^""^. —- icate to the Secretariat as soon as practicable the names and

addresses of those scientific institutions so registered, and the Secretariat without delay then

communicate this information to all other Parties;

from t"srl"r:r'"'' '"" ^'^ "'^^'"^ '''"" '^"^"'"^"^ C°-- 2- ' -^-P'^^ -ft- being amended. (Note

from the Secretariat.)

Guidelines for noncommercial loan, donation, or exchange of museum and herbarium specimens. Conf. 2.14 Resolution 53

of the Conference of the Parties. Convention of International Trade in findangered .Species of Wild fauna and Flora

iii) the requirement that the container used to transport the specimens carry a label issued or approved by a

Management Authority should be met by authorizing the use of Customs Declaration labels, provided

they bear the acronym "CITES", identification of the contents as herbarium specimens, preserved, dried

or embedded museum specimens or live plant material for scientific study, the name and address of the

sending institution and the codes of the exporting and importing institutions over the signature of a

responsible officer of that registered scientific institution; or a label issued by a Management Authority

containing the same information and the users of which would be responsible to that body;

iv) to prevent abuse of this exemption, it should be limited to shipments of legally obtained specimens

between registered scientific institutions, and if trade is to or from a non-Party, the Secretariat shall

ensure that the institution in the non-Party nation meets the same standards for registration, as indicated

by competent authorities of the non-Party government;

v) the exemption should be applied to include frozen museum specimens, duplicate herbarium specimens,

and all other types of scientific specimens named in Article VII, paragraph 6, including those that are

legally collected in one State for shipment to another State as non-commercial loans, donations, or

exchanges;

vi) the standards for registration of scientific institutions should be as follows:

(1) collections of animal or plant specimens, and records ancillary to them, permanently housed and

professionally curated;

(2) specimens accessible to all qualified users, including those from other institutions;

(3) all accessions properly recorded in a permanent catalogue;

(4) permanent records maintained for loans and transfers to other institutions;

(5) specimens acquired primarily for purposes of research that is to be reported in scientific

publications;

(6) specimens prepared and collections arranged in a manner that insures their utility;

(7) accurate data on specimen labels, permanent catalogues and other records;

(8) acquisitions and possession of specimens according with the laws of the State in which the

scientific institution is located; and

(9) all specimens of species included on Appendix I permanently and centrally housed under the direct

control of the scientific institution, and managed in a manner to preclude the use of such specimens

for decoration, trophies or other purposes incompatible with the principles of the Convention;

vii) scientists who keep private collections should be encouraged to affiliate with registered scientific

institutions in order that they may take advantage of the exemption provided in Article VII, paragraph 6;

viii) all nations should take precautions to avoid damage or loss to science of museum and herbarium

specimens or of any accompanying data;

ix) implementation of this exemption should be accomplished as soon as possible to ensure that non-

commercial exchange of scientific specimens is not interrupted and that it occurs in a way consistent

with the terms of the Convention; and

54

x) a five (5) character coding system for identifying registered institutions should be adopted; the first two

(2) characters of which would be the 2-letter code established by the International Organization for

Standardization for the nations as presented in Doc. 2.19, Annex 3; the last three (3) characters would

be a unique number assigned to each institution by a Management Authority, in the case of a Party or by

the Secretariat, in the case of a non-Party.

*'^ri5 o' *■

UNITED STATES DEPARTMEMT OF COMMERCE

National Oceanic and Atmospheric Administration

NATIONAL MARINE FISHERIES SERVICE

Silver Spring. Maryland 20910

COLLECTION, IMPORTATION AND EXPORTATION

OF MARINE MAMMAL PARTS & PRODUCTS FOR SCIENTIFIC RESEARCH

Collection, importation and exportation of marine mammal parts and products are regulated by the Marine Mammal

Protection Act (MMPA) and the Endangered Species Act (ESA). The National Manne Fishenes Service (NMFS)

issues pennits to take, import, export or conduct an otherwise prohibited activity involving protected species.

Scientific Research or Enhancement Permits

NMFS has junsdiction over import, export, and collection of marine mammals of (1) the order Cetacea (whales,

dolphins and porpoises or their parts or products); and (2) the order Pinnipedia, except walrus (seals and sea lions or

their parts or products). The MMPA and ESA place restraints on a variety of activities involvmg marine mammal parts

and products. Some of these activities are completely prohibited while others may be authorized under the terms of a

Federal permit issued by NMFS Under authority of a marine mammal permit, collection of marine mammal parts may

occur through various sources, e.g., from other permitted researchers, from animals killed for subsistence purposes, or

from animals taken or imported into the Umted States from other countries in which the manne mammal was not taken

in violation of the laws of that country or in violation of the MMPA All cetacean species under NMFS jurisdiction and

some pinniped species are listed on the Appendices to the Convention on International Trade m Endangered Species

(CITES) and in addition to a marine mammal import permit, a CITES permit is also required from the U.S. Fish and

Wildlife Service.

Requirements with regard to permitted take or import of marine mammal parts for scientific research or for deposit m a

scientific collection can be found in the Regulations Governing the Taking and Importing of Manne Mammals at 50

CFR 216.37' pubhshed in the Federal Register on May 10, 1996(61 FR 21926-21939).

Exempted Collections

Under certain provisions of the Regulations [50 CFR 216.26(a) and (b)], collecfion of certain marine mammal parts

(such as tissues, fluids or other marine mammal parts sloughed, excreted, or otherwise discharged naturally by a living

marine mammal, bones, teeth or ivory of any dead marine mammal collected from a beach or from land within 1/4 mile

of the ocean; orpartsobtainedprior to enactment of the MMPA (December 21, 1972)) for research is permitted without

prior authorization.

How to Apply

Application Instructions for a scientific research permit for collection, import or export of marine mammal parts or

products, are available from the Ofiice of Protected Resources, Permits Division, 1315 East West Hwy., Silver Sprmg,

MD 20910, Tel: 301^13-2289, Fax 301/713-0376.

Internet Access

The application instructions will also be available soon through the Office of Protected Resources Internet home page at

http://kmgfish.ssp.runfs.gov/tmcintyr/prot_res.html.

Other provisions and prohibitions for taking and importing marine mammal parts arc found at 50 CFR part 216.

SEND TO: Office of Management Authority, U.S. Fish and Wildlife Service, 4401 N. Fairfax Drive, Ariington, Virginia 22203

1 -800-358-2104 or 703-358-2104 a* no 42-ri67o

DEPARTMENT OF THE INTERIOR

US FISH AND WILDLIFE SERVICE

Federal Fish and Wildlife License/Permit Application

1. APPLICATION FOR (Indicate only one)

D IMPORT OR EXPORT LICENSE [x] PERMIT

3. APPLICANT: (Name, complete address, and ptione

number of individual, business, agency, or institution for

whicti permit is requested).

2. Brief description of activity for which requested license or

permit is needed.

Certificate of Scientific Exchange

4, ft'PPPiX:mrismMWfDUAL,amj;mstheWam^:

5 If "APPLICANr is a BUSINESS. CORPORATION, PUBUC

AGENCY. OR INSTITUTION, complete the following:

CMR OWRS, nK«SS DMS,

DATE OF BIRTH

Phone nun^ v«i^f« eriiffeyed

HEIGHT

COLO? HAIR

WEIGHT

Explain type or kind of business, agency, or institution

EYES

&o<i»a! security numt>er

Occupation

Name, Title, and Phone Number of President, Principal

Officer, Director, etc.

List any busine^, agency, or msfitutior^al affSiation havir^

to do with the wgdiife to be covered by ^is licerise/permlt.

If "APPLICANT" is a corporation, indicate State in which

incorporated

6. Location where proposed activity is to be conducted.

(List proposed U.S. port of import)

7. Do you hold any currently valid Federal fish and wildlife

license or permit? D YES D NO

(If yes, list license or permit number)

9. Check or money order (if applicable) Payable to the

U.S. FISH AND WILDUFE SERVICE enclosed in the

amount of see fee schedule.

8. If required by state or foreign govemment, do you have their

approval to conduct the activity you propose?

DYES DNO (If yes, list license or permit number)

1 0. DESIRED EFFECTIVE DATE 1 1 . DURATION NEEDED

12. Attachments. The specific information required for the type of license/permit requested [see 50CFR 13.12(b)] mustlje

attached. It constitutes an integral part of this application. List sections of 50 CFR under which attachments are provided.

50 CFR 13 AND 23 (See continuation sheet)

CERTIFICATION

I hereby certify that I have read and am familiar with the regulations contained in Title 50, Part 1 3, of the Code of Federal

Regulations and the other applicable parts in sulxhapter B of Chapter I of Title 50, and I further certify that the information

submitted in this application for a license/permit is complete and accurate to the t)est of my knowledge and belief I understand

that any false statement herein may subject me to the criminal penalties of 18 U.S.C. 1001 .

SIGNATURE (IN INK) Applicant listed in 3 above or Principal Officer listed in 5 above must sign.

3-200(6/74)

DATE

I

Application Continuation Shed

i CERTIFICATE OF SCIENTIFIC EXCHANGE ""

Please be aware that a COSE permit only authorizes activities for preserved, dried, or embedded specimens. If you have

'. specimens protected by the Endangered Species Act, Marine Mammal Protection Act, Migratory Bird Treaty Ad, or Bald Eagle

Protection Act, that are notpre-Act contact OMAfor an application to export or re-import those specimens.

Please answer the following If you answer "no" to any- of the questions, provide an explanation as you may need to obtain separate

ipemuts for certain specimens.

Dyes Dno 1 . Are you an acaedited member of the American Association of Sj-stematic Collections?

Dyes Dno 2. Are your collections and associated data permanently housed and professionaUy curated?

As appropriate, indicate approximate number of accessioned specimens:

Mammals Birds

Insects/ Arachnids Other Invotebrates

Reptiles/ Amphibians Vascular Plants

Fish Other (specify) _

Dyes Dno 3. Do you maintain an\' Marine Mammal Specimens?

Dyes Dno Do you maintain an>' Migratory Treaty Act Specimens?

DyesD no 4. Are specimens accessible to qualified users from outside your institution?

Indicate approximate number of

In the United States Outside the United States

Loans last year:

Exchanges last year:

Donations last year:

Are all accessions properly recorded in a permanent catalogue?

Are permanent records maintained on loans and transfers of specimens?

/^re specimens acquired pnmarily for the purpose of research, the results of v\hich are to be reported in scientific

publications''

Are specimens prepared and the collections arranged in a manner that insures their availabihty?

Are data on specimen labels, permanent catalogues, and other records as accurate as possible?

To the best of \'Our knowledge, were the specimens in your collection acquired legall>' under the relevant laws of the

United States?'

Are all specimens of species included on Appendix I of the Convention on International Trade in Endangered

Species permanently and centrally housed under your direct controP

Are Appendix I specimens managed in such a manner to preclude their use as decorations or trophies, «• for other

purposes incompatible with the principles of the Convention on International Trade in Endangered Species?

List the US ports through which the exports and/or imports will occur. If no port is indicated, export and/or import

must be through a designated port.

58

PERMIT APPLICATION FORM INSTRUCTIONS

A standard License/Permit Form 3-200 has been designed to assist persons applying for all U.S. Fish and WildHfe Service

permits. In addition to the Form 3-200, attachments are necessary to provide the additional information required for each specific

type of permit. A complete application prevents delays caused by the applicant having to supply more information at a later date.

I

Most of the application form is self-explanatory, but the following provides some further assistance for completing each

numbered block.

1 . "Application for" - The permit box should be marked. \^\

2. "Brief description of activity for which requested license or permit is needed" - Write a brief statement of the proposed

activity and its purpose.

3. "Applicant" - Use complete name including middle name or initial of the responsible party, who will also be the permittee

if a permit is issued. If the applicant is doing business under a business name, include that business name. Provide the

complete address and phone number, including zip and area codes.

4. "If applicant is an individual, complete the following" - Enter information that identifies the applicant. If the applicant is

a corporation, institution, or other legal entity, block 5 should be filled out, and block 4 should be marked "not applicable."

5. "If applicant is a business corporation, public agency, or institution, complete the following" - Give a brief description

of the type of business the applicant is engaged in, the name and phone number of the person fully or partly in charge, and ifi

the company is incorporated, the state in which it was incorporated. If block 4 is completed, mark "not applicable" in this

space.

6. "Location where proposed activity is to be conducted" - Give the address or geographical location where the desired

activity is to take place. This should include such information as the location where wildlife or plants would be removed

from the wild, where experiments would be conducted, where commercial products would be held, or the ports through

which import or export would occur.

7. "Do you hold any currently valid Federal Fish and Wildlife license or permits?" - Check the appropriate box. If "yes"

list the complete license or permit numbers.

8. "If required by any state or foreign government, do you have their approval to conduct the activity you propose?" -

If the proposed activity is regulated, check the appropriate box. If "yes", list the state or foreign countries involved and type

of document required. Include a copy of these documents with the application. If "no" indicate what steps you have taken

to secure approval (use attachment if necessary). If the proposed activity is not regulated write "not required" in this block.

9. "Certified or personal check or money order (if applicable)" - There is a permit processing fee unless you are fee

exempt. Consult enclosed FEE SCHEDULE. The check (does not need to be certified) or money order should be made

payable to the U.S. Fish and Wildlife Service and attached to the application form. If fee exempt, write "exempt" in this

space.

10. "Desired effective date" - Insert the earliest date you want to conduct the activity.

1 1. "Duration needed" - Most permits have a limited duration, but the applicant should insert the desired duration of the

permit. Otherwise the permit will be limited to the shortest reasonable time needed, in the Service's best estimate, to

complete the permitted activity.

12. "Attachments" - Consult the fact sheet or regulation. Provide any required additional information on the reverse of the

application form or on attachment sheets (plain paper). Be as complete and descriptive as possible. If there is any doubt as

to the information's relevance, include it with the application. An incomplete or unclear application may be denied or will

cause delays in processing.

"CERTIFICATION" - The individual applicant or the person named in block 5 must sign and date the application in the

space provided. This signature binds that person to the statement of certification. Be sure to read the statement and re-read

the application before signing.

If you have additional questions about the application or the regulations, please write the U.S. Fish and Wildlife Service, Office of

Management Authority, 4401 N. Fairfax Drive, Room 432, Arlington, VA 22203, phone: 1-800-358-2104 or 703-358-2104.

59

Application for Federal Fish and Wildlife License/Permit

PRIVACY ACT - NOTICE

In accordance with the Privacy Act of 1974 (5 U.S.C. 552a), please be advised that:

1. The gathering of information on fish and wildlife is authorized by:

(a) Bald Eagle Protection Act (16 U.S.C. 663a); (b) Endangered Species Act of 1973 (16 U.S.C.

1539); (c) Migratory Bird Treaty Act (16 U.S.C. 703-71 1); (d) Marine Mammal Protection Act of

1972 (16 U.S.C. 1371-1383); (e) Lacey Act (18 U.S.C. 42 & 44); and (f) Title 50, Part 13, of the

Code of Federal Regulations.

2. Submission of requested information is required in order to process applications for licenses

or permits authorized under the above acts. With the exception of your social security

number, failure to provide all requested information will be sufficient cause for the U.S. Fish

and Wildlife Service to deny a permit.

3. Applications for license or permits authorized under the Endangered Species Act of 1973 (16

U.S.C. 1539) and the Marine Mammal Protection Act of 1972 (16 U.S.C. 1371-1383) will be

published in the Federal Register as required by the two acts.

4. In the event a violation of a statute, regulations, rule, order, or license, whether civil,

criminal, or regulatory in nature is discovered during the application review process, the

requested information may be transferred to the appropriate Federal, State, local, or

foreign agency charged with investigating or prosecuting such violations.

5. In the event of litigation involving the records or the subject matter of the records, the

requested information may be transferred to the U.S. Department of Justice or

appropriate law enforcement authorities.

6. Information provided in the application may be disclosed to subject matter experts, and

State and other Federal agencies, for the sole purpose of obtaining advice relevant to

issuance of the permit.

7. For individuals, personal information such as home address and telephone number,

financial data, and personal identifiers (social security number, birth date, etc.) will be

removed prior to any release of the application.

FREEDOM OF INFORMATION ACT - NOTICE

8. For organizations, businesses, or individuals operating as a business (i.e., permittees not

covered by the Privacy Act), we request that you identify any information that should be

considered privileged and confidential business information to allow the Service to meet its

responsibilities under FOIA. Confidential business information must be clearly marked

"Business Confidential" at the top of the letter or page and each succeeding page, and must be

accompanied by a nonconfidential summary of the confidential information. The

nonconfidential summary and remaining documents may be made available to the public under

FOIA [43 CFR 2.13(c)(4), 43 CFR 2.15(d)(1)(i)].

60

SEND TO: Office of Management Authority, U.S. Fish and Wildlife Service, 4401 N. Fairfax Drive, Ariington, Virginia 22203

1 -800-358-2 1 04 or 703-358-2 1 04 owe no «-ri67o

DEPARTMENT OF THE INTERIOR

US FISH AND WILDLIFE SERVICE

Federal Fish and Wildlife License/Permit Application

3. APPLICANT: (Name, complete address, and phone

number of individual, business, agency, or institution for

which permit is requested).

1. APPUCATION FOR (Indicate only one)

D IMPORT OR EXPORT LICENSE [x] PERMIT

2. Brief description of activity for which requested license or

permit is needed.

EXPORT OF SAMPLES COLLECTED FROM CITES

AND/OR ESA-LISTED WILDLIFE

4. If "APPUCANT" is an /NDMDOAL, complete the following:

5. If "APPLICANr is a BUSINESS. CORPORATION, PUBUC

AGENCY, OR INSTITUTION, complete the following:

DMR DMRS DMISS DMS

DATE OF BIRTH

Phone number where employed

HEIGHT

COLOR HAiR

WEIGHT

Explain type or kind of business, agency, or institution

EYES

Social security number

Occupation

Name, Title, and Phone Number of President, Principal

Officer, Director, etc.

List any business, agency, or institutional affiliation having

to do with the wildlife to be covered by this license/permit.

If "APPLICANT" is a corporation, indicate State in which

incorporated

6. Location where proposed activity is to be conducted.

(List proposed U.S. port of import)

7. Do you hold any currentiy valid Federal fish and wildlife

license or pemiit? DYES D NO

(If yes, list license or permit number)

9. Check or money order (if applicable) Payable to the

U.S. FISH AND WILDUFE SERVICE enclosed in ttie

amount of $25.00

8. If required by state or foreign govemment, do you have their

approval to conduct the activity you propose?

DYES DNO (If yes, list license or permit number)

1 0. DESIRED EFFECTIVE DATE 1 1 . DURATION NEEDED

12. Attachments. The specific information required for the type of license/permit requested [see 50 CFR 1 3.12(b)] must be

attached. It constitutes an integral part of this application. List sections of 50 CFR under which attachments are provkJed.

50 CFR 13, 17, AND 23 (See continuation sheet)

CERTIFICATION

I hereby certify that I have read and am familiar with the regulations contained in Titie 50, Part 1 3, of the Code of Federal

Regulations and the other applicable parts in sut»chapter B of Chapter I of Titie 50, and I further certify that the infonnation

submitted in this application for a license/permit is complete and accurate to the best of my knowledge and tielief. I understand

that any false statement herein may subject me to the criminal penalties of 18 U.S.C. 1001 .

SIGNATURE (IN INK) Applicant listed in 3 above or Principal Officer listed in 5 above must sign.

3-200 (6/74)

DATE

Application form for export of samples collected from CITES and/or CSA-Listed Wildlife (form 3-200) plus excerpts

from Code of Federal Register. Office of Management Authority. U.S. Fish and Wildlife Service

61

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62

PERMIT APPLICATION FORM INSTRUCTIONS ^

A standard License/Permit Form 3-200 has been designed to assist persons applying for all U.S. Fish and Wildlife Service |

permits. In addition to the Form 3-200, attachments are necessary to provide the additional information required for each specific

type of permit. A complete application prevents delays caused by the applicant having to supply more information at a later date.

Most of the application form is self-explanatory, but the following provides some further assistance for completing each

numbered block.

1 . "Application for" - The permit box should be marked.

2. "Brief description of activity for which requested license or permit is needed" - Write a brief statement of the proposed

activity and its purpose.

3. "Applicant" - Use complete name including middle name or initial of the responsible party, who will also be the permittee

if a permit is issued. If the applicant is doing business under a business name, include that business name. Provide the

complete address and phone number, including zip and area codes.

4. "If applicant is an individual, complete the following" - Enter information that identifies the applicant. If the applicant is

a corporation, institution, or other legal entity, block 5 should be filled out, and block 4 should be marked "not applicable."

5. "If applicant is a business corporation, public agency, or institution, complete the following" - Give a brief description

of the type of business the applicant is engaged in, the name and phone number of the person fully or partly in charge, and if

the company is incorporated, the state in which it was incorporated. If block 4 is completed, mark "not applicable" in this

space.

6. "Location where proposed activity is to be conducted" - Give the address or geographical location where the desired

activity is to take place. This should include such information as the location where wildlife or plants would be removed

from the wild, where experiments would be conducted, where commercial products would be held, or the ports through

which import or export would occur.

7. "Do you hold any currently valid Federal Fish and Wildlife license or permits?" - Check the appropriate box. If "yes"

list the complete license or permit numbers.

8. "If required by any state or foreign government, do you have their approval to conduct the activity you propose?" -

If the proposed activity is regulated, check the appropriate box. If "yes", list the state or foreign countries involved and type

of document required. Include a copy of these documents with the application. If "no" indicate what steps you have taken

to secure approval (use attachment if necessary). If the proposed activity is not regulated write "not required" in this block.

9. "Certified or personal check or money order (if applicable)" - There is a permit processing fee unless you are fee

exempt. Consult enclosed FEE SCHEDULE. The check (does not need to be certified) or money order should be made

payable to the U.S. Fish and Wildlife Service and attached to the application form. If fee exempt, write "exempt" in this

space.

10. "Desired effective date" - Insert the earliest date you want to conduct the activity.

11. "Duration needed" - Most permits have a limited duration, but the applicant should insert the desired duration of the

permit. Otherwise the permit will be limited to the shortest reasonable time needed, in the Service's best estimate, to

complete the permitted activity.

12. "Attachments" - Consult the fact sheet or regulation. Provide any required additional information on the reverse of the

application form or on attachment sheets (plain paper). Be as complete and descriptive as possible. If there is any doubt as

to the information's relevance, include it with the application. An incomplete or unclear application may be denied or will

cause delays in processing.

"CERTIFICATION" - The individual applicant or the person named in block 5 must sign and date the application in the

space provided. This signature binds that person to the statement of certification. Be sure to read the statement and re-read

the application before signing.

If you have additional questions about the application or the regulations, please write the U.S. Fish and Wildlife Service, Office of

Management Authority, 4401 N. Fairfax Drive, Room 432, Ariington, VA 22203, phone: 1-800-358-2104 or 703-358-2104.

63

Application for Federal Fish and Wildlife License/Permit

PRIVACY ACT - NOTICE

In accordance with the Privacy Act of 1974 (5 U.S.C. 552a), please be advised that:

1 . The gathering of information on fish and wildlife is authorized by:

(a) Bald Eagle Protection Act (16 U.S.C. 663a); (b) Endangered Species Act of 1973 (16 U.S.C.

1539); (c) Migratory Bird Treaty Act (16 U.S.C. 703-71 1); (d) Marine Mammal Protection Act of

1972 (16 U.S.C. 1371-1383); (e) Lacey Act (18 U.S.C. 42 & 44); and (f) Title 50, Part 13, of the

Code of Federal Regulations.

2. Submission of requested information is required in order to process applications for licenses

or permits authorized under the above acts. With the exception of your social security

number, failure to provide all requested information will be sufficient cause for the U.S. Fish

and Wildlife Service to deny a permit.

3. Applications for license or permits authorized under the Endangered Species Act of 1973 (16

U.S.C. 1539) and the Marine Mammal Protection Act of 1972 (16 U.S.C. 1371-1383) will be

published in the Federal Register as required by the two acts.

4. In the event a violation of a statute, regulations, rule, order, or license, whether civil,

criminal, or regulatory in nature is discovered during the application review process, the

requested infornnation may be transferred to the appropriate Federal, State, local, or

foreign agency charged with investigating or prosecuting such violations.

5. In the event of litigation involving the records or the subject matter of the records, the

requested information may be transferred to the U.S. Department of Justice or

appropriate law enforcement authorities.

6. Information provided in the application may be disclosed to subject matter experts, and

State and other Federal agencies, for the sole purpose of obtaining advice relevant to

issuance of the permit.

7. For individuals, personal information such as home address and telephone number,

financial data, and personal identifiers (social security number, birth date, etc.) will be

removed prior to any release of the application.

FREEDOM OF INFORMATION ACT - NOTICE

8. For organizations, businesses, or individuals operating as a business (i.e., permittees not

covered by the Privacy Act), we request that you identify any information that should be

considered privileged and confidential business information to allow the Service to meet its

responsibilities under FOIA. Confidential business information must be clearly marked

"Business Confidential" at the top of the letter or page and each succeeding page, and must be

accompanied by a nonconfidential summary of the confidential information. The

nonconfidential summary and remaining documents may be made available to the public under

FOIA [43 CFR 2.13(c)(4), 43 CFR 2.15(d)(1)(i)].

64

Subpart C ~ Permit Administration

§ 13.21 Issuance of permits.

(a) No permit may be issued prior to the

receipt of a written application therefor, unless a

written variation from the requirements, as

authorized by § 13.4, is inserted into the official

file of the Bureau. An oral or written

representation of an employee or agent of the

United States Government, or an action of such

employee or agent, shall not be construed as a

permit unless it meets the requirements of a

permit as defined in 50 CFR 10.12.

(b) Upon receipt of a properly executed

application for a permit, the Director shall issue

the appropriate permit unless:

(1 ) The applicant has been assessed a civil

penalty or convicted of any criminal provision

of any statute or regulation relating to the

activity for which the application is filed, if such

assessment or conviction evidences a lack of

responsibility.

(2) The applicant has failed to disclose

material information required, or has made false

statements as to any material fact, in connection

with his application;

(3) The applicant has failed to demonstrate

a valid justification for the permit and a showing

of responsibility;

(4) The authorization requested potentially

threatens a wildlife or plant population, or

(5) The Director finds through further

inquiry or investigation, or otherwise, that the

applicant is not qualified.

(c) Disqualifying factors. Any one of the

following will disqualify a person from

receiving permits issued under this Part.

( 1 ) A conviction, or entry of a plea of

guilty or nolo contendere, for a felony violation

of the Lacey Act, the Migratory Bird Treaty Act,

or the Bald and Golden Eagle Protection Act

disqualifies any such person from receiving or

exercising the privileges of a permit, unless such

disqualification has been expressly waived by

the Director in response to a written petition.

(2) The revocation of a permit for reasons

found in § 13.28 (a)(1) or (a)(2) disqualifies any

such person from receiving or exercising the

privileges of a similar permit for a period of five

years from the date of the final agency decision

on such revocation.

(3) The failure to pay any required fees or

assessed costs and penalties, whether or not

reduced to judgement disqualifies such person

from receiving or exercising the privileges of a

permit as long as such moneys are owed to the

United States. This requirement shall not apply

to any civil penalty presently subject to

administrative or judicial appeal; provided that

the pendency of a collection action brought by

the United States or its assignees shall not

constitute an appeal within the meaning of this

subsection.

(4) The failure to submit timely, accurate,

or valid reports as required may disqualify such

person from receiving or exercising the

privileges of a permit as long as the deficiency

exists.

(d) Use of supplemental information. The

issuing officer, in making a determination under

this subsection, may use any information

available that is relevant to the issue. This may

include any prior conviction, or entry of a plea

of guilty or nolo contendere, or assessment of

civil or criminal penalty for a violation of any

Federal or State law or regulation governing the

permitted activity. It may also include any prior

permit revocations or suspensions, or any

reports of State or local officials. The issuing

officer shall consider all relevant facts or

information available, and may make

independent inquiry or investigation to verify

information or substantiate qualifications

asserted by the applicant.

(e) Conditions of issuance and acceptance.

(1) Any permit automatically incorporates

within its terms the conditions and requirements

of Subpart D of this part and of any part(s) of

section(s) specifically authorizing or governing

the activity for which the permit is issued.

(2) Any person accepting and holding a

permit under this Subchapter B acknowledges

the necessity for close regulation and

monitoring of the permitted activity by the

Government. By accepting such permit, the

permittee consents to and shall allow entry by

agents or employees of the Service upon

premises where the permitted activity is

conducted at any reasonable hour. Service

agents or employees may enter such premises to

(CFR 10/1/95)

Application form for export of samples collected from CITES and/or CSA Listed Wildlife (form 3-00) plus excerpts

from Code of Federal Register. Office of Management Authority, U.S. Fish and Wildlife Service

65

inspect the location; any books, records, or

permits required to be kept by this Subchapter

B; and any wildlife or plants kept under

authority of the permit.

(f) Term of permit. Unless otherwise

modified, a permit is valid during the period

specified on the face of the permit. Such period

shall include the effective date and the date of

expiration.

(g) Denial. The issuing officer may deny a

permit to any applicant who fails to meet the

issuance criteria set forth in this section or in the

part(s) or section(s) specifically governing the

activity for which the permit is requested.

[39 FR 1 161, Jan. 4, 1974, as amended at 42 FR 32377,

June 24, 1977; 47 FR 30785, July 15, 1982; 54 FR 38148,

Sept. 14, 1989]

§ 13.22 Renewal of permits.

(a) Application for renewal. Applicants

for renewal of a permit must submit a written

application at least 30 days prior to the

expiration date of the permit. Applicants must

certify in the form required by § 13.12(a)(5) that

all statements and information in the original

application remain current and correct, unless

previously changed or corrected. If such

information is no longer current or correct, the

applicant must provide corrected information.

(b) Renewal criteria. The Service shall

issue a renewal of a permit if the applicant

meets the criteria for issuance in § 13.21(b) and

is not disqualified under § 13.21(c).

(c) Continuation of permitted activity. Any

person holding a valid, renewable permit, who

has complied with this section, may continue the

activities authorized by the expired permit until

the Service has acted on such person's

application for renewal.

(d) Denial. The issuing officer may deny

renewal of a permit to any applicant who fails to

meet the issuance criteria set forth in § 13.21 of

this part, or in the part(s) or section(s)

specifically governing the activity for which the

renewal is requested.

[54 FR 38148, Sept. 14, 1989]

§13.23 Amendment of permits.

(a) Permittee's request. Where

circumstances have changed so that a permittee

desires to have any condition of his permit

modified, such permittee must submit a full

written justification and supporting information

in conformity with this part and the part under

which the permit was issued.

(b) Service reservation. The Service

reserves the right to amend any permit for just

cause at any time during its term, upon written

finding of necessity.

(c) Change of name or address. A

permittee is not required to obtain a new permit

if there is a change in the legal individual or

business name, or in the mailing address of the

permittee. A permittee is required to notify the

issuing office within 10 calendar days of such

change. This provision does not authorize any

change in location of the conduct of the

permitted activity when approval of the location

is a qualifying condition of the permit.

[54 FR 38148, Sept. 14, 1989]

§ 13.24 Right of succession by certain

persons.

(a) Certain persons, other than the

permittee are granted the right to carry on a

permitted activity for the remainder of the term

of a current permit provided they comply with

the provisions of paragraph (b) of this section.

Such persons are the following:

(1) The surviving spouse, child, executor,

administrator, or other legal representative of a

deceased permittee; and

(2) A receiver or trustee in bankruptcy or a

court designated assignee for the benefit of

creditors.

(b) In order to secure the right provided in

this section the person or persons desiring to

continue the activity shall fiimish the permit to

the issuing officer for endorsement within 90

days from the date the successor begins to carry

on the activity.

[54 FR 38149, Sept. 14, 1989]

§ 13.25 Permits not transferable; agents.

(CFR 10/1/95)

66

(a) Permits issued under this part are not

transferable or assignable. Some permits

authorize certain activities in connection with a

business or commercial enterprise and in the

event of any lease, sale, or transfer of such

business entity, the successor must obtain a

permit prior to continuing the permitted activity.

However, certain limited rights of succession

are provided in § 13.24.

(b) Except as otherwise stated on the face

of the permit, any person who is under the direct

control of the permittee, or who is employed by

or under contract to the permittee for purposes

authorized by the permit, may carry out the

activity authorized by the permit, as an agent for

the permittee.

[54 FR 38149, Sept. 14, 1989]

§ 13.26 Discontinuance of permit activity.

When a permittee, or any successor to a

permittee as provided for by § 13.24,

discontinues activities authorized by a permit,

the permittee shall within 30 calendar days of

the discontinuance return the permit to the

issuing office together with a written statement

surrendering the permit for cancellation. The

permit shall be deemed void and cancelled upon

its receipt by the issuing office. No refund of

any fees paid for issuance of the permit or for

any other fees or costs associated with a

permitted activity shall be made when a permit

is surrendered for cancellation for any reason

prior to the expiration date stated on the face of

the permit.

Such suspension shall remain in effect until the

issuing officer determines that the permittee has

corrected the deficiencies.

(b) Procedure for suspension. (1) When

the issuing officer believes there are valid

grounds for suspending a permit the permittee

shall be notified in writing of the proposed

suspension by certified or registered mail. This

notice shall identify the permit to be suspended,

the reason(s) for such suspension, the actions

necessary to correct the deficiencies, and inform

the permittee of the right to object to the

proposed suspension. The issuing officer may

amend any notice of suspension at any time.

(2) Upon receipt of a notice of proposed

suspension the permittee may file a written

objection to the proposed action. Such objection

must be in writing, must be filed within 45

calendar days of the date of the notice of

proposal, must state the reasons why the

permittee objects to the proposed suspension,

and may include supporting documentation.

(3) A decision on the suspension shall be

made within 45 days after the end of the

objection period. The issuing officer shall notify

the permittee in writing of the Service's decision

and the reasons therefore. The issuing officer

shall also provide the applicant with the

information concerning the right to request

reconsideration of the decision under § 13.29 of

this part and the procedures for requesting

reconsideration.

[54 FR 38149, Sept. 14, 1989]

§ 13.28 Permit revocation.

[54 FR 38149, Sept. 14, 1989]

§ 13.27 Permit suspension.

(a) Criteria for suspension. The privileges

of exercising some or all of the permit authority

may be suspended at any time if the permittee is

not in compliance with the conditions of the

permit, or with any applicable laws or

regulations governing the conduct of the

permitted activity. The issuing officer may also

suspend all or part of the privileges authorized

by a permit if the permittee fails to pay any fees,

penalties or costs owed to the Government.

(a) Criteria for revocation. A permit may

be revoked for any of the following reasons:

(1) The permittee willfully violates any

Federal or State statute or regulation, or any

Indian tribal law or regulation, or any law or

regulation of any foreign country, which

involves a violation of the conditions of the

permit or of the laws or regulations governing

the permitted activity; or

(2) The permittee fails within 60 days to

correct deficiencies that were the cause of a

permit suspension; or

(3) The permittee becomes disqualified

under § 13.21(c) of this part; or

(CFR 10/1/95)

. .■ . „ f^rn, f .r ^xixirt of samples collected from CITCS and/or ESA-L.stcd W.ldlifc (form 3-200) plus excerpts

AppUcatton fo^rm^for export^of^^^^^^^^ of Management Anthonty, U.S. F.sh and Wt.dl.fe Serv.ce

67

(4) A change occurs in the statute or

regulation authorizing the permit that prohibits

the continuation of a permit issued by the

Service; or

(5) The population(s) of the wildlife or

plant that is subject of the permit declines to the

extent that continuation of the permitted activity

would be detrimental to maintenance or

recovery of the affected population.

(b) Procedure for revocation. (1) When the

issuing officer believes there are valid grounds

for revoking a permit, the permittee shall be

notified in writing of the proposed revocation by

certified or registered mail. This notice shall

identify the permit to be revoked, the reason(s)

for such revocation, the proposed disposition of

the wildlife, if any, and inform the permittee of

the right to object to the proposed revocation.

The issuing officer may amend any notice of

revocation at any time.

(2) Upon receipt of a notice of proposed

revocation the permittee may file a written

objection to the proposed action. Such objection

must be in writing, must be filed within 45

calendar days of the date of the notice of

proposal, must state the reasons why the

permittee objects to the proposed revocation,

and may include supporting documentation.

(3) A decision on the revocation shall be

made within 45 days after the end of the

objection period. The issuing officer shall

notify the permittee in writing of the Service's

decision and the reasons therefore, together with

the information concerning the right to request

and the procedures for requesting

reconsideration.

(4) Unless a permittee files a timely

request for reconsideration, any wildlife held

under authority of a permit that is revoked must

be disposed of in accordance with instructions

of the issuing officer. If a permittee files a

timely request for reconsideration of a proposed

revocation, such permittee may retain

possession of any wildlife held under authority

of the permit until final disposition of the appeal

process.

[54 FR 38149, Sept. 14, 1989]

§ 13.29 Review procedures.

(CFR 10/1/95)

(a) Request for reconsideration. Any

person may request reconsideration of an action

under this part if that person is one of the

following:

(1) An applicant for a permit who has

received written notice of denial;

(2) An applicant for renewal who has

received written notice that a renewal is denied;

(3) A permittee who has a permit amended,

suspended, or revoked, except for those actions

which are required by changes in stattites or

regulations, or are emergency changes of limited

applicability for which an expiration date is set

within 90 days of the permit change; or

(4) A permittee who has a permit issued or

renewed but has not been granted authority by

the permit to perform all activities requested in

the application, except when the activity

requested is one for which there is no lawful

authority to issue a permit.

(b) Method of requesting reconsideration.

Any person requesting reconsideration of an

action under this part must comply with the

following criteria:

(1) Any request for reconsideration must

be in writing, signed by the person requesting

reconsideration or by the legal representative of

that person, and must be submitted to the issuing

officer.

(2) The request for reconsideration must be

received by the issuing officer within 45

calendar days of the date of notification of the

decision for which reconsideration is being

requested.

(3) The request for reconsideration shall

state the decision for which reconsideration is

being requested and shall state the reason(s) for

the reconsideration, including presenting any

new information or facts pertinent to the issue(s)

raised by the request for reconsideration.

(4) The request for reconsideration shall

contain a certification in substantially the same

form as that provided by § 13.12(a)(5). If a

request for reconsideration does not contain

such certification, but is otherwise timely and

appropriate, it shall be held and the person

submitting the request shall be given written

notice of the need to submit the certification

within 15 calendar days. Failure to submit

certification shall result in the request being

rejected as insufficient in form and content.

68

(c) Inquiry by the Service. The Service

may institute a separate inquiry into the matter

under consideration.

(d) Determination of grant or denial of a

request for reconsideration. The issuing officer

shall notify the permittee of the Service's

decision within 45 days of the receipt of the h:oma\faxbackjieg\i3c

request for reconsideration. This notification

shall be in writing, shall state the reasons for the

decision, and shall contain a description of the

evidence which was relied upon by the issuing

officer. The notification shall also provide

information concerning the right to appeal, the

official to whom an appeal may be addressed,

and the procedures for making an appeal.

(e) Appeal. A person who has received an

adverse decision following submission of a

request for reconsideration may submit a written

appeal to the Regional Director for the region in

which the issuing office is located, or to the

Director for offices which report directly to the

Director. An appeal must be submitted within

45 days of the date of the notification of the

decision on the request for reconsideration. The

appeal shall state the reason(s) and issue(s) upon

which the appeal is based and may contain any

additional evidence or arguments to support the

appeal.

(f) Decision on appeal. (1) Before a

decision is made concerning the appeal the

appellant may present oral arguments before the

Regional Director or the Director, as

appropriate, if such official judges oral

arguments are necessary to clarify issues raised

in the written record.

(2) The Service shall notify the appellant

in writing of its decision within 45 calendar

days of receipt of the appeal, unless extended

for good cause and the appellant notified of the

extension.

(3) The decision of the Regional Director

or the Director shall constitute the final

administrative decision of the Department of the

Interior.

[54 FR 38149, Sept. 14,1989]

(CFR 10/1/95)

69

ENDANGERED AND THREATENED WILDLIFE - EXCERPTS FROM

50CFR17

§ 17.3 Definitions.

In addition to the definitions contained in part 10 of

this subchapter, and unless the context otherwise

requires, in this part 1 7:

Act means the Endangered Species Act of 1973 (16

U.S.C. 1531-1543; 87 Stat. 884);

*****

Bred in captivity or captive-bred refers to wildlife,

including eggs, bom or otherwise produced in captivity

from parents that mated or otherwise transferred

gametes in captivity, if reproduction is sexual, or from

parents that were in captivity when development of the

progeny began, if development is asexual.

Captivity means that living wildlife is held in a

controlled environment that is intensively manipulated

by man for the purpose of producing wildlife of the

selected species, and that has boundaries designed to

prevent animal, eggs or gametes of the selected species

from entering or leaving the controlled environment.

General characteristics of captivity may include but are

not limited to artificial housing, waste removal, health

care, protection from predators, and artificially supplied

food.

Convention means the Convention on International

Trade in Endangered Species of Wild Fauna and Flora,

TIAS 8249.

Enhance the propagation or survival, when used in

reference to wildlife in captivity, includes but is not

limited to the following activities when it can be shown

that such activities would not be detrimental to the

survival of wild or captive populations of the affected

species:

(a) Provision of health care, management of

populations by culling, contraception, euthanasia,

grouping or handling of wildlife to control survivorship

and reproduction, and similar normal practices of animal

husbandry needed to maintain captive populations that

are self-sustaining and that possess as much genetic

vitality as possible;

(b) Accumulation and holding of living wildlife that is

not immediately needed or suitable for propagative or

scientific purposes, and the transfer of such wildlife

between persons in order to relieve crowding or other

problems hindering the propagation or survival of the

captive population at the location from which the

wildlife would be removed; and

(c) Exhibition of living wildlife in a manner designed

to educate the public about the ecological role and

conservation needs of the affected species.

Endangered means a species of wildlife listed in §

17.11 or a species of plant listed in § 17.12 and

designated as endangered.

Harass in the definition of "take" in the Act means an

intentional or negligent act or omission which creates

the likelihood of injury to wildlife by annoying it to

such an extent as to significantly disrupt normal

behavioral patterns which include, but are not limited

to, breeding, feeding or sheltering.

Harm in the definition of "take" in the Act means an

act which actually kills or injures wildlife. Such act

may include significant habitat modification or

degradation where it actually kills or injures wildlife by

significantly impairing essential behavioral patterns,

including breeding, feeding or sheltering.

Incidental taking means any taking otherwise

prohibited, if such taking is incidental to, and not the

purpose of, the carrying out of an otherwise lawful

activity.

Industry or trade in the definition of "commercial

activity" in the Act means the actual or intended

transfer of wildlife or plants from one person to another

person in the pursuit of gain or profit.

*****

Population means a group offish or wildlife in the

same taxon below the subspecific level, in common

spatial arrangement that interbreed when mature.

Specimen means any animal or plant, or any part,

product, egg, seed or root of any animal or plant.

*****

Threatened means a species of wildlife listed in §

17.11 or plant listed in § 17.12 and designated as

threatened.

§ 17.21 Prohibitions.

(a) Except as provided in Subpart A of this part, or

under permits issued pursuant to § 17.22 or § 17.23, it

is unlawfiil for any person subject to the jurisdiction of

the United States to commit, to attempt to commit, to

solicit another to commit or to cause to be committed,

any of the acts described in paragraphs (b) through (f)

of this section in regard to any endangered wildlife.

(CFR 10/1/95)

70

(b) Import or export. It is unlawful to import or to

export any endangered wildlife. Any shipment in transit

through the United States is an importation and an

exportation, whether or not it has entered the country for

customs purposes.

(c) Take. (1) It is unlawful to take endangered wildlife

within the United States, within the territorial sea of the

United States, or upon the high seas. The high seas shall

be all waters seaward of the territorial sea of the United

States, except waters officially recognized by the United

States as the territorial sea of another country, under

international law.

(2) Notwithstanding paragraph (c)(1) of this section,

any person may take endangered wildlife in defense of

his own life or the lives of others.

(3) Notwithstanding paragraph (c)(1) of this section,

any employee or agent of the Service, any other Federal

land management agency, the National Marine Fisheries

Service, or a State conservation agency, who is

designated by his agency for such purposes, may, when

acting in the course of his official duties, take

endangered wildlife without a permit if such action is

necessary to:

(i) Aid a sick, injured or orphaned specimen; or

(ii) Dispose of a dead specimen; or

(iii) Salvage a dead specimen which may be useful for

scientific study; or

(iv) Remove specimens which constitute a

demonstrable but non-immediate threat to human safety,

provided that the taking is done in a humane manner; the

taking may involve killing or injuring only if it has not

been reasonably possible to eliminate such threat by

live-capturing and releasing the specimen unharmed, in

a remote area.

(4) Any taking pursuant to paragraphs (c) (2) and (3)

of this section must be reported in writing to the U.S.

Fish and Wildlife Service, Division of Law

Enforcement, P.O. Box 19183, Washington, DC 20036,

within 5 days. The specimen may only be retained,

disposed of, or salvaged in accordance with directions

from Service.

(5) Notwithstanding paragraph (c)(1) of this section,

any qualified employee or agent of a State Conservation

Agency which is a party to a Cooperative Agreement

with the Service in accordance with section 6(c) of the

Act, who is designated by his agency for such purposes,

may, when acting in the course of his official duties take

those endangered species which are covered by an

approved cooperative agreement for conservation

programs in accordance with the Cooperative

Agreement, provided that such taking is not reasonably

anticipated to result in:

(i) The death or permanent disabling of the specimen;

(ii) The removal of the specimen from the State

where the taking occurred;

(iii) The introduction of the specimen so taken, or of

any progeny derived from such a specimen, into an

area beyond the historical range of the species; or

(iv) The holding of the specimen in captivity for a

period of more than 45 consecutive days.

(d) Possession and other acts with unlawfully taken

wildlife. (1) It is unlawful to possess, sell, deliver,

carry, transport, or ship, by any means whatsoever, any

endangered wildlife which was taken in violation of

paragraph (c) of this section.

Example. A person capUires a whooping crane in Texas

and gives it to a second person, who puts it in a closed van

and drives thirty miles, to another location in Texas. The

second person then gives the whooping crane to a third

person, who is apprehended with the bird in his possession.

All three have violated the law - the first by illegally taking

the whooping crane; the second by transporting an illegally

taken whooping crane; and the third by possessing an

illegally taken whooping crane.

(2) Notwithstanding paragraph (d)(1) of this section.

Federal and State law enforcement officers may

possess, deliver, carry, transport or ship any

endangered wildlife taken in violation of the Act as

necessary in performing their official duties.

(e) Interstate or foreign commerce. It is unlawful to

deliver, receive, carry transport, or ship in interstate or

foreign commerce, by any means whatsoever, and in

the course of a commercial activity, any endangei-ed

wildlife.

(0 Sale or offer for sale. ( 1 ) It is unlawful to sell or

to offer for sale in interstate or foreign commerce any

endangered wildlife.

(2) An advertisement for the sale of endangered

wildlife which carries a warning to the effect that no

sale may be consummated until a permit has been

obtained from the U.S. Fish and Wildlife Service shall

not be considered an offer for sale within the meaning

of this section.

(g) Captive-bred wildlife. ( 1 ) Notwithstanding

paragraphs (b), (c), (e) and (f) of this section, any

person may take; import or export; deliver, receive,

carry, transport or ship in interstate or foreign

commerce, in the course of a commercial activity; or

sell or offer for sale in interstate or foreign commerce

(CFR 10/1/95)

Application form for export of samples collected fix)ra CfTES and/or ESA-Listed Wildlife (form 3-200) plus excerpts

from Code of Federal Register. Office of Management Authority, U.S. Fish and Wildlife .Service

71

any endangered wildlife that is bred in captivity in the

United States provided the following conditions are met:

(i) The wildlife is a species having a natural

geographic distribution not including any part of the

United States, or the wildlife is a species that the

Director has determined to be eligible in accordance

with paragraph (g)(5) of this section;

(ii) The purpose of such activity is to enhance the

propagation or survival of the affected species;

(iii) Such activity does not involve interstate or foreign

commerce, in the course of a commercial activity, with

respect to non-living wildlife;

(iv) Each specimen of wildlife to be imported is

uniquely identified by a band, tattoo or other means that

was reported in writing to an official of the Service at a

port of export prior to export from the United States, and

(v) Any person subject to the jurisdiction of the United

States who engages in any of the activities authorized by

this paragraph does so in accordance with paragraphs (g)

(2), (3) and (4) of this section.

(2) Any person subject to the jurisdiction of the United

States seeking to engage in any of the activities

authorized by this paragraph must first register with the

Service (Federal Wildlife Permit Office, U.S. Fish and

Wildlife Scr\'icc, Washington, DC 20240 [Office of

Management Authority, U.S. Fish and Wildlife Service,

4401 N. Fairfax Drive, Room 420(c). Arlington,

Virginia 22203]). Requests for registration must be

submitted on an official application form (Form 3 - 200)

provided by the Service, and must include the following

information:

(i) The types of wildlife sought to be covered by the

registration, identified by common and scientific name

to the taxonomic level of family, genus or species;

(ii) A description of the applicant's experience in

maintaining and propagating the types of wildlife sought

to be covered by the registration, or in conducting

research directly related to maintaining and propagating

such wildlife;

(iii) A description, if appropriate, of the means by

which the applicant intends to educate the public about

the ecological role and conservation needs of the

affected species;

(iv) Photograph(s) or other evidence clearly depicting

the facilities where such wildlife will be maintained; and

(v) A copy of the applicant's license or registration, if

any, under the animal welfare regulations of the U.S.

Department of Agriculture (9 CFR part 2).

(3) Upon receiving a complete application, the

Director will decide whether or not the registration will

be approved. In making his decision, the Director will

consider, in addition to the general criteria in § 13.2(b)

of this subchapter, whether the expertise, facilities or

other resources available to the applicant appear

adequate to enhance the propagation or survival of the

affected wildlife. Each person so registered must

maintain accurate written records of activities

conducted under the registration and must submit to the

Director a written annual report of such activities.

(4) Any person subject to the jurisdiction of the

United States seeking to export or conduct foreign

commerce in captive-bred endangered wildlife which

will not remain under the care of that person must first

obtain approval by providing written evidence to

satisfy the Director that the proposed recipient of the

wildlife has expertise, facilities or other resources

adequate to enhance the propagation or survival of such

wildlife and that the proposed recipient will use such

wildlife for purposes of enhancing the propagation or

survival of the affected species.

(5)(i) The Director shall use the following criteria to

determine if wildlife of any species having a natural

geographic distribution that includes any part of the

United States is eligible for the provisions of this

paragraph:

(A) Whether there is a low demand for taking of the

species from wild populations, either because of the

success of captive breeding or because of other reasons,

and

(B) Whether the wild populations of the species are

effectively protected from unauthorized taking as a

result of the inaccessibility of their habitat to man or as

a result of the effectiveness of law enforcement.

(ii) The Director shall follow the procedures set forth

in section 4(b) and section 4(f)(2)(A) of the Act and in

the regulations promulgated thereunder with respect to

petitions and notification of the public and governors of

affected States when determining the eligibility of

species for purposes of this paragraph.

(iii) In accordance with the criteria in paragraph

(g)(5)(i) of this section, the Director has determined the

following species to be eligible for the provisions of

this paragraph:

Laysan teal (Anas laysanensis).

§ 17.22 Permits for scientific purposes,

enhancement of propagation or survival, or for

incidental taking.

Upon receipt of a complete application, the Director

may issue a permit authorizing any activity otherwise

(CFR 10/1/95)

72

prohibited by § 17.21, in accordance with the issuance

criteria of this section, for scientific purposes, for

enhancing the propagation or survival, or for the

incidental taking of endangered wildlife. Such permits

may authorize a single transaction, a series of

transactions, or a number of activities over a specific

period of time. (See § 17.32 for permits for threatened

species.) The Director shall publish notice in the

Federal Register of each application for a permit that

is made under this section. Each notice shall invite the

submission from interested parties, within 30 days after

the date of the notice, of written data, views, or

arguments with respect to the application. The 30-day

period may be waived by the Director in an emergency

situation where the life or health of an endangered

animal is threatened and no reasonable alternative is

available to the applicant. Notice of any such waiver

shall be published in the FEDERAL REGISTER within 10

days following issuance of the permit.

(a)( 1 ) Application requirements for permits for

scientific purposes or for the enhancement of

propagation or survival. Applications for permits under

this paragraph must be submitted to the Director, U.S.

Fish and Wildlife Service, Federal Wildlife Permit

Office, 1000 N. Glebe Road, Room 61 1, Arlington,

Virginia 22201 [Office of Management Authority, 4401

N. Fairfax Drive, Room 420(c), Arlington, Virginia

22203], by the person wishing to engage in the activity

prohibited by § 17.21. Each application must be

submitted on an official application (Form 3 - 200)

provided by the Service and must include as an

attachment, all of the following information:

(i) The common and scientific names of the species

sought to the covered by the permit, as well as the

number, age, and sex of such species, and the activity

sought to be authorized (such as taking, exporting,

selling in interstate commerce);

(ii) A statement as to whether, at the time of

application, the wildlife sought to be covered by the

permit (A) is still in the wild, (B) has already been

removed from the wild, or (C) was bom in captivity;

(iii) A resume of the applicant's attempts to obtain the

wildlife sought to be covered by the permit in a manner

which would not cause the death or removal from the

wild of such wildlife;

(iv) If the wildlife sought to be covered by the permit

has already been removed from the wild, the country and

place where such removal occurred; if the wildlife

sought to be covered by the permit was bom in captivity,

the country and place where such wildlife was bom;

(v) A complete description and address of the

institution or other facility where the wildlife sought to

be covered by the permit will be used, displayed, or

maintained;

(vi) If the applicant seeks to have live wildlife

covered by the permit, a complete description,

including photographs or diagrams, of the facilities to

house and/or care for the wildlife and a resume of the

experience of those person who will be caring for the

wildlife;

(vii) A full statement of the reasons why the applicant

is justified in obtaining a permit including the details of

the activities sought to be authorized by the permit;

(viii) If the application is for the purpose of

enhancement of propagation, a statement of the

applicant's willingness to participate in a cooperative

breeding program and to maintain or contribute data to

a studbook;

(ix) The information collection requirements

contained in this paragraph have been approved by the

Office of Management and Budget under 44 U.S.C.

3507 and assigned Clearance Number 1018 - 0022.

This information is being collected to provide

information necessary to evaluate permit applications

and make decisions, according to criteria established in

various Federal wildlife and plant conservation statutes

and regulations, on the issuance or denial of permits.

The obligation to respond is required to obtain or retain

a permit.

(2) Issuance criteria. Upon receiving an application

completed in accordance with paragraph (a)(1) of this

section, the Director will decide whether or not a

permit should be issued. In making this decision, the

Director shall consider, in addition to the general

criteria in § 13.21(b) of this subchapter, the following

factors:

(i) Whether the purpose for which the permit is

required is adequate to justify removing from the wild

or otherwise changing the status of the wildlife sought

to be covered by the permit;

(ii) The probable direct and indirect effect which

issuing the permit would have on the wild populations

of the wildlife sought to be covered by the permit;

(iii) Whether the permit, if issued, would in any way,

directly or indirectly, conflict with any known program

intended to enhance the survival probabilities of the

population from which the wildlife sought to be

covered by the permit was or would be removed;

(iv) Whether the purpose for which the permit is

required would be likely to reduce the threat of

(CFR 10/1/95)

AppUcation fomi for CNporl of samples collected from CITCS and/or i;S A-Listcd Wildlife (form 3 200) plus excerpts

from Code of Federal Register. Office of Management Aiilhonty. U.S. Fish and Wildlife Service

73

extinction facing the species of wildlife sought to be

covered by the permit;

(v) The opinions or views of scientists or other persons

or organizations having expertise concerning the wildlife

or other matters germane to the application; and

(vi) Whether the expertise, facilities, or other resources

available to the applicant appear adequate to

successfully accomplish the objectives stated in the

application.

(3) Permit conditions. In addition to the general

conditions set forth in part 13 of this subchapter, every

permit issued under this paragraph shall be subject to the

special condition that the escape of living wildlife

covered by the permit shall be immediately reported to

the Service office designated in the permit.

(4) Duration of permits. The duration of permits

issued under this paragraph shall be designated on the

face of the permit.

(b)(1) Application requirements for permits for

incidental taking. Applications for permits under this

paragraph must be submitted to the Director, U.S. Fish

and Wildlife Service, Federal Wildlife Permit Office,

1000 N. Glebe Road, Room 611, Arlington, Virginia

22201 [Office of Management Authority, 4401 N.

Fairfax Drive, Room 420(c), Arlington, Virginia

22203], by the person wishing to engage in the activity

prohibited by § 17.21(c). Each application must be

submitted on an official application (Form 3 - 200)

provided by the Service and must include as an

attachment all of the following information:

(i) A complete description of the activity sought to be

authorized;

(ii) The common and scientific names of the species

sought to be covered by the permit, as well as the

number, age, and sex of such species, if known;

(iii) A conservation plan that specifies:

(A) The impact that will likely result from such taking;

(B) What steps the applicant will take to monitor,

minimize, and mitigate such impacts, the funding that

will be available to implement such steps, and the

procedures to be used to deal with unforeseen

circumstances;

(C) What alternative actions to such taking the

applicant considered and the reasons why such

alternatives are not proposed to be utilized; and

(D) Such other measures that the Director may require

as being necessary or appropriate for purposes of the

plan;

(iv) The information collection requirements contained

in this paragraph have been approved by the Office of

Management and Budget under 44 U.S.C. 3507 and

assigned Clearance Number 1018 - 0022. This

information is being collected to provide information

necessary to evaluate permit applications. This

information will be used to review permit applications

and make decisions, according to criteria established in

various Federal wildlife and plant conservation statutes

and regulations, on the issuance or denial of permits.

The obligation to respond is required to obtain or retain

a permit.

(2) Issuance criteria. Upon receiving an application

completed in accordance with paragraph (b)(1) of this

section, the Director will decide whether or not a

permit should be issued. The Director shall consider

the general criteria in § 13.21(b) of this subchapter and

shall issue the permit if he finds that: (i) The taking

will be incidental; (ii) the applicant will, to the

maximum extent practicable, minimize and mitigate

the impacts of such taking; (iii) the applicant will

ensure that adequate funding for the conservation plan

and procedures to deal with unforeseen circumstances

will be provided; (iv) the taking will not appreciably

reduce the likelihood of the survival and recovery of

the species in the wild; (v) the measures, if any,

required under paragraph (b)(l)(iii)(D) of this section

will be met; and (vi) he has received such other

assurances as he may require that the plan will be

implemented. In making his decision, the Director

shall also consider the anticipated duration and

geographic scope of the applicant's planned activities,

including the amount of listed species habitat that is

involved and the degree to which listed species and

their habitats are affected.

(3) Permit conditions. In addition to the general

conditions set forth in part 13 of this subchapter, every

permit issued under this paragraph shall contain such

terms and conditions as the Director deems necessary

or appropriate to carry out the purposes of the permit

and the conservation plan including, but not limited to,

monitoring and reporting requirements deemed

necessary for determining whether such terms and

conditions are being complied with. The Director shall

rely upon existing reporting requirements to the

maximum extent practicable.

(4) Duration of permits. The duration of permits

issued under this paragraph shall be sufficient to

provide adequate assurances to the permittee to commit

funding necessary for the activities authorized by the

permit, including conservation activities and land use

restrictions. In determining the duration of a permit,

the Director shall consider the duration of the planned

activities, as well as the possible positive and negative

(CFR 10/1/95)

74

effects associated with permits of the proposed duration

on listed species, including the extent to which the

conservation plan will enhance the habitat of listed

species and increase the long-term survivability of such

species.

(c) Objection to permit issuance. (1) In regard to any

notice of a permit application published in the FEDERAL

Register, any interested party that objects to the

issuance of a permit, in whole or in part, may, during the

comment period specified in the notice, request

notification of the final action to be taken on the

application. A separate written request shall be made for

each permit application. Such a request shall specify the

Service's permit application number and state the

reasons why that party believes the applicant does not

meet the issuance criteria contained in §§ 13.21 and

17.22 of this subchapter or other reasons why the permit

should not be issued.

(2) If the Service decides to issue a permit contrary to

objections received pursuant to paragraph (c)( 1 ) of this

section, then the Service shall, at least ten days prior to

issuance of the permit, make reasonable efforts to

contact by telephone or other expedient means, any party

who has made a request pursuant to paragraph (c)( I ) of

this section and inform that party of the issuance of the

permit. However, the Service may reduce the time

period or dispense with such notice if it determines that

time is of the essence and that delay in issuance of the

permit would: (i) Harm the specimen or population

involved; or (ii) unduly hinder the actions authorized

under the permit.

(3) The Service will notify any party filing an

objection and request for notice under paragraph (c)(!)

of this section of the final action taken on the

application, in writing. If the Service has reduced or

dispensed with the notice period referred to in paragraph

(c)(2) of this section, it will include its reasons therefore

in such written notice.

§ 17.32 Permits ~ general.

Upon receipt of a complete application the Director

may issue a permit for any activity otherwise prohibited

with regard to threatened wildlife. Such permit shall be

governed by the provisions of this section unless a

special rule applicable to the wildlife, appearing in §§

17.40 to 17.48, of this part provides otherwise. Permits

issued under this section must be for one of the

following purposes: Scientific purposes, or the

enhancement of propagation or survival, or economic

hardship, or zoological exhibition, or educational

purposes, or incidental taking, or special purposes

consistent with the purposes of the Act. Such permits

may authorize a single transaction, a series of

transactions, or a number of activities over a specific

period of time.

(a)( 1 ) Application requirements for scientific

purposes, or the enhancement of propagation or

survival, or economic hardship, or zoological

exhibition, or educational purposes, or special

purposes consistent with the purposes of the Act.

Applications for permits under this paragraph must be

submitted to the Director, U.S. Fish and Wildlife

Service, Federal Wildlife Permit Office, 1000 N. Glebe

Road, Room 611, Arlington, Virginia 22201 [Office of

Management Authority, 4401 N. Fairfax Drive, Room

420(c), Arlington, Virginia 22203], by the person

wishing to engage in the prohibited activity. Each

application must be submitted on an official application

(Form 3 - 200) provided by the Service, and must

include, as an attachment, as much of the following

information which relates to the purpose for which the

applicant is requesting a permit:

(i) The Common and scientific names of the species

sought to be covered by the permit, as well as the

number, age, and sex of such species, and the activity

sought to be authorized (such as taking, exporting,

selling in interstate commerce);

(ii) A statement as to whether, at the time of

application, the wildlife sought to be covered by the

permit (A) is still in the wild, (B) has already been

removed from the wild, or (C) was bom in captivity;

(iii) A resume of the applicant's attempts to obtain the

wildlife sought to be covered by the permit in a manner

which would not cause the death or removal from the

wild of such wildlife;

(iv) If the wildlife sought to be covered by the permit

has already been removed from the wild, the country

and place where such removal occurred; if the wildlife

sought to be covered by permit was bom in captivity,

the country and place where such wildlife was bom;

(v) A complete description and address of the

institution or other facility where the wildlife sought to

be covered by the permit will be used, displayed, or

maintained;

(vi) If the applicant seeks to have live wildlife

covered by the permit, a complete description,

including photographs or diagrams, of the facilities to

house and/or care for the wildlife and a resume of the

experience of those persons who will be caring for the

wildlife;

(CFR 10/1/95)

Application form for export of samples collected from CITF.S and/or ESA-I.isted Wildlife (form 3-200) plus excerpts

from Code of Federal Register. Office of Manaaement Aiilhorilv, US. Fish and Wildlife Service

75

(vii) A full statement of the reasons why the applicant

is justified in obtaining a permit including the details of

the activities sought to be authorized by the permit;

(viii) If the application is for the purpose of

enhancement of propagation, a statement of the

applicant's willingness to participate in a cooperative

breeding program and to maintain or contribute data to a

studbook;

(ix) The information collection requirements contained

in this paragraph have been approved by the Office of

Management and Budget under 44 U.S.C. 3507 and

assigned Clearance Number 1018 - 0022. This

information is being collected to provide information

necessary to evaluate permit applications and make

decisions, according to criteria established in various

Federal wildlife and plant conservation statutes and

regulations, on the issuance or denial of permits. The

obligation to respond is required to obtain or retain a

permit.

(2) Issuance criteria. Upon receiving an application

completed in accordance with paragraph (a)(1) of this

section, the Director will decide whether or not a permit

should be issued. In making this decision, the Director

shall consider, in addition to the general criteria in §

13.21(b) of this subchapter, the following factors:

(i) Whether the purpose for which the permit is

required is adequate to justify removing from the wild or

otherwise changing the status of the wildlife sought to be

covered by the permit;

(ii) The probable direct and indirect effect which

issuing the permit would have on the wild populations of

the wildlife sought to be covered by the permit;

(iii) Whether the permit, if issued, would in any way,

directly or indirectly, conflict with any known program

intended to enhance the survival probabilities of the

population from which the wildlife sought to be covered

by the permit was or would be removed;

(iv) Whether the purpose for which the permit is

required would be likely to reduce the threat of

extinction facing the species of wildlife sought to be

covered by the permit;

(v) The opinions or views of scientists or other persons

or organizations having expertise concerning the wildlife

or other matters germane to the application; and

(vi) Whether the expertise, facilities, or other resources

available to the applicant appear adequate to

successfully accomplish the objectives stated in the

application.

(3) Permit conditions. In addition to the general

conditions set forth in part 13 of this subchapter, every

permit issued under this paragraph shall be subject to the

special condition that the escape of living wildlife

covered by the permit shall be immediately reported to

the Service office designated in the permit.

(4) Duration of permits. The duration of permits

issued under this paragraph shall be designated on the

face of the permit.

(b)( 1 ) Application requirements for permits for

incidental taking, (i) Applications for permits under

this paragraph must be submitted to the Director, U.S.

Fish and Wildlife Service, Federal Wildlife Permit

Office, 1000 N. Glebe Road, Room 61 1, Arlington, VA

22201 [Office of Management Authority, 4401 N.

Fairfax Drive, Arlington, Virginia 22203], by the

person wishing to engage in the activity prohibited by §

17.31.

(ii) The director shall publish notice in the Federal

Register of each application for a permit that is made

under this section. Each notice shall invite the

submission from interested parties, within 30 days after

the date of the notice, of written data, views, or

arguments with respect to the application.

(iii) Each application must be submitted on an official

application (Form 3-200) provided by the Service, and

must include as an attachment, all of the following

information:

(A) A complete description of the activity sought to

be authorized;

(B) The common and scientific names of the species

sought to be covered by the permit, as well as the

number, age, and sex of such species, if known;

(C) A conservation plan that specifies:

(1) The impact that will likely resuh from such

taking;

(2) What steps the applicant will take to monitor,

minimize, and mitigate such impacts, the funding that

will be available to implement such steps, and the

procedures to be used to deal with unforeseen

circumstances;

(3) What alternative actions to such taking the

applicant considered and the reasons why such

alternatives are not proposed to be utilized; and

(4) Such other measures that the Director may require

as being necessary or appropriate for purposes of the

plan.

(iv) The information collection requirements

contained in this paragraph have been approved by the

Office of Management and Budget under 44 U.S.C.

3507 and assigned Clearance Number 1018 - 0022.

This information is being collected to provide

information necessary to evaluate permit applications

and make decisions, according to criteria established in

(CFR 10/1/95)

76

various Federal wildlife and plant conservation statutes

and regulations on the issuance or denial of permits.

The obligation to respond is required to obtain or retain

a permit.

(2) Issuance criteria. Upon receiving an application

completed in accordance with paragraph (b)(1) of this

section, the Director will decide whether or not a permit

should be issued. The Director shall consider the

general criteria in §13.2 1(b) of this subchapter and shall

issue the permit if he finds that: (i)TTie taking will be

incidental; (ii) the applicant will, to the maximum extent

practicable, minimize and mitigate the impacts of such

taking; (iii) the applicant will ensure that adequate

funding for the conservation plan and procedures to deal

with unforeseen circumstances will be provided; (iv) the

taking will not appreciably reduce the likelihood of the

survival and recovery of the species in the wild; (v) the

measures, if any, required under paragraph (b)(l)(iii)(D)

will be met; and (vi) he has received such other

assurances as he may require that the plan will be

implemented. In making his decision, the Director shall

also consider the anticipated duration and geographic

scope of the applicant's planned activities, including the

amount of listed species habitat that is involved and the

degree to which listed species and their habitats are

affected.

(3) Permit conditions. In addition to the general

conditions set forth in part 13 of this subchapter, every

permit issued under this paragraph shall contain such

terms and conditions as the Director deems necessary or

appropriate to carry out the purposes of the permit and

the conservation plan including, but not limited to,

monitoring and reporting requirements deemed

necessary for determining whether such terms and

conditions are being complied with. The Director shall

rely upon existing reporting requirements to the

maximum extent practicable.

(4) Duration of permits. The duration of permits

issued under this paragraph shall be sufficient to provide

adequate assurances to the permittee to commit funding

necessary for the activities authorized by the permit,

including conservation activities and land use

restrictions. In determining the duration of a permit, the

Director shall consider the duration of the planned

activities, as well as the possible positive and negative

effects associated with permits of the proposed duration

on listed species, including the extent to which the

conservation plan will enhance the habitat of listed

species and increase the long-term survivability of such

species.

Section not included in text

H \OMA\FAXBACK\REC\Wn-DL-ET 17

(CFR 10/1/95)

77

EXCEPTIONS, PERMITS, AND CERTIFICATIONS ~ EXCERPTS FROM

50 CFR 23 - ENDANGERED SPECIES CONVENTION

Subpart A -- Introduction

§ 23.1 Purpose of regulations.

(a) The regulations in this part implement the

Convention on International Trade in

Endangered Species of Wild Fauna and Flora,

TIAS 8249.

(b) The regulations identify those species of

wildlife and plants included in appendix I, II or

III to the Convention.

§ 23.2 Scope of regulations,

(a) The regulations of this part apply only to

wildlife and plants listed in appendix I, II or III

to the Convention, listed herein in § 23.23 for

the convenience of the public. It should be noted

that many species listed in appendix I, II or III

are also listed in part 1 7 (endangered and

threatened species) or part 18 (marine

mammals), and are subject to additional

regulations in those parts or in part 216 (marine

mammals) or parts 217-225 (endangered and

threatened species) for species under jurisdiction

of the National Marine Fisheries Service.

§ 23.3 Definitions.

In addition to the definitions contained in parts

10 and 17 of this subchapter, and unless the

context requires otherwise, in this part:

Appendix I means the list of wildlife and

plants called "Appendix I" and attached to the

Convention (see § 23.23 for the list).

Appendix //means the list of wildlife and

plants called "Appendix 11" and attached to the

Convention (see § 23.23 for the list).

Appendix ///means the list of wildlife and

plants called "Appendix III" and attached to the

Convention (see § 23.23 for the list).

Convention means the Convention on

International Trade in Endangered Species of

Wild Fauna and Flora, TIAS 8249.

Management Authority means a national

management authority officially designated by a

party to implement the present Convention,

including the granting of permits or certificates

for Convention purposes on behalf of the party.

Party means a country for which the

Convention has entered into force, by virtue of

ratification or accession.

Re-export means export of wildlife or plants

that have previously been imported.

United States means all of the several states,

the District of Columbia, the Commonwealth of

Puerto Rico, American Samoa, the Virgin

Islands, Guam, and the Trust Territory of the

Pacific Islands.

§ 23.4 Parties to the Convention.

[A list of the names and addresses of the

management authorities for specific countries is

available from the Office of Management Authority,

U.S. Fish and Wildlife, 4401 N. Fairfax Drive, Room

420(c), Arlington, VA 22203, 1(800) 358-2104 upon

request.]

Subpart B -

Exceptions

Prohibitions, Permits and

§23.11 Prohibitions.

(a) Unless the requirements in this part 23 are

met, or one of the exceptions in this part 23 is

applicable, it is unlawful for any person subject

to the jurisdiction of the United States to

commit, attempt to commit, solicit another to

commit, or cause to be committed any of the

acts described in paragraphs (b) through (d) of

this section.

(b) Import. (1) It is unlawful to import into

the United States any wildlife or plant listed in

appendix I, II or III (see § 23.23) from any

foreign country.

(2) It is unlawful to import directly into the

United States any wildlife or plant listed in

appendix I or II (see § 23.23) taken fi-om the sea

beyond the jurisdiction of any country.

(c) Export. It is unlawful to export from the

United States any wildlife or plant listed in

appendix I, II or III (see §23.23).

(d) Re-export. It is unlawful to re-export from

the United States any wildlife or plant listed in

appendix I, II or III (see § 23.23).

(CFR 10/1/94)

78

(e) Possession. It is unlawful for any person

subject to the jurisdiction of the United States to

possess any wildlife or plant listed in appendix

I, II or III imported into the United States, or

exported or re-exported from the United States

contrary to the provisions of the Convention or

this part 23.

§ 23.12 Requirements.

(a) Import - (1) Appendix I. (i) In order to

import into the United States any wildlife or

plant listed in Appendix I from any foreign

country, a United States import permit, issued

pursuant to § 23.15, and a valid foreign export

permit issued by the country of origin or a valid

foreign re-export certificate issued by the

country of re-export must be obtained prior to

such importation.

(ii) In order to import directly into the United

States any wildlife or plant listed in appendix I

taken from the sea beyond the jurisdiction of

any country, a United States import permit

issued pursuant to §23.15 must be obtained prior

to such importation.

(2) Appendix II. (i) In order to import into the

United States any wildlife or plant listed in

appendix II from any foreign country, a valid

foreign export permit issued by the country of

origin, or a valid foreign re-export certificate

issued by the country of re-export, must be

obtained prior to such importation.

(ii) In order to import directly into the United

States any wildlife or plant listed in Appendix II

taken from the sea beyond the jurisdiction of

any country, a United States import permit

issued pursuant to § 23.15, must be obtained

prior to such importation.

(5) Appendix III. (i) In order to import into the

United States any wildlife or plant listed in

appendix III from a foreign country that has

listed such animal or plant in appendix III, a

valid foreign export permit or re-export

certificate issued by such country must be

obtained prior to such importation.

(ii) In order to import into the United States

any wildlife or plant listed in appendix III from

a foreign country that has not listed such

wildlife or plant in appendix III, a valid foreign

certificate of origin or foreign re-export

certificate must be obtained prior to such

importation.

(b) Export or re-export — (I) Appendices I and

II.

In order to export or re-export from the United

States any wildlife or plant listed in appendix I

or II, a United States export permit or re-export

certificate, issued pursuant to § 23.15, must be

obtained prior to such exportation or

re-exportation.

(2) Appendix III. (i) In order to export or

re-export from the United States any wildlife or

plant listed in appendix III by the United States,

a United States export permit or re-export

certificate issued pursuant to § 23.15, must be

obtained prior to such exportation or

re-exportation.

(ii) In order to export or re-export from the

United States any wildlife or plant listed in

appendix III that has not been listed by the

United States, a re-export certificate or

certificate of origin, issued pursuant to § 23.15,

must be obtained prior to such exportation or

re-exportation.

§ 23.13 Exceptions.

(a) If any wildlife or plant listed in appendix I,

II or III is also subject to the regulations in part

17 or part 18 of this subchapter, the prohibitions

and exceptions in those parts and in part 23 shall

apply. Exceptions in one part cannot be invoked

to allow activities prohibited in another part.

(b) The prohibitions in § 23.1 1 (b) through (d)

concerning importation, exportation and

re-exportation shall not apply to wildlife or plant

listed in appendix I, II or III that are being

transshipped through the United States provided

such wildlife or plants remain in Customs

custody.

(c) The prohibitions in § 23.1 1 (b) through (d)

concerning importation, exportation and

re-exportation shall not apply to wildlife or

plants when a certificate has been issued by the

management authority of the country of origin

or the country of re-export to the effect that the

wildlife or plant was acquired prior to the date

the Convention applied to it. See § 23.15 for

rules on the issuance of such certificates.

(d) The prohibitions in § 23. 11 (b) through (d)

concerning importation, exportation and

(CFR 10/1/94)

Application form for export of samples collected from CITES and/or nSA-Lisled Wildlife (form 3-200) plus excerpts

from C(Kie of Federal Register. Office of Management Authority. U.S. Fish and Wildlife Service

79

re-exportation shall not apply to wildlife or

plants that are accompanying personal baggage

or part of a shipment of the household effects of

persons moving their residences to or from the

United States: Provided, That this exception

shall not apply to:

(1) Importation by U.S. residents of wildlife or

plants listed in appendix I that were acquired

outside the United States; or

(2) Importation by U.S. residents of wildlife or

plants listed in appendix II that were taken from

the wild in a foreign country, if that country

requires export permits.

(e) Wildlife or plants listed in appendix I that

have been bred in captivity or artificially

propagated, for commercial activities, shall be

treated as if listed in appendix II.

(f) The prohibitions in § 23.1 1 (b) through (d)

concerning importation, exportation and

re-exportation shall not apply to wildlife or

plants when a certificate has been issued by the

management authority of the country of export

to the effect that the wildlife or plant was bred

in captivity or artificially propagated, or was

part of or derived therefrom. See § 23.15 for

rules on the issuance of such certificates.

(g) The prohibitions in § 23.1 1 (b) through (d)

concerning importation, exportation and

re-exportation shall not apply to herbarium

specimens, other preserved, dried or embedded

museum specimens, and live plant material

when they are imported, exported or re-exported

as a non-commercial loan, donation or exchange

between scientists or scientific institutions that

have been registered by a management authority

of their country, and when a label issued or

approved by such management authority is

clearly affixed to the package or container. See

§ 23.15 for rules on registration and issuance or

approval of labels.

§ 23.14 Foreign documentation.

(a) Party countries. Only export permits,

re-export certificates, certificates of origin, or

other certificates issued and signed by a

management authority will be accepted as a

valid foreign document from a country that is a

party to the Convention.

(b) Countries that are not parties. The

requirements in this part 23 apply to all wildlife

and plants listed in appendix I, II or III to the

Convention, whether the shipment is to or from

a country that is party to the Convention, or to

or from any other country. In the case of a

shipment from a country not party to the

Convention, documents containing information

corresponding to that required by the regulations

in this part 23 may be accepted. Such

documents may be in the form of an export or

import permit, a letter from the proper authority,

or any other form that clearly indicates the

nature of the document. Such documents must:

(1) Be issued by an official of the country

responsible for authorizing the export of such

wildlife or plants;

(2) Specify the species (or taxa to the rank

listed in appendix I, II or III) and give the

numbers of wildlife or plants covered by the

document; and

(3) Contain the following statement or its

equivalent:

I,

_, (Signing official), hereby certify that the

shipment of wildlife or plants covered by this

document is in accordance with the laws of.

(Country), will not be detrimental to the survival of

the species in the wild, and, if living, will be

transported in a manner which will minimize the risk

of injury, damage to health, or cruel treatment.

§ 23.15 Permits and Certificates.

(a) In order to import, export or re-export

wildlife or plants listed in appendix I, II or III

that are also listed as endangered or threatened

and subject to regulations in part 1 7 of this

subchapter, the requirements in both part 1 7 and

part 23 must be met. A single application

meeting the appropriate application

requirements in part 17 will also meet the

application requirements in part 23.

(b) In order to import wildlife listed in

appendix I, II or III that are marine mammals

subject to regulations in part 18 of this

subchapter, the requirements in both part 1 8 and

part 23 must be met. A single application

meeting the application requirements in part 18

will also meet the application requirements in

part 23.

(c) Application requirements for permits or

certificates to import, export or re-export

wildlife or plants listed in appendix I, II or III

(CFR 10/1/94)

80

that are not subject to the regulations in part 1 7

or part 18 of this subchapter. Applications for

permits or certificates under this section must be

submitted to the Director by any person subject

to the jurisdiction of the United States who

wishes to engage in the activity. Each

application must be submitted on an official

application form (Form 3-200) provided by the

Service, or must contain the general information

and certification required by § 13.12(a) of this

subchapter, and must include, as an attachment,

as much of the following information as relates

to the purpose for which the applicant is

requesting a permit or certificate.

(1) The scientific and common names of the

species (or taxa to the rank listed in appendix I,

11 or III) sought to be covered by the permit, the

number of wildlife or plants, and the activity

sought to be authorized (such as importing,

exporting, re-exporting, etc.);

(2) A statement as to whether the wildlife or

plant, at the time of application, (i) is living in

the wild, (ii) is living but is not in the wild, or

(iii) is dead;

(3) A description of the wildlife or plant,

including (i) size, (ii) sex (if known), and (iii)

type of goods, if it is a part or derivative;

(4) In the case of living wildlife or plants, (i) a

description of the type, size and construction of

any container the wildlife or plant will be placed

in during transportation; and (ii) the

arrangements for watering and otherwise caring

for the wildlife or plant during transportation;

(5) The name and address of the person in a

foreign country to whom the wildlife or plant is

to be exported from the United States, or from

whom the wildlife or plant is to be imported into

the United States;

(6) The country and place where the wildlife

or plant was or is to be taken from the wild;

(7) In the case of wildlife or plants listed in

appendix I to be imported into the United States,

(i) a statement of the purposes and details of the

activities for which the wildlife or plant is to be

imported; (ii) a brief resume of the technical

expertise of the applicant or other persons who

will care for the wildlife or plant; (iii) the name,

address and a description, including diagrams or

photographs, of the facility where the wildlife or

plant will be maintained; and (iv) a description

of all mortalities, in the two years preceding the

date of this application, involving any wildlife

species covered in the application (or any

species of the same genus or family) held by the

applicant, including the causes and steps taken

to avoid such mortalities; and

(8) Copies of documents, sworn affidavits or

other evidence showing that either (i) the

wildlife or plant was acquired prior to the date

the Convention applied to it, or (ii) the wildlife

or plant was bred in captivity or artificially

propagated, or was part of or derived therefrom,

or (iii) the wildlife or plant is an herbarium

specimen, other preserved, dried or embedded

museum specimen or live plant material to be

imported, exported or re-exported as a

non-commercial loan, donation or exchange

between scientists or scientific institutions.

(d) Issuance criteria. Upon receiving an

application completed in accordance with

paragraph (a), (b) or (c) of this section, the

Director will decide whether or not a permit or

certificate should be issued. In making his

decision, the Director shall consider in addition

to the general criteria in § 13.21(b) of this

subchapter, the following factors:

( 1 ) Whether the proposed import, export or

re-export would be detrimental to the survival of

the species;

(2) Whether the wildlife or plant was acquired

lawfully;

(3) Whether any living wildlife or plant to be

exported or re-exported will be so prepared and

shipped as to minimize the risk of injury,

damage to health or cruel treatment;

(4) Whether any living wildlife or plant to be

imported directly into the United States from the

sea beyond the jurisdiction of any country will

be so handled as to minimize the risk of injury,

damage to health or cruel treatment;

(5) Whether an import permit has been granted

by a foreign country, in the case of proposed

export or re-export from the United States of

any wildlife or plant listed in Appendix I;

(6) Whether the proposed recipient of any

living wildlife or plant listed in Appendix I to be

imported into the United States is suitably

equipped to house and care for such wildlife or

plant;

(7) Whether any wildlife or plant listed in

appendix I to be imported into the United States

(CFR 10/1/94)

Application t\>nii fi>t export of samples collected from CITCS and/or HSA-Listed Wildlife (form J-200) plus excerpts 81

from Code of Federal Register. Office of Management Authority, U.S. Fish and Wildlife Service

is to be used for primarily commercial activities; *♦*♦♦ Section not included in text,

and

(8) Whether the evidence submitted is

sufficient to justify an exception, in the case of

(i) wildlife or plants that were acquired prior to

the date the Convention applied to them; (ii)

wildlife or plants that were bred in captivity or

artificially propagated, or were part of or

derived there from; or (iii) wildlife or plants that

are herbarium specimens; other preserved, dried

or embedded museum specimens, or live plant

material to be imported, exported or re-exported

as a noncommercial loan, donation or exchange

between scientists or scientific institutions.

(9) Whether in the case of wildlife or plants

listed in Appendix II, they are the subject of a

large volume of trade and are not necessarily

threatened with extinction.

(e) Permit or certificate conditions. In addition

to the general criteria set forth in part 13 of this

subchapter, permits or certificates issued under

this section shall be subject to the following

special conditions:

(1) Any permit must be presented to a Service

agent at a designated port of entry upon

importation into the United States or prior to

exportation or re-exportation from the United

States:

(2) Where appropriate and feasible, the

Service may require that an identifying mark be

affixed upon any wildlife or plant;

(3) In the case of wildlife or plants that are

herbarium specimens, other preserved, dried or

embedded museum specimens, or live plant

material to be imported, exported or re-exported

as a non-commercial loan, donation or exchange

between scientists or scientific institutions, the

names and addresses of the consignor and

consignee must be on each package or container.

The letters "CITES" (acronym for the

Convention), a description such as "herbarium

specimens," and the code letters assigned by the

Service to the scientist or scientific institution,

must be entered on the Customs declaration

form affixed to each package or container.

(/) Duration of permits or certificates. The

duration of permits or certificates issued under

this section shall be designated on the face of

the permit or certificate, but in no case will

export permits be valid for longer than six

months.

(CFR 10/1/94)

82

U.S. Fish and Wildlife Serv., Interior

B or the provisions of the permit set

forth other reporting requirements.

§ 13.46 Maintenance of records.

From the date of Issuance of the per-

mit, the permittee shall maintain com-

plete and accurate records of any tak-

ing, possession, transportation, sale,

purchase, barter, exportation, or im-

portation of plants Obtained from the

wild (excluding seeds) or wildlife pursu-

ant to such permit. Such records shall

be kept current and shall include

names and addresses of persons with

whom any plant obtained from the wild

(excluding seeds) or wildlife has been

purchased, sold, bartered, or otherwise

transferred, and the date of such trans-

action, and such other Information aa

may be required or appropriate. Such

records shall be legibly written or re-

producible in English and shall be

maintained for five years from the date

of expiration of the permit.

(39 FR 1161, Jan. 4. 1974. oa amended at 42 FR

323T7. June 24, 1977; 54 FR 38150. Sept. 14. 1969]

( 13.47 Inspection requiremenL

Any i)erson holding a permit under

this subchapter B shall allow the Di-

rector's agent to enter his premises at

any reasonable hour to inspect any

wildlife or plant held or to inspect,

audit, or copy any permits, books, or

records required to be kept by regula-

tions of this subchapter B.

(39 FR 1161. Jan. 4. 1974. aa amended at 42 FR

32377, June 24, 1977)

i 13.48 Compliance with conditions of

permit.

Any person holding a permit under

subchapter B and any ijerson acting

under authority of such permit must

comply with all conditions of the per-

mit and with all appllicable laws and

regulations governing the permitted

activity.

(54 FR 38150, Sept. 14, 1989]

S 13.49 Surrender of permit.

Any person holding a permit under

subchapter B shall surrender such per-

mit to the issuing officer upon notifi-

cation that the permit has been sus-

pended or revoked by the Service, and

Pt. 14

all appeal procedures have been ex-

hausted.

(54 FR 381S0. Sept. 14, 1989]

§ 13.60 Acceptance of liability.

Any person holding a permit under

subchapter B assumes all liability and

responsibility for the conduct of any

activity conducted under the authority

of such permit.

(M FR 38150. Sept. 14. 1989]

PART 14-IMPORTATION. EXPOR-

TATION. AND TRANSPORTATION

OF WILDLIFE

Subpart A— Introduction

Sec.

14.1 Purpose of reflations.

14.2 Scope of regulations.

14.3 Information collection requirements.

14.4 DeflnlUona.

Sut}pcirt B— Importation and Exporiotlon at

Designated Ports

14.11 General restrlctlona.

14.12 Designated ports.

14.13 Emergency diversion.

14.14 In-tranalt shipments.

14.15 Personal baggsige and household ef-

fects.

14.16 Border ports.

14.17 Personally owned pet birds.

14.18 Marine mammals.

14.19 Special porta.

14.20 Ezceptlona by permit.

14.21 Shellfish and flahery producta.

14.22 Certain antique articles.

14.23 Live farm-raised fish and farm-raised

fish eg^.

14.24 Scientific specimens.

Subpart C— Designated Port Exception

Permits

14.31 Permits to Import or export wildlife at

nondeslgnated port for scientific pur-

poses.

14.32 Permits to Import or export wildlife at

nondeslgnated port to minimize deterio-

ration or loss.

14.33 Permits to import or export wildlife at

nondeslgnated port to adlevlate undue

economic hardship.

Subpart D— (Reserved)

Subpart E— Inspection and Oearance of

Wildlife

14.51

14.52

Inspection of wildlife.

Clearance of Imported wildlife.

1996 Revision of 50 CPR Ch. 1 Part 14 — Importation, Hxportation. and Transportation of Wildlife.

Office of Management Authority. U.S. Fish and Wildlife Service

83

§14.1

14.53 Detention and refusal of clearance.

14.54 Unavailability of Service officers.

14.55 Exceptions to clearance requirements.

Subport F— Wildlife Declarations

14.61 Import declaration requirements.

14.62 Exceptions to import declaration re-

quirements.

14.63 Export declaration requirements.

14.64 Exceptions to export declaration re-

quirements. ^

Subpart G— (Reserved)

Subpart H— Marking o( Containers or

Packages

14.81 Marking requirement.

14.82 Alternatives and exceptions to the

marldng requirement.

Subpart I— Import/Export Ucenses

14.91 License requirement.

14.92 Exceptions to license requirement.

14.93 License application procedure, condi-

tions, and duration.

14.94 Fees.

Subpart J— Standards (or ttie Humane and

Heotttiful Transport of Wild Mammals

and Birds to ttie United States

14.101 Purposes.

14.102 Definitions.

14.103 Prohibitions.

14.104 Translations.

14.105 Conslernment to carrier.

14.106 Primary enclosures.

14.107 Conveyance.

14.108 Food and water.

14.109 Care In transit.

14.110 Terminal facilities.

14.111 Handling.

14.112 Other applicable provisions.

SPECTFICATI0N8 FOB NONHUMAN PRIMATES

14.121 Primary enclosures.

14.122 Food and water.

14.123 Care in transit.

SPEaricATiONS FOR Marine Mammals

(CETTACEANS. SIRENIANS, SEA OTTERS,

Pinnipeds, and Pouar bears)

14.131 Primary enclosures.

14.132 Food and water.

14.133 Care In transit.

SPECinCATIONS FOR ELEPHANTS AND

UNDULATES

14.141 Consignment to carrier. —

14.142 Primary enclosures.

spectficati0n8 for sloths. bats, anb-

Flyino Lemurs (Cynocephaudae)

14.151 Primary enclosures.

50 CFR Ch. I (10-1-96 Edition)

Specifications for Other Terrestrial

MAMMALS

14.161 Primary enclostires.

Specifications for Birds

14.171 Consignment to carrier,

14.172 Primary enclosures.

Authority: 16 U.S.C. 704, 712, 1382, 1538(d>-

(0, 1540<n. 3371-3378, 4223-^244, and 4901-4916;

18 U.S.C. 42; 31 U.S.C. 483(a).

Source: 45 FR 56673. Aug. 25, 1980. unless

otherwise noted.

Subpart A— Introduction

5 14.1 Purpose of regulations.

The regulations contained in this

part provide uniform rules and proce-

dures for the importation, exportation,

and transportation of wildlife.

§ 14.2 Scope of regulations.

The provlBlons In this part are In ad-

dition to, and do not supersede other

regulations of this subchapter B which

may require a permit or prescribe addi-

tional restrictions or conditions for the

importation, exportation, and trans-

portation of wildlife.

514.3 Information collection require-

ments.

The information collection require-

ments contained within this part 14

have been approved by the Office of

Management and Budget under 44

U.S.C. 3507 and assigned a Clearance

Number 1018-4)012. This information is

being collected to provide Information

about wildlife imports or exports. In-

cluding products and parts, and will be

used to facilitate enforcement of the

Endangered Species Act of 1973 as

amended (16 U.S.C. 1531 et seq.) and to

carry out the provisions of the Conven-

tion on International Trade in Endan-

gered Species of Wild Fauna and Flora.

Public reporting burden for this form is

estimated to vary from 10 to 15 min-

utes per response. Direct comments re-

garding the burden estimate or any

other aspect of this form to the Service

Information Collection Clearance Of-

fice, U.S. Department of the Interior,

1849 C Street, NW., Wcishington, DC

84

U.S. Fish and Wildlife Sorv.. Interior

20240. and the Interior Desk Officer. Of-

fice of Management and Budget. Wash-

ington, DC 20503.

[59 FR 41714, Aug. 15, 1994]

§ 14.4 Definitions.

In addition to definitions contained

In part 10 of this subchapter, in this

part:

Accompanying personal baggage means

all hand-carried items and all checked

baggage of a person entering into or de-

parting from the United States.

Accredited scientist means any individ-

ual associated with, employed by, or

under contract to and accredited by an

accredited scientific Institution for the

purpose of conducting biological or

medical research, and whose research

activities are approved and sponsored

by the scientific institution granting

accreditation.

Accredited scientific institutions means

any public museum, public zoological

park, accredited Institution of higher

education, accredited member of the

American Zoo and Aquarium Associa-

tion, accredited member of the Amer-

ican Association of Systematic Collec-

tions, or any State or Federal govern-

ment agency that conducts biological

or medical research.

Commercial means related to the of-

fering for sale or resale, purchase,

trade, barter, or the actual or Intended

transfer in the pursuit of gain or profit,

of any item of wildlife and includes the

use of any wildlife article as an exhibit

for the purpose of soliciting sales,

without regard to quantity or weight.

There is a presumption that eight or

more similar unused items are for com-

mercial use. The Service or the im-

porter/exporter/owner may rebut this

presumption based upon the particular

facts and circumstances of each case.

Domesticated animals Includes, but is

not limited to. the following domes-

ticated animals that are exempted

from the requirements of this sub-

chapter B (except for species obtained

from wild populations).

Mammals: Alpaca — Lama alpaca;

Camel — Catnelus dromedarius; Camel

(Boghdi) — Camelus bactrianus; Cat (do-

mestic)— Felis domesticus; Cattle — Bvs

taurus; Dog (domestic) — Canis familiaris;

European rabbit — Ortyctolagus

§14.4

cuniculus: Ferret (domestic) — Mustela

putorius; Goat — Capra hircus: Horse —

Equus caballus; Llama — Lama glaina;

Pig — Sus scrofa; Sheep — Ovis aries:

Water buffalo— Buiiaius bubalus: White

lab mice — Mus musculus; White lab

rate — Rattus norvegicus.

Fish (For export purposes only): Carp

(koi) — Cyprinus carpio; Goldfish —

Carassius auratus.

Birds: Chicken — Gallus domesticus;

Ducks Si geese — domesticated varieties;

Guinea fowl — Numida meleagris:

Peafowl — Pavo crzstatus: Pigeons (do-

mesticated)— Columba livia domestrica;

Turkey — Meleagris gallopavo; Domes-

ticated or Barnyard Mallards Include:

Pekln; Aylesbury; Bouen; Cayuga:

Gray Call; White Call; East Indian;

Crested; Swedish; Buff Orpington; In-

dian Runner; Campbell; Duclair;

Merchtem; Termonde; Magpie; Chinese;

Khaki Campbell.

Insects: Crickets, mealworms, honey-

bees (not to Include Africanized vari-

eties), and similar insects that are rou-

tinely farm raised.

Other Invertebrates: Earthworms and

similar Invertebrates that are rou-

tinely farm raised.

Export means to depart from, to send

from, to ship from, or to carry out of,

or attempt to depart from, to send

from, to ship from, or to carry out of,

or to consign to a carrier in any place

subject to the jurisdiction of the Unit-

ed States with an Intended destination

of any place not subject to the jurisdic-

tion of the United States, whether or

not such departure, sending, or carry-

ing, or shipping constitutes an expor-

tation within the meaning of the Cus-

tom laws of the United States. When a

passenger leaving the jurisdiction of

the United States enters the des-

ignated International area of embar-

kation of an airport, all accompanying

personal hand-carried items and

checked baggage will be regarded as ex-

ports.

Import means to land on, bring into,

or Introduce into, or attempt to land

on, bring into, or introduce into any

place subject to the jurisdiction of the

United States, whether or not such

landing, bringing, or introduction con-

stitutes an importation within the

1996 Revision of 50 CFR Ch. I Part 14 — Importation, Exportation, and Transp<irtation of Wildlife.

Office of Management Authonty, U.S. Fish anil Wildlife .Service

85

§14.11

meaning of the tariff laws of the Unit-

ed States.

[61 FR 31868, June 21. 1996]

Subpart B— Importation and

Exportation at Designated Ports

§14.11 General restrictions.

Except as otherwise provided in this

part, no person may* import or export

any wildlife at any place other than a

Customs port of entry designated In

§14.12.

[45 FR 56673, Aug. 25, 1980; 45 FR 64953. Oct.

1. 1980]

§ 14.12 Designated ports.

The following Customs ports of entry

are designated for the importation or

exportation of wildlife and are referred

to hereafter as "designated ports:"

(a) Los Angeles. California;

(b) San Francisco. California;

(c) Miami. Florida;

(d) Honoltilu. Hawaii;

(e) Chicago, Illinois;

(f) New Orleans, Louisiana;

(g) New York, New York;

(h) Seattle, Washington;

(1) Dallas/Fort Worth, Texas;

(j) Portland. Oregon;

(k) Baltimore, Maryland;

(1) Boston, Massachusetts; and

(m) Atlanta, Georgia.

[45 FR 56673, Aug. 25, 1980, as ajnonded at 46

FR 43835, Sept. 1, 1981; 55 FR 9731, Mar. 15,

1990; 57 FR 21355. May 20. 1992; 59 FR 33212.

June 28, 1994; 61 FR 3851, Feb. 2, 1996]

5 14.13 Emergency diversion-

Wildlife which has been imported

into the United States at any port or

place other than a designated port sole-

ly as a result of a diversion due to an

aircraft or vessel emergency must pro-

ceed as an in-transit shipment under

Customs bond to a designated port, or

to any port where a permit or other

provision of this part provides for law-

ful importation.

ji 14.14 In-transit shipments.

(a) Wildlife destined for a point with.-

in the United States may be imported

into the United States at any port if

such wildlife proceeds as an In-tranaft

shipment under Customs bond to a des-

ignated port, or to any port where a

50 CFR Ch. I (10-1-96 Edition)

permit or other provision of this part

provides for lawful importation.

(b) Wildlife moving in-transit

through the United States from one

foreign country to another foreign

country is exempt from the designated

port requirements of this part, if such

wildlife is not unloaded within the

United States.

i 14.15 Personal baggage and house-

bold effects.

(a) Any person may import into or

export from the United States at any

Customs port wildlife products or man-

ufactured articles that are not in-

tended for commercial use and are used

as clothing or contained In accompany-

ing personal baggage. However, this ex-

ception to the designated port require-

ment does not apply to any raw or

dressed fur; raw, salted, or crusted hide

or skin; game trophy; or to wildlife re-

quiring a permit pursuant to part 16,

17. 18. 21, or 23 of this subchapter B.

(b) Wildlife products or manufactured

articles, including mounted gajne tro-

phies or tanned hides, which are not in-

tended for sale and are part of a ship-

ment of the household effects of per-

sons moving their residence to or from

the United States may be Imported or

exported at any Customs port of entry.

However, this exception to the des-

ignated port requirement does not

apply to any raw fur; raw, salted, or

crusted hide or skin; or to wildlife re-

quiring a pennlt pursuant to part 16,

17, 18, 21, or 23 of this subchapter B.

[45 FR 66673, Aug. 25, 1980, a3 amended at 61

FR 31868, June 21, 1996]

§ 14.16 Border ports.

(a) Except for wildlife requiring a

permit pursuant to part 16, 17. 18, 21, or

23 of this subchapter B, wildlife whose

country of origin is Canada or the

United States may be imported or ex-

ported at any of the following Customs

ports of entry:

(1) Aleiska — Alcan;

(2) Idaho — Elastport;

(3) Maine — Calais, Houlton, Jackman;

(4) Massachusetts — Boston;

(5) Michigan— Detroit, Port Huron,

Sault Salnte Marie;

(6) Minnesota— Grand Portage, Inter-

national Falls, Mlnneapolis-St. Paul;

(7) Montana— Raymond, Sweetgrass;

86

U.S. Fish and Wildlife Serv., Interior

(8) New York— Buffalo-Niasara Falls,

Champlain;

(9) North Dakota— Dunselth,

Pembina, Portal;

(10) Ohio— Cleveland;

(11) Vermont— Derby Line, Highgate

Springs; and

(12) Waahingrton- Blaine, Sumas.

(b) Except for wildlife requiring a

permit pursuant to uart 16, 17, 18, 21, or

23 of this subchapter B, wildlife whose

country of origin is Mexico or the Unit-

ed States may be imported or exported

at any of the following Customs ports

of entry:

(1) Arizona— Lukevtlle, Nogales;

(2) California — Calexico, San Diego-

San Ysidro; and

(3) Te.-cas— Brownsville, El Paso, La-

redo.

(c) Except for wildlife requiring a

permit pursuant to part 16. 17, 18, or 21

of this subchapter B, wildlife lawfully

taken by U.S. residents in the United

States, Canada, or Mexico and im-

ported or exported for noncommercial

purposes, may be imported or exported

at any Customs port of entry.

S 14.17 Personally owned pet birds.

Any person may import a personally

owned pet bird at any port designated

under, and In accordance with, 9 CFR

part 92.

§ 14.18 Marine mammals.

Any person subject to the jurisdic-

tion of the United States who has law-

fully taken a marine mammal on the

high seas and who is authorized to im-

port such marine mammal in accord-

ance with the Marine Mammal Protec-

tion Act of 1972 and implementing reg-

ulations (50 CFR parts 18 and 216) may

Import such marine mammal at any

port or place.

§ 14.19 Special ports.

(a) Except for wildlife requiring a

permit pursuant to part 16, 17, 18, 21, or

23 of this subchapter B, wildlife which

is imported for final destination in

Alaska, Puerto Rico, or the Virgin Is-

lands, may be Imported through those

Customs ports of entry named here-

after for the respective State or Terri-

tory of final destination: ~

(1) Alaska — Alcan, Anchorage, Fair-

banks, Juneau;

§ 14.21

(2) Puerto Rico — San Juan; and

(3) Virgin Islands — San Juan, Puerto

Rico.

(b) Except for wildlife requiring a

permit pursuant to part 16, 17, 18, 21, or

23 of this subchapter B, wildlife which

originates in Alaska, Puerto Rico, or

the Virgrin Islands, may be exported

through the following Customs ports

for the respective State or Territory:

(1) Alaska — Alcan, Anchorage, Fair-

banks, Juneau;

(2) Puerto Rico — San Juan; and

(3) Virgin Islands — San Juan, Puerto

Rico.

(c) Except for wildlife requiring a

permit pursuant to part 16, 17, 18, 21, or

23 of this subchapter B, wildlife which

has a final destination of Guam or

which originates in Guam may be im-

ported or exported, as appropriate,

through the port of Agana, Guam.

S 14J20 Elxceptiona by permit.

Wildlife may be imported into or e.x-

ported from the United States at any

Customs port of entry designated in

the terms of a valid permit Issued pur-

suant to subpart C of this part.

§ 14J21 Shellfish and flshery products.

(a)(1) General. Except for wildlife re-

quiring a permit pursuant to part 17 or

23 of this subchapter, shellfish and fish-

ery products imported or exported for

purposes of human or ajiimal consump-

tion or taken in waters under the juris-

diction of the United States or on the

high seas for recreational purposes

may enter or exit at any Customs port.

(2) Except for wildlife requiring a

permit pursuant to part 17 or part 23 of

this subchapter, live aquatic inverte-

brates of the Class Pelecypoda (com-

monly known as oysters, clams, mus-

sels, and scallops) and the eggs, larvae,

or juvenile forms thereof may be ex-

ported for purposes of propagation, or

research related to propagation, at any

Customs port.

(b) Pearls. Except for wildlife requir-

ing a permit pursuant to part 17 or 23

of this subchapter, pearls imported or

exported for commercial purposes may

enter or exit the United States at any

Customs port of entry. For the pur-

poses of this part, all references to the

1996 Revision of 50 CFR Ch. I Part 14 — Iraporlalion. Exportation, and Transportation of Wildlife.

Office of Managemenl Aiithonty. U.S. Fish and Wildlife Service

87

§ 14.22

term shellfish and fishery products will

include pearls.

[61 FR 31868. June 21, 1996]

§ 14^2 Certain antique articles.

Any person may import at any Cus-

toms Service port designated for such

purpose, any article (other than scrim-

shaw, defined in 16^ U.S. C 1539(f)(1)(B)

and 50 CFR 217.12 as any art form that

involves the etching or engraving: of de-

sigrns upon, or the carving of figrures,

patterns, or designs from, any bone or

tooth of any marine mammal of the

order Cetacea) that is at least 100 years

old, is composed in whole or in part of

any endangered or threatened species

listed under §17.11 or §17.12 of this sub-

chapter, and has not been repaired or

modified with any part of any endan-

gered or threatened species on or after

December 28, 1973.

[61 FR 31868. June 21, 1996]

§ 14.23 Live farm-raised fish and farm-

raised fish eggs.

Live farm-raised fish and farm-raised

fish egg^ meet the definition of "bred

in captivity" as stated in 50 CFR 17.3.

Except for wildlife requiring a permit

pursuant to paxts 17 or 23 of this sub-

chapter, live farm-raised fish and farm-

raised fish eggs may be exported from

any U.S. Customs port.

[59 FR 41714, Aug. 15. 1994]

§ 14.24 Scientific specimens.

Ebccept for wildlife requiring a permit

pursuant to parts 16. 17. 18. 21. 22 or 23

of this subchapter, dead, preserved,

dried, or embedded scientific specime^ns

or parts thereof, imported or exported

by accredited scientists or accredited

scientific institutions for taxonomlc or

systematic research purposes may

enter or exit through any U.S. Customs

port, or may be shipped through the

international mail system. Provided.

that this exception will not apply to

any specimens or parts thereof taken

as a result of sport hunting.

[61 FR 31869. June 21. 1996]

50 CFR Ch. I (10-1-96 Edition)

Subpart C— Designated Port

Exception Permits

§ 14.31 Permits to import or export

wildlife at nondesignated port for

scientific purposes.

(a) General. The Director may, upon

receipt of an application submitted in

accordance with the provisions of this

section and §§13.11 and 13.12 of this sub-

chapter, and in accordance with the is-

suance criteria of this section, issue a

permit authorizing importation or ex-

portation of wildlife for scientific pur-

poses at one or more najned Customs

port(3) of entry not otherwise author-

ized by subpart B. Such permits may

authorize a single importation or ex-

portation, a series of importations or

exportations, or Importation or expor-

tation during a specified period of

time.

(b) Application procedure. Applic%-

tions for permits to import or export.

wildlife at a nondesignated port for sci-

entific purposes must be submitted to

the Director. Each application must

contain the general information and

certification required by § 13.12(a) of

this subchapter, plus the following ad-

ditional Information:

(1) The scientific purpose or uses of

the wildlife to be imported or exported;

(2) The number and kinds of wildlife

described by scientific and common

names to be Imported or exported

where such number and kinds can be

determined;

(3) The country or place in which the

wildlife was removed from the wild (if

known), or where born in captivity;

(4) The port(3) of entry where impor-

tation or exportation is requested, and

the reasons why Importation or expor-

tation should be allowed at the re-

quested port(s) of entry rather than at

a designated port; and

(5) A statement as to whether the ex-

ception is being requested for a single

shipment, a series of shipments, or

shipments over a specified period of

time and the date(s) involved.

(c) Additional permit conditions. In ad-

dition to the general conditions set

forth in part 13 of this subchapter B,

permits to Import or export wildlife at

a nondesignated port issued under this

88

U.S. Fish and Wildlife Sorv., Interior

§ 14.33

section are subject to the following

condition: Permittee shall file such re-

ports as specified on the permit, if any.

(d) Issuance criteria. The Director

shall consider the following: in deter-

mining: whether to issue a permit under

this section:

(1) Benefit to a bona fide scientific re-

search project, other scientific pur-

pose, or facilitation yf the exchange of

preserved museum specimens;

(2) The kind of wildlife involved and

its place of origin;

(3) The reasons why the exception is

requested: and

(4) Availability of a Service officer.

(e) Duration of permits. Any permit is-

sued under this section expires on the

date designated on the face of the per-

mit. In no case will the permit be valid

for more than 2 years from the date of

issuance.

§ 14 J2 Permits to import or export

wildlife at nondesignated port to

minimize deterioration or loss.

(a) General. The Director may, upon

receipt of an application submitted in

accordance with the provisions of this

section and §§13.11 and 13.12 of this sub-

chapter, and in accordance with the is-

suance criteria of this section, issue a

permit authorizing Importation or ex-

portation of wildlife, in order to mini-

mize deterioration or loss, at one or

more named Customs port(s) of entry

not otherwise authorized by subpart B.

Such permits may authorize a single

importation or exportation, a series of

importations or exportations, or im-

portation or exportation during a spec-

ified period of time.

(b) Application procedure. Applica-

tions for permits to import or export

wildlife at a nondesignated port to

minimize deterioration or loss must be

submitted to the Director. Each appli-

cation must contain the general infor-

mation and certification required in

§ 13.12(a) of this subchapter, plus the

following additional information:

(1) The number and Itlnds of wildlife

described by scientific and common

names to be imported or exported

where such number and kinds can be

determined;

(2) The country or place in which the

wildlife was removed from the wild (if

known), or where bom in captivity;

(3) The port(s) of entry where impor-

tation or exportation is requested, and

the reasons why Importation or expor-

tation should be allowed at the re-

quested port(s) of entry rather than at

a designated port (information must be

included to show that an importation

or exportation at a designated port

would result in a substantial deteriora-

tion or loss of the wildlife); and

(4) A statement as to whether the ex-

ception is being requested for a single

shipment, a series of shipments, or

shipments over a specified period of

time and the date(3) involved.

(c) Additional permit conditions. In ad-

dition to the general conditions set

forth in part 13 of this subchapter B,

permits to import or export wildlife at

a nondesignated port issued under this

section are to be subject to the follow-

ing conditions:

(1) Permittee shall file such reports

as may be specified on the permit, if

any; and

(2) Permittee must pay fees in ac-

cordance with §14.94.

(d) Issuance criteria. The Director

shall consider the following in deter-

mining whether to issue a permit under

this section:

(1) Likelihood of a substantial dete-

rioration or loss of the wildlife in-

volved;

(2) The kind of wildlife Involved and

its place of origin; and

(3) Availability of a Service officer.

(e) Duration of permits. Any permit is-

sued under this section expires on the

date designated on the face of the per-

mit. In no case will the permit be valid

more than 2 years from the date of is-

suance.

[45 FR 56673, Aug. 25, 1980; 45 FR 64953, Oct.

1. 1980. as amended at 61 FR 31869. June 21.

1996]

S 14.33 Permits to import or export

wildlife at nondesignated port to al-

leviate undue economic hardship.

(a) General. The Director may. upon

receipt of an application submitted In

accordance with the provisions of this

section and §§13.11 and 13.12 of this sub-

chapter, and in accordance with the is-

suance criteria of this section, issue a

permit authorizing importation or ex-

portation of wildlife in order to allevi-

ate undue economic hardship at one or

1996 Revision of 50 Cl'R Ch. 1 Part 14 — Importalion, I'xportalion. and Trail spvirtation otWiMUfc.

OffiCL' of Managemenl Aiiihonly. U.S. Fish ami Wildlife Service

89

§14.51

more named Customs port(K) of entry

not otherwise authorized by subpart B.

Such permits may authorize a single

importation or exportation, a series of

importations or exportations, or im-

portation or exportation during: a spec-

ified period of time.

(b) Application procedure. Applica-

tions for permits to Import or export

wildlife at a nondes^igTiated port to al-

leviate undue economic hardship must

be submitted to the Director. Each ap-

plication must contain the general in-

formation and certification required in

§ 13.12(a) of this subchapter, plus the

following additional Information:

(1) The number and kinds of wildlife

described by scientific and common

names to be Imported or exported,

where such number and kinds can be

determined, and a description of the

form in which it Is to be imported, such

as "live," "frozen," "raw hides," or a

full description of any manufactured

product:

(2) The country or place in which the

wildlife was removed from the wild (If

known), or where born in captivity;

(3) The name and address of the sup-

plier or consignee;

(4) The port(3) of entry where impor-

tation or exportation is requested, and

the reasons why importation or expor-

tation should be allowed at the re-

quested port(s) of entry rather than at

a designated port (information must be

included to show the monetary dif-

ference between the cost of importa-

tion or exportation at the port re-

quested and the lowest cost of importa-

tion or exportation at the port through

which Importation or exportation is

authorized by subpart B without a per-

mit); and

(5) A statement as to whether the ex-

ception is being requested for a single

shipment, a series of shipments, or

shipments over a specified period of

time and the date(8) Involved.

(c) Additional permit conditions. In ad-

dition to the general conditions set

forth in part 13 of this subchapter B,

permits to Import or export wildlife a^t

a nondesignated port issued under this

section are subject to the following

conditions: -

(1) Permittee shall file such reports

as specified on the permit. If any: and

50 CFR Ch. I (10-1-96 Edition)

(2) Permittee must pay fees in ac-

cordance with §14.94.

(d) Issuance criteria. The Director

shall consider the following in deter-

mining whether to Issue a permit under

this section:

(1) The difference between the cost of

importing or exporting the wildlife at

the port requested and the lowest cost

of Importing or exporting such wildlife

at a port authorized by these regula-

tions without a permit;

(2) The severity of the economic

hardship that likely would result

should the permit not be issued;

(3) The kind of wildlife Involved, in-

cluding its form and place of origin;

and

(4) Availability of a Service officer.

(e) Duration of permits. Any permit is-

sued under this section expires on the

date designated on the face of the per-

mit. In no case will the permit be valid

for more than 2 years from the date of

issuance.

[45 FR 66673, Aug. 25, 1980: 45 FR 64953, Oct.

1. 1980, 03 amended at 61 FR 31869. June 21,

1996; 61 FR 40481, Aug. 2. 1996]

Subpart D— (Reserved)

Subpart E— Inspection and

Clearance of Wildlife

i 14.61 Inspection of wildlife.

Subject to applicable limitations of

law. Service officers and Customs offi-

cers may detain for inspection and In-

spect any package, crate, or other con-

tainer, including its contents, and all

accompanying documents, upon impor-

tation or exportation. The Director

may charge reasonable fees, including

salary, overtime, transportation and

per diem of Service officers, for wildlife

import or export Inspections specially

requested by the Importer or exporter

at times other than regnlar work hours

or locations other than usual for such

inspections at the port.

[45 FR 66673, Aug:. 25, 1980; 45 FR 64953. Oct.

1. 1980. aa amended at 60 FR 62889, Dec. 26.

1985]

{ 14.62 Clearance of imported wiidlife.

(a) Except as otherwise provided by

this subpart, a Service officer must

clear all wildlife Imported into the

90

U.S. Fish and Wildlife Serv., Interior

United States prior to relea.«'e from de-

tention by Customs officers. A Service

officer must clear all wildlife to be ex-

ported from the United States prior to

the physical loading of the merchan-

dise on a vehicle or aircraft, or the

containerization or palletizing of such

merchandise for export, unless a Serv-

ice officer expressly authorizes other-

wise. Such clearance does not con-

stitute a certification of the legality of

an importation or exportation under

the laws or regulations of the United

States.

(b) An importer/exporter or his/her

agent may obtain clearance by a Serv-

ice officer only at designated ports

(§14.12), at border ports (§14.16). at spe-

cial ports (§14.19), or at a port where

importation or exportation is author-

ized by a permit issued under subpart C

of this part. An importer/exporter must

return forthwith any wildlife released

without a Service officer's clearance or

clearance by Customs for the Service

under authority of §14.54 to a port

where clearance may be obtained pur-

suant to this subpart.

(c) To obtain clearance, the Importer,

exporter, or the Importer's or export-

er's agent will make available to a

Service officer or a Customs ofQcer

acting under §14.54:

(1) All shipping documents (including

bills of lading, waybills and packing

lists or invoices);

(2) All permits, licenses or other doc-

uments required by the laws or regula-

tions of the United States:

(3) All permits or other documents

required by the laws or regulations of

any foreign country;

(4) The wildlife being imported or ex-

ported; and

(5) Any documents and permits re-

quired by the country of export or re-

export for the wildlife.

[45 FR B6673. Aug. 25. 1980; 45 FR 64953. Oct.

1. 1980. aa amended at SO FR 62889. Dec. 26.

1985; 61 FR 31869. June 21. 1996]

§ 14,53 Detention and refusal of clear-

ance.

(a) Detention. Any Service officer, _or

Customs officer acting under §14.54,

may detain imported or exported wild-

life and any associated property. "As

soon as practicable following the im-

portation or exportation and decision

§ 14.53

to detain, the Service will mail a no-

tice of detention by registered or cer-

tified mail, return receipt requested, to

the importer or consignee, or exporter,

if known or easily ascertainable. Such

notice mut describe the detahied wild-

life or other property, indicate the rea-

son for the detention, describe the gen-

eral nature of the tests or Inquiries to

be conducted, and indicate that if the

releasability of the wildlife has not

been determined within 30 days after

the date of the notice, or a longer pe-

riod if specifically stated, that the

Service will deem the wildlife to be

seized and will issue no further notifi-

cation of seizure.

(b) Refusal of clearance. Any Service

officer may refuse clearance of im-

ported or exported wildlife and any

Customs officer acting under §14.54

may refuse clearance of imported wild-

life when there are responsible grounds

to believe that:

(1) A Federal law or regulation has

been violated;

(2) The correct Identity and country

of origin of the wildlife has not been es-

tablished (in such cases, the burden is

upon the owner. Importer, exporter,

consignor, or consignee to establish

such identity by scientific name to the

species level or, if any subspecies is

protected by the laws of this country

or the country of origin to the sub-

species level);

(3) Any permit, license, or other doc-

umentation required for clearance of

such wildlife is not available, is not

currently valid, has been suspended or

revoked, or is not authentic;

(4) The importer, exporter, or the im-

porter's or exporter's agent has filed an

incorrect or incomplete declaration for

importation or exportation as provided

in §14.61 or §14.63; or

(5) The importer, exporter, or the im-

porter's or exporter's agent has not

paid any fee or portion of balance due

for inspection fees required by §14.93 or

§14.94, or penalties assessed against the

Importer or exporter under 50 CFR part

11. This paragraph, does not apply to

penalty assessments on appeal in ac-

cordance with the provisions of part 11.

(61 FR 31869. June 21. 1996]

1996 Revision of 50 CFR Ch. 1 Part 14 — Importation, Hxportation, and Transportation of Wildlife.

Office of Management Authority. U.S. Pish anil Wildlil'e Service

91

§14.54

§ 14.54 Unavailability of Service offi-

cers.

(a) Designated ports. All wildlife axrlv-

Ing at a designated port must be

cleared by a Service officer prior to

Customs clearance and release. When

importers or their agents expect live or

perishable shipments of wildlife or

wildlife products or request inspection

at the time of arriv^. they must notify

the Service at least 48 hours prior to

the estimated time of arrival. However,

where a Service officer is not available

within a reasonable time. Customs Of-

ficers may clear live or perishable wild-

life subject to post-clearance Insjjec-

tion and investigation by the Service.

(b) Border and special ports. Wildlife

lawfully Imported at Canadian or Mexi-

can border ports under §14.16, or into

AJaska, Puerto Rico, or the Virgin Is-

lands, under §14.19, may, if a Service

officer is not available within a reason-

able time, be cleared by Customs offi-

cers, subject to post-clearance inspec-

tion and investigation by the Service.

(c) Permit imports. Wildlife imported

at a nondesignated port in accordance

with the terms of a valid permit Issued

under subpart C of this part, may. If a

Service officer is not available within a

reasonable time, be cleared by Customs

officers, subject to post-clearance in-

spection and investigation by the Serv-

ice.

(d) Personal baggage and household ef-

fects. Wildlife lawfully imported at any

port of entry under §14.15, may, if a

Service officer is not available within a

reasonable time, be cleared by Customs

officers, subject to post-clearance in-

spection and investigation by the Serv-

ice.

(e) Personally owned pet birds. Person-

ally owned pet birds lawfully Imported

at a port of entry under §14.17, may, if

a Service officer is not available within

a reasonable time, be cleared by Cus-

toms officers, subject to post-clearance

Inspection and investigation by the

Service.

(f) Exports. Exporters or their agents

must notify the Service and make the

shipment available for Inspection -at

least 48 hours prior to the estimated

time of exportation of any wildlife. _

[45 FR 66673, Aug. 25. 1980. as amended at 61

FR 31869, June 21. 1996]

50 CFR Ch. I (10-1-96 Edition)

§ 14.55 Elxceptions to clearance re-

quirements.

Except for wildlife requiring a permit

pursuant to part 17 or 23 of this sub-

chapter B. clearance is not required for

the importation of the following wild-

life:

(a) Shellfish and fishery products im-

ported for purposes of homaji or animal

consumption or taken in waters imder

the jurisdiction of the United States or

on the high seas for recreational pur-

poses;

(b) Marine mammals lawfully taken

on the high seas by United States resi-

dents and imported directly into the

United States; and

(c) Certain antique articles as speci-

fied in §14.22 which have been released

from custody by Customs officers

under 19 U.S.C. 1499.

(d) Dead, preserved, dried, or embed-

ded scientific specimens or parts there-

of, imported or exported by accredited

scientists or accredited scientific insti-

tutions for taxonomlc or systematic re-

search purposes. Except: That this ex-

ception will not apply to any speci-

mens or parts thereof taken as a result

of sport hunting.

[45 FR 56673, Aug. 25. 1980, as amended at 61

FR 31869. June 21. 1996]

Subpart F— Wildlife Declarations

$14.61 Import declaration require-

ments.

Except as otherwise provided by the

regulations of this subpart, importers

or their agents must file with the Serv-

ice a completed Declaration for Impor-

tation or Exportation of Fish or Wild-

life (Form 3-177). signed by the- im-

porter or the importer's agent, upon

the importation of any wildlife at the

place where Service clearance under

§14.52 is requested. However, wildlife

may be transshipped under bond to a

different port for release from custody

by Customs Service officers under 19

U.S.C. 1499. For certain antique arti-

cles as specified In §14.22, Importers or

their agents must file a Form 3-177

with the District Director of Customs

at the port of entry prior to release

from Customs custody. Importers or

their agents must furnish all applicable

information requested on the Form 3-

U.S. Fish and Wildlife Sorv.. Interior

§14.63

177 and the importer, or the importer's

agent, must certify that the informa-

tion furnished is true and complete to

the best of his/her knowledge and be-

lief.

[61 FR 49980, Sept. 24. 1996]

§ 14.62 Elzceptions to import declara-

tion requirements.

(a) Except for wridlife requiring a

permit pursuant to part 17 or 23 of this

subchapter B, an importer or his/her

Agent does not have to file a Declara-

tion for Importation or Exportation of

Fish or Wildlife (Form 3-177) for impor-

tation of shellfish and fishery products

imported for purposes of human or ani-

mal consumption, or taken in waters

under the jurisdiction of the United

States or on the high seas for rec-

reational purposes;

(b) Except for wildlife requiring a

permit pursuant to part 16, 17, 18, 21, or

23 of this subchapter B, a Declaration

for Importation or Exportation of Fish

or Wildlife (Form 3-177) does not have

to be filed for importation of the fol-

lowing:

(1) Fish taken for recreational pur-

poses in Canada or Mexico;

(2) Wildlife products or manufactured

articles that are not intended for com-

mercial use and are used as clothing or

contained in accompanying personal

baggage, except that an importer or

his/her agent must file a Form 3-177 for

raw or dressed furs: for raw. salted, or

crusted hides or skins; and for game or

game trophies: and

(3) Wildlife products or manufactured

articles that are not intended for com-

mercial use and axe a part of a ship-

ment of the household effects of per-

sons moving their residence to the

United States, except that an importer

or his/her agent must file a declaration

for raw or dressed furs and for raw,

salted, or crusted hides or skins.

(c) General declarations for certain

specimens. Notwithstanding the provi-

sions of 14.61 and except for wildlife in-

cluded in paragraph (d) of this section,

an importer or his/her agent may de-

scribe in general terms on a Declaraj

tion for the Importation or Expor-

tation of Fish or Wildlife (Form 3-177)

scientific specimens imported for bct-

entific Institutions for taxonomic, sys-

tematic research, or faunal survey pur-

poses. An importer or his/her agent

must file an amended Form 3-177 with-

in 180 days after filing of the general

declaration with the Service. The dec-

laration must Identify specimens to

the most accurate taxonomic classi-

fication reasonably practicable using

the best available taxonomic informa-

tion. The Director may grant exten-

sions of the 180-day period.

(d) Except for wildlife requiring a

permit pursuant to part 16, 17, 18, 21, 22

or 23 of this subchapter, an importer or

his/her agent does not have to file a

Declaration for the Importation or Ex-

portation of Fish or Wildlife (Form 3-

177) at the time of importation for

shipments of dead, preserved, dried, or

embedded scientific specimens or parts

thereof, imported by accredited sci-

entists or accredited scientific institu-

tions for taxonomic or systematic re-

search purposes. An importer or his/her

agent must file a Form 3-177 within 180

days of Importation with the appro-

priate Assistant Regional Director-

Law Enforcement In the Region where

the importation occurs. The declara-

tion must identify the specimens to the

most accurate taxonomic classification

reasonably practicable using the best

available taxonomic information, and

must declare the country of origin. Ex-

cept: That this exception will not apply

to any specimens or parts thereof

taken as a result of sport hunting.

[45 FR 56673. Aug. 25, 1980; 45 FR 64953. Oct.

1. 1980. as amended at 61 FR 31870, June 21,

1996]

8 14.G3 Export

ments.

declaration requlre-

Except as otherwise provided by the

regulations of this subpart, a com-

pleted Declaration for Importation or

Exportation of Fish or Wildlife (Form

3-177) signed by the exporter, or the ex-

porter's agent, shall be filed with the

Service prior to the export of any wild-

life at the port of exportation as au-

thorized in subpart B of this part. All

applicable information requested on

the Form 3-177 shall be furnished, and

the exporter or the exporter's agent

shall certify that the information fur-

nished is true and complete to the best

of his/her knowledge and belief.

1996 Revision of 50 CFR Ch. I Part 14 — Importation, Hxpoilation, and Transportation of Wildlife.

Office of Management Aiilhonty, U.S. Fish and Wildlife Service

93

§14.64

§ 14.64 EJcceptions to export declara-

tion requirements.

(a) Except for wildlife requiring a

permit pursuant to part 17 or 23 of this

subchapter B, an exporter or his/her

ag^ent does not have to file a Declara-

tion for Importation or Exportation of

Fish or Wildlife (Form a-177) for the ex-

portation of shellfiah and fishery prod-

ucts exported for pupTposes of human or

animal consumption or taken in waters

under the jurisdiction of the United

States or on the high seas for rec-

reational purposes, and does not have

to file for the exportation of live

aquatic invertebrates of the Class

Pelecypoda (commonly known as oys-

ters, claims, mussels, and scallops) and

the eggs, larvae, or juvenile forms

thereof exported for purposes of propa-

gation, or research related to propaga-

tion.

(b) Elxcept for wildlife requiring a

permit pursuajit to part 16, 17, 18, 21, or

23 of this subchapter B, a Declaration

for the Importation or Exportation of

Fish or Wildlife (Form 3-177) does not

have to be filed for the exportation of

the following:

(1) Wildlife that is not Intended for

commercial use where the value of

such wildlife is under $250;

(2) Wildlife products or manufactured

articles, including game trophies, that

are not intended for commercial use

and are used as clothing or contained

in accompanying personal baggage or

are part of a shipment of the household

effects of persons moving their resi-

dence from the United States; and

(3) Shipments of dead, preserved,

dried, or embedded scientific specimens

or parts thereof, exported by accredited

scientists or accredited scientific insti-

tutions for taxonomic or systematic re-

search purposes. An exporter or his/her

agent must file a Form 3-177 within 180

days of exportation with the appro-

priate Assistant Regional Director —

Law Enforcement in the Region where

the exportation occurs. The declara-

tion must identify the specimens to the

most accurate tajconomic classification

reasonably practicable using the best

available taxonomic information, and

must declare the country of origin. Ex-

cept: That this exception will not apply

to any specimenB or parts thereof

taken as a result of sport hunting.

50 CFR Ch. I (10-1-96 Ediiion)

(c) Except for wildlife requiring a pe-

riod pursuant to parts 17 or 23 of this

subchapter, a Declaration for the Im-

portation or Exportation of Fish or

Wildlife (Form 3-177) does not have to

be filed for the exportation of live

farm-raised fish and farm-raised fish

eggs as defined in §14.23.

[45 FR 56673. Aug. 25. 1980. a3 amended at 59

FR 41714, Augr. 15, 1994; 61 FR 31870, June 21,

1996]

Subpart G— (Reserved)

Subpart H— Marking of Containers

or Packages

source: 52 FR 45341, Nov. 27, 1987, onJess

otherwise noted.

§ 14^1 Marking requirement.

Except as otherwise provided in this

subpart, no person may Import, export,

or transport in Interstate commerce

any container or package containing

any fish or wildlife (including shellfish

and Dshery products) unless he/she

marks each container or package con-

spicuously on the outside with both the

name and address of the shipper and

consignee. An accurate and legible list

of its contents by species scientific

name and the number of each 8i>ecies

and whether or not the listed species

are venomous must accompany the en-

tire shipment.

[61 FR 31870, June 21. 1996]

§ 14.82 Alternatives and ezceptiona to

the marking requirement.

(a) The requirements of §14.81 may be

met by complying with one of the fol-

lowing alternatives to the marking re-

quirement:

(1)(1) Conspicuously marking the out-

side of each container or package con-

taining fish or wildlife with the word

"fish" or "wildlife" as appropriate for

its contents, or with the common name

of its contents by species, and

(11) Including an invoice, packing

list, bill of lading, or similar document

to accompany the shipment which ac-

curately states the name and address

of the shipper and consignee, states the

total number of packages or containers

In the shipment, and for each species in

the shipment specifies:

94

U.S. Fish and Wildlife Sorv., Interior

(A) The common name that identifies

the species (examples include: Chinook

(or king) salmon; bluefin tuna; and

whitetail deer) and whether or not the

listed species is venomous; and

(B) The number of that species (or

other appropriate measure of quantity

such as gross or net weight).

The invoice, packing list, bill of lading,

or equivalent document must be se-

curely attached to the outside of one

container or package In the shipment

or otherwise physically accompany the

shipment in a manner which makes it

readily accessible for inspection; or

(2) Affixing the shipper's wildlife im-

port/export license number preceded by

the three letters "FWS" on the outside

of each container or package contain-

ing fish or wildlife, if the shipper has

valid wildlife import/export license is-

sued under authority of 50 CFR part 14.

For each shipment marked in accord-

ance with this paragraph, the records

maintained under § 14.93(c) must in-

clude a copy of the invoice, packing

list, bill of lading, or other similar doc-

ument that accurately states the infor-

mation required by paxagraph (a)(lXll)

of this section.

(3) In the case of subcontainers or

packages within a larger packing con-

tainer, only the outermost container

must be marked in accordance with

this section. Except, that for live fish or

wildlife that are packed in subcontain-

ers within a larger packing container,

if the subcontainers are numbered or

labeled, the packing list. Invoice, bill

or lading, or other similar document,

must reflect that number or label.

However, each subcontainer containing

a venomous species must be clearly

marked as venomous.

(4) A conveyance (truck, plane, boat,

etc.) is not considered a container for

purposes of requiring specific marking

of the conveyance Itself, provided that:

(I) The fish or wildlife within the con-

veyance is carried loosely or is readily

identifiable, and is accompanied by the

document required by paragraph

(a)(l)(ii) of this section, or

(II) The flsh or wildlife is otherwise

packaged and marked in accordance

with this subpart.

(b) The requirements of §14.81 do not

apply to containers or packages con-

taining—

§ 14.91

(1) Fox, nutria, rabbit, mink, chin-

chilla, marten, fisher, muskrat, and

karakul that have been bred and born

in captivity, or their products, if a

sigmed statement certifying that the

animals were bred and bom in cap-

tivity accompanies the shipping docu-

ments;

(2) Fish or shellfish contained in re-

tail consumer packages labeled pursu-

ant to the Food, Drug and Cosmetic

Act, 21 U.S.C. 301 et seq.; or

(3) Fish or shellfish that are landed

by, find offloaded from, a fishing vessel

(whether or not the catch has been car-

ried by the fishing vessel interstate), as

long as the fish or shellfish remain at

the place where first offloaded.

(Approved by the Office of Maaag-ement and

Budget under control number 1018-0022)

[52 FR 45341. Nov. 27, 1987. as amended at 61

FR 31871. June 21. 1996]

Subpart I— Import/Export Licenses

S 14.91 License requirement

(a) Prohibition. Except £is otherwise

provided In this subpart, it Is unlawful

for any person to enga.ge in business as

an importer or exporter of wildlife