[Title 50 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1996 Edition]
[From the U.S. Government Printing Office]


          50



          Wildlife and Fisheries



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          PARTS 200 TO 599

          Revised as of October 1, 1996
          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF OCTOBER 1, 1996
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1996



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents


                                                                    Page
  Explanation.................................................       v
  Title 50:
    Chapter II--National Marine Fisheries Service, National 
        Oceanic and Atmospheric Administration, Department of 
        Commerce..............................................       3
    Chapter III--International Fishing and Related Activities.     299
    Chapter IV--Joint Regulations (United States Fish and 
        Wildlife Service, Department of the Interior and 
        National Marine Fisheries Service, National Oceanic 
        and Atmospheric Administration, Department of 
        Commerce); Endangered Species Committee Regulations...     349
    Chapter V--Marine Mammal Commission.......................     391
  Finding Aids:
    Material Approved for Incorporation by Reference..........     417
    Table of CFR Titles and Chapters..........................     419
    Alphabetical List of Agencies Appearing in the CFR........     435
    List of CFR Sections Affected.............................     445

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                                  ----------------------------------------------------------                    

   Cite this Code:  CFR                                                         
                                                                                                                
   To cite the regulations in this volume use title, part                       
   and section number. Thus, 50 CFR 216.1 refers to title                      
   50, part 216, section 1.                                                    
                                  ----------------------------------------------------------                    
                                                                                                                


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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 1996), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

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    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.
SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
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Customer Service call 202-512-1803.

                              Richard L. Claypoole,
                                    Director,
                          Office of the Federal Register.

October 1, 1996.



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                               THIS TITLE

    Title 50--Fish and Wildlife is composed of three volumes. The parts 
in these volumes are arranged in the following order: Parts 1-199, parts 
200-599 and part 600 to end. The first volume (parts 1-199) contains the 
current regulations issued under chapter I--United States Fish and 
Wildlife Service, Department of the Interior. The second volume (parts 
200-599) contains the current regulations issued under chapter II--
National Marine Fisheries Service, National Oceanic and Atmospheric 
Administration, Department of Commerce; chapter III--International 
Fishing and Related Activities, chapter IV--Joint Regulations (United 
States Fish and Wildlife Service, Department of the Interior and 
National Marine Fisheries Service, National Oceanic and Atmospheric 
Administration, Department of Commerce); Endangered Species Committee 
regulations; and chapter V--Marine Mammal Commission. The third volume 
(part 600 to end) contains the current regulations issued under chapter 
VI--Fishery Conservation and Management, National Oceanic and 
Atmospheric Administration, Department of Commerce. The contents of 
these volumes represent all current regulations codified under this 
title of the CFR as of October 1, 1996.

    Alphabetical listings of endangered and threatened wildlife and 
plants appear in part 17.

    The OMB control numbers for the National Oceanic and Atmospheric 
Administration appear in 15 CFR 902.1.

    For this volume, Ann Elise Maso was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]



 
[[Page 1]]



                    TITLE 50--WILDLIFE AND FISHERIES




                  (This book contains parts 200 to 599)

  --------------------------------------------------------------------

                                                                    Part

chapter ii--National Marine Fisheries Service, National 
  Oceanic and Atmospheric Administration, Department of 
  Commerce..................................................         216

chapter iii--International Fishing and Related Activities...         300

chapter iv--Joint Regulations (United States Fish and 
  Wildlife Service, Department of the Interior and National 
  Marine Fisheries Service, National Oceanic and Atmospheric 
  Administration, Department of Commerce); Endangered 
  Species Committee Regulations.............................         401

chapter v--Marine Mammal Commission.........................         501

Cross References: Commercial fishing on Red Lake Indian Reservation, 
  Bureau of Indian Affairs, Interior: 25 CFR part 242.
Disposal of certain wild animals in national parks, National Park 
  Service, Interior: 36 CFR part 10.
Exchanges of land for migratory bird or other wildlife refuges, Bureau 
  of Land Management, Interior: 43 CFR 2200.0-1--2272.1.
Fishing, hunting, trapping, and protection of wildlife in national 
  forests and wildlife refuges, Forest Service, USDA: 36 CFR part 241, 
  Secs. 261.8, 261.9.
Fishing, hunting, trapping, and protection of wildlife in national 
  parks, memorials, recreation areas, etc., National Park Service, 
  Interior: 36 CFR parts 2, 7, 20.
Fishing and hunting in reservoir areas, Corps of Engineers, Army, DoD: 
  36 CFR 327.8.
Free entry of animals, birds and products of American fisheries under 
  specified conditions, Customs Service, Treasury: 19 CFR 10.70--10.83.
Grazing areas for wildlife maintenance, Bureau of Land Management, 
  Interior: 43 CFR part 4110.
Making pictures, television production, or sound tracks on areas 
  administered by the United States Fish and Wildlife Service or the 
  National Park Service, Interior: 43 CFR 5.1.

[[Page 3]]



CHAPTER II--NATIONAL MARINE FISHERIES SERVICE, NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION, DEPARTMENT OF COMMERCE




  --------------------------------------------------------------------

               SUBCHAPTER A--GENERAL PROVISIONS [RESERVED]

       SUBCHAPTER B--NORTH PACIFIC COMMERCIAL FISHERIES [RESERVED]

                      SUBCHAPTER C--MARINE MAMMALS

Part                                                                Page
216             Regulations governing the taking and 
                    importing of marine mammals.............           5
217             General provisions..........................          70
220             General permit procedures...................          75
221             Designated ports............................          79
222             Endangered fish or wildlife.................          79
225             Federal/State cooperation in the 
                    conservation of endangered and 
                    threatened species......................          92
226             Designated critical habitat.................          95
227             Threatened fish and wildlife................         124
229             Authorization for commercial fisheries under 
                    the Marine Mammal Protection Act of 1972         188
                          SUBCHAPTER D--WHALING

230             Whaling provisions..........................         200
     SUBCHAPTER E--TRANSPORTATION AND LABELING OF FISH OR WILDLIFE  
                               [RESERVED]
                     SUBCHAPTER F--AID TO FISHERIES

253             Fisheries assistance programs...............         203

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259             Capital construction fund...................         212
 SUBCHAPTER G--PROCESSED FISHERY PRODUCTS, PROCESSED PRODUCTS THEREOF, 
                AND CERTAIN OTHER PROCESSED FOOD PRODUCTS

260             Inspection and certification................         223
261             United States Standards for Grades..........         254
                        SUBCHAPTER H--[RESERVED]

                      SUBCHAPTER I--TUNA FISHERIES

285             Atlantic tuna fisheries.....................         256
                        SUBCHAPTER J  [RESERVED]
                     SUBCHAPTER K--CONTINENTAL SHELF

296             Fishermen's Contingency Fund................         292

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               SUBCHAPTER A--GENERAL PROVISIONS [RESERVED]





       SUBCHAPTER B--NORTH PACIFIC COMMERCIAL FISHERIES [RESERVED]





                      SUBCHAPTER C--MARINE MAMMALS





PART 216--REGULATIONS GOVERNING THE TAKING AND IMPORTING OF MARINE MAMMALS--Table of Contents




                         Subpart A--Introduction

Sec.
216.1  Purpose of regulations.
216.2  Scope of regulations.
216.3  Definitions.
216.4  Other laws and regulations.
216.5  Payment of penalty.
216.6  Forfeiture and return of seized property.
216.7  Holding and bonding.
216.8  Enforcement officers.

                         Subpart B--Prohibitions

216.11  Prohibited taking.
216.12  Prohibited importation.
216.13  Prohibited uses, possession, transportation, sales, and permits.
216.14  Marine mammals taken before the MMPA.
216.15  Depleted species.
216.16  Prohibitions under the General Authorization for Level B 
          harassment for scientific research.

                      Subpart C--General Exceptions

216.21  Actions permitted by international treaty, convention, or 
          agreement.
216.22  Taking by state or local government officials.
216.23  Native exceptions.
216.24  Taking and related acts incidental to commercial fishing 
          operations.
216.25  Exempted marine mammals and marine mammal products.
216.26  Collection of certain marine mammals parts without prior 
          authorization.
216.27  Release, non-releasability, and disposition under special 
          exception permits for rehabilitated marine mammals.

                      Subpart D--Special Exceptions

216.30  [Reserved]
216.31  Definitions.
216.32  Scope.
216.33  Permit application submission, review, and decision procedures.
216.34  Issuance criteria.
216.35  Permit restrictions.
216.36  Permit conditions.
216.37  Marine mammal parts.
216.38  Reporting.
216.39  Permit amendments.
216.40  Penalties and permit sanctions.
216.41  Permits for scientific research and enhancement.
216.42  Photography. [Reserved]
216.43  Public display. [Reserved]
216.44  Applicability/transition.
216.45  General Authorization for Level B harassment for scientific 
          research.
216.46-216.49  [Reserved]

                       Subpart E--Designated Ports

216.50  Importation at designated ports.

      Subpart F--Pribilof Islands, Taking for Subsistence Purposes

216.71  Allowable take of fur seals.
216.72  Restrictions on taking.
216.73  Disposition of fur seal parts.
216.74  Cooperation with Federal officials.

               Subpart G--Pribilof Islands Administration

216.81  Visits to fur seal rookeries.
216.82  Dogs prohibited.
216.83  Importation of birds or mammals.
216.84  [Reserved]
216.85  Walrus and Otter Islands.
216.86  Local regulations.
216.87  Wildlife research.

                  Subpart H--Dolphin Safe Tuna Labeling

216.90  Purpose.
216.91  Labeling requirements.
216.92  Purse seine vessels greater than 400 short tons (362.8 metric 
          tons).
216.93  Submission of documentation.
216.94  Requests to review documents.
216.95  False statements or endorsements.

 Subpart I--General Regulations Governing Small Takes of Marine Mammals 
                   Incidental to Specified Activities

216.101  Purpose.
216.102  Scope.
216.103  Definitions.
216.104  Submission of requests.
216.105  Specific regulations.
216.106  Letter of Authorization.
216.107  Incidental harassment authorization for Arctic waters.

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216.108  Requirements for monitoring and reporting under incidental 
          harassment authorizations for Arctic waters.

     Subpart J--Taking of Ringed Seals Incidental to On-Ice Seismic 
                               Activities

216.111  Specified activity and specified geographical region.
216.112  Effective dates.
216.113  Permissible methods.
216.114  Requirements for monitoring and reporting.

                        Subparts K-L  [Reserved]

Subpart M--Taking of Bottlenose Dolphins and Spotted Dolphins Incidental 
               to Oil and Gas Structure Removal Activities

216.141  Specified activity and specified geographical region.
216.142  Effective dates.
216.143  Permissible methods of taking; mitigation.
216.144  Prohibitions.
216.145  Requirements for monitoring and reporting.
216.146  Letters of Authorization.
216.147  Renewal of Letters of Authorization.
216.148  Modifications to Letters of Authorization.

Subpart N--Taking of Marine Mammals Incidental to Underwater Detonation 
         of Conventional Explosives by the Department of Defense

216.151  Specified activity, geographical region, and incidental take 
          levels.
216.152  Effective dates.
216.153  Permissible methods of taking; mitigation.
216.154  Prohibitions.
216.155  Requirements for monitoring and reporting.
216.156  Renewal of Letter of Authorization.
216.157  Modifications to Letter of Authorization.

                         Subparts O-Q [Reserved]

    Note to part 216: See also 50 CFR parts 228 and 229 for regulations 
governing certain incidental takings of marine mammals.

    Authority: 16 U.S.C. 1361 et seq., unless otherwise noted.

    Source: 39 FR 1852, Jan. 15, 1974, unless otherwise noted.

    Editorial Note: At 56 FR 21096, May 7, 1991, 56 FR 41308, Aug. 20, 
1991, and 56 FR 48115, Sept. 24, 1991, findings of nonconformance, 
embargo and revocation were published in the Federal Register.



                         Subpart A--Introduction



Sec. 216.1   Purpose of regulations.

    The regulations in this part implement the Marine Mammal Protection 
Act of 1972, 86 Stat. 1027, 16 U.S.C. 1361-1407, Pub. L. 92-522, which, 
among other things, restricts the taking, possession, transportation, 
selling, offering for sale, and importing of marine mammals.



Sec. 216.2   Scope of regulations.

    This part 216 applies solely to marine mammals and marine mammal 
products as defined in Sec. 216.3. For regulations under the MMPA, with 
respect to other marine mammals and marine mammal products, see 50 CFR 
part 18.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, Oct. 3, 1994]



Sec. 216.3   Definitions.

    In addition to definitions contained in the MMPA, and unless the 
context otherwise requires, in this part 216:
    ABI means Automated Broker Interface, the electronic product-entry 
filing system under the control of the U.S. Customs Service, Department 
of the Treasury.
    Acts means, collectively, the Marine Mammal Protection Act of 1972, 
as amended, 16 U.S.C. 1361 et seq., the Endangered Species Act of 1973, 
as amended, 16 U.S.C. 1531 et seq., and the Fur Seal Act of 1966, as 
amended, 16 U.S.C. 1151 et seq.
    Active sportfishing means paying passengers have their terminal 
fishing gear (lures, hooks, etc.) in the water in an attempt to catch 
fish or, in the case of fishing involving chumming, fishing is 
considered to be in progress from the instant fish have been sighted 
taking bait (boiling) during that chumming process.
    Alaskan Native means a person defined in the Alaska Native Claims 
Settlement Act (43 U.S.C. 1602(b)) (85 Stat. 588) as a citizen of the 
United States who is of one-fourth degree or more Alaska Indian 
(including Tsimishian Indians enrolled or not enrolled in the Metlaktla 
Indian Community), Eskimo, or Aleut blood or combination thereof. The 
term includes any Native, as so defined, either or both of whose

[[Page 7]]

adoptive parents are not Natives. It also includes, in the absence of 
proof of a minimum blood quantum, any citizen of the United States who 
is regarded as an Alaska Native by the Native village or group, of which 
he claims to be a member and whose father or mother is (or, if deceased, 
was) regarded as Native by any Native village or Native group. Any such 
citizen enrolled by the Secretary of the Interior pursuant to section 5 
of the Alaska Native Claims Settlement Act shall be conclusively 
presumed to be an Alaskan Native for purposes of this part.
    Article of handicraft means items made by an Indian, Aleut or Eskimo 
from the nonedible byproducts of fur seals taken for personal or family 
consumption which--
    (1) Were commonly produced by Alaskan Natives on or before October 
14, 1983;
    (2) Are composed wholly or in some significant respect of natural 
materials, and;
    (3) Are significantly altered from their natural form and which are 
produced, decorated, or fashioned in the exercise of traditional native 
handicrafts without the use of pantographs, multiple carvers, or similar 
mass copying devices. Improved methods of production utilizing modern 
implements such as sewing machines or modern tanning techniques at a 
tannery registered pursuant to Sec. 216.23(c) may be used so long as no 
large scale mass production industry results. Traditional native 
handicrafts include, but are not limited to, weaving, carving, 
stitching, sewing, lacing, beading, drawing, and painting. The formation 
of traditional native groups, such as a cooperative, is permitted so 
long as no large scale mass production results.
    Assistant Administrator means the Assistant Administrator for 
Fisheries, National Marine Fisheries Service, National Oceanic and 
Atmospheric Administration, Silver Spring, MD 20910, or his/her 
designee.
    Authentic native articles of handicrafts and clothing means items 
made by an Indian, Aleut or Eskimo which (a) were commonly produced on 
or before December 21, 1972, and (b) are composed wholly or in some 
significant respect of natural materials, and (c) are significantly 
altered from their natural form and which are produced, decorated, or 
fashioned in the exercise of traditional native handicrafts without the 
use of pantographs, multiple carvers, or similar mass copying devices. 
Improved methods of production utilizing modern implements such as 
sewing machines or modern tanning techniques at a tannery registered 
pursuant to Sec. 216.23(c) may be used so long as no large scale mass 
production industry results. Traditional native handicrafts include, but 
are not limited to, weaving, carving, stitching, sewing, lacing, 
beading, drawing, and painting. The formation of traditional native 
groups, such as a cooperative, is permitted so long as no large scale 
mass production results.
    Bona fide scientific research: (1) Means scientific research on 
marine mammals conducted by qualified personnel, the results of which:
    (i) Likely would be accepted for publication in a refereed 
scientific journal;
    (ii) Are likely to contribute to the basic knowledge of marine 
mammal biology or ecology. (Note: This includes, for example, marine 
mammal parts in a properly curated, professionally accredited scientific 
collection); or
    (iii) Are likely to identify, evaluate, or resolve conservation 
problems.
    (2) Research that is not on marine mammals, but that may 
incidentally take marine mammals, is not included in this definition 
(see sections 101(a)(3)(A), 101(a)(5)(A), and 101(a)(5)(D) of the MMPA, 
and sections 7(b)(4) and 10(a)(1)(B) of the ESA).
    Carrying capacity means the Regional Director's determination of the 
maximum amount of fish that a vessel can carry in short tons based on 
the greater of the amount indicated by the builder of the vessel, a 
marine surveyor's report, or the highest amount reported landed from any 
one trip.
    Certified charter vessel means a fishing vessel of a non-U.S. flag 
nation, which is operating under the jurisdiction of the marine mammal 
laws and regulations of another, harvesting, nation by a formal 
declaration entered into by mutual agreement of the nations.
    Co-investigator means the on-site representative of a principal 
investigator.

[[Page 8]]

    Commercial fishing operation means the lawful harvesting of fish 
from the marine environment for profit as part of an ongoing business 
enterprise. Such terms may include licensed commercial passenger fishing 
vessel (as defined) activities, but no other sportfishing activities, 
whether or not the fish so caught are subsequently sold.
    Commercial passenger fishing vessel means any vessel licensed for 
commercial passenger fishing purposes within the State out of which it 
is operating and from which, while under charter or hire, persons are 
legally permitted to conduct sportfishing activities.
    Custody means holding a live marine mammal pursuant to the 
conditional authority granted under the MMPA, and the responsibility 
therein for captive maintenance of the marine mammal.
    Director, Office of Protected Resources means Director, Office of 
Protected Resources, National Marine Fisheries Service, 1315 East-West 
Highway, Silver Spring, MD 20910.
    Director, Southwest Region means the Director, Southwest Region, 
NMFS, 501 W. Ocean Blvd., Long Beach, CA 90802, or his/her designee.
    Dolphin Mortality Limit (DML) means the maximum allowable number of 
incidental dolphin mortalities per calendar year assigned to a vessel, 
unless a shorter time period is specified.
    Endangered Species means a species or subspecies of marine mammal 
listed as ``endangered'' pursuant to the Endangered Species Act of 1973, 
87 Stat. 884, Pub. L. 93-205 (see part 17 of this title).
    ESA means the Endangered Species Act of 1973, as amended, 16 U.S.C. 
1531 et seq.
    ETP means the eastern tropical Pacific Ocean which includes the 
Pacific Ocean area bounded by 40 deg. N. latitude, 40 deg. S. latitude, 
160 deg. W. longitude and the coastlines of North, Central and South 
America.
    ETP Fishing Area 1 means the northern coastal portion of the ETP 
east of 117 deg. W. longitude, north of 5 deg. N. latitude, and west of 
86 deg. W. longitude.
    ETP Fishing Area 2 means the offshore area south of 14 deg. N. 
latitude, north of 6 deg. N. latitude, east of 150 deg. W. longitude, 
and west of 123 deg. W. longitude.
    ETP Fishing Area 3 means all other areas within the ETP not included 
in Fishing Areas 1 and 2.
    Facility means, in the context specific to captive marine mammals,: 
(1) One or more permanent primary enclosures used to hold marine mammals 
captive (i.e., pools, lagoons) and associated infrastructure (i.e., 
equipment and supplies necessary for the care and maintenance of marine 
mammals) where these enclosures are either located within the boundaries 
of a single contiguous parcel of land and water, or are grouped together 
within the same general area within which enclosure-to-enclosure 
transport is expected to be completed in less than one hour; or
    (2) A traveling display/exhibit, where the enclosure(s) and 
associated infrastructure is transported together with the marine 
mammals.
    Feeding is offering, giving, or attempting to give food or non-food 
items to marine mammals in the wild. It includes operating a vessel or 
providing other platforms from which feeding is conducted or supported. 
It does not include the routine discard of bycatch during fishing 
operations or the routine discharge of waste or fish byproducts from 
fish processing plants or other platforms if the discharge is otherwise 
legal and is incidental to operation of the activity.
    First exporter means the person or company that first exports the 
fish or fish product, or, in the case of shipments that are subject to 
the labeling requirements of 50 CFR part 247 and that only contain fish 
harvested by vessels of the United States, the first seller of the fish 
or fish product.
    Fisheries Certificate of Origin means NOAA Form 370, as described in 
50 CFR 216.24(e)(3)(iii).
    Fishing season means, for the purposes of Sec. 216.24(e), those sets 
made on trips that are completed between October 1 and September 30 of 
the following calendar year.
    FSA means the Fur Seal Act of 1966, as amended, 16 U.S.C. 1151 et 
seq.
     Fur seal means North Pacific fur seal, scientifically known as 
Callorhinus ursinus.
    Hard part means any bone, tooth, baleen, treated pelt, or other part 
of a marine mammal that is relatively solid or durable.
    Harvesting nation means the country under whose flag one or more 
fishing vessels are documented, or which has by formal declaration 
agreed to assert

[[Page 9]]

jurisdiction over one or more certified charter vessels, from which 
vessel(s) fish are caught that are a part of any cargo or shipment of 
fish to be imported into the United States, regardless of any 
intervening transshipments.
    Humane means the method of taking, import, export, or other activity 
which involves the least possible degree of pain and suffering 
practicable to the animal involved.
    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 constitutes an importation within the Customs 
laws of the United States; except that, for the purpose of any ban 
issued under 16 U.S.C. 1371(a)(2) on the importation of fish or fish 
products, the definition of ``import'' in Sec. 216.24(e)(1)(ii) shall 
apply.
    Incidental catch means the taking of a marine mammal (1) because it 
is directly interfering with commercial fishing operations, or (2) as a 
consequence of the steps used to secure the fish in connection with 
commercial fishing operations: Provided, That a marine mammal so taken 
must immediately be returned to the sea with a minimum of injury and 
further, that the taking of a marine mammal, which otherwise meets the 
requirements of this definition shall not be considered an incidental 
catch of that mammal if it is used subsequently to assist in commercial 
fishing operations.
    Intentional purse seine set means that a tuna purse seine vessel or 
associated vessels chase marine mammals and subsequently make a purse 
seine set.
    Intrusive research means a procedure conducted for bona fide 
scientific research involving: A break in or cutting of the skin or 
equivalent, insertion of an instrument or material into an orifice, 
introduction of a substance or object into the animal's immediate 
environment that is likely either to be ingested or to contact and 
directly affect animal tissues (i.e., chemical substances), or a 
stimulus directed at animals that may involve a risk to health or 
welfare or that may have an impact on normal function or behavior (i.e., 
audio broadcasts directed at animals that may affect behavior). For 
captive animals, this definition does not include:
    (1) A procedure conducted by the professional staff of the holding 
facility or an attending veterinarian for purposes of animal husbandry, 
care, maintenance, or treatment, or a routine medical procedure that, in 
the reasonable judgment of the attending veterinarian, would not 
constitute a risk to the health or welfare of the captive animal; or
    (2) A procedure involving either the introduction of a substance or 
object (i.e., as described in this definition) or a stimulus directed at 
animals that, in the reasonable judgment of the attending veterinarian, 
would not involve a risk to the health or welfare of the captive animal.
    Kill-per-set means the number of small, toothed cetaceans (marine 
mammals) killed per purse seine set made involving marine mammals.
    Kill-per-ton means the number of small toothed cetacean marine 
mammals killed per ton of yellowfin tuna caught in sets made on marine 
mammals.
    Label means a display of written, printed, or graphic matter on or 
affixed to the immediate container of any article.
    Land or landing means to begin offloading any fish, to arrive in 
port with the intention of offloading fish, or to cause any fish to be 
offloaded.
    Large-scale driftnet means a gillnet that is composed of a panel or 
panels of webbing, or a series of such gillnets, with a total length of 
2.5 kilometers or more that is used on the high seas and allowed to 
drift with the currents and winds for the purpose of harvesting fish by 
entangling the fish in the webbing of the net.
    Level A Harassment means any act of pursuit, torment, or annoyance 
which has the potential to injure a marine mammal or marine mammal stock 
in the wild.
    Level B Harassment means any act of pursuit, torment, or annoyance 
which has the potential to disturb a marine mammal or marine mammal 
stock in the wild by causing disruption of behavioral patterns, 
including, but not

[[Page 10]]

limited to, migration, breathing, nursing, breeding, feeding, or 
sheltering but which does not have the potential to injure a marine 
mammal or marine mammal stock in the wild.
    Marine environment means the oceans and the seas, including 
estuarine and brackish waters.
    Marine mammal means those specimens of the following orders, which 
are morphologically adapted to the marine environment, whether alive or 
dead, and any part thereof, including but not limited to, any raw, 
dressed or dyed fur or skin: Cetacea (whales and porpoises), Pinnipedia, 
other than walrus (seals and sea lions).
    MMPA means the Marine Mammal Protection Act of 1972, as amended, 16 
U.S.C. 1361 et seq.
    Native village or town means any community, association, tribe, 
band, clan or group.
    Optimum sustainable population is a population size which falls 
within a range from the population level of a given species or stock 
which is the largest supportable within the ecosystem to the population 
level that results in maximum net productivity. Maximum net productivity 
is the greatest net annual increment in population numbers or biomass 
resulting from additions to the population due to reproduction and/or 
growth less losses due to natural mortality.
    Pregnant means pregnant near term.
    Pribilovians means Indians, Aleuts, and Eskimos who live on the 
Pribilof Islands.
    Principal investigator means the individual primarily responsible 
for the taking, importation, export, and any related activities 
conducted under a permit issued for scientific research or enhancement 
purposes.
    Public display means an activity that provides opportunities for the 
public to view living marine mammals at a facility holding marine 
mammals captive.
    Purse seine set on common dolphins means a purse seine set in which 
more than 50 percent of the marine mammals killed are common dolphins 
or, in sets with no dolphins killed, more than 50 percent of the 
dolphins captured are common dolphins.
    Regional Director means the Director, Southwest Region, NMFS, 501 W. 
Ocean Blvd., Long Beach, CA 90802, or his/her designee.
    Rehabilitation means treatment of beached and stranded marine 
mammals taken under section 109(h)(1) of the MMPA or imported under 
section 109(h)(2) of the MMPA, with the intent of restoring the marine 
mammal's health and, if necessary, behavioral patterns.
    Secretary shall mean the Secretary of Commerce or his authorized 
representative.
    Sexual harassment means any unwelcome sexual advance, request for 
sexual favors, or other verbal and physical conduct of a sexual nature 
which has the purpose or effect of substantially interfering with an 
individual's work performance or creating an intimidating, hostile, or 
offensive working environment.
    Soft part means any marine mammal part that is not a hard part. Soft 
parts do not include urine or fecal material.
    South Pacific Ocean means any waters of the Pacific Ocean that lie 
south of the equator.
    Stranded or stranded marine mammal means a marine mammal specimen 
under the jurisdiction of the Secretary:
    (1) If the specimen is dead, and is on a beach or shore, or is in 
the water within the Exclusive Economic Zone of the United States; or
    (2) If the specimen is alive, and is on a beach or shore and is 
unable to return to the water, or is in the water within the Exclusive 
Economic Zone of the United States where the water is so shallow that 
the specimen is unable to return to its natural habitat under its own 
power.
    Subsistence means the use of marine mammals taken by Alaskan Natives 
for food, clothing, shelter, heating, transportation, and other uses 
necessary to maintain the life of the taker or those who depend upon the 
taker to provide them with such subsistence.
    Subsistence uses means the customary and traditional uses of fur 
seals taken by Pribilovians for direct personal or family consumption as 
food, shelter, fuel, clothing, tools or transportation; for the making 
and selling of handicraft articles out of nonedible byproducts of fur 
seals taken for personal or family consumption; and for barter, or

[[Page 11]]

sharing for personal or family consumption. As used in this definition--
    (1) Family means all persons related by blood, marriage, or 
adoption, or any person living within a household on a permanent basis.
    (2) Barter means the exchange of fur seals or their parts, taken for 
subsistence uses--
    (i) For other wildlife or fish or their parts, or
    (ii) For other food or for nonedible items other than money if the 
exchange is of a limited and noncommercial nature.
    Take means to harass, hunt, capture, collect, or kill, or attempt to 
harass, hunt, capture, collect, or kill any marine mammal. This 
includes, without limitation, any of the following: The collection of 
dead animals, or parts thereof; the restraint or detention of a marine 
mammal, no matter how temporary; tagging a marine mammal; the negligent 
or intentional operation of an aircraft or vessel, or the doing of any 
other negligent or intentional act which results in disturbing or 
molesting a marine mammal; and feeding or attempting to feed a marine 
mammal in the wild.
    Threatened species means a species of marine mammal listed as 
``threatened'' pursuant to the Endangered Species Act of 1973, 87 Stat. 
884, Pub. L. 93-205.
    Trip means a voyage starting when a vessel leaves port with all fish 
wells empty of fish and ending when a vessel unloads all of its fish.
    Tuna product means any food product processed for retail sale and 
intended for human or animal consumption that contains an item listed in 
Sec. 216.24(e)(2)(i) or (ii), but does not include perishable items with 
a shelf life of less than 3 days.
    Wasteful manner means any taking or method of taking which is likely 
to result in the killing of marine mammals beyond those needed for 
subsistence, subsistence uses, or for the making of authentic native 
articles of handicrafts and clothing, or which results in the waste of a 
substantial portion of the marine mammal and includes, without 
limitation, the employment of a method of taking which is not likely to 
assure the capture or killing of a marine mammal, or which is not 
immediately followed by a reasonable effort to retrieve the marine 
mammal.

    Editorial Note: For Federal Register citations affecting Sec. 216.3, 
see the List of Sections Affected in the Finding Aids section of this 
volume.



Sec. 216.4  Other laws and regulations.

    (a) Federal. Nothing in this part, nor any permit issued under 
authority of this part, shall be construed to relieve a person from any 
other requirements imposed by a statute or regulation of the United 
States, including any applicable statutes or regulations relating to 
wildlife and fisheries, health, quarantine, agriculture, or customs.
    (b) State laws or regulations. See part 403 of this chapter.

[39 FR 1852, Jan. 15, 1974, as amended at 41 FR 36662, Aug. 31, 1976; 58 
FR 65134, Dec. 13, 1993]



Sec. 216.5   Payment of penalty.

    The respondent shall have 30 days from receipt of the final 
assessment decision within which to pay the penalty assessed. Upon a 
failure to pay the penalty, the Secretary may request the Attorney 
General to institute a civil action in the appropriate United States 
District Court to collect the penalty.

[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981]



Sec. 216.6   Forfeiture and return of seized property.

    (a) Whenever any cargo or marine mammal or marine mammal product has 
been seized pursuant to section 107 of the MMPA, the Secretary shall 
expedite any proceedings commenced under these regulations.
    (b) Whenever a civil penalty has been assessed by the Secretary 
under these regulations, any cargo, marine mammal, or marine mammal 
product seized pursuant to section 107 of the MMPA shall be subject to 
forfeiture. If respondent voluntarily forfeits any such seized property 
or the monetary value thereof without court proceedings, the Secretary 
may apply the value thereof, if any, as determined by the Secretary, 
toward payment of the civil penalty.
    (c) Whenever a civil penalty has been assessed under these 
regulations, and whether or not such penalty has been

[[Page 12]]

paid, the Secretary may request the Attorney General to institute a 
civil action in an appropriate United States District Court to compel 
forfeiture of such seized property or the monetary value thereof to the 
Secretary for disposition by him in such manner as he deems appropriate. 
If no judicial action to compel forfeiture is commenced within 30 days 
after final decision-making assessment of a civil penalty, pursuant to 
Sec. 216.60, such seized property shall immediately be returned to the 
respondent.
    (d) If the final decision of the Secretary under these regulations 
is that respondent has committed no violation of the MMPA or of any 
permit or regulations issued thereunder, any marine mammal, marine 
mammal product, or other cargo seized from respondent in connection with 
the proceedings under these regulations, or the bond or other monetary 
value substituted therefor, shall immediately be returned to the 
respondent.
    (e) If the Attorney General commences criminal proceedings pursuant 
to section 105(b) of the MMPA, and such proceedings result in a finding 
that the person accused is not guilty of a criminal violation of the 
MMPA, the Secretary may institute proceedings for the assessment of a 
civil penalty under this part: Provided, That if no such civil penalty 
proceedings have been commenced by the Secretary within 30 days 
following the final disposition of the criminal case, any property 
seized pursuant to section 107 of the MMPA shall be returned to the 
respondent.
    (f) If any seized property is to be returned to the respondent, the 
Regional Director shall issue a letter authorizing such return. This 
letter shall be dispatched to the respondent by registered mail, return 
receipt requested, and shall identify the respondent, the seized 
property, and, if appropriate, the bailee of the seized property. It 
shall also provide that upon presentation of the letter and proper 
identification, the seized property is authorized to be released. All 
charges for storage, care, or handling of the seized property accruing 5 
days or more after the date of the return receipt shall be for the 
account of the respondent: Provided, That if it is the final decision of 
the Secretary under these regulations that the respondent has committed 
the alleged violation, all charges which have accrued for the storage, 
care, or handling of the seized property shall be for the account of the 
respondent.

[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981, 
and amended at 59 FR 50375, Oct. 3, 1994]



Sec. 216.7   Holding and bonding.

    (a) Any marine mammal, marine mammal product, or other cargo seized 
pursuant to section 107 of the MMPA shall be delivered to the 
appropriate Regional Director of the National Marine Fisheries Service 
(see Sec. 201.2 of this title) or his designee, who shall either hold 
such seized property or arrange for the proper handling and care of such 
seized property.
    (b) Any arrangement for the handling and care of seized property 
shall be in writing and shall state the compensation to be paid. Subpart 
F of 15 CFR part 904 contains additional procedures that govern seized 
property that is subject to forfeiture or has been forfeited under the 
MMPA.

[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981, 
and amended at 50 FR 12785, Apr. 1, 1985; 59 FR 50375, Oct. 3, 1994]



Sec. 216.8   Enforcement officers.

    Enforcement Agents of the National Marine Fisheries Service shall 
enforce the provisions of the MMPA and may take any actions authorized 
by the MMPA with respect to enforcement. In addition, the Secretary may 
utilize, by agreement, the personnel, services, and facilities of any 
other Federal Agency for the purposes of enforcing this MMPA. Pursuant 
to the terms of section 107(b) of the MMPA, the Secretary may also 
designate officers and employees of any State or of any possession of 
the United States to enforce the provisions of this MMPA.

[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981, 
and amended at 59 FR 50375, Oct. 3, 1994]

[[Page 13]]



                         Subpart B--Prohibitions



Sec. 216.11  Prohibited taking.

    Except as otherwise provided in subparts C, D, and I of this part 
216 or in part 228 or 229, it is unlawful for:
    (a) Any person, vessel, or conveyance subject to the jurisdiction of 
the United States to take any marine mammal on the high seas, or
    (b) Any person, vessel, or conveyance to take any marine mammal in 
waters or on lands under the jurisdiction of the United States, or
    (c) Any person subject to the jurisdiction of the United States to 
take any marine mammal during the moratorium.

[39 FR 1852, Jan. 15, 1974, as amended at 47 FR 21254, May 18, 1982; 54 
FR 21921, May 19, 1989]



Sec. 216.12   Prohibited importation.

    (a) Except as otherwise provided in subparts C and D of this part 
216, it is unlawful for any person to import any marine mammal or marine 
mammal product into the United States.
    (b) Regardless of whether an importation is otherwise authorized 
pursuant to subparts C and D of this part 216, it is unlawful for any 
person to import into the United States any:
    (1) Marine mammal:
    (i) Taken in violation of the MMPA, or
    (ii) Taken in another country in violation to the laws of that 
country;
    (2) Any marine mammal product if
    (i) The importation into the United States of the marine mammal from 
which such product is made would be unlawful under paragraph (b)(1) of 
this section, or
    (ii) The sale in commerce of such product in the country of origin 
if the product is illegal.
    (c) Except in accordance with an exception referred to in subpart C 
and Secs. 216.31 (regarding scientific research permits only) and 216.32 
of this part 216, it is unlawful to import into the United States any:
    (1) Marine mammal which was pregnant at the time of taking.
    (2) Marine mammal which was nursing at the time of taking, or less 
than 8 months old, whichever occurs later.
    (3) Specimen of an endangered or threatened species of marine 
mammal.
    (4) Specimen taken from a depleted species or stock of marine 
mammals, or
    (5) Marine mammal taken in an inhumane manner.
    (d) It is unlawful to import into the United States any fish, 
whether fresh, frozen, or otherwise prepared, if such fish was caught in 
a manner proscribed by the Secretary of Commerce for persons subject to 
the jurisdiction of the United States, whether or not any marine mammals 
were in fact taken incident to the catching of the fish.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, Oct. 3, 1994]



Sec. 216.13   Prohibited uses, possession, transportation, sales, and permits.

    It is unlawful for:
    (a) Any person to use any port, harbor or other place under the 
jurisdiction of the United States for any purpose in any way connected 
with a prohibited taking or an unlawful importation of any marine mammal 
or marine mammal product; or
    (b) Any person subject to the jurisdiction of the United States to 
possess any marine mammal taken in violation of the MMPA or these 
regulations, or to transport, sell, or offer for sale any such marine 
mammal or any marine mammal product made from any such mammal.
    (c) Any person subject to the jurisdiction of the United States to 
use in a commercial fishery, any means or method of fishing in 
contravention of regulations and limitations issued by the Secretary of 
Commerce for that fishery to achieve the purposes of this MMPA.
    (d) Any person to violate any term, condition, or restriction of any 
permit issued by the Secretary.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, 50376, Oct. 3, 
1994; 61 FR 21933, May 10, 1996]



Sec. 216.14   Marine mammals taken before the MMPA.

    (a) Section 102(e) of the MMPA provides, in effect, that the MMPA 
shall not apply to any marine mammal taken prior to December 21, 1972, 
or to

[[Page 14]]

any marine mammal product, consisting of or composed in whole or in part 
of, any marine mammal taken before that date. This prior status of any 
marine mammal or marine mammal product may be established by submitting 
to the Director, National Marine Fisheries Service prior to, or at the 
time of importation, an affidavit containing the following:
    (1) The Affiant's name and address;
    (2) Identification of the Affiant;
    (3) A description of the marine mammals or marine mammal products 
which the Affiant desires to import;
    (4) A statement by the Affiant that, to the best of his knowledge 
and belief, the marine mammals involved in the application were taken 
prior to December 21, 1972;
    (5) A statement by the Affiant in the following language:

    The foregoing is principally based on the attached exhibits which, 
to the best of my knowledge and belief, are complete, true and correct. 
I understand that this affidavit is being submitted for the purpose of 
inducing the Federal Government to permit the importation of--under the 
Marine Mammal Protection Act of 1972 (16 U.S.C. 1361 through 1407) and 
regulations promulgated thereunder, and that any false statements may 
subject me to the criminal penalties of 13 U.S.C. 1001, or to penalties 
under the Marine Mammal Protection Act of 1972.

    (b) Either one of two exhibits shall be attached to such affidavit, 
and will contain either:
    (1) Records or other available evidence showing that the product 
consists of or is composed in whole or in part of marine mammals taken 
prior to the effective date of the MMPA. Such records or other 
evidentiary material must include information on how, when, where, and 
by whom the animals were taken, what processing has taken place since 
taking, and the date and location of such processing; or
    (2) A statement from a government agency of the country of origin 
exercising jurisdiction over marine mammals that any and all such 
mammals from which the products sought to be imported were derived were 
taken prior to December 21, 1972.
    (c) No pre-Act marine mammal or pre-Act marine mammal product may be 
imported unless the requirements of this section have been fulfilled.
    (d) This section has no application to any marine mammal or marine 
mammal product intended to be imported pursuant to Secs. 216.21, 216.31 
or Sec. 216.32.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, 50376, Oct. 3, 
1994]



Sec. 216.15  Depleted species.

    The following species or population stocks have been designated by 
the Assistant Administrator as depleted under the provisions of the 
MMPA.
    (a) Hawaiian monk seal (Monachus schauinslandi).
    (b) Bowhead whale (Balaena mysticetus).
    (c) North Pacific fur seal (Callorhinus ursinus). Pribilof Island 
population.
    (d) Bottlenose dolphin (Tursiops truncatus), coastal-migratory stock 
along the U.S. mid-Atlantic coast.
    (e) Eastern spinner dolphin (Stenella longirostris orientalis).
    (f) Northeastern offshore spotted dolphin (Stenella attenuata).

[53 FR 17899, May 18, 1988, as amended at 58 FR 17791, Apr. 6, 1993; 58 
FR 45074, Aug. 26, 1993; 58 FR 58297, Nov. 1, 1993; 59 FR 50376, Oct. 3, 
1994]



Sec. 216.16  Prohibitions under the General Authorization for Level B harassment for scientific research.

    It shall be unlawful for any person to:
    (a) Provide false information in a letter of intent submitted 
pursuant to Sec. 216.45(b);
    (b) Violate any term or condition imposed pursuant to 
Sec. 216.45(d).

[59 FR 50376, Oct. 3, 1994]



                      Subpart C--General Exceptions



Sec. 216.21   Actions permitted by international treaty, convention, or agreement.

    The MMPA and these regulations shall not apply to the extent that 
they are inconsistent with the provisions of any international treaty, 
convention or agreement, or any statute implementing the same relating 
to the taking or importation of marine mammals or marine mammal 
products, which was existing and in force prior to December 21, 1972, 
and to which the United States was a party. Specifically, the

[[Page 15]]

regulations in subpart B of this part and the provisions of the MMPA 
shall not apply to activities carried out pursuant to the Interim 
Convention on the Conservation of North Pacific Fur Seals signed at 
Washington on February 9, 1957, and the Fur Seal Act of 1966, 16 U.S.C. 
1151 through 1187, as in each case, from time to time amended.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994]



Sec. 216.22   Taking by state or local government officials.

    (a) A State or local government official or employee may take a 
marine mammal in the normal course of his duties as an official or 
employee, and no permit shall be required, if such taking:
    (1) Is accomplished in a humane manner;
    (2) Is for the protection or welfare of such mammal or for the 
protection of the public health or welfare; and
    (3) Includes steps designed to insure return of such mammal, if not 
killed in the course of such taking, to its natural habitat. In 
addition, any such official or employee may, incidental to such taking, 
possess and transport, but not sell or offer for sale, such mammal and 
use any port, harbor, or other place under the jurisdiction of the 
United States. All steps reasonably practicable under the circumstances 
shall be taken by any such employee or official to prevent injury or 
death to the marine mammal as the result of such taking. Where the 
marine mammal in question is injured or sick, it shall be permissible to 
place it in temporary captivity until such time as it is able to be 
returned to its natural habitat. It shall be permissible to dispose of a 
carcass of a marine mammal taken in accordance with this subsection 
whether the animal is dead at the time of taking or dies subsequent 
thereto.
    (b) Each taking permitted under this section shall be included in a 
written report to be submitted to the Secretary every six months 
beginning December 31, 1973. Unless otherwise permitted by the 
Secretary, the report shall contain a description of:
    (1) The animal involved;
    (2) The circumstances requiring the taking;
    (3) The method of taking;
    (4) The name and official position of the State official or employee 
involved;
    (5) The disposition of the animal, including in cases where the 
animal has been retained in captivity, a description of the place and 
means of confinement and the measures taken for its maintenance and 
care; and
    (6) Such other information as the Secretary may require.
    (c) Salvage of dead stranded marine mammals or parts therefrom and 
subsequent transfer.
    (1) Salvage. In the performance of official duties, a state or local 
government employee; an employee of the National Marine Fisheries 
Service, the U.S. Fish and Wildlife Service, or any other Federal agency 
with jurisdiction and conservation responsibilities in marine shoreline 
areas; or a person authorized under 16 U.S.C. 1382(c) may take and 
salvage a marine mammal specimen if it is stranded and dead or it was 
stranded or rescued and died during treatment, transport, captivity or 
other rehabilitation subsequent to that stranding or distress if salvage 
is for the purpose of utilization in scientific research or for the 
purpose of maintenance in a properly curated, professionally accredited 
scientific collection.
    (2) Registration. A person salvaging a dead marine mammal specimen 
under this section must register the salvage of the specimen with the 
appropriate Regional Office of the National Marine Fisheries Service 
within 30 days after the taking or death occurs. The registration must 
include:
    (i) The name, address, and any official position of the individual 
engaged in the taking and salvage;
    (ii) A description of the marine mammal specimen salvaged including 
the scientific and common names of the species;
    (iii) A description of the parts salvaged;
    (iv) The date and the location of the taking;
    (v) Such other information as deemed necessary by the Assistant 
Administrator.
    (3) Identification and curation. The Regional Director will assign a 
single unique number to each carcass, and the

[[Page 16]]

parts thereof, that are salvaged under the provisions of this section. 
The person who salvaged the specimen may designate the number to be 
assigned. After this number is assigned, the person who salvaged the 
specimen must permanently mark that number on each separate hard part of 
that specimen and must affix that number with tags or labels to each 
soft part of that specimen or the containers in which that soft part is 
kept. Each specimen salvaged under this section must be curated in 
accordance with professional standards.
    (4) No sale or commercial trade. No person may sell or trade for 
commercial purposes any marine mammal specimen salvaged under this 
section.
    (5) Transfer without prior authorization. A person who salvages a 
marine mammal specimen under this section may transfer that specimen to 
another person if:
    (i) The person transferring the marine mammal specimen does not 
receive remuneration for the specimen;
    (ii) The person receiving the marine mammal specimen is an employee 
of the National Marine Fisheries Service, the U.S. Fish and Wildlife 
Service, or any other Federal agency with jurisdiction and conservation 
responsibilities in marine shoreline areas; is a person authorized under 
16 U.S.C. 1382(c); or is a person who has received prior authorization 
under paragraph (c)(6) of this section;
    (iii) The marine mammal specimen is transferred for the purpose of 
scientific research, for the purpose of maintenance in a properly 
curated, professionally accredited scientific collection, or for 
educational purposes;
    (iv) The unique number assigned by the National Marine Fisheries 
Service is on, marked on, or affixed to the marine mammal specimen or 
container; and
    (v) Except as provided under paragraph (c)(8) of this section, the 
person transferring the marine mammal specimen notifies the appropriate 
Regional Office of the National Marine Fisheries Service of the 
transfer, including notification of the number of the specimen 
transferred and the person to whom the specimen was transferred, within 
30 days after the transfer occurs.
    (6) Other transfers within the United States. Except as provided 
under paragraphs (c)(5) and (c)(8) of this section, a person who 
salvages a marine mammal specimen, or who has received a marine mammal 
specimen under the provisions of this section, may not transfer that 
specimen to another person within the United States unless the Regional 
Director of the appropriate Regional Office of the National Marine 
Fisheries Service grants prior written authorization for the transfer. 
The Regional Director may grant authorization for the transfer if there 
is evidence that the conditions listed under paragraphs (c)(5)(i), 
(c)(5)(iii), and (c)(5)(iv) of this section are met.
    (7) Tranfers outside of the United States. A person who salvages a 
marine mammal specimen, or a person who has received a marine mammal 
specimen under the provisions of this section, may not transfer that 
specimen to a person outside of the United States unless the Assistant 
Administrator grants prior written authorization for the transfer. The 
Assistant Administrator may grant authorization for the transfer if 
there is evidence that the conditions listed under paragraphs (c)(5)(i), 
(c)(5)(iii), and (c)(5)(iv) of this section are met.
    (8) Exceptions to requirements for notification or prior 
authorization. A person may transfer a marine mammal specimen salvaged 
under this section without the notification required in paragraph 
(c)(5)(v) of this section or the prior authorization required in 
paragraph (c)(6) of this section if:
    (i) The transfer is a temporary transfer to a laboratory or research 
facility within the United States so that analyses can be performed for 
the person salvaging the specimen; or
    (ii) The transfer is a loan of not more than 1 year to another 
professionally accredited scientific collection within the United 
States.

[39 FR 1852, Jan. 15, 1974, as amended at 56 FR 41307, Aug. 20, 1991]



Sec. 216.23   Native exceptions.

    (a) Taking. Notwithstanding the prohibitions of subpart B of this 
part 216, but subject to the restrictions contained in this section, any 
Indian, Aleut, or Eskimo who resides on the

[[Page 17]]

coast of the North Pacific Ocean or the Arctic Ocean may take any marine 
mammal without a permit, if such taking is:
    (1) By Alaskan Natives who reside in Alaska for subsistence, or
    (2) For purposes of creating and selling authentic native articles 
of handicraft and clothing, and
    (3) In each case, not accomplished in a wasteful manner.
    (b) Restrictions. (1) No marine mammal taken for subsistence may be 
sold or otherwise transferred to any person other than an Alaskan Native 
or delivered, carried, transported, or shipped in interstate or foreign 
commerce, unless:
    (i) It is being sent by an Alaskan Native directly or through a 
registered agent to a tannery registered under paragraph (c) of this 
section for the purpose of processing, and will be returned directly or 
through a registered agent to the Alaskan Native; or
    (ii) It is sold or transferred to a registered agent in Alaska for 
resale or transfer to an Alaskan Native; or
    (iii) It is an edible portion and it is sold in an Alaskan Native 
village or town.
    (2) No marine mammal taken for purposes of creating and selling 
authentic native articles of handicraft and clothing may be sold or 
otherwise transferred to any person other than an Indian, Aleut or 
Eskimo, or delivered, carried, transported or shipped in interstate or 
foreign commerce, unless:
    (i) It is being sent by an Indian, Aleut or Eskimo directly or 
through a registered agent to a tannery registered under paragraph (c) 
of this section for the purpose of processing, and will be returned 
directly or through a registered agent to the Indian, Aleut or Eskimo; 
or
    (ii) It is sold or transferred to a registered agent for resale or 
transfer to an Indian, Aleut, or Eskimo; or
    (iii) It has first been transformed into an authentic native article 
of handicraft or clothing; or
    (iv) It is an edible portion and sold (A) in an Alaskan Native 
village or town, or (B) to an Alaskan Native for his consumption.
    (c) Any tannery, or person who wishes to act as an agent, within the 
jurisdiction of the United States may apply to the Director, National 
Marine Fisheries Service, U.S. Department of Commerce, Washington, DC 
20235, for registration as a tannery or an agent which may possess and 
process marine mammal products for Indians, Aleuts, or Eskimos. The 
application shall include the following information:
    (i) The name and address of the applicant;
    (ii) A description of the applicant's procedures for receiving, 
storing, processing, and shipping materials;
    (iii) A proposal for a system of bookkeeping and/or inventory 
segregation by which the applicant could maintain accurate records of 
marine mammals received from Indians, Aleuts, or Eskimos pursuant to 
this section;
    (iv) Such other information as the Secretary may request;
    (v) A certification in the following language:

    I hereby certify that the foregoing information is complete, true 
and correct to the best of my knowledge and belief. I understand that 
this information is submitted for the purpose of obtaining the benefit 
of an exception under the Marine Mammal Protection Act of 1972 (16 
U.S.C. 1361 through 1407) and regulations promulgated thereunder, and 
that any false statement may subject me to the criminal penalties of 18 
U.S.C. 1001, or to penalties under the Marine Mammal Protection Act of 
1972.

    (vi) The signature of the applicant.

The sufficiency of the application shall be determined by the Secretary, 
and in that connection, he may waive any requirement for information, or 
require any elaboration or further information deemed necessary. The 
registration of a tannery or other agent shall be subject to such 
conditions as the Secretary prescribes, which may include, but are not 
limited to, provisions regarding records, inventory segregation, 
reports, and inspection. The Secretary may charge a reasonable fee for 
processing such applications, including an appropriate apportionment of 
overhead and administrative expenses of the Department of Commerce.
    (d) Notwithstanding the preceding provisions of this section, 
whenever, under the MMPA, the Secretary determines any species of stock 
of marine mammals to be depleted, he may prescribe regulations pursuant 
to section

[[Page 18]]

103 of the MMPA upon the taking of such marine animals by any Indian, 
Aleut, or Eskimo and, after promulgation of such regulations, all 
takings of such marine mammals shall conform to such regulations.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994]



Sec. 216.24  Taking and related acts incidental to commercial fishing operations.

    Note to Sec. 216.24: The provisions of 50 CFR part 229, rather than 
Sec. 216.24, will govern the incidental taking of marine mammals in the 
course of commercial fishing operations by persons using vessels of the 
United States, other than vessels used in the eastern tropical Pacific 
yellowfin tuna purse seine fishery, and vessels which have valid fishing 
permits issued in accordance with section 204(b) of the Magnuson Fishery 
Conservation and Management Act (16 U.S.C. 1824(b)). Other commercial 
fisheries remain subject to regulations under Sec. 216.24.

    (a)(1) No marine mammals may be taken in the course of a commercial 
fishing operation unless: The taking constitutes an incidental catch as 
defined in Sec. 216.3, a general permit and certificate(s) of inclusion 
have been obtained in accordance with these regulations and such taking 
is not in violation of such permit, certificate(s), and regulations.
    (2)(i) It is unlawful for any person using a Class I (400 short tons 
(362.8 metric tons) carrying capacity or less) or Class II (greater than 
400 short tons (362.8 metric tons) carrying capacity, built before 1961) 
U.S. purse seine fishing vessel on a fishing involving the utilization 
of purse seines to capture yellowfin tuna, that is not operating under a 
Category 2 general permit and certificate(s) of inclusion, to carry more 
than two speedboats if any part of its fishing trip is in the Pacific 
Ocean area described in the General Permit for gear Category 2 
operations.
    (ii) It is unlawful for any person using a Class III (greater than 
400 short tons (362.8 metric tons) carrying capacity, built after 1960) 
U.S. purse seine fishing vessel that does not have and operate under a 
valid operator and vessel certificate of inclusion, to catch, possess, 
or land tuna from a fishing trip that includes the Pacific Ocean area 
described in the General Permit for gear Category 2 operations.
    (iii) It is unlawful for any person subject to the jurisdiction of 
the United States to receive, purchase, or possess tuna caught, 
possessed, or landed in violation of paragraph (a)(2)(ii) of this 
section.
    (iv) It is unlawful for a person subject to the jurisdiction of the 
United States intentionally to deploy a purse seine net on, or to 
encircle, dolphins from a vessel operating in the ETP when the DML 
assigned to that vessel has been reached, or when there is not a DML 
assigned to that vessel.
    (3) Upon written request in advance of entering the General Permit 
area, the limitation in (a)(2) may be waived by the Director, Southwest 
Region for the purpose of allowing transit through the General Permit 
area. The waiver will provide in writing the terms and conditions under 
which the vessel must operate, including a requirement to report by 
radio to the Director, Southwest Region the vessel's date of exit from 
or subsequent entry to the permit area, in order to transit the area 
with more than two speedboats.
    (b) [Reserved]
    (c) Certificates of inclusion--(1) Vessel certificates of inclusion. 
The owner or managing owner of a vessel that participates in commercial 
fishing operations under the ATA permit must hold a valid vessel 
certificate of inclusion. Such certificates are not transferable and 
must be renewed annually. If a vessel certificate holder surrenders his/
her certificate to the Director, Southwest Region, the certificate shall 
not be returned nor shall a new certificate be issued before the end of 
the calendar year. This provision does not apply when a change of vessel 
ownership occurs.
    (2) Operator's certificate of inclusion. The person in charge of and 
actually controlling fishing operations (hereinafter referred to as the 
operator) on a vessel engaged in commercial fishing operations under the 
ATA permit, must hold a valid operator's certificate of inclusion. Such 
certificates are not transferable, and must be renewed annually. In 
order to receive a certification of inclusion, the operator must

[[Page 19]]

have satisfactorily completed all required training.
    (3) A vessel certificate issued pursuant to paragraph (c)(1) of this 
section must be on board the vessel while it is engaged in fishing 
operations and the operator's certificate issued pursuant to paragraph 
(c)(2) of this section must be in the possession of the operator to whom 
it was issued. Certificates must be shown upon request to an enforcement 
agent or other National Marine Fisheries Service (NMFS) designated 
agent. Vessels and operators at sea on a fishing trip on the expiration 
date of their certificate of inclusion, to whom or to which a 
certificate of inclusion for the next year has been issued, may take 
marine mammals under the terms of the new certificate. A vessel owner or 
operator is obligated to obtain or place the new certificate on board, 
as appropriate, when the vessel next returns to port.
    (4) Applications. Owners or managing owners of purse seine vessels 
should make application for vessel certificates of inclusion to the 
Director, Southwest Region. Applications for vessel certificates of 
inclusion must contain:
    (i) The name of the vessel that is to appear on the certificate(s) 
of inclusion;
    (ii) The category of the general permit under which the applicant 
wishes to be included;
    (iii) The species of fish sought and general area of operations;
    (iv) The identity of state and local commercial fishing licenses, if 
applicable, under which vessel operations are conducted, and dates of 
expiration;
    (v) The name of the operator and date of training, if applicable; 
and
    (vi) The name and signature of the applicant, whether owner or 
managing owner, address, and if applicable, the organization acting on 
behalf of the vessel.
    (5) Fees. (i) Applications for certificates of inclusion under 
paragraph (c)(1) of this section must include a fee of $200.00 for each 
vessel named in the application, unless the applicant's income is below 
Federal poverty guidelines and the applicant shows in the application 
that his/her income is below such guidelines, in which case a fee of 
$20.00 must be included.
    (ii) The Assistant Administrator may change the amount of the fee 
required at any time a different fee is determined to be reasonable, and 
notification of such change shall be published in the Federal Register.
    (6) The Director, Southwest Region shall determine the adequacy and 
completeness of applications, and upon said determination that such 
applications are adequate and complete, shall approve such applications 
and issue the certificate(s).
    (7) Failure to comply with provisions of the ATA permit, 
certificates of inclusion, or these regulations may lead to suspension, 
revocation, modification, or denial of a certificate of inclusion. It 
may also subject the certificate holder, vessel, vessel owner, operator, 
or master to the penalties provided under the MMPA. Procedures governing 
permit sanctions and denials are found at subpart D of 15 CFR part 904.
    (8) By using an operator or vessel certificate of inclusion under 
the ATA permit, the certificate holder authorizes the release to NMFS of 
all data collected by observers aboard purse seine vessels during 
fishing trips under the Inter-American Tropical Tuna Commission observer 
program or any other international observer program in which the United 
States may participate. The certificate holder must furnish the 
international observer program all release forms required to provide the 
observer data to NMFS. Data obtained under such releases will be used 
for the same purposes as data collected directly by observers placed by 
the NMFS and will be subject to the same standards of confidentiality.
    (d) Terms and conditions of certificates under general permits shall 
include, but are not limited to the following:
    (1) [Reserved]
    (2) Encircling gear, purse seining involving the intentional taking 
of marine mammals--(i) Quotas:
    (A) A certificated vessel may take marine mammals only if the taking 
is an incidental occurrence in the course of normal commercial tuna 
purse seine fishing operations, and the fishing operations are under the 
immediate direction of a person who is the holder of

[[Page 20]]

a valid operator's certificate of inclusion, subject to the following 
conditions:
    (1)-(2) [Reserved]
    (3) No purse seine net may be deployed on or used to encircle any 
school of dolphins in which any eastern spinner dolphin (Stenella 
longirostris), coastal spotted dolphin (Stenella attenuata), or, in the 
area from 40 deg. N. lat. to 5 deg. N. lat. and from 120 deg. W. long. 
to the coastline of Central and South America, any offshore spotted 
dolphin (Stenella attenuata), are observed in the school prior to the 
release of the net skiff.
    (B) The incidental mortality of marine mammals permitted under the 
general permit for each category will be monitored according to the 
methodology published in the Federal Register. The Assistant 
Administrator shall determine on the basis of the evidence available to 
him the date upon which the allowable quotas will be reached or 
exceeded. Notice of the Assistant Administrator's determination shall be 
published in the Federal Register not less than seven days prior to the 
effective date.
    (C) Except for the coastal spotted dolphin stock and the eastern 
spinner dolphin stock, if at the time the net skiff attached to the net 
is released from the vessel at the start of a set, and species or stocks 
that are prohibited from being taken are not reasonably observable, the 
fact that individuals of that species or stock are subsequently taken 
will not be cause for issuance of a notice of violation provided that 
all procedures required by the applicable regulations have been 
followed.
    (D) The general permit is valid until surrendered by the permit 
holder or suspended or terminated by the Assistant Administrator 
provided the permittee and certificate holders under this part continue 
to use the best marine mammal safety techniques and equipment that are 
economically and technologically practicable. The Assistant 
Administrator may, upon receipt of new information which in his opinion 
is sufficient to require modification of the general permit or 
regulations, propose to modify such after consultation with the Marine 
Mammal Commission. These modifications must be consistent with and 
necessary to carry out the purposes of the MMPA. Any modifications 
proposed by the Assistant Administrator involving changes in the quotas 
will include the statements required by section 103(d) of the MMPA. 
Modifications will be proposed in the Federal Register and a public 
comment period will be allowed. At the request of any interested person 
within 15 days after publication of the proposed modification in the 
Federal Register, the Assistant Administrator may hold a public hearing 
to receive and evaluate evidence in those circumstances where he has 
determined it to be consistent with and necessary to carry out the 
purposes of the MMPA. Such request may be for a formal hearing on the 
record before an Administrative Law Judge. Within 10 days after receipt 
of the request for a public hearing, the Assistant Administrator will 
provide the requesting party or parties with his decision. If a request 
is denied, the Assistant Administrator will state the reasons for the 
denial. Within 10 days after receipt of a decision denying a request for 
a formal hearing, the requesting person may file a written notice of 
appeal with the Administrator. Based upon the evidence presented in the 
notice, the Administrator will render a decision within 20 days from 
receipt of the notice.
    (ii) General conditions: (A) Marine mammals incidentally taken must 
be immediately returned to the environment where captured without 
further injury. The operators of purse seine vessels must take every 
precaution to refrain from causing or permitting incidental mortality or 
serious injury of marine mammals. Live marine mammals must not be 
brailed or hoisted onto the deck during ortza retrieval.
    (B) Operators may take such steps as are necessary to protect their 
gear or person from damage or threat of personal injury. However, all 
marine mammals taken in the course of commercial fishing operations 
shall be subject to the definition of ``incidental catch'' in Sec. 216.3 
of this part and may not be retained except where a specific permit has 
been obtained authorizing the retention.

[[Page 21]]

    (C) The vessel certificate holder shall notify the Director, 
Southwest Region of any change of vessel operator within at least 48 
hours prior to departing on the next scheduled trip.
    (iii) Reporting requirements: In accordance with Sec. 216.24(f) of 
these regulations, the following specific reporting procedures shall be 
required:
    (A) The vessel certificate holder of each certificated vessel, who 
has been notified via certified letter from NMFS that his/her vessel is 
required to carry an observer, shall notify the Director, Southwest 
Region at least 5 days in advance of the vessel's departure on a fishing 
voyage to allow for observer placement. After a fishing voyage is 
initiated, the vessel is obligated to carry an observer until the vessel 
returns to port and one of the following conditions is met:
    (1) Unloads more than 400 tons of any species of tuna; or
    (2) Unloads any amount of any species of tuna equivalent to one half 
of the vessel's carrying capacity; or
    (3) Unloads its tuna catch after 40 days or more at sea from the 
date of departure.

Further, the Director, Southwest Region, may consider special 
circumstances for exemptions to this definition, provided written 
requests clearly describing the circumstances are received prior to the 
termination or the initiation of a fishing voyage. A response to the 
written request will be made by the Director, Southwest Region within 
five (5) days after receipt of the request. A vessel whose vessel 
certificate holder has failed to comply with the provisions of this 
section may not engage in fishing operations for which a general permit 
is required.
    (B) [Reserved]
    (C) The Director, Southwest Region, will provide to the public, 
periodic quota status reports summarizing the estimated incidental 
porpoise mortality by U.S. vessels of individual species and stock.
    (iv) A vessel having a vessel certificate issued under paragraph 
(c)(1) may not engage in fishing operations for which a general permit 
is required unless it is equipped with a porpoise safety panel in its 
purse seine, and has and uses the other required gear, equipment, and 
procedures.
    (A) Class I and II Vessels: For Class I purse seiners (400 short 
tons carrying capacity or less) and for Class II purse seiners (greater 
than 400 short tons carrying capacity, built before 1961), the porpoise 
safety panel must be a minimum of 100 fathoms in length (as measured 
before installation), except that the minimum length of the panel in 
nets deeper than 10 strips must be determined at a ratio of 10 fathoms 
in length for each strip that the net is deep. It must be installed so 
as to protect the perimeter of the backdown area. The perimeter of the 
backdown area is the length of the corkline which begins at the outboard 
end of the last bow bunch pulled and continues to at least two-thirds 
the distance from the backdown channel apex to the stern tiedown point. 
The porpoise safety panel must consist of small mesh webbing not to 
exceed 1\1/4\" stretch mesh, extending from the corkline downward to a 
minimum depth equivalent to one strip of 100 meshes of 4\1/4\" stretch 
mesh webbing. In addition, at least a 20-fathom length of corkline must 
be free from bunchlines at the apex of the backdown channel.
    (B) Class III Vessels: For Class III purse seiners (greater than 400 
short tons carrying capacity, built after 1960), the porpoise safety 
panel must be a minimum of 180 fathoms in length (as measured before 
installation), except that the minimum length of the panel in nets 
deeper than 18 strips must be determined in a ratio of 10 fathoms in 
length for each strip of net depth. It must be installed so as to 
protect the perimeter of the backdown area. The perimeter of the 
backdown area is the length of corkline which begins at the outboard end 
of the last bowbunch pulled and continues to at least two-thirds the 
distance from the backdown channel apex to the stern tiedown point. The 
porpoise safety panel must consist of small mesh webbing not to exceed 
1\1/4\" stretch mesh extending downward from the corkline and, if 
present, the base of the porpoise apron to a minimum depth equivalent to 
two strips of 100 meshes of 4\1/4\" stretch mesh webbing. In addition, 
at least a 20-fathom length of corkline must be

[[Page 22]]

free from bunchlines at the apex of the backdown channel.
    (C) Porpoise safety panel markers: Each end of the porpoise safety 
panel and porpoise apron shall be identified with an easily 
distinguishable marker.
    (D) Porpoise safety panel hand holds: Throughout the length of the 
corkline under which the porpoise safety panel and porpoise apron are 
located, hand hold openings are to be secured so that the insertion of a 
1\3/8\'' diameter cylindrical-shaped object meets resistance.
    (E) Porpoise safety panel corkline hangings: Throughout the length 
of the corkline under which the porpoise safety panel and porpoise apron 
are located, corkline hangings shall be inspected by the vessel operator 
following each trip. Hangings found to have loosened to the extent that 
a cylindrical object with a 1\3/8\'' diameter will not meet resistance 
when inserted between the cork and corkline hangings, must be tightened 
so that a cylindrical object with a 1\3/8\'' diameter cannot be 
inserted.
    (F) Speedboats: Certificated vessels engaged in fishing operations 
involving setting on marine mammals shall carry a minimum of two 
speedboats in operating condition. All speedboats carried aboard purse 
seine vessels and in operating condition shall be rigged with towing 
bridles and towlines. Speedboat hoisting bridles shall not be 
substituted for towing bridles.
    (G) Raft: A raft suitable to be used as a porpoise observation-and-
rescue platform shall be carried on all certificated vessels.
    (H) Facemask and snorkel, or viewbox: At least two facemasks and 
snorkels, or viewboxes, must be carried on all certificated vessels.
    (I) Lights: All certificated vessels shall be equipped by July 1, 
1986, with lights capable of producing a minimum of 140,000 lumens of 
output for use in darkness to ensure sufficient light to observe that 
procedures for porpoise release are carried out and to monitor 
incidental porpoise mortality.
    (v) Vessel inspection: (A) Annual: At least once during each 
calendar year, purse seine nets and other gear and equipment required by 
these regulations shall be made available for inspection by an 
authorized National Marine Fisheries Service Inspector as specified by 
the Director, Southwest Region.
    (B) Reinspection: Purse seine nets and other gear and equipment 
required by these regulations shall be made available for reinspection 
by an authorized National Marine Fisheries Service Inspector as 
specified by the Director, Southwest Region. The vessel certificate 
holder shall notify the Director, Southwest Region of any net 
modification at least 5 days prior to departure of the vessel in order 
to determine whether a reinspection or trial set is required.
    (C) Upon failure to pass an inspection or reinspection, a vessel 
having a vessel certificate of inclusion issued under paragraph (c)(1) 
may not engage in fishing operations for which a general permit is 
required until the deficiencies in gear or equipment are corrected as 
required by an authorized National Marine Fisheries Service inspector.
    (vi) Operator training requirements. All operators shall maintain 
proficiency sufficient to perform the procedures required herein, and 
must attend and satisfactorily complete a formal training session 
conducted under the auspices of the National Marine Fisheries Service in 
order to obtain their certificate of inclusion. At the training session 
an attendee shall be instructed concerning the provisions of the Marine 
Mammal Protection Act of 1972, the regulations promulgated pursuant to 
the MMPA, and the fishing gear and techniques which are required or will 
contribute to reducing serious injury and mortality of porpoise 
incidental to purse seining for tuna. Operators who have received a 
written certificate of satisfactory completion of training and who 
possess a current or previous calendar year certificate of inclusion 
will not be required to attend additional formal training sessions 
unless there are substantial changes in the MMPA, the regulations, or 
the required fishing gear and techniques. Additional training may be 
required for any operator who is found by the Director, Southwest 
Region, to lack proficiency in the procedures required.

[[Page 23]]

    (vii) Marine mammal release requirements: All operators shall use 
the following procedures during all sets involving the incidental taking 
of marine mammals in association with the capture and landing of tuna.
    (A) Backdown procedure: Backdown shall be performed following a 
purse seine set in which marine mammals are captured in the course of 
catching and landing tuna, and shall be continued until it is no longer 
possible to remove live marine mammals from the net by this procedure. 
Thereafter, other release procedures required shall be continued until 
all live animals have been released from the net.
    (B) Prohibited use of sharp or pointed instrument: The use of a 
sharp or pointed instrument to remove any marine mammal from the net is 
prohibited.
    (C) Sundown sets prohibited. On every set encircling porpoise, the 
backdown procedure must be completed and rolling of the net to sack-up 
must be begun before one-half hour after sundown, except as provided 
below. For the purpose of this section, sundown is defined as the time 
at which the upper edge of the sun disappears below the horizon or, if 
view of the sun is obscured, the local time of sunset calculated from 
tables developed by the U.S. Naval Observatory. A sundown set is a set 
in which the backdown procedure has not been completed and rolling the 
net to sack-up has not begun within one-half hour after sundown. Should 
a set extend beyond one-half hour after sundown, the operator must use 
the required marine mammal release procedures including the use of the 
high intensity lighting system.
    (1) A certificated operator may obtain an initial waiver from this 
prohibition, for trips with an observer, by establishing to the 
satisfaction of the Director, Southwest Region, NMFS, based upon NMFS 
and Inter-American Tropical Tuna Commission (IATTC) observer records, 
that the operator's average kill of marine mammals per set in sundown 
sets involving marine mammals was 3.01 marine mammals or fewer.
    (i) The application must include the following:
    (A) Name of the operator as it appears on the certificate of 
inclusion;
    (B) The dates of all observed trips any part of which occurred since 
July 1, 1986 and observed trips before that date, if necessary to 
include a minimum of three observed sundown sets;
    (C) Names of the vessels operated during those trips;
    (D) The number of marine mammals killed in sundown sets and the 
number of sundown sets involving marine mammals;
    (E) Detailed description of the circumstances that support any 
request that the mortality associated with a particular sundown set be 
excluded from consideration; and
    (F) The operator's signature or the signature of an individual 
authorized by the operator to make the application in the operator's 
absence.
    (ii) All sundown sets since July 1, 1986 will be considered for this 
determination, except that the Director, Southwest Region will exclude 
one sundown set from each twelve month period from the calculations of 
average kill if the operator establishes to the satisfaction of the 
Director, Southwest Region that the kill in that sundown set was due to 
an unforeseeable equipment malfunction that could not have been avoided 
by reasonable diligence in operating or maintaining the vessel.
    (iii) An operator must have a minimum of five observed sundown sets 
for the Director, Southwest Region to consider in determining whether or 
not the operator qualifies for an exemption. If an operator does not 
have five observed sundown sets since July 1, 1986, the Director, 
Southwest Region will consider records from observed trips before that 
date, starting with the most recent observed trip during which a sundown 
set was made and reviewing as many trips as necessary to obtain at least 
five sundown sets for consideration.
    (2) An operator fishing under an exemption from the sundown set 
prohibition must follow the marine mammal release requirements, 
including the use of high intensity lights for sets that continue one-
half hour past sundown.
    (3) An operator exemption is valid for one calendar year only on 
trips carrying a NMFS or IATTC observer and expires on December 31, 
unless renewed by the Director, Southwest Region.

[[Page 24]]

    (4) An exemption will be reviewed annually between November 1 and 
December 15 and the exemption will not be renewed if the operator's 
average mortality in sundown sets during trips completed in the previous 
twelve month period ending November 1 exceeds the United States fleet's 
average mortality rate in daylight sets for all of the observed trips 
completed in the same period.
    (5) An operator who is notified that his or her exemption will not 
be renewed, or who anticipates not getting renewed, may petition the 
Director, Southwest Region in writing to reinstate the exemption based 
on excluding from the calculations one set where an unforeseeable 
equipment malfunction caused mortality in a sundown set that could not 
have been avoided by reasonable diligence in operating or maintaining 
the vessel. The Director, Southwest Region will reinstate the exemption 
if the evidence supports excluding the set and if the resulting 
recalculation of the operator's performance meets the standard required 
by these regulations.
    (D) Porpoise Safety Panel: During backdown, the porpoise safety 
panel must be positioned so that it protects the perimeter of the 
backdown area. The perimeter of the backdown area is the length of 
corkline which begins at the outboard end of the last bow bunch pulled 
and continues to at least two-thirds the distance from the backdown 
channel apex to the stern tiedown point. Any super apron must be 
positioned at the apex of the backdown channel.
    (E) Use of explosive devices: The use of explosive devices is 
prohibited in all tuna purse seine operations that involve marine 
mammals.
    (viii) Experimental fishing operations: The Assistant Administrator 
may authorize experimental fishing operations and may waive, as 
appropriate, any requirements within Sec. 216.24(d)(2), except quotas on 
the incidental kill of marine mammals and the prohibition on setting 
nets on pure schools of certain porpoise species.
    (A) A vessel certificate holder may apply for an experimental 
fishing operation waiver by submitting the following information to the 
Assistant Administrator no less than 90 days before the intended date 
the proposed operation is intended to begin:
    (1) Name(s) of the vessel(s) and the vessel certificate holder(s) to 
participate;
    (2) A statement of the specific vessel gear and equipment or 
procedural requirement to be exempted and why such an exemption is 
necessary to conduct the experiment;
    (3) A description of how the proposed modification to the gear or 
procedures is expected to reduce incidental mortalities or serious 
injury of marine mammals;
    (4) A description of the applicability of this modification to other 
purse seine vessels;
    (5) Planned design, time, duration, and general area of the 
experimental operation;
    (6) Name(s) of the certificated operator(s) of the vessel(s) during 
the experiment;
    (7) A statement of the qualifications of the individual or company 
doing the analysis of the research.
    (B) The Assistant Administrator will acknowledge receipt of the 
application and, upon determining that it is complete, publish notice in 
the Federal Register summarizing the application, making the full 
application available for inspection and inviting comments for a minimum 
period of thirty days from the date of publication.
    (C) The Assistant Administrator, after considering the information 
identified in paragraph (d)(2)(viii)(A) of this section and the comments 
received, will deny the application giving the reasons for denial or 
issue a permit to conduct the experiment including restrictions and 
conditions as deemed appropriate.
    (D) The permit for an experimental fishing operation will be valid 
only for the vessels and operators named in the permit, for the time 
period and areas specified, for trips carrying an observer assigned by 
the NMFS, and when all the terms and conditions of the permit are met.
    (E) The Assistant Administrator may suspend or revoke an 
experimental fishing permit by written notice to the permit holder if 
the terms and conditions of the permit or the provisions of

[[Page 25]]

the regulations are not followed, after providing an opportunity for the 
permit holder to discuss the proposed suspension or revocation.
    (ix) Operator Certificate of Inclusion Holder Performance 
Requirements. (A) The certificate of inclusion of any operator who makes 
one or more purse seine sets on marine mammals resulting in an average 
kill-per-set for a fishing trip which exceeds 26.30 marine mammals is 
suspended. Such suspension shall be effective upon notification from the 
Director, Southwest Region and shall be for a period of one year. If the 
operator exceeds the 26.30 marine mammals killed per set average for a 
subsequent trip within three years of reinstatement, the certificate is 
suspended. Such suspension shall be effective upon notification by the 
Director, Southwest Region and shall be for a period of one year. If the 
operator's average mortality rate exceeds 26.30 marine mammals kill-per-
set on a subsequent trip within five years of the second reinstatement, 
the certificate is revoked. The revocation shall be effective upon 
notification by the Director, Southwest Region and shall be permanent. 
An operator who is subject to a suspension or revocation under this 
paragraph may petition the Director, Southwest Region to review the 
operator's marine mammal mortality history. The Director, Southwest 
Region may reinstate the operator's certificate if the operator 
demonstrates that the operator has not exceeded a kill-per-set of 3.89 
marine mammals during any of the eight consecutive observed trips 
immediately preceding the trip which caused the suspension. However, 
that trip will be considered as a single trip exceeding a kill-per-set 
of 3.89 marine mammals and subject to the conditions described in 
paragraph (d)(2)(ix)(F) of this section. The Director, Southwest Region 
may exclude from the mortality calculation for a trip, those purse seine 
sets in which marine mammal mortality resulted from an unavoidable and 
unforeseeable equipment breakdown. The mortality rate calculated after 
exclusion of a set or sets under this paragraph will determine the 
action taken under this performance evaluation system.
    (B) Fishing trips with five or fewer sets on marine mammals and an 
average kill-per-set less than or equal to 26.30 marine mammals are not 
subject to further action under the operator performance system. Such 
trips neither count as trips meeting the performance standard nor count 
as trips failing to meet the performance standard for the purpose of 
determining actions based on performance in consecutive fishing trips.
    (C) Fishing trips with more than five sets on marine mammals 
resulting in an average kill-per-set of not greater than 26.30 marine 
mammals are subject to review under the operator performance system as 
follows:
    (1) The operator's kill of marine mammals in purse seine sets on 
marine mammals will be determined from observer records.
    (2) The kill-per-set will be determined by dividing the total kill 
of marine mammals by the number of sets involving marine mammals during 
the fishing trip.
    (3) If the calculated kill-per-set for the trip is equal to or less 
than 3.89 marine mammals, the operator has met the performance standard 
and is not subject to further action under the performance system based 
on the current trip.
    (4) If the calculated kill-per-set for the trip exceeds 3.89 marine 
mammals, the operator failed to meet the mortality performance standard 
and is subject to further action under the performance system.
    (D) The Director, Southwest Region may exclude from the mortality 
calculation for a trip, those purse seine sets in which marine mammal 
mortality resulted from an unavoidable and unforeseeable equipment 
breakdown. Should exclusion of a set or sets cause the operator's 
performance to fall within the standard performance, that trip will not 
be counted as a trip for the purposes of the performance evaluation 
system.
    (E) An operator shall not serve as a certificated operator until the 
Director, Southwest Region has determined under this subpart and 
notified the operator that the operator's marine mammal mortality rate 
performance met or failed to meet the applicable

[[Page 26]]

performance standard on the previous observed trip. The Director, 
Southwest Region will make the determination within five days (excluding 
Saturdays, Sundays and Federal holidays) after receiving the observer 
data from the trip.
    (F) An operator whose average marine mammal mortality rate exceeds 
3.89 kill-per-set for a trip must have observer data and other pertinent 
records reviewed by the Director, Southwest Region and the Porpoise 
Rescue Foundation for the purpose of determining the causes of higher 
than acceptable mortality, must participate in supplemental marine 
mammal safety training as ordered by the Director, Southwest Region and 
must comply with actions for reducing marine mammal mortality which may 
be ordered by the Director, Southwest Region. The operator must carry an 
observer on the next trip for which he serves as the certificated 
operator. If the Director, Southwest Region determines that the required 
training or other ordered action has not been completed satisfactorily 
or is refused, the Director, Southwest Region will suspend the 
operator's certificate of inclusion for one year.
    (G) An operator whose average marine mammal mortality rate exceeds 
3.89 marine mammals killed per set on two consecutive trips or on three 
trips ending within a period of twenty-four months or on three trips 
within eight consecutive trips must have observer data and other 
pertinent records reviewed by the Director, Southwest Region and the 
Porpoise Rescue Foundation for the purpose of determining the causes of 
higher than acceptable mortality, must participate in supplemental 
marine mammal safety training as ordered by the Director, Southwest 
Region and must comply with actions for reducing marine mammal mortality 
which may be ordered by the Director, Southwest Region. The operator 
must carry an expert fisherman (i.e., an experienced vessel operator 
with a history of low dolphin mortality), if required to do so by the 
Director, Southwest Region, to assist in perfecting marine mammal safety 
techniques, and must also carry an observer on the next trip for which 
he serves as the certificated operator. The selection of the expert 
fisherman will be provided by the General Permit holder or the Porpoise 
Rescue Foundation and subject to the approval of the Director, Southwest 
Region. If the Director, Southwest Region determines that the required 
training or other ordered action has not been completed satisfactorily 
or is refused, the Director, Southwest Region will suspend the 
operator's certificate of inclusion for one year.
    (H) The operator certificate of inclusion or an operator whose 
average marine mammal mortality rate exceeds 3.89 kill-per-set on three 
consecutive trips, or on any four trips (of which no more than two are 
consecutives) completed within a period of twenty-four months or on four 
trips (of which no more than two are consecutive) within eight 
consecutively observed trips, is suspended upon notification to the 
operator from the Director, Southwest Region.
    (I) Following a suspension and a reinstatement of a certification of 
inclusion, the operator certificate of inclusion is suspended for any 
operator whose average marine mammal mortality rate exceeds 3.89 marine 
mammals killed per set on any subsequent trip as required under the 
criteria for a suspension established in paragraph (d)(2)(ix)(H) of this 
section. Under this paragraph, trips completed by the operator prior to 
suspension will be carried over and counted along with trips completed 
subsequent to the suspension. Such suspension shall be effective upon 
notification from the Director, Southwest Region and shall be for a 
period of one year. For purposes of this paragraph only, each suspension 
under paragraph (d)(2)(ix)(A) of this section will be considered 
equivalent to and counted as three consecutive trips exceeding the trip 
kill rate of 3.89 marine mammals killed per set.
    (J) An operator may appeal suspension of revocation of a certificate 
of inclusion under paragraphs (d)(2)(ix)(A), (d)(2)(ix)(H), or 
(d)(2)(ix)(I) of this section to the Assistant Administrator. Appeals 
must be filed in writing within 30 days of suspension or revocation and 
must contain a statement setting forth the basis for the appeal. Appeals 
must be filed with the Director, Southwest

[[Page 27]]

Region. The appeal may be presented at the option of the operator at a 
hearing before a person appointed by the Assistant Administrator to hear 
the appeal. The Assistant Administrator will determine, based upon the 
record, including any record developed at a hearing, if the suspension 
or revocation is supported under the criteria set forth in these 
regulations. The decision of the Assistant Administrator will be the 
final decision of the Department of Commerce.
    (K) An operator must carry an observer on the operator's first trip 
after a suspension under this performance system has expired. An 
operator must also participate in supplemental marine mammal safety 
training and comply with actions for reducing marine mammal mortality as 
ordered by the Director, Southwest Region before making another trip as 
a certified operator.
    (L) A person obtaining an operator certificate of inclusion for the 
first time must carry an observer on the operator's first trip.
    (x) Vessel Certificate of Inclusion Holder Performance 
Requirements--(A) vessel certificate of inclusion holder desiring a DML 
for the following year must provide to the Director, Southwest Region, 
NMFS, 501 W. Ocean Blvd., Suite 4200, Long Beach, CA 90802-4213, by 
September 1, the name of the purse seine vessel(s) of carrying capacity 
greater than 400 short tons (362.8 mt) that the owner thinks will 
intentionally deploy purse seine fishing nets in the ETP to encircle 
dolphins in an effort to capture tuna during that year. NMFS will 
forward the list of purse seine vessels to the Director of the IATTC on 
or before October 1, or as required by the IATTC, for assignment of a 
DML for the following year.
    (B) Each vessel certificate of inclusion holder that desires a DML 
for the period July 1 to December 31, for a vessel that has not 
previously had a DML assigned for the year, must provide to the 
Director, Southwest Region, NMFS, 501 W. Ocean Blvd., Suite 4200, Long 
Beach, CA 90802-4213, by March 15, the name of the purse seine vessel(s) 
of carrying capacity greater than 400 short tons (362.8 mt) that the 
owner thinks will intentionally deploy purse seine fishing nets in the 
ETP to encircle dolphins in an effort to capture tuna during the period. 
NMFS will forward the list of purse seine vessels to the Director of the 
IATTC on or before April 1, or as required by the IATTC, for assignment 
of a DML for the 6-month period July 1 to December 31. Under the 
Agreement adopted at the Annual Meeting of the IATTC June 16-18, 1992, 
the DML shall be assigned from the unutilized pool of DMLs described 
under paragraph (d)(2)(x)(D) of this section, divided among the 
applicants for the 6-month period, and shall not exceed 50 percent of 
the DML assigned to a vessel in the fishery with a DML for the entire 
year.
    (C)(1) NMFS will notify vessel owners of the DML assigned for each 
vessel for the following year as determined by the IATTC.
    (2) NMFS may adjust the DMLs, either upward or downward with 15 
percent of the original DML, except that the adjusted DMLs for the U.S. 
fleet will not exceed the original total of the DMLs for the U.S. fleet 
as assigned by the IATTC. All adjustments shall be made prior to 
December 1, and NMFS shall notify the IATTC prior to December 15. DMLs 
as assigned on December 1 will be applicable to the following year.
    (3) NMFS may make an adjustment of a vessel's DMLs if it will 
further scientific or technological advancement in the protection of 
marine mammals in the fishery, or if the past performance of the vessel 
indicates that the protection or use of the yellowfin tuna stocks or 
marine mammals is best served by the adjustment, within the mandates of 
the MMPA. Experimental fishing operation waivers or scientific research 
permits shall be considered a basis for adjustments.
    (D)(1) Any vessel assigned a DML, that does not participate, by June 
1, in this fishery by operating under valid certificates of inclusion, 
or that leaves the fishery, shall lose its right to utilize its DML for 
the remainder of the year.
    (2) NMFS will determine, based on the available information, whether 
a vessel has left the fishery. A vessel lost at sea, undergoing 
extensive repairs, operating in an ocean area other than

[[Page 28]]

the ETP, or for which other information indicates will no longer be 
conducting purse seine operations in the ETP for the remainder of the 
period, shall be determined to have left the fishery. NMFS will make all 
reasonable efforts to determine the intentions of the vessel owner, and 
the owner of any vessel that has been preliminarily determined to have 
left the fishery will be provided notice of such preliminary 
determination and the opportunity to provide information on whether the 
vessel has left the fishery before NMFS makes a final determination and 
notifies the IATTC of this determination. The vessel owner will receive 
written notification of NMFS' final determination.
    (3) Any unused DML for a vessel that has been determined to have 
left the fishery will be returned to the IATTC, to be added to the pool 
of unutilized DMLs.
    (E) Any vessel that exceeds its assigned DML, after any applicable 
adjustment under paragraph (d)(2)(x)(C)(2) of this section, shall have 
its DML for the subsequent year reduced by the amount of overage.
    (F)(1) The vessel operator and owner are responsible for ensuring 
that the DML for that vessel is not exceeded.
    (2) Observers, either from the IATTC observer program or the NMFS 
observer program, will make their records available to the vessel 
operators at any time, including after each set, so that the operator 
can monitor the balance of the DML remaining for use during the trip.
    (3) Vessel captains must cease deploying purse seine sets to 
encircle dolphins intentionally when the vessel's DML, as adjusted under 
paragraph (d)(2)(x)(C)(2) of this section, is reached.
    (G)(1) Sanctions recommended by the Review Panel for any violation 
of these rules shall be considered by NMFS in its enforcement of these 
regulations.
    (2) Intentionally deploying a purse seine net on or to encircle 
dolphins after the vessel's DML is reached will disqualify the vessel 
from consideration for a DML for the following year. If already 
assigned, the DMLs for the following year will be withdrawn, and the 
IATTC notified by NMFS that the DML assigned to that vessel will be 
unutilized. The vessel owner will be provided an opportunity to provide 
information and comments on this issue before a final determination is 
made by NMFS.
    (3) Encircling gear, purse seining not involving the intentional 
taking of marine mammals. (i) A certificate holder may take marine 
mammals so long as such taking is an incidental occurrence in the course 
of normal commercial fishing operations. Marine mammals taken incidental 
to commercial fishing operations shall be immediately returned to the 
environment where captured without further injury.
    (ii) A certificate holder may take such steps as are necessary to 
protect his catch, gear, or person from depredation, damage or personal 
injury without inflicting death or injury to any marine mammal.
    (iii) Only after all means permitted by paragraph (d)(3)(ii) of this 
section have been taken to deter a marine mammal from depredating the 
catch, damaging the gear, or causing personal injury, may the 
certificate holder injure or kill the animal causing the depredation or 
immediate damage, or about to cause immediate personal injury; however, 
in no event shall a certificate holder kill or injure an Atlantic 
bottlenosed dolphin, Tursiops truncatus, under the provisions of this 
paragraph. A certificate holder shall not injure or kill any animal 
permitted to be killed or injured under this paragraph unless the 
infliction of such damage is substantial and immediate and is actually 
being caused at the time such steps are taken. In all cases, the burden 
is on the certificate holder to report fully and demonstrate that the 
animal was causing substantial and immediate damage or about to cause 
personal injury and that all possible steps to protect against such 
damage or injury as permitted by paragraph (d)(3)(ii) of this section 
were taken and that such attempts failed.
    (iv) Marine mammals taken in the course of commercial fishing 
operations shall be subject to the provisions of Sec. 216.3 with respect 
to ``Incidental catch,'' and may be retained except where a specific 
permit has been obtained authorizing the retention.

[[Page 29]]

    (v) All certificate holders shall maintain logs of incidental take 
of marine mammals in such form as prescribed by the Assistant 
Administrator. All deaths or injuries to marine mammals occurring in the 
course of commercial fishing operations under the conditions of a 
general permit shall be immediately recorded in the log and reported in 
writing to the Director, Southwest Region, where a certificate 
application was made, or to an enforcement agent or other designated 
agent of the National Marine Fisheries Service, at the earliest 
opportunity but no later than five days after such occurrence, except 
that if a vessel at sea returns to port later than five days after such 
occurrence, then it shall be reported within forty-eight hours after 
arrival in port. Reports must include:
    (A) The location, time, and date of the death or injury;
    (B) The identity and number of marine mammals killed or injured; and
    (C) A description of the circumstances which led up to and caused 
the death or injury.
    (4) Stationary gear. (i) A certificate holder may take marine 
mammals so long as such taking is an incidental occurrence in the course 
of normal commercial fishing operations. Marine mammals taken incidental 
to commercial fishing operations shall be immediately returned to the 
environment where captured without further injury.
    (ii) A certificate holder may take such steps as are necessary to 
protect his catch, gear, or person from depredation, damage or personal 
injury without inflicting death or injury to any marine mammal.
    (iii) Only after all means permitted by paragraph (d)(4)(ii) of this 
section have been taken to deter a marine mammal from depredating the 
catch, damaging the gear, or causing personal injury, may the 
certificate holder injure or kill the animal causing the depredation or 
immediate damage, or about to cause immediate personal injury; however, 
in no event shall a certificate holder kill or injure an Atlantic 
bottlenosed dolphin, Tursiops truncatus, under the provisions of this 
paragraph. A certificate holder shall not injure or kill any animal 
permitted to be killed or injured under this paragraph unless the 
infliction of such damage is substantial and immediate and is actually 
being caused at the time such steps are taken. In all cases, the burden 
is on the certificate holder to report fully and demonstrate that the 
animal was causing substantial and immediate damage or about to cause 
personal injury and that all possible steps to protect against such 
damage or injury as permitted by paragraph (ii) were taken and that such 
attempts failed.
    (iv) Marine mammals taken in the course of commercial fishing 
operations shall be subject to the provisions of Sec. 216.3 with respect 
to ``Incidental catch,'' and may not be retained except where a specific 
permit has been obtained authorizing the retention.
    (v) All certificate holders shall maintain logs of incidental take 
of marine mammals in such form as prescribed by the Assistant 
Administrator. All deaths or injuries to marine mammals occurring in the 
course of commercial fishing operations under the conditions of a 
general permit shall be immediately recorded in the log and reported in 
writing to the Director, Southwest Region, where a certificate 
application was made, or to an enforcement agent or other designated 
agent of the National Marine Fisheries Service, at the earliest 
opportunity but no later than five days after such occurrence, except 
that if a vessel at sea returns to port later than five days after such 
occurrence, then it shall be reported within forty-eight hours after 
arrival in port. Reports must include:
    (A) The location time, and date of the death or injury;
    (B) The identity and number of marine mammals killed or injured; and
    (C) A description of the circumstances which led up to and caused 
the death or injury.
    (5) Other gear. (i) A certificate holder may take marine mammals so 
long as such taking is an incidental occurrence in the course of normal 
commercial fishing operations. Marine mammals taken incidental to 
commercial fishing operations shall be immediately returned to the 
environment where captured without further injury.
    (ii) A certificate holder may take such steps as are necessary to 
protect

[[Page 30]]

his catch, gear, or person from depredation, damage or personal injury 
without inflicting death or injury to any marine mammal.
    (iii) Only after all means permitted by paragraph (d)(5)(ii) of this 
section have been taken to deter a marine mammal from depredating the 
catch, damaging the gear, or causing personal injury, may the 
certificate holder injure or kill the animal causing the depredation or 
immediate damage, or about to cause immediate personal injury; however, 
in no event shall a certificate holder kill or injure an Atlantic 
bottlenosed dolphin, Tursiops truncatus, under the provisions of this 
paragraph. A certificate holder shall not injure or kill any animal 
permitted to be killed or injured under this paragraph unless the 
infliction of such damage is substantial and immediate and is actually 
being caused at the time such steps are taken. In all cases, the burden 
is on the certificate holder to report fully and demonstrate that the 
animal was causing substantial and immediate damage or about to cause 
personal injury and that all possible steps to protect against such 
damage or injury as permitted by paragraph (d)(5)(ii) of this section 
were taken and that such attempts failed.
    (iv) Marine mammals taken in the course of commercial fishing 
operations shall be subject to the provisions of Sec. 216.3 with respect 
to ``Incidental catch,'' and may not be retained except where a specific 
permit has been obtained authorizing the retention.
    (v) All certificate holders shall maintain logs of incidental take 
of marine mammals in such form as prescribed by the Assistant 
Administrator. All deaths or injuries to marine mammals occurring in the 
course of commercial fishing operations under the conditions of a 
general permit shall be immediately recorded in the log and reported in 
writing to the Director, Southwest Region, where a certificate 
application was made, or to an enforcement agent, or other designated 
agent of the National Marine Fisheries Service, at the earliest 
opportunity but no later than five days after such occurrence, except 
that if a vessel at sea returns to port later than five days after such 
occurrence, then it shall be reported within forty-eight hours after 
arrival in port. Reports must include:
    (A) The location, time, and date of the death or injury;
    (B) The identity and number of marine mammals killed or injured; and
    (C) A description of the circumstances which led up to and caused 
the death or injury.
    (vi) [Reserved]
    (vii) The number of Dall's porpoise (Phocoenoides dalli) killed or 
injured by Japanese vessels operating in the U.S. EEZ is limited to an 
aggregate of 789 in the Bering Sea and 5250 in the North Pacific Ocean 
over the period 1987 to 1989, of which no more than 448 may be taken 
from the Bering Sea and no more than 2494 may be taken from the North 
Pacific Ocean in any single calendar year. The incidental take levels 
authorized by this subpart are reduced proportionately in the event that 
the Soviet Union reduces salmon quotas for 1988 or 1989 by more than 10 
percent from the 1987 quota. Any permit issued under this part must 
indicate the measures by which the permit holder must comply with the 
conditions attached to the permit, and the reporting requirements of 
paragraph (d)(5)(v) of this section. Any permit issued under this part 
may allow retention of marine mammals for scientific purposes and will 
not require a separate permit under paragraph (d)(5)(iv) of this 
section.
    (6) Commercial passenger fishing vessels (CPFV). (i) A certificate 
holder aboard the vessel may take marine mammals so long as the taking 
is limited to harassment and is an incidental occurrence in the course 
of the active sportfishing subject to the following restrictions 
(paragraphs (d)(6) (ii) through (vi) of this section).
    (ii) Takings are prohibited within 500 yards of a pinniped rookery 
or haul-out site.
    (iii) A certificate holder aboard the CPFV must use only those non-
lethal, non-injurious methods not including capture as approved in 
advance by the Assistant Administrator for Fisheries through publication 
in the Federal Register and stipulated in the General Permit for taking 
marine mammals.

[[Page 31]]

    (iv) Takings are allowed only while engaged in active sportfishing 
to prevent imminent marine mammal approaches to the vessel or to protect 
a passenger's catch or gear from depredation or damage, without 
inflicting death or injury to any marine mammal.
    (v) All operators must ensure the safe use of the approved methods 
for preventing marine mammal sportfishing interaction and must 
satisfactorily complete such training as may be required by the 
Assistant Administrator for Fisheries.
    (vi) All certificate holders must maintain records of incidental 
take of marine mammals in such form as prescribed by the Assistant 
Administrator for Fisheries. All incidents involving harassment of 
marine mammals must be immediately recorded and reported in writing to 
the Director, Southwest Region to whom the certificate application was 
made, or to an enforcement agent or other designated agent of the 
National Marine Fisheries Service, at the earliest opportunity, but no 
later than five days after such occurrence. At a minimum, reports must 
include:
    (A) The time, date, and location of the taking;
    (B) The type of harassment device used, and the number used at each 
occurrence;
    (C) The number and species of affected marine mammals; and
    (D) A description of any behavioral changes noted that may be due to 
using the harassment device.
    (e) Importation, purchase, shipment, sale and transport. (1)(i) It 
is illegal to import into the United States any fish, whether fresh, 
frozen, or otherwise prepared, if the fish have been caught with 
commercial fishing technology that results in the incidental kill or 
incidental serious injury of marine mammals in excess of that allowed 
under this part for U.S. fishermen or in excess of what is specified in 
subsection (e)(5) in the case of fishing for yellowfin tuna.
    (ii) For purposes of this paragraph (e), and in applying the 
definition of an ``intermediary nation'', an import occurs when the fish 
or fish product is released from a nation's Customs' custody and enters 
into the territory of the nation. For other purposes, ``import'' is 
defined in Sec. 216.3.
    (2) The following fish and categories of fish, which the Assistant 
Administrator has determined may be involved with commercial fishing 
operations which cause the death or injury of marine mammals, are 
subject to the requirements of this section:
    (i) Tuna: yellowfin. The following U.S. Harmonized Tariff Schedule 
Item Numbers identify the categories of yellowfin tuna and yellowfin 
tuna products that are harvested in the ETP purse seine fisher (some of 
which are also harvested with large-scale driftnet), are imported into 
the United States, and are subject to the restrictions of paragraphs 
(e)(3) and (e)(5) of this section:
    (A) Tuna, frozen whole or in the round:
0303.42.00.20.0 Tuna, yellowfin, whole frozen.
0303.42.00.40.6 Tuna, yellowfin, eviscerated head-on, frozen.
0303.42.00.60.1 Tuna, yellowfin, eviscerated head-off, frozen.
0303.49.00.40.9 Tuna, non-specific, frozen.

    (B) Tuna, canned:

1604.14.10.00.0  Tuna, non-specific, canned in oil.
1604.14.20.40.0  Tuna, non-specific, canned, not in oil, not over 7kg in 
          quota.
1604.14.30.40.8  Tuna, non-specific, canned, not in oil, not over 7kg 
          over quota.

    (C) Tuna, loins:

1604.14.40.00.4  Tuna, non-specific, not in airtight container, not in 
          oil, over 6.8kg.
1604.14.50.00.1  Tuna, non-specific, not in airtight container, not in 
          oil, not over 6.8kg.

    (ii) Tuna: non-yellowfin. The following U.S. Harmonized Tariff 
Schedule Item Numbers identify the categories of tuna and tuna products 
that are harvested with large-scale driftnet and imported into the 
United States and are subject to the restrictions of paragraph (e)(3) of 
this section:
    (A) Tuna, frozen whole or in the round:

0303.41.00.00.5  Tuna, albacore, frozen.
0303.43.00.00.3  Tuna, skipjack, frozen.
0303.49.00.20.3  Tuna, bluefin, frozen.

    (B) Tuna, canned:

1604.14.20.20.4  Tuna, albacore, canned, not in oil, not over 7kg in 
          quota.

[[Page 32]]

1604.14.30.20.2  Tuna, albacore, canned, not in oil, not over 7kg over 
          quota.

    (iii) Fish, other than tuna. The following U.S. Harmonized Tariff 
Schedule Item Numbers identify the categories of fish and fish products 
that are imported into the United States and are subject to the 
restrictions of paragraph (e)(3) of this section:
    (A) Salmon:
    (1) Salmon, frozen whole or in the round:

0303.10.00.12.8  Salmon, chinook, frozen.
0303.10.00.22.6  Salmon, chum, frozen.
0303.10.00.32.4  Salmon, pink, frozen.
0303.10.00.42.2  Salmon, sockeye, frozen.
0303.10.00.52.9  Salmon, coho, frozen.
0303.10.00.62.7  Salmon, Pacific, non-specific, frozen.
0303.21.00.00.9  Trout, frozen.
0303.22.00.00.8  Salmon, Atlantic, Danube, frozen.
0303.29.00.00.1  Salmonidae, non-specific, frozen.
0304.20.60.07.9  Salmonidae, salmon fillet, frozen.
0305.69.40.00.2  Salmon, non-specific, salted.

    (2) Salmon, canned:

1604.11.20.20.7  Salmon, pink, canned in oil.
1604.11.20.30.5  Salmon, sockeye, canned in oil.
1604.11.20.90.2  Salmon, non-specific, canned in oil.
1604.11.40.10.5  Salmon, chum, canned, not in oil.
1604.11.40.20.3  Salmon, pink, canned, not in oil.
1604.11.40.30.1  Salmon, sockeye, canned, not in oil.
1604.11.40.40.9  Salmon, non-specific, canned, not in oil.
1604.11.40.50.6  Salmon, non-specific, other.

    (B) Squid:

0307.49.00.10.1  Squid, non-specific, fillet, frozen.
0307.49.00.50.2  Squid, non-specific, frozen/dried/salted/brine.
0307.49.00.60.0  Squid, non-specific, & cuttlefish frozen/dried/salted/
          brine.
1605.90.60.55.9  Squid, non-specific, prepared/preserved.

    (C) Shark:

0303.75.00.00.4  Shark, dogfish and other sharks, frozen.
0305.59.20.00.8  Shark fins.

    (D) Swordfish:

0303.79.20.40.8  Swordfish, frozen.

    (E) Species not specifically identified:

0303.79.40.90.3  Marine fish, non-specific, frozen.
0304.20.20.66.6  Marine fish, non-specific, fillet blocks frozen over 
          4.5kg.
0304.20.60.85.4  Marine fish, non-specific, fillet, frozen.
0305.30.60.80.6  Fish, non-specific, fillet dried/salted/brine over 
          6.8kg.
0305.49.40.40.9  Fish, non-specific, smoked.
0305.59.40.00.4  Fish, non-specific, dried.
0305.69.50.00.9  Fish, non-specific, salted, not over 6.8kg.
0305.69.60.00.7  Fish, non-specific, salted, over 6.8kg.
1604.19.20.00.3  Fish, non-specific, in airtight containers, not in oil.
1604.19.30.00.1  Fish, non-specific, in airtight containers, in oil.

    (3)(i) Tuna--(A) All nations. No shipment containing an item listed 
in paragraph (e)(2)(i) or (e)(2)(ii) of this section, from any nation, 
may be imported into the United States unless:
    (1) Accompanied by a completed Fisheries Certificate of Origin 
described in paragraph (e)(3)(iii) of this section, or, for points of 
entry where the ABI system is available, the information required for 
the Certificate may be filed electronically by the ABI system in lieu of 
the paper form, provided that the electronic filing is made no later 
than at the time of entry and all documentation in support of the ABI 
entry is maintained by the importer or broker for not less than 5 years 
and is kept available for inspection by NMFS personnel upon request;
    (2) The tuna or tuna product was not harvested with a large-scale 
driftnet after July 1, 1991; and
    (3) An original invoice accompanies the shipment at the time of 
importation, or is made available within 30 days of a request by the 
Secretary to produce the invoice.
    (B) Harvesting nations. No shipment containing an item listed in 
paragraph (e)(2)(i) of this section may be imported into the United 
States from a harvesting nation subject to paragraph (e)(5)(i) of this 
section unless a finding required for importation has been made.
    (C) Intermediary nations. No shipment containing an item listed in 
paragraph (e)(2)(i) of this section may be imported into the United 
States from an intermediary nation subject to paragraph (e)(5)(xiv) of 
this section if a ban is currently in force prohibiting the importation.

[[Page 33]]

    (D) Harvesting and intermediary nations. No shipment containing an 
item in paragraph (e)(2)(i) of this section may be imported into the 
United States from a nation that is both a harvesting nation subject to 
paragraph (e)(5)(i) of this section and an intermediary nation subject 
to paragraph (e)(5)(xiv) of this section unless the necessary findings 
have been made under both provisions and a ban is not currently in 
force.
    (E) Tuna or tuna products sold in or exported from the United States 
that suggest the tuna was harvested in a manner not injurious to 
dolphins are subject to the requirements of subpart H.
    (ii) Other fish. After July 1, 1991, no shipment containing an item 
listed in paragraphs (e)(2)(iii)(B) through (E) of this section, and, 
after July 1, 1992, no shipment containing an item in the whole of 
paragraph (e)(2)(iii) of this section, that was harvested by any nation 
determined by the Assistant Administrator to be engaged in large-scale 
driftnet fishing, or exported from any such nation, either directly or 
through an intermediary nation, may be imported into the United States 
unless:
    (A) Accompanied by a complete Fisheries Certificate of Origin, as 
described in paragraph (e)(3)(iii) of this section;
    (B) The fish or fish product was not harvested with a large-scale 
driftnet, if the area of harvest, as described on the Fisheries 
Certificate of Origin was:
    (1) The South Pacific Ocean, for harvests after July 1, 1991; or
    (2) Anywhere on the high seas, for harvests after July 1, 1992; and
    (C) An original invoice accompanies the shipment at the time of 
importation, or is made available within 30 days of a request by the 
Secretary to produce the invoice.
    (iii) Certificates of Origin. A Fisheries Certificate of Origin 
(NOAA Form 370), \1\ certified to be accurate by the first exporter of 
the accompanying shipment, must include the following information:
---------------------------------------------------------------------------

    \1\ Copies of the form are available from the Director, Southwest 
Region (see Sec. 216.3).
---------------------------------------------------------------------------

    (A) Country under whose laws the harvesting vessel operated;
    (B) Exporter (name and address);
    (C) Consignee (name and address);
    (D) Type and quantity of the fish or fish products to be imported, 
listed by U.S. Harmonized Tariff Schedule Number;
    (E) Ocean area where the fish was harvested (ETP, Western Pacific 
Ocean, South Pacific Ocean, Atlantic Ocean, Caribbean Sea, Indian Ocean, 
or other);
    (F) Type of fishing gear used to harvest the fish (purse seine, 
longline, bait boat, large-scale driftnet, other type of gillnet, trawl, 
pole and line, other);
    (G) Dates on which the fishing trip began and ended;
    (H) If shipment is tuna or products from tuna that were harvested in 
the ETP with a purse seine net, the name of the harvesting vessel; and
    (I) For shipments harvested by vessels of a nation known to use 
large-scale driftnets, as determined by the Secretary pursuant to 
paragraph (e)(4) of this section, a statement must be included on the 
Fisheries Certificate of Origin, or by separate attachment, that is 
dated and signed by a responsible government official of the harvesting 
nation, certifying that the fish or fish product was harvested by a 
method other than large-scale driftnet, if the shipment includes:
    (1) Tuna or tuna products described in paragraph (e)(2) (i) or (ii) 
of this section that were harvested on the high seas after July 1, 1991; 
or
    (2) Fish or fish products other than tuna described in paragraph 
(e)(2)(iii) of this section that were harvested in the South Pacific 
Ocean after July 1, 1991, or that were harvested anywhere on the high 
seas after July 1, 1992.
    (4) Large-scale driftnet nations. Based upon the best information 
available, the Assistant Administrator will determine which nations have 
registered vessels that engage in fishing with large-scale driftnets. 
Such determinations shall be published in the Federal Register. A 
responsible government official of any such nation may certify to the 
Assistant Administrator that none of the nation's vessels use large-
scale driftnets. Upon receipt of the certification, the Assistant 
Administrator may find, and publish such finding in the Federal 
Register, that none of

[[Page 34]]

the nation's vessels engage in fishing with large-scale driftnets.
    (5) Yellowfin tuna. 
    (i) Any tuna or tuna products in the classifications listed in 
paragraph (e)(2)(i) of this section, from harvesting nations whose 
vessels of greater than 400 short tons (362.8 mt) carrying capacity 
operate in the ETP tuna purse seine fishery as determined by the 
Assistant Administrator, may not be imported into the United States 
unless the Assistant Administrator makes an affirmative finding under 
either paragraph (e)(5)(v), (e)(5)(viii) or (e)(5)(x) of this section 
and publishes the finding in the Federal Register that:
    (A) The government of the harvesting nation has adopted a regulatory 
program governing the incidental taking of marine mammals in the course 
of such harvesting that is comparable to the regulatory program of the 
United States; and
    (B) The average rate of incidental mortality by the vessels of the 
harvesting nation is comparable to the average rate of incidental 
mortality of marine mammals by U.S. vessels in the course of such 
harvesting as specified in paragraphs (e)(5)(v)(E) and (e)(5)(v)(F) of 
this section.
    (ii) A harvesting nation which desires an initial finding under 
these regulations that will allow it to import into the United States 
those products listed in paragraph (e)(2)(i) of this section must 
provide the Assistant Administrator with the following information:
    (A) A detailed description of the nation's regulatory and 
enforcement program governing incidental taking of marine mammals in the 
purse seine fishery for yellowfin tuna, including:
    (1) A description, with copies of relevant laws, implementing 
regulations and guidelines, of the gear and procedures required in the 
fishery to protect marine mammals, including but not limited to the 
following:
    (i) A description of the methods used to identify problems and to 
take corrective actions to improve the performance of individual 
fishermen in reducing incidental mortality and serious injury. By 1990 
the methods must identify individual operators with marine mammal 
mortality rates which are consistently and substantially higher than the 
majority of the nation's fleet, and provide for corrective training and, 
ultimately, suspension and removal from the fishery if the operator's 
performance does not improve to at least the performance of the majority 
of the fleet in a reasonable time period;
    (ii) By 1990, a description of a regulatory system in operation 
which ensures that all marine mammal sets are completed through backdown 
to rolling the net to sack-up no later than one-half hour after sundown, 
except that individual operators may be exempted, if they have 
maintained consistently a rate of kill during their observed sundown 
sets which is not higher than that of the nation's fleet average during 
daylight sets made during the time period used for their comparability 
finding; and
    (iii) By 1990, a description of its restrictions on the use of 
explosive devices in the purse seine fishery which are comparable to 
those of the United States.
    (2) A detailed description of the method (e.g., Inter-American 
Tropical Tuna Commission (IATTC) or other international program observer 
records) and level of observer coverage by which the incidental 
mortality and serious injury of marine mammals will be monitored.
    (B) A list of its vessels and any certified charter vessels of 
greater than 400 short tons carrying capacity which purse seined for 
yellowfin tuna at any time during the preceding year in the ETP, 
indicating the status of each such vessel during that period (i.e., 
actively fishing in ETP, fishing in other waters; in port for repairs; 
inactive) and the status of each vessel expected to operate in the ETP 
in the year in which the submission is made.
    (C) A compilation of the best available data for each calendar year 
on the performance of any of its purse seine vessels (including 
certified charter vessels) fishing at any time for tuna associated with 
marine mammals within the ETP including the following:
    (1) Total number of tons of yellowfin tuna observed caught in each 
fishing area by purse seine sets on:
    (i) Common dolphin and
    (ii) All other marine mammal species;

[[Page 35]]

    (2) Total number of marine mammals observed killed and the total 
number of marine mammals observed seriously injured in each fishing area 
by species/stock by purse seine sets on:
    (i) Common dolphin and
    (ii) All other marine mammal species;
    (3) Total number of observed trips and total number of observed 
purse seine sets on marine mammals in each fishing area by the nation's 
purse seine fleet during the year;
    (4) Total number of vessel trips and total number of purse seine 
sets on marine mammals in each fishing area by the nation's purse seine 
fleet during the year; and
    (5) The total number of observed purse seine sets in each fishing 
area in which more than 15 marine mammals were killed.
    (D) Data required by paragraph (e)(5)(ii)(C)(2) presented 
individually for the following marine mammal species/stocks: offshore 
spotted dolphin, coastal spotted dolphin, eastern spinner dolphin, 
whitebelly spinner dolphin, common dolphin, striped dolphin, and ``other 
marine mammals''.
    (E) A description of the source of the data provided in accordance 
with paragraph (e)(5)(ii)(C) of this section. The observer program from 
which these data are provided must be operated by the IATTC or another 
international program in which the United States participates and must 
sample at least the same percentage of the fishing trips as the United 
States achieves over the same time period, unless the Assistant 
Administrator determines that an alternative observer program, including 
a lesser level of observer coverage, will provide a sufficiently 
reliable average rate of incidental taking of marine mammals for the 
nation.
    (iii) A nation applying for its initial finding of comparability 
should apply at least 120 days before the desired effective date. The 
Assistant Administrator's determination on a nation's application for 
its initial finding will be announced and published in the Federal 
Register within 120 days of receipt of the information required in 
paragraph (e)(5)(ii) of this section.
    (iv) A harvesting nation that has in effect a positive finding under 
this section may request renewal of its finding for the following 
calendar year by providing the Assistant Administrator, by December 1 of 
the current calendar year, an update of the information listed in 
Sec. 216.24(e)(5)(ii) summarizing all fishing trips completed during the 
12-month period from October 1 of the previous calendar year through 
September 30 of the current year.
    (v) The Assistant Administrator's determination of a nation's timely 
submitted request for renewal of an affirmative finding will be 
announced by December 31. A finding will be valid for the calendar year 
following the fishing season for which observer data was submitted for 
obtaining a finding. The Assistant Administrator will make an 
affirmative finding or renew an affirmative finding if:
    (A) The harvesting nation has provided all information required by 
paragraphs (e)(5)(ii) and (e)(5)(iv) of this section;
    (B) The nation's regulatory program is comparable to the regulatory 
program of the United States as described in paragraphs (a), (c), 
(d)(2), and (f) of this section and the nation has incorporated into its 
regulatory program such additional prohibitions as the United States may 
apply to its own vessels within 180 days after the prohibition applies 
to U.S. vessels;
    (C) The data on marine mammal mortality and serious injury submitted 
by the harvesting nation are determined to be accurate;
    (D) The observer coverage of fishing trips was equal to that 
achieved by the United States during the same time period or, if less, 
was determined by the Assistant Administrator to provide a sufficiently 
accurate sample of the nation's fleet mortality rate;
    (E) For findings using data collected after 1988, the average kill-
per-set rate for the longest period of time for which data are 
available, up to 5 consecutive years, or for the most recent year, 
whichever is lower, is no more than 25 percent greater than the U.S. 
average for the same time period, after the U.S. mortality rate is 
weighted to account for dissimilar amounts of fishing effort between the 
two nations in the three

[[Page 36]]

ETP fishing areas and for common dolphin and other marine mammal 
species, except as provided in paragraph (e)(5)(v)(F) of this section 
for findings made in 1990;
    (F) For determining comparability where there are fewer than five 
sets (including no effort) on dolphin by the U.S. fleet in a fishing 
area on a species grouping that has fishing effort by the foreign nation 
requesting a comparability test, the mortality rates used for 
comparability will be the overall (i.e., unweighted) kill-per-set rate 
of the U.S. fleet and of the foreign nation's fleet.
    (G) For the 1989 fishing year and subsequent years, the nation's 
observed kill of eastern spinner dolphin (Stenella longirostris) and 
coastal spotted dolphin (Stenella attenuata) is no greater than 15 
percent and 2 percent, respectively, of the nation's total annual 
observed dolphin mortality; and
    (H) The nation has complied with all reasonable requests by the 
Assistant Administrator for cooperation in carrying out dolphin 
population assessments in the ETP.
    (vi) Period of validity. A finding is valid only for the period for 
which it was issued and may be terminated before the end of the year if 
the Assistant Administrator finds that the nation no longer has a 
comparable regulatory program or kill rate.
    (vii) Reconsideration of finding. The Assistant Administrator may 
reconsider a finding upon a request from and the submission of 
additional information by the harvesting nation, if the information 
indicates that the nation has met the requirements under paragraph 
(e)(5)(v) of this section. For a harvesting nation whose marine mammal 
mortality rate was found to exceed the acceptable levels prescribed in 
paragraphs (e)(5)(v)(E), (e)(5)(v)(F), or (e)(5)(v)(G) of this section, 
the additional information must include data collected by an acceptable 
observer program, which must demonstrate that the nation's fleet marine 
mammal mortality rate improved to the acceptable level during the period 
submitted for comparison, which must include, at a minimum, the most 
recent:
    (A) Twelve months of observer data if the species composition rate 
prescribed by paragraph (e)(5)(v)(G) of this section was not acceptable; 
or
    (B) Six months of observer data if the average kill-per-set rate 
prescribed by paragraph (e)(5)(v)(E) of this section was not acceptable.
    (viii) Application for finding for non-marine-mammal intentional 
sets. The Assistant Administrator's determination on a nation's 
application for a finding will be announced and published in the Federal 
Register. A harvesting nation which has implemented a regulatory program 
that prohibits the intentional setting of any purse seine net to 
encircle marine mammals and desires an initial finding under these 
regulations that will allow it to import into the United States those 
products listed in paragraph (e)(2)(i) of this section must provide the 
Assistant Administrator with the following:
    (A) Documentary evidence establishing that its regulatory program 
includes:
    (1) A law prohibiting the intentional setting of purse seine nets on 
marine mammals (a copy of the law must be submitted);
    (2) A requirement that a certificate from an observer be obtained 
within 30 days of the completion of each and every trip of the nation's 
purse seine vessels greater than 400 short tons (362.8 mt) carrying 
capacity, stating that the observer was aboard the vessel during the 
entire trip and that there were no intentional purse seine sets on 
marine mammals; and
    (B) A complete list of the nation's vessels and any certified 
charter vessels of greater than 400 short tons (362.8 mt) carrying 
capacity which purse seine for yellowfin tuna in the ETP, indicating the 
status of each vessel (i.e., actively fishing in the ETP, in port for 
repairs, etc.), and a list of changes to this fleet within 30 days when 
changes occur.
    (ix) Application for renewal of finding for non-marine-mammal 
intentional sets. A harvesting nation, which has in effect an 
affirmative finding under this section, may request a renewal of its 
finding for the subsequent calendar year by providing the Assistant 
Administrator an annual report by November 1, covering the previous 
October 1 to

[[Page 37]]

September 30 period, which includes the following:
    (A) Vessel summary data, to include:
    (1) The total number of observed trips;
    (2) The percentage of all purse seine fishing trips that carried 
observers under a program approved by the Assistant Administrator;
    (3) The total number, if any, of observed purse seine sets on marine 
mammals;
    (4) A summary of the number and species, if any, of all marine 
mammals killed or seriously injured in intentional purse seine sets on 
marine mammals;
    (5) A complete list of the nation's vessels and any certified 
charter vessels of greater than 400 short tons (362.8 mt) carrying 
capacity which purse seine for yellowfin tuna in the ETP, indicating the 
status of each vessels as of October 1;
    (B) A summary, which copies of relevant laws, of any changes in the 
nation's laws or regulatory program regarding marine mammals for the 
purse seine fishery in the ETP; and
    (C) A summary of any enforcement actions taken to ensure compliance 
with the nation's marine mammal protection laws.
    (x) Review of finding for non-marine-mammal intentional sets. The 
Assistant Administrator will renew an affirmative finding obtained under 
paragraph (e)(5)(ix) of this section if:
    (A) The harvesting nation has provided all of the information 
required by paragraph (e)(5)(ix) of this section and the conditions 
under which the original finding was made under paragraph (e)(5)(viii) 
of this section continue to exist; and
    (B) Either 100-percent observer coverage is provided for all purse 
seine vessels as required by paragraph (e)(5)(viii)(A)(2) of this 
section; or the harvesting nation is in a probationary status in 
accordance with paragraph (e)(5)(xi)(B)(1) of this section; and
    (C) The harvesting nation meets the criteria of paragraphs 
(e)(5)(v)(E), and (e)(5)(v)(G) of this section; and
    (D) Certificates have been provided to the Assistant Administrator 
within 30 days of the completion of each and every trip of the nation's 
purse seine vessels greater than 400 short tons (362.8 mt) carrying 
capacity from an observer approved by the Assistant Administrator or 
under the direction of the Inter-American Tropical Tuna Commission, and 
verified by the Inter-American Tropical Tuna Commission, stating that 
the observer was aboard the vessel during the entire trip and that there 
were no intentional purse seine sets on marine mammals or the nation 
received a positive reconsideration for an affirmative finding under 
paragraph (e)(5)(xii)(A) of this section.
    (xi) Probation and revocation. (A)(1) If it is determined that, 
during any trip, a purse seine was intentionally set on marine mammals, 
the nation will enter into a probationary status for 180 days, effective 
upon the date the vessel returns to port to unload.
    (2) If, during the probationary period of 180 days, there are any 
additional intentional purse seine sets made on marine mammals, the 
Assistant Administrator will immediately revoke the affirmative finding.
    (B)(1) If it is determined that, during any trip, an observer is not 
aboard a nation's purse seine vessel greater than 400 short tons (362.8 
mt) carrying capacity fishing in the ETP, that nation will enter into a 
probationary status for 1 year, effective upon the date the vessel 
returns to port to unload.
    (2) If, during the 1-year probationary period, a nation's purse 
seine vessel returns to port to unload, and it is determined that an 
observer was not aboard the vessel during a trip in the ETP, the 
Assistant Administrator will immediately revoke an affirmative finding 
made under paragraphs (e)(5)(viii) or (e)(5)(x) of this section.
    (xii) Reconsideration. (A) The Assistant Administrator will 
reconsider a revocation of an affirmative finding upon request from a 
harvesting nation which had its affirmative finding revoked under 
paragraph (e)(5)(xi)(A) of this section if:
    (1) The number of marine mammals taken in purse seine nets that were 
intentionally set on marine mammals does not exceed the comparability 
standards established in paragraphs (e)(5)(v)(E) and (e)(5)(v)(G) of 
this section; and

[[Page 38]]

    (2) That nation provides documentary evidence that no additional 
purse seines were intentionally set on marine mammals during the 90-day 
period immediately preceding the request for reconsideration.
    (B) A harvesting nation which has its affirmative finding revoked 
under paragraph (e)(5)(xi)(B) of this section or its reconsideration 
under paragraph (e)(5)(xii)(A) of this section denied, may request 
reconsideration for an affirmative finding under paragraph (e)(5)(vii) 
of this section.
    (xiii) Verification. The Assistant Administrator may require 
verification of statements made in connection with requests to allow 
importations.
    (xiv) Intermediary nation. Any yellowfin tuna or yellowfin tuna 
products in the classifications listed in paragraph (e)(2)(i) of this 
section, from any intermediary nation, as that term is defined in 
section 3 of the MMPA, may not be imported into the United States unless 
the Assistant Administrator determines and publishes in the Federal 
Register that the intermediary nation has provided reasonable proof and 
has certified to the United States that it has not imported, in the 
preceding 6 months, yellowfin tuna or yellowfin tuna products that are 
subject to a ban on direct importation into the United States under 
section 101(a)(2)(B) of the MMPA. A prohibition on imports under this 
paragraph may be lifted by the Assistant Administrator upon a 
determination announced in the Federal Register, based upon new 
information supplied by the government of the intermediary nation, that 
the nation has not imported, in the preceding 6 months, yellowfin tuna 
or yellowfin tuna products subject to a ban on direct imports under 
section 101(a)(2)(B) of the MMPA. Shipments of yellowfin tuna or 
yellowfin tuna products through a nation on a through bill of lading or 
in another manner that does not enter the shipments into that nation as 
an importation do not make that nation an intermediary nation. The 
Assistant Administrator shall act on any request to review decisions 
under this paragraph (e)(5)(xiv) that are accompanied by specific and 
detailed supporting information or documentation, within 30 days of 
receipt of such request. For purposes of this paragraph (e)(5)(xiv), 
certification and reasonable proof means the submission by a responsible 
government official from the nation of a document reflecting the 
nation's customs records for the preceding 6 months, together with a 
certificate attesting that the document is accurate.
    (xv) Pelly certification. After 6 months on an embargo being in 
place against a nation under this section, that fact shall be certified 
to the President for purposes of certification under section 8(a) of the 
Fishermen's Protective Act of 1967 (22 U.S.C. 1978(a)) for as long as 
the embargo is in effect.
    (xvi) Coordination. The Assistant Administrator will promptly advise 
the Department of State of embargo decisions, actions and finding 
determinations.
    (6) Fish refused entry. If fish is denied entry under the provisions 
of Sec. 216.24(e)(3), the District Director of Customs shall refuse to 
release the fish for entry into the United States and shall issue a 
notice of such refusal to the importer or consignee.
    (7) [Reserved]
    (8) Disposition of fish refused entry into the United States; 
redelivered fish. Fish which is denied entry under Sec. 216.24(e)(3) or 
which is delivered in accordance with Sec. 216.24(e)(7) and which is not 
exported under Customs supervision within 90 days from the date of 
notice of refusal of admission or date of redelivery shall be disposed 
of under Customs laws and regulations. Provided however, That any 
disposition shall not result in an introduction into the United States 
of fish caught in violation of the Marine Mammal Protection Act of 1972.
    (9) Dolphin safe requirements. (i) It is unlawful for any person to 
sell, purchase, offer for sale, transport, or ship in the United States, 
any tuna or tuna product that is not dolphin safe.
    (ii) For purposes of this section, tuna or a tuna product is dolphin 
safe if:
    (A) It does not contain tuna that was harvested on the high seas by 
a vessel engaged in large-scale driftnet fishing;
    (B) In the case of tuna or tuna product that contains tuna harvested 
in the ETP by a purse seine vessel, either the purse seine vessel is of 
less than 400

[[Page 39]]

short tons (362.8 metric tons (mt)) carrying capacity or, if the purse 
seine vessel is of 400 short tons (362.8 mt) carrying capacity or 
greater, the tuna or tuna product is accompanied by:
    (1) A completed Fisheries Certificate of Origin;
    (2) A written statement by the captain of each vessel that harvested 
the tuna, certifying that the vessel did not intentionally deploy a 
purse seine net on, or to encircle, dolphins at any time during the 
trip; a written statement, signed by either the Secretary or a 
representative of the Inter-American Tropical Tuna Commission, 
certifying that an observer employed by or working under contract with 
the Inter-American Tropical Tuna Commission or the Secretary, was on 
board the vessel during the entire trip and that the vessel did not 
intentionally deploy a purse seine net on, or to encircle, dolphin at 
any time during the trip; and
    (3) An endorsement on the Fisheries Certificate of Origin by each 
exporter, importer, and processor certifying that, to the best of his or 
her knowledge and belief, the Fisheries Certificate of Origin and 
attached documents, and the statements required by this paragraph 
(e)(9)(ii) accurately describe the tuna products;
    (C) In the case of tuna or a tuna product containing tuna harvested 
outside the eastern tropical Pacific Ocean by a purse seine vessel, it 
is accompanied by a written statement, executed by the captain of the 
vessel, certifying that no purse seine net was intentionally deployed 
on, or to encircle, dolphins during the particular voyage on which the 
tuna was harvested; and
    (D) In the case of tuna or a tuna product containing tuna harvested 
outside the ETP by a purse seine vessel in a fishery in which the 
Secretary has determined that a regular and significant association 
occurs between marine mammals and tuna, and in which tuna is harvested 
through the use of purse seine nets deployed on, or to encircle, marine 
mammals, it is accompanied by a written statement, executed by the 
captain of the vessel and by an observer, certifying that no purse seine 
net was intentionally deployed on, or to encircle, marine mammals during 
the particular voyage on which the tuna was harvested.
    (iii) Submission of documentation.--(A) Imported tuna or tuna 
product. The documents required by paragraph (e)(9)(ii) of this section 
must accompany the imported tuna or tuna product until no further 
endorsements are required on the documentation and the documents have 
been submitted to officials of the U.S. Customs Service at the time of 
importation.
    (B) U.S. domestic shipments. The documents required by paragraph 
(e)(9)(ii) of this section must accompany tuna or tuna product, other 
than imported, until no further endorsements are required on the 
documentation and the documents have been submitted to the Director, 
Southwest Region, National Marine Fisheries Service, 501 W. Ocean 
Boulevard, Suite 4200, Long Beach, CA 90802.
    (f) Observers. (1) The vessel certificate holder of any certificated 
vessel shall, upon the proper notification by the National Marine 
Fisheries Service, allow an observer duly authorized by the Secretary to 
accompany the vessel on any or all regular fishing trips for the purpose 
of conducting research and observing operations, including collecting 
information which may be used in civil or criminal penalty proceedings, 
forfeiture actions, or permit or certificate sanctions.
    (2) Research and observation duties shall be carried out in such a 
manner as to minimize interference with commercial fishing operations. 
The navigator shall provide true vessel locations by latitude and 
longitude, accurate to the nearest minute, upon request by the observer. 
No owner, master, operator, or crew member of a certificated vessel 
shall impair or in any way interfere with the research or observations 
being carried out.
    (3) Marine mammals killed during fishing operations which are 
accessible to crewmen and requested from the certificate holder or 
master by the observer shall be brought aboard the vessel and retained 
for biological processing, until released by the observer for return to 
the ocean. Whole marine mammals designated as biological specimens by 
the observer shall be retained in cold storage aboard the vessel

[[Page 40]]

until retrieved by authorized personnel of the National Marine Fisheries 
Service when the vessel returns to port for unloading.
    (4) The Secretary shall provide for the payment of all reasonable 
costs directly related to the quartering and maintaining of such 
observers on board such vessels. A vessel certificate holder who has 
been notified that the vessel is required to carry an observer, via 
certified letter from the National Marine Fisheries Service, shall 
notify the office from which the letter was received at least five days 
in advance of the fishing voyage to facilitate observer placement. A 
vessel certificate holder who has failed to comply with the provisions 
of this section may not engage in fishing operations for which a general 
permit is required.
    (5) It is unlawful for any person to forcibly assault, impede, 
intimidate, interfere with, or to influence or attempt to influence an 
observer, or to harass (including sexual harassment) an observer by 
conduct which has the purpose or effect of unreasonably interfering with 
the observer's work performance, or which creates an intimidating, 
hostile, or offensive environment. In determining whether conduct 
constitutes harassment, the totality of the circumstances, including the 
nature of the conduct and the context in which it occurred, will be 
considered. The determination of the legality of a particular action 
will be made from the facts on a case-by-case basis.
    (6)(i) All observers must be provided sleeping, toilet and eating 
accommodations at least equal to that provided to a full crew member. A 
mattress or futon on the floor or a cot is not acceptable in place of a 
regular bunk. Meal and other galley privileges must be the same for the 
observer as for other crew members.
    (ii) Female observers on a vessel with an all-male crew must be 
accommodated either in a single-person cabin or, if reasonable privacy 
can be ensured by installing a curtain or other temporary divider, in a 
two-person cabin shared with a licensed officer of the vessel. If the 
cabin assigned to a female observer does not have its own toilet and 
shower facilities that can be provided for the exclusive use of the 
observer, then a schedule for time-sharing common facilities must be 
established before the placement meeting and approved by NMFS and must 
be followed during the entire trip.
    (iii) In the event there are one or more female crew members, the 
female observer may be provided a bunk in a cabin shared solely with 
female crew members, and provided toilet and shower facilities shared 
solely with these female crew members.
    (7)(i) A vessel certificate of inclusion holder (or vessel owner in 
the case of a new application) may seek an exemption from carrying a 
female observer on a vessel by applying to the Director, Southwest 
Region when applying for the vessel certificate of inclusion until July 
10, 1989 and establishing the following:
    (A) The vessel will have an all-male crew;
    (B) The vessel has fewer than two private (one-person) and semi-
private (two-person) cabins in total (excluding the captain's cabin);
    (C) A temporary divider like a curtain cannot be installed in the 
private or semi-private cabin (excluding the captain's cabin) to provide 
reasonable privacy; and
    (D) There are no other areas (excluding the captain's cabin) that 
can be converted to a sleeping room without either significant expense 
or significant sacrifice to the crew's quarters.
    (ii) The exclusion criteria in paragraph (f)(7)(i) of this section 
can be met without having to provide the captain's cabin for the 
observer. The application for an exemption must also include an accurate 
diagram of the vessel's living areas, and other areas possibly suitable 
for sleeping. Additional documentation to support the application may 
also be required, as may an inspection of the vessel. The exemption, 
once granted, is valid for the same calendar year as the vessel 
certificate of inclusion, and the exemption must be renewed annually to 
remain valid. The vessel certificate of inclusion holder is responsible 
for reporting to the Director, Southwest Region any changes aboard the 
vessel within 15 days of the change which might affect the continued 
eligibility for an exemption. The Director, Southwest Region will revoke 
an exemption

[[Page 41]]

if the criteria for an exemption are no longer met.
    (g) Penalties and rewards: Any person or vessel subject to the 
jurisdiction of the United States shall be subject to the penalties 
provided for under the MMPA for the conduct of fishing operations in 
violation of these regulations. The Secretary shall recommend to the 
Secretary of the Treasury that an amount equal to one-half of the fine 
incurred but not to exceed $2,500 be paid to any person who furnishes 
information which leads to a conviction for a violation of these 
regulations. Any officer, employee, or designated agent of the United 
States or of any State or local government who furnishes information or 
renders service in the performance of his official duties shall not be 
eligible for payment under this section.

[45 FR 72187, Oct. 31, 1980]

    Editorial Note: For Federal Register citations affecting 
Sec. 216.24, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 216.25   Exempted marine mammals and marine mammal products.

    (a) The provisions of the MMPA and these regulations shall not 
apply:
    (1) To any marine mammal taken before December 21, 1972 \1\, or
---------------------------------------------------------------------------

    \1\ In the context of captive maintenance of marine mammals, the 
only marine mammals exempted under this section are those that were 
actually captured or otherwise in captivity before December 21, 1972.
---------------------------------------------------------------------------

    (2) To any marine mammal product if the marine mammal portion of 
such product consists solely of a marine mammal taken before such date.
    (b) The prohibitions contained in Sec. 216.12(c) (3) and (4) shall 
not apply to marine mammals or marine mammal products imported into the 
United States before the date on which a notice is published in the 
Federal Register with respect to the designation of the species or stock 
concerned as depleted or endangered.
    (c) Section 216.12(b) shall not apply to articles imported into the 
United States before the effective date of the foreign law making the 
taking or sale, as the case may be, of such marine mammals or marine 
mammal products unlawful.

[39 FR 1852, Jan. 15, 1974, as amended at 56 FR 43888, Sept. 5, 1991; 59 
FR 50376, Oct. 3, 1994]



Sec. 216.26   Collection of certain marine mammal parts without prior authorization.

    Notwithstanding any other provision of this subpart:
    (a) Any bones, teeth or ivory of any dead marine mammal may be 
collected from a beach or from land within \1/4\ of a mile of the ocean. 
The term ocean includes bays and estuaries.
    (b) Notwithstanding the provisions of subpart D, soft parts that are 
sloughed, excreted, or discharged naturally by a living marine mammal in 
the wild may be collected or imported for bona fide scientific research 
and enhancement, provided that collection does not involve the taking of 
a living marine mammal in the wild.
    (c) Any marine mammal part collected under paragraph (a) of this 
section or any marine mammal part collected and imported under paragraph 
(b) of this section must be registered and identified, and may be 
transferred or otherwise possessed, in accordance with Sec. 216.22(c). 
In registering a marine mammal part collected or imported under 
paragraph (b) of this section, the person who collected or imported the 
part must also state the scientific research or enhancement purpose for 
which the part was collected or imported.
    (d) No person may purchase, sell or trade for commercial purposes 
any marine mammal part collected or imported under this section.
    (e) The export of parts collected without prior authorization under 
paragraph (b) of this section may occur if consistent with the 
provisions at Sec. 216.37(d) under subpart D.

[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994; 61 
FR 21933, May 10, 1996]



Sec. 216.27   Release, non-releasability, and disposition under special exception permits for rehabilitated marine mammals.

    (a) Release requirements. (1) Any marine mammal held for 
rehabilitation

[[Page 42]]

must be released within six months of capture or import unless the 
attending veterinarian determines that:
    (i) The marine mammal might adversely affect marine mammals in the 
wild;
    (ii) Release of the marine mammal to the wild will not likely be 
successful given the physical condition and behavior of the marine 
mammal; or
    (iii) More time is needed to determine whether the release of the 
marine mammal to the wild will likely be successful. Releasability must 
be reevaluated at intervals of no less than six months until 24 months 
from capture or import, at which time there will be a rebuttable 
presumption that release into the wild is not feasible.
    (2) The custodian of the rehabilitated marine mammal shall provide 
written notification prior to any release into the wild.
    (i) Notification shall be provided to:
    (A) The NMFS Regional Director at least 15 days in advance of 
releasing any beached or stranded marine mammal, unless advance notice 
is waived in writing by the Regional Director; or
    (B) The Office Director at least 30 days in advance of releasing any 
imported marine mammal.
    (ii) Notification shall include the following:
    (A) A description of the marine mammal, including its physical 
condition and estimated age;
    (B) The date and location of release; and
    (C) The method and duration of transport prior to release.
    (3) The Regional Director, or the Office Director as appropriate, 
may:
    (i) Require additional information prior to any release;
    (ii) Change the date or location of release, or the method or 
duration of transport prior to release;
    (iii) Impose additional conditions to improve the likelihood of 
success or to monitor the success of the release; or
    (iv) Require other disposition of the marine mammal.
    (4) All marine mammals must be released near wild populations of the 
same species, and stock if known, unless a waiver is granted by the 
Regional Director or the Office Director.
    (5) All marine mammals released must be tagged or marked in a manner 
acceptable to the Regional Director or the Office Director. The tag 
number or description of the marking must be reported to the Regional 
Director or Office Director following release.
    (b) Non-releasability and postponed determinations. (1) The 
attending veterinarian shall provide the Regional Director or Office 
Director with a written report setting forth the basis of any 
determination under paragraphs (a)(1)(i) through (iii) of this section.
    (2) Upon receipt of a report under paragraph (b)(1) of this section, 
the Regional Director or Office Director, in their sole discretion, may:
    (i) Order the release of the marine mammal;
    (ii) Order continued rehabilitation for an additional 6 months; or
    (iii) Order other disposition as authorized.
    (3) No later than 30 days after a marine mammal is determined 
unreleasable in accordance with paragraphs (a)(1)(i) through (iii) of 
this section, the person with authorized custody must:
    (i) Request authorization to retain or transfer custody of the 
marine mammal in accordance with paragraph (c) of this section, or;
    (ii) Humanely euthanize the marine mammal or arrange any other 
disposition of the marine mammal authorized by the Regional Director or 
Office Director.
    (4) Notwithstanding any of the provisions of this section, the 
Office Director may require use of a rehabilitated marine mammal for any 
activity authorized under subpart D in lieu of animals taken from the 
wild.
    (5) Any rehabilitated beached or stranded marine mammal placed on 
public display following a non-releasability determination under 
paragraph (a)(1) of this section and pending disposition under paragraph 
(c) of this section, or any marine mammal imported for medical treatment 
otherwise unavailable and placed on public display pending disposition 
after such medical treatment is concluded, must be held in captive 
maintenance consistent with all requirements for public display.

[[Page 43]]

    (c) Disposition for a special exception purpose. (1) Upon receipt of 
an authorization request made under paragraph (b)(3)(i) of this section, 
or release notification under (a)(2), the Office Director may authorize 
the retention or transfer of custody of the marine mammal for a special 
exception purpose authorized under subpart D.
    (2) The Office Director will first consider requests from a person 
authorized to hold the marine mammal for rehabilitation. The Office 
Director may authorize such person to retain or transfer custody of the 
marine mammal for scientific research, enhancement, or public display 
purposes.
    (3) The Office Director may authorize retention or transfer of 
custody of the marine mammal only if:
    (i) Documentation has been submitted to the Office Director that the 
person retaining the subject animal or the person receiving custody of 
the subject animal by transfer, hereinafter referred to as the 
recipient, complies with public display requirements of 16 U.S.C. 
1374(c)(2)(A) or, for purposes of scientific research and enhancement, 
holds an applicable permit, or an application for such a special 
exception permit under Sec. 216.33 or a request for a major amendment 
under Sec. 216.39 has been submitted to the Office Director and has been 
found complete;
    (ii) The recipient agrees to hold the marine mammal in conformance 
with all applicable requirements and standards; and
    (iii) The recipient acknowledges that the marine mammal is subject 
to seizure by the Office Director:
    (A) If, at any time pending issuance of the major amendment or 
permit, the Office Director determines that seizure is necessary in the 
interest of the health or welfare of the marine mammal;
    (B) If the major amendment or permit is denied; or
    (C) If the recipient is issued a notice of violation and assessment, 
or is subject to permit sanctions, in accordance with 15 CFR part 904.
    (4) There shall be no remuneration associated with any transfer, 
provided that, the transferee may reimburse the transferor for any and 
all costs associated with the rehabilitation and transport of the marine 
mammal.
    (5) Marine mammals undergoing rehabilitation or pending disposition 
under this section shall not be subject to public display, unless such 
activities are specifically authorized by the Regional Director or the 
Office Director, and conducted consistent with the requirements 
applicable to public display. Such marine mammals shall not be trained 
for performance or be included in any aspect of a program involving 
interaction with the public; and
    (6) Marine mammals undergoing rehabilitation shall not be subject to 
intrusive research, unless such activities are specifically authorized 
by the Office Director in consultation with the Marine Mammal Commission 
and its Committee of Scientific Advisors on Marine Mammals, and are 
conducted pursuant to a scientific research permit.
    (d) Reporting. In addition to the report required under 
Sec. 216.22(b), the person authorized to hold marine mammals for 
rehabilitation must submit reports to the Regional Director or Office 
Director regarding release or other disposition. These reports must be 
provided in the form and frequency specified by the Regional Director or 
Office Director.

[61 FR 21933, May 10, 1996]



                      Subpart D--Special Exceptions

Sec. 216.30  [Reserved]



Sec. 216.31   Definitions.

    For the purpose of this subpart, the definitions set forth in 50 CFR 
part 217 shall apply to all threatened and endangered marine mammals, 
unless a more restrictive definition exists under the MMPA or part 216.

[61 FR 21935, May 10, 1996]



Sec. 216.32   Scope.

    The regulations of this subpart apply to:
    (a) All marine mammals and marine mammal parts taken or born in 
captivity after December 20, 1972; and
    (b) All marine mammals and marine mammal parts that are listed as

[[Page 44]]

threatened or endangered under the ESA.

[61 FR 21935, May 10, 1996]



Sec. 216.33   Permit application submission, review, and decision procedures.

    (a) Application submission. Persons seeking a special exemption 
permit under this subpart must submit an application to the Office 
Director. The application must be signed by the applicant, and provide 
in a properly formatted manner all information necessary to process the 
application. Written instructions addressing information requirements 
and formatting may be obtained from the Office Director upon request.
    (b) Applications to export living marine mammals. For applicants 
seeking a special exception permit to export living marine mammals, the 
application must:
    (1) Be submitted through the Convention on International Trade in 
Endangered Fauna and Flora management authority of the foreign 
government or, if different, the appropriate agency or agencies of the 
foreign government that exercises oversight over marine mammals.
    (2) Include a certification from the foreign government that:
    (i) The information set forth in the application is accurate;
    (ii) The laws and regulations of the foreign governmentinvolved 
allow enforcement of the terms and conditions of the permit, and that 
the foreign government will enforce all terms and conditions; and
    (iii) The foreign government involved will afford comity to any 
permit amendment, modification, suspension or revocation decision.
    (c) Initial review. (1) NMFS will notify the applicant of receipt of 
the application.
    (2) During the initial review, the Office Director will determine:
    (i) Whether the application is complete.
    (ii) Whether the proposed activity is for purposes authorized under 
this subpart.
    (iii) If the proposed activity is for enhancement purposes, whether 
the species or stock identified in the application is in need of 
enhancement for its survival or recovery and whether the proposed 
activity will likely succeed in its objectives.
    (iv) Whether the activities proposed are to be conducted consistent 
with the permit restrictions and permit specific conditions as described 
in Sec. 216.35 and Sec. 216.36(a).
    (v) Whether sufficient information is included regarding the 
environmental impact of the proposed activity to enable the Office 
Director:
    (A) To make an initial determination under the National 
Environmental Policy Act (NEPA) as to whether the proposed activity is 
categorically excluded from preparation of further environmental 
documentation, or whether the preparation of an environmental assessment 
(EA) or environmental impact statement (EIS) is appropriate or 
necessary; and
    (B) To prepare an EA or EIS if an initial determination is made by 
the Office Director that the activity proposed is not categorically 
excluded from such requirements.
    (3) The Office Director may consult with the Marine Mammal 
Commission (Commission) and its Committee of Scientific Advisors on 
Marine Mammals (Committee) in making these initial, and any subsequent, 
determinations.
    (4) Incomplete applications will be returned with explanation. If 
the applicant fails to resubmit a complete application or correct the 
identified deficiencies within 60 days, the application will be deemed 
withdrawn. Applications that propose activities inconsistent with this 
subpart will be returned with explanation, and will not be considered 
further.
    (d) Notice of receipt and application review. (1) Upon receipt of a 
valid, complete application, and the preparation of any NEPA 
documentation that has been determined initially to be required, the 
Office Director will publish a notice of receipt in the Federal 
Register. The notice will:
    (i) Summarize the application, including:
    (A) The purpose of the request;
    (B) The species and number of marine mammals;

[[Page 45]]

    (C) The type and manner of special exception activity proposed;
    (D) The location(s) in which the marine mammals will be taken, from 
which they will be imported, or to which they will be exported; and
    (E) The requested period of the permit.
    (ii) List where the application is available for review.
    (iii) Invite interested parties to submit written comments 
concerning the application within 30 days of the date of the notice.
    (iv) Include a NEPA statement that an initial determination has been 
made that the activity proposed is categorically excluded from the 
requirement to prepare an EA or EIS, that an EA was prepared resulting 
in a finding of no significant impact, or that a final EIS has been 
prepared and is available for review.
    (2) The Office Director will forward a copy of the complete 
application to the Commission for comment. If no comments are received 
within 45 days (or such longer time as the Office Director may 
establish) the Office Director will consider the Commission to have no 
objection to issuing a permit.
    (3) The Office Director may consult with any other person, 
institution, or agency concerning the application.
    (4) Within 30 days of publication of the notice of receipt in the 
Federal Register, any interested party may submit written comments or 
may request a public hearing on the application.
    (5) If the Office Director deems it advisable, the Office Director 
may hold a public hearing within 60 days of publication of the notice of 
receipt in the Federal Register. Notice of the date, time, and place of 
the public hearing will be published in the Federal Register not less 
than 15 days in advance of the public hearing. Any interested person may 
appear in person or through representatives and may submit any relevant 
material, data, views, or comments. A summary record of the hearing will 
be kept.
    (6) The Office Director may extend the period during which any 
interested party may submit written comments. Notice of the extension 
must be published in the Federal Register within 60 days of publication 
of the notice of receipt in the Federal Register.
    (7) If, after publishing a notice of receipt, the Office Director 
determines on the basis of new information that an EA or EIS must be 
prepared, the Office Director must deny the permit unless an EA is 
prepared with a finding of no significant impact. If a permit is denied 
under these circumstances the application may be resubmitted with 
information sufficient to prepare an EA or EIS, and will be processed as 
a new application.
    (e) Issuance or denial procedures. (1) Within 30 days of the close 
of the public hearing or, if no public hearing is held, within 30 days 
of the close of the public comment period, the Office Director will 
issue or deny a special exception permit.
    (2) The decision to issue or deny a permit will be based upon:
    (i) All relevant issuance criteria set forth at Sec. 216.34;
    (ii) All purpose-specific issuance criteria as appropriate set forth 
at Sec. 216.41, Sec. 216.42, and Sec. 216.43;
    (iii) All comments received or views solicited on the permit 
application; and
    (iv) Any other information or data that the Office Director deems 
relevant.
    (3) If the permit is issued, upon receipt, the holder must date and 
sign the permit, and return a copy of the original to the Office 
Director. The permit shall be effective upon the permit holder's signing 
of the permit. In signing the permit, the holder:
    (i) Agrees to abide by all terms and conditions set forth in the 
permit, and all restrictions and relevant regulations under this 
subpart; and
    (ii) Acknowledges that the authority to conduct certain activities 
specified in the permit is conditional and subject to authorization by 
the Office Director.
    (4) Notice of the decision of the Office Director shall be published 
in the Federal Register within 10 days after the date of permit issuance 
or denial and shall indicate where copies of the permit, if issued, may 
be reviewed or obtained. If the permit issued involves marine mammals 
listed as endangered

[[Page 46]]

or threatened under the ESA, the notice shall include a finding by the 
Office Director that the permit:
    (i) Was applied for in good faith;
    (ii) If exercised, will not operate to the disadvantage of such 
endangered or threatened species; and
    (iii) Is consistent with the purposes and policy set forth in 
section 2 of the ESA.
    (5) If the permit is denied, the Office Director shall provide the 
applicant with an explanation for the denial.
    (6) Under the MMPA, the Office Director may issue a permit for 
scientific research before the end of the public comment period if 
delaying issuance could result in injury to a species, stock, or 
individual, or in loss of unique research opportunities. The Office 
Director also may waive the 30-day comment period required under the ESA 
in an emergency situation where the health or life of an endangered or 
threatened marine mammal is threatened and no reasonable alternative is 
available. If a permit is issued under these circumstances, notice of 
such issuance before the end of the comment period shall be published in 
the Federal Register within 10 days of issuance.
    (7) The applicant or any party opposed to a permit may seek judicial 
review of the terms and conditions of such permit or of a decision to 
deny such permit. Review may be obtained by filing a petition for review 
with the appropriate U.S. District Court as provided for by law.

[61 FR 21935, May 10, 1996]



Sec. 216.34  Issuance criteria.

    (a) For the Office Director to issue any permit under this subpart, 
the applicant must demonstrate that:
    (1) The proposed activity is humane and does not present any 
unnecessary risks to the health and welfare of marine mammals;
    (2) The proposed activity is consistent with all restrictions set 
forth at Sec. 216.35 and any purpose-specific restrictions as 
appropriate set forth at Sec. 216.41, Sec. 216.42, and Sec. 216.43;
    (3) The proposed activity, if it involves endangered or threatened 
marine mammals, will be conducted consistent with the purposes and 
policies set forth in section 2 of the ESA;
    (4) The proposed activity by itself or in combination with other 
activities, will not likely have a significant adverse impact on the 
species or stock;
    (5) Whether the applicant's expertise, facilities, and resources are 
adequate to accomplish successfully the objectives and activities stated 
in the application;
    (6) If a live animal will be held captive or transported, the 
applicant's qualifications, facilities, and resources are adequate for 
the proper care and maintenance of the marine mammal; and
    (7) Any requested import or export will not likely result in the 
taking of marine mammals or marine mammal parts beyond those authorized 
by the permit.
    (b) The opinions or views of scientists or other persons or 
organizations knowledgeable of the marine mammals that are the subject 
of the application or of other matters germane to the application will 
be considered.

[61 FR 21936, May 10, 1996]



Sec. 216.35  Permit restrictions.

    The following restrictions shall apply to all permits issued under 
this subpart:
    (a) The taking, importation, export, or other permitted activity 
involving marine mammals and marine mammal parts shall comply with the 
regulations of this subpart.
    (b) The maximum period of any special exception permit issued, or 
any major amendment granted, is five years from the effective date of 
the permit or major amendment. In accordance with the provisions of 
Sec. 216.39, the period of a permit may be extended by a minor amendment 
up to 12 months beyond that established in the original permit.
    (c) Except as provided for in Sec. 216.41(c)(1)(v), marine mammals 
or marine mammal parts imported under the authority of a permit must be 
taken or imported in a humane manner, and in compliance with the Acts 
and any applicable foreign law. Importation of marine mammals and marine 
mammal parts is subject to the provisions of 50 CFR part 14.

[[Page 47]]

    (d) The permit holder shall not take from the wild any marine mammal 
which at the time of taking is either unweaned or less than eight months 
old, or is a part of a mother-calf/pup pair, unless such take is 
specifically authorized in the conditions of the special exception 
permit. Additionally, the permit holder shall not import any marine 
mammal that is pregnant or lactating at the time of taking or import, or 
is unweaned or less than eight months old unless such import is 
specifically authorized in the conditions of the special exception 
permit.
    (e) Captive marine mammals shall not be released into the wild 
unless specifically authorized by the Office Director under a scientific 
research or enhancement permit.
    (f) The permit holder is responsible for all activities of any 
individual who is operating under the authority of the permit;
    (g) Individuals conducting activities authorized under the permit 
must possess qualifications commensurate with their duties and 
responsibilities, or must be under the direct supervision of a person 
with such qualifications;
    (h) Persons who require state or Federal licenses to conduct 
activities authorized under the permit must be duly licensed when 
undertaking such activities;
    (i) Special exception permits are not transferable or assignable to 
any other person, and a permit holder may not require any direct or 
indirect compensation from another person in return for requesting 
authorization for such person to conduct the taking, import, or export 
activities authorized under the subject permit;
    (j) The permit holder or designated agent shall possess a copy of 
the permit when engaged in a permitted activity, when the marine mammal 
is in transit incidental to such activity, and whenever marine mammals 
or marine mammal parts are in the possession of the permit holder or 
agent. A copy of the permit shall be affixed to any container, package, 
enclosure, or other means of containment, in which the marine mammals or 
marine mammal parts are placed for purposes of transit, supervision, or 
care. For marine mammals held captive and marine mammal parts in 
storage, a copy of the permit shall be kept on file in the holding or 
storage facility.

[61 FR 21936, May 10, 1996]



Sec. 216.36  Permit conditions.

    (a) Specific conditions. (1) Permits issued under this subpart shall 
contain specific terms and conditions deemed appropriate by the Office 
Director, including, but not limited to:
    (i) The number and species of marine mammals that are authorized to 
be taken, imported, exported, or otherwise affected;
    (ii) The manner in which marine mammals may be taken according to 
type of take;
    (iii) The location(s) in which the marine mammals may be taken, from 
which they may be imported, or to which they may be exported, as 
applicable, and, for endangered or threatened marine mammal species to 
be imported or exported, the port of entry or export;
    (iv) The period during which the permit is valid.
    (2) [Reserved]
    (b) Other conditions. In addition to the specific conditions imposed 
pursuant to paragraph (a) of this section, the Office Director shall 
specify any other permit conditions deemed appropriate.

[61 FR 21937, May 10, 1996]



Sec. 216.37  Marine mammal parts.

    With respect to marine mammal parts acquired by take or import 
authorized under a permit issued under this subpart:
    (a) Marine mammal parts are transferrable if:
    (1) The person transferring the part receives no remuneration of any 
kind for the marine mammal part;
    (2) The person receiving the marine mammal part is:
    (i) An employee of NMFS, the U.S. Fish and Wildlife Service, or any 
other governmental agency with conservation and management 
responsibilities, who receives the part in the course of their official 
duties;
    (ii) A holder of a special exception permit which authorizes the 
take, import, or other activity involving the

[[Page 48]]

possession of a marine mammal part of the same species as the subject 
part; or
    (iii) In the case of marine mammal parts from a species that is not 
depleted, endangered or threatened, a person who is authorized under 
section 112(c) of the MMPA and subpart C of this part to take or import 
marine mammals or marine mammal parts;
    (iv) Any other person specifically authorized by the Regional 
Director, consistent with the requirements of paragraphs (a)(1) and 
(a)(3) through (6) of this section.
    (3) The marine mammal part is transferred for the purpose of 
scientific research, maintenance in a properly curated, professionally 
accredited scientific collection, or education, provided that, for 
transfers for educational purposes, the recipient is a museum, 
educational institution or equivalent that will ensure that the part is 
available to the public as part of an educational program;
    (4) A unique number assigned by the permit holder is marked on or 
affixed to the marine mammal part or container;
    (5) The person receiving the marine mammal part agrees that, as a 
condition of receipt, subsequent transfers may only occur subject to the 
provisions of paragraph (a) of this section; and
    (6) Within 30 days after the transfer, the person transferring the 
marine mammal part notifies the Regional Director of the transfer, 
including a description of the part, the person to whom the part was 
transferred, the purpose of the transfer, certification that the 
recipient has agreed to comply with the requirements of paragraph (a) of 
this section for subsequent transfers, and, if applicable, the 
recipient's permit number.
    (b) Marine mammal parts may be loaned to another person for a 
purpose described in paragraph (a)(3) of this section and without the 
agreement and notification required under paragraphs (a)(5) and (6) of 
this section, if:
    (1) A record of the loan is maintained; and
    (2) The loan is for not more than one year. Loans for a period 
greater than 12 months, including loan extensions or renewals, require 
notification of the Regional Director under paragraph (a)(6).
    (c) Unless other disposition is specified in the permit, a holder of 
a special exception permit may retain marine mammal parts not destroyed 
or otherwise disposed of during or after a scientific research or 
enhancement activity, if such marine mammal parts are:
    (1) Maintained as part of a properly curated, professionally 
accredited collection; or
    (2) Made available for purposes of scientific research or 
enhancement at the request of the Office Director.
    (d) Marine mammal parts may be exported and subsequently reimported 
by a permit holder or subsequent authorized recipient, for the purpose 
of scientific research, maintenance in a properly curated, 
professionally accredited scientific collection, or education, provided 
that:
    (1) The permit holder or other person receives no remuneration for 
the marine mammal part;
    (2) A unique number assigned by the permit holder is marked on or 
affixed to the marine mammal specimen or container;
    (3) The marine mammal part is exported or reimported in compliance 
with all applicable domestic and foreign laws;
    (4) If exported or reimported for educational purposes, the 
recipient is a museum, educational institution, or equivalent that will 
ensure that the part is available to the public as part of an 
educational program; and
    (5) Special reports are submitted within 30 days after both export 
and reimport as required by the Office Director under Sec. 216.38.

[61 FR 21937, May 10, 1996]



Sec. 216.38   Reporting.

    All permit holders must submit annual, final, and special reports in 
accordance with the requirements established in the permit, and any 
reporting format established by the Office Director.

[61 FR 21937, May 10, 1996]

[[Page 49]]



Sec. 216.39  Permit amendments.

    (a) General. Special exception permits may be amended by the Office 
Director. Major and minor amendments may be made to permits in response 
to, or independent of, a request from the permit holder. Amendments must 
be consistent with the Acts and comply with the applicable provisions of 
this subpart.
    (1) A ``major amendment'' means any change to the permit specific 
conditions under Sec. 216.36(a) regarding:
    (i) The number and species of marine mammals that are authorized to 
be taken, imported, exported, or otherwise affected;
    (ii) The manner in which these marine mammals may be taken, 
imported, exported, or otherwise affected, if the proposed change may 
result in an increased level of take or risk of adverse impact;
    (iii) The location(s) in which the marine mammals may be taken, from 
which they may be imported, and to which they may be exported, as 
applicable; and
    (iv) The duration of the permit, if the proposed extension would 
extend the duration of the permit more than 12 months beyond that 
established in the original permit.
    (2) A ``minor amendment'' means any amendment that does not 
constitute a major amendment.
    (b) Amendment requests and proposals. (1) Requests by a permit 
holder for an amendment must be submitted in writing and include the 
following:
    (i) The purpose and nature of the amendment;
    (ii) Information, not previously submitted as part of the permit 
application or subsequent reports, necessary to determine whether the 
amendment satisfies all issuance criteria set forth at Sec. 216.34, and, 
as appropriate, Sec. 216.41, Sec. 216.42, and Sec. 216.43.
    (iii) Any additional information required by the Office Director for 
purposes of reviewing the proposed amendment.
    (2) If an amendment is proposed by the Office Director, the permit 
holder will be notified of the proposed amendment, together with an 
explanation.
    (c) Review of proposed amendments. (1) Major amendments. The 
provisions of Sec. 216.33(d) and (e) governing notice of receipt, review 
and decision shall apply to all proposed major amendments.
    (2) Minor amendments. (i) After reviewing all appropriate 
information, the Office Director will provide the permit holder with 
written notice of the decision on a proposed or requested amendment, 
together with an explanation for the decision.
    (ii) If the minor amendment extends the duration of the permit 12 
months or less from that established in the original permit, notice of 
the minor amendment will be published in the Federal Register within 10 
days from the date of the Office Director's decision.
    (iii) A minor amendment will be effective upon a final decision by 
the Office Director.

[61 FR 21937, May 10, 1996]



Sec. 216.40   Penalties and permit sanctions.

    (a) Any person who violates any provision of this subpart or permit 
issued thereunder is subject to civil and criminal penalties, permit 
sanctions and forfeiture as authorized under the Acts, and 15 CFR part 
904.
    (b) All special exception permits are subject to suspension, 
revocation, modification and denial in accordance with the provisions of 
subpart D of 15 CFR part 904.

[61 FR 21938, May 10, 1996]



Sec. 216.41   Permits for scientific research and enhancement.

    In addition to the requirements under Sec. 216.33 through 
Sec. 216.38, permits for scientific research and enhancement are 
governed by the following requirements:
    (a) Applicant. (1) For each application submitted under this 
section, the applicant shall be the principal investigator responsible 
for the overall research or enhancement activity. If the research or 
enhancement activity will involve a periodic change in the principal 
investigator or is otherwise controlled by and dependent upon another 
entity, the applicant may be the institution, governmental entity, or 
corporation responsible for supervision of the principal investigator.

[[Page 50]]

    (2) For any scientific research involving captive maintenance, the 
application must include supporting documentation from the person 
responsible for the facility or other temporary enclosure.
    (b) Issuance Criteria. For the Office Director to issue any 
scientific research or enhancement permit, the applicant must 
demonstrate that:
    (1) The proposed activity furthers a bona fide scientific or 
enhancement purpose;
    (2) If the lethal taking of marine mammals is proposed:
    (i) Non-lethal methods for conducting the research are not feasible; 
and
    (ii) For depleted, endangered, or threatened species, the results 
will directly benefit that species or stock, or will fulfill a 
critically important research need.
    (3) Any permanent removal of a marine mammal from the wild is 
consistent with any applicable quota established by the Office Director.
    (4) The proposed research will not likely have significant adverse 
effects on any other component of the marine ecosystem of which the 
affected species or stock is a part.
    (5) For species or stocks designated or proposed to be designated as 
depleted, or listed or proposed to be listed as endangered or 
threatened:
    (i) The proposed research cannot be accomplished using a species or 
stock that is not designated or proposed to be designated as depleted, 
or listed or proposed to be listed as threatened or endangered;
    (ii) The proposed research, by itself or in combination with other 
activities will not likely have a long-term direct or indirect adverse 
impact on the species or stock;
    (iii) The proposed research will either:
    (A) Contribute to fulfilling a research need or objective identified 
in a species recovery or conservation plan, or if there is no 
conservation or recovery plan in place, a research need or objective 
identified by the Office Director in stock assessments established under 
section 117 of the MMPA;
    (B) Contribute significantly to understanding the basic biology or 
ecology of the species or stock, or to identifying, evaluating, or 
resolving conservation problems for the species or stock; or
    (C) Contribute significantly to fulfilling a critically important 
research need.
    (6) For proposed enhancement activities:
    (i) Only living marine mammals and marine mammal parts necessary for 
enhancement of the survival, recovery, or propagation of the affected 
species or stock may be taken, imported, exported, or otherwise affected 
under the authority of an enhancement permit. Marine mammal parts would 
include in this regard clinical specimens or other biological samples 
required for the conduct of breeding programs or the diagnosis or 
treatment of disease.
    (ii) The activity will likely contribute significantly to 
maintaining or increasing distribution or abundance, enhancing the 
health or welfare of the species or stock, or ensuring the survival or 
recovery of the affected species or stock in the wild.
    (iii) The activity is consistent with:
    (A) An approved conservation plan developed under section 115(b) of 
the MMPA or recovery plan developed under section 4(f) of the ESA for 
the species or stock; or
    (B) If there is no conservation or recovery plan, with the Office 
Director's evaluation of the actions required to enhance the survival or 
recovery of the species or stock in light of the factors that would be 
addressed in a conservation or recovery plan.
    (iv) An enhancement permit may authorize the captive maintenance of 
a marine mammal from a threatened, endangered, or depleted species or 
stock only if the Office Director determines that:
    (A) The proposed captive maintenance will likely contribute directly 
to the survival or recovery of the species or stock by maintaining a 
viable gene pool, increasing productivity, providing necessary 
biological information, or establishing animal reserves required to 
support directly these objectives; and
    (B) The expected benefit to the species or stock outweighs the 
expected

[[Page 51]]

benefits of alternatives that do not require removal of marine mammals 
from the wild.
    (v) The Office Director may authorize the public display of marine 
mammals held under the authority of an enhancement permit only if:
    (A) The public display is incidental to the authorized captive 
maintenance;
    (B) The public display will not interfere with the attainment of the 
survival or recovery objectives;
    (C) The marine mammals will be held consistent with all requirements 
and standards that are applicable to marine mammals held under the 
authority of the Acts and the Animal Welfare Act, unless the Office 
Director determines that an exception is necessary to implement an 
essential enhancement activity; and
    (D) The marine mammals will be excluded from any interactive program 
and will not be trained for performance.
    (vi) The Office Director may authorize non-intrusive scientific 
research to be conducted while a marine mammal is held under the 
authority of an enhancement permit, only if such scientific research:
    (A) Is incidental to the permitted enhancement activities; and
    (B) Will not interfere with the attainment of the survival or 
recovery objectives.
    (c) Restrictions. (1) The following restrictions apply to all 
scientific research permits issued under this subpart:
    (i) Research activities must be conducted in the manner authorized 
in the permit.
    (ii) Research results shall be published or otherwise made available 
to the scientific community in a reasonable period of time.
    (iii) Research activities must be conducted under the direct 
supervision of the principal investigator or a co-investigator 
identified in the permit.
    (iv) Personnel involved in research activities shall be reasonable 
in number and limited to:
    (A) Individuals who perform a function directly supportive of and 
necessary to the permitted research activity; and
    (B) Support personnel included for the purpose of training or as 
backup personnel for persons described in paragraph (c)(1)(iv)(A).
    (v) Any marine mammal part imported under the authority of a 
scientific research permit must not have been obtained as the result of 
a lethal taking that would be inconsistent with the Acts, unless 
authorized by the Office Director.
    (vi) Marine mammals held under a permit for scientific research 
shall not be placed on public display, included in an interactive 
program or activity, or trained for performance unless such activities:
    (A) Are necessary to address scientific research objectives and have 
been specifically authorized by the Office Director under the scientific 
research permit; and
    (B) Are conducted incidental to and do not in any way interfere with 
the permitted scientific research; and
    (C) Are conducted in a manner consistent with provisions applicable 
to public display, unless exceptions are specifically authorized by the 
Office Director.
    (vii) Any activity conducted incidental to the authorized scientific 
research activity must not involve any taking of marine mammals beyond 
what is necessary to conduct the research (i.e., educational and 
commercial photography).
    (2) Any marine mammal or progeny held in captive maintenance under 
an enhancement permit shall be returned to its natural habitat as soon 
as feasible, consistent with the terms of the enhancement permit and the 
objectives of an approved conservation or recovery plan. In accordance 
with section 10(j) of the ESA, the Office Director may authorize the 
release of any population of an endangered or threatened species outside 
the current range of such species if the Office Director determines that 
such release will further the conservation of such species.

[61 FR 21938, May 10, 1996]


[[Page 52]]


Sec. 216.42  Photography. [Reserved]
Sec. 216.43  Public display. [Reserved]



Sec. 216.44   Applicability/transition.

    (a) General. The regulations of this subpart are applicable to all 
persons, including persons holding permits or other authorizing 
documents issued before June 10, 1996, by NMFS for the take, import, 
export, or conduct of any otherwise prohibited activity involving a 
marine mammal or marine mammal part for special exception purposes.
    (b) Scientific research. Any intrusive research as defined in 
Sec. 216.3, initiated after June 10, 1996, must be authorized under a 
scientific research permit. Intrusive research authorized by the Office 
Director to be conducted on captive marine mammals held for public 
display purposes prior to June 10, 1996, must be authorized under a 
scientific research permit one year after June 10, 1996.

[61 FR 21939, May 10, 1996]



Sec. 216.45  General Authorization for Level B harassment for scientific research.

    (a) General Authorization. (1) Persons are authorized under section 
104(c)(3)(C) of the MMPA to take marine mammals in the wild by Level B 
harassment, as defined in Sec. 216.3, for purposes of bona fide 
scientific research Provided, That:
    (i) They submit a letter of intent in accordance with the 
requirements of paragraph (b) of this section, receive confirmation that 
the General Authorization applies in accordance with paragraph (c) of 
this section, and comply with the terms and conditions of paragraph (d) 
of this section; or
    (ii) If such marine mammals are listed as endangered or threatened 
under the ESA, they have been issued a permit under Section 10(a)(1)(A) 
of the ESA and implementing regulations at 50 CFR parts 217-227, 
particularly at Sec. 222.23 through Sec. 222.28, to take marine mammals 
in the wild for the purpose of scientific research, the taking 
authorized under the permit involves such Level B harassment of marine 
mammals or marine mammal stocks, and they comply with the terms and 
conditions of that permit.
    (2) Except as provided under paragraph (a)(1)(ii) of this section, 
no taking, including harassment, of marine mammals listed as threatened 
or endangered under the ESA is authorized under the General 
Authorization. Marine mammals listed as endangered or threatened under 
the ESA may be taken for purposes of scientific research only after 
issuance of a permit for such activities pursuant to the ESA.
    (3) The following types of research activities will likely qualify 
for inclusion under the General Authorization: Photo-identification 
studies, behavioral observations, and vessel and aerial population 
surveys (except aerial surveys over pinniped rookeries at altitudes of 
less than 1,000 ft).
    (b) Letter of intent. Except as provided under paragraph (a)(1)(ii) 
of this section, any person intending to take marine mammals in the wild 
by Level B harassment for purposes of bona fide scientific research 
under the General Authorization must submit, at least 60 days before 
commencement of such research, a letter of intent by certified return/
receipt mail to the Chief, Permits Division, F/PR1, Office of Protected 
Resources, NMFS, 1335 East-West Highway, Silver Spring, MD 20910-3226.
    (1) The letter of intent must be submitted by the principal 
investigator (who shall be deemed the applicant). For purposes of this 
section, the principal investigator is the individual who is responsible 
for the overall research project, or the institution, governmental 
entity, or corporation responsible for supervision of the principal 
investigator.
    (2) The letter of intent must include the following information:
    (i) The name, address, telephone number, qualifications and 
experience of the applicant and any co-investigator(s) to be conducting 
the proposed research, and a curriculum vitae for each, including a list 
of publications by each such investigator relevant to the objectives, 
methodology, or other aspects of the proposed research;
    (ii) The species or stocks of marine mammals (common and scientific 
names) that are the subject of the scientific research and any other 
species

[[Page 53]]

or stock of marine mammals that may be harassed during the conduct of 
the research;
    (iii) The geographic location(s) in which the research is to be 
conducted, e.g., geographic name or lat./long.;
    (iv) The period(s) of time over which the research will be conducted 
(up to five years), including the field season(s) for the research, if 
applicable;
    (v) The purpose of the research, including a description of how the 
proposed research qualifies as bona fide research as defined in 
Sec. 216.3; and
    (vi) The methods to be used to conduct the research.
    (3) The letter of intent must be signed, dated, and certified by the 
applicant as follows:

    In accordance with section 104(c)(3)(C) of the Marine Mammal 
Protection Act of 1972, as amended (16 U.S.C. 1361 et seq.) and 
implementing regulations (50 CFR part 216), I hereby notify the National 
Marine Fisheries Service of my intent to conduct research involving only 
Level B harassment on marine mammals in the wild, and request 
confirmation that the General Authorization for Level B Harassment for 
Scientific Research applies to the proposed research as described 
herein. I certify that the information in this letter of intent is 
complete, true, and correct to the best of my knowledge and belief, and 
I understand that any false statement may subject me to the criminal 
penalties of 18 U.S.C. 1001, or penalties under the MMPA and 
implementing regulations. I acknowledge and accept that authority to 
conduct scientific research on marine mammals in the wild under the 
General Authorization is a limited conditional authority restricted to 
Level B harassment only, and that any other take of marine mammals, 
including the conduct of any activity that has the potential to injure 
marine mammals (i.e., Level A harassment), may subject me to penalties 
under the MMPA and implementing regulations.

    (c) Confirmation that the General Authorization applies or 
notification of permit requirement.
    (1) Not later than 30 days after receipt of a letter of intent as 
described in paragraph (b) of this section, the Chief, Permits Division, 
NMFS will issue a letter to the applicant either:
    (i) Confirming that the General Authorization applies to the 
proposed scientific research as described in the letter of intent;
    (ii) Notifying the applicant that all or part of the research 
described in the letter of intent is likely to result in a taking of a 
marine mammal in the wild involving other than Level B harassment and, 
as a result, cannot be conducted under the General Authorization, and 
that a scientific research permit is required to conduct all or part of 
the subject research; or
    (iii) Notifying the applicant that the letter of intent fails to 
provide sufficient information and providing a description of the 
deficiencies, or notifying the applicant that the proposed research as 
described in the letter of intent is not bona fide research as defined 
in Sec. 216.3.
    (2) A copy of each letter of intent and letter confirming that the 
General Authorization applies or notifying the applicant that it does 
not apply will be forwarded to the Marine Mammal Commission.
    (3) Periodically, NMFS will publish a summary document in the 
Federal Register notifying the public of letters of confirmation issued.
    (d) Terms and conditions. Persons issued letters of confirmation in 
accordance with paragraph (c) of this section are responsible for 
complying with the following terms and conditions:
    (1) Activities are limited to those conducted for the purposes, by 
the means, in the locations, and during the periods of time described in 
the letter of intent and acknowledged as authorized under the General 
Authorization in the confirmation letter sent pursuant to paragraph (c) 
of this section;
    (2) Annual reports of activities conducted under the General 
Authorization must be submitted to the Chief, Permits Division (address 
listed in paragraph (b) of this section) within 90 days of completion of 
the last field season(s) during the calendar year or, if the research is 
not conducted during a defined field season, no later than 90 days after 
the anniversary date of the letter of confirmation issued under 
paragraph (c) of this section. Annual reports must include:
    (i) A summary of research activities conducted;
    (ii) Identification of the species and number of each species taken 
by Level B harassment;
    (iii) An evaluation of the progress made in meeting the objectives 
of the

[[Page 54]]

research as described in the letter of intent; and
    (iv) Any incidental scientific, educational, or commercial uses of 
photographs, videotape, and film obtained as a result of or incidental 
to the research and if so, names of all photographers.
    (3) Authorization to conduct research under the General 
Authorization is for the period(s) of time identified in the letter of 
intent or for a period of 5 years from the date of the letter of 
confirmation issued under paragraph (c) of this section, whichever is 
less, unless extended by the Director or modified, suspended, or revoked 
in accordance with paragraph (e) of this section;
    (4) Activities conducted under the General Authorization may only be 
conducted under the on-site supervision of the principal investigator or 
co-investigator(s) named in the letter of intent. All personnel involved 
in the conduct of activities under the General Authorization must 
perform a function directly supportive of and necessary for the research 
being conducted, or be one of a reasonable number of support personnel 
included for the purpose of training or as back-up personnel;
    (5) The principal investigator must notify the appropriate Regional 
Director, NMFS, (Regional Director) in writing at least 2 weeks before 
initiation of on-site activities. The Regional Director shall consider 
this information in efforts to coordinate field research activities to 
minimize adverse impacts on marine mammals in the wild. The principal 
investigator must cooperate with coordination efforts by the Regional 
Director in this regard;
    (6) If research activities result in a taking which exceeds Level B 
harassment, the applicant shall:
    (i) Report the taking within 12 hours to the Director, Office of 
Protected Resources, or his designee as set forth in the letter 
authorizing research; and
    (ii) Temporarily discontinue for 72 hours all field research 
activities that resulted in the taking. During this time period, the 
applicant shall consult with NMFS as to the circumstances surrounding 
the taking and any precautions necessary to prevent future taking, and 
may agree to amend the research protocol, as deemed necessary by NMFS.
    (7) NMFS may review scientific research conducted pursuant to the 
General Authorization. If requested by NMFS, the applicant must 
cooperate with any such review and shall:
    (i) Allow any employee of NOAA or any other person designated by the 
Director, Office of Protected Resources to observe research activities; 
and
    (ii) Provide any documents or other information relating to the 
scientific research;
    (8) Any photographs, videotape, or film obtained during the conduct 
of research under the General Authorization must be identified by a 
statement that refers to the General Authorization or ESA permit number, 
and includes the file number provided by NMFS in the confirmation 
letter, the name of the photographer, and the date the image was taken. 
This statement must accompany the image(s) in all subsequent uses or 
sales. The annual report must note incidental scientific, educational, 
or commercial uses of the images, and if there are any such uses, the 
names of all photographers; and
    (9) Persons conducting scientific research under authority of the 
General Authorization may not transfer or assign any authority granted 
thereunder to any other person.
    (e) Suspension, revocation, or modification. (1) NMFS may suspend, 
revoke, or modify the authority to conduct scientific research under the 
General Authorization if:
    (i) The letter of intent included false information or statements of 
a material nature;
    (ii) The research does not constitute bona fide scientific research;
    (iii) Research activities result in takings of marine mammals other 
than by Level B harassment;
    (iv) Research activities differ from those described in the letter 
of intent submitted by the applicant and letter of confirmation issued 
by NMFS; or
    (v) The applicant violates any term or condition set forth in this 
section.
    (2) Any suspension, revocation, or modification is subject to the 
requirements of 15 CFR part 904.

[59 FR 50376, Oct. 3, 1994]

[[Page 55]]

Secs. 216.46-216.49  [Reserved]



                       Subpart E--Designated Ports



Sec. 216.50   Importation at designated ports.

    (a) Any marine mammal or marine mammal product which is subject to 
the jurisdiction of the National Marine Fisheries Service, National 
Oceanic and Atmospheric Administration, Department of Commerce and is 
intended for importation into the United States shall be subject to the 
provisions of 50 CFR part 14.
    (b) For the information of importers, designated ports of entry for 
the United States are:

New York, N.Y.
Miami, Fla.
Chicago, Ill.
San Francisco, Calif.
Los Angeles, Calif.
New Orleans, La.
Seattle, Wash.
Honolulu, Hi.

    (c) Additionally, marine mammals or marine mammal products which are 
entered into Alaska, Hawaii, Puerto Rico, Guam, American Samoa or the 
Virgin Islands and which are not to be forwarded or transhipped within 
the United States may be imported through the following ports:

Alaska--Juneau, Anchorage, Fairbanks
Hawaii--Honolulu
Puerto Rico--San Juan
Guam--Honolulu, Hi.
American Samoa--Honolulu, Hi.
Virgin Islands--San Juan, P.R.

    (d) Importers are advised to see 50 CFR part 14 for importation 
requirements and information.

[39 FR 1852, Jan. 15, 1974. Redesignated at 59 FR 50376, Oct. 3, 1994]



      Subpart F--Pribilof Islands, Taking for Subsistence Purposes



Sec. 216.71  Allowable take of fur seals.

    Pribilovians may take fur seals on the Pribilof Islands if such 
taking is
    (a) For subsistence uses, and
    (b) Not accomplished in a wasteful manner.

[51 FR 24840, July 9, 1986. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.72  Restrictions on taking.

    (a) The harvests of seals on St. Paul and St. George Islands shall 
be treated independently for the purposes of this section. Any 
suspension, termination, or extension of the harvest is applicable only 
to the island for which it is issued.
    (b) By April 1 of every third year, beginning April 1994, the 
Assistant Administrator will publish in the Federal Register a summary 
of the preceding 3 years of harvesting and a discussion of the number of 
seals expected to be taken annually over the next 3 years to satisfy the 
subsistence requirements of each island. This discussion will include an 
assessment of factors and conditions on St. Paul and St. George Islands 
that influence the need by Pribilof Aleuts to take seals for subsistence 
uses and an assessment of any changes to those conditions indicating 
that the number of seals that may be taken for subsistence each year 
should be made higher or lower. Following a 30-day public comment 
period, a final notification of the expected annual harvest levels for 
the next 3 years will be published.
    (c)(1) No fur seal may be taken on the Pribilof Islands before June 
23 of each year.
    (2) No fur seal may be taken except by experienced sealers using the 
traditional harvesting methods, including stunning followed immediately 
by exsanguination. The harvesting method shall include organized drives 
of subadult males to killing fields unless it is determined by the NMFS 
representatives, in consultation with the Pribilovians conducting the 
harvest, that alternative methods will not result in increased 
disturbance to the rookery or the increased accidental take of female 
seals.
    (3) Any taking of adult fur seals or pups, or the intentional taking 
of subadult female fur seals is prohibited.
    (4) Only subadult male fur seals 124.5 centimeters or less in length 
may be taken.
    (5) Seals with tags and/or entangling debris may only be taken if so 
directed by NMFS scientists.
    (d) The scheduling of the harvest is at the discretion of the 
Pribilovians, but must be such as to minimize stress

[[Page 56]]

to the harvested seals. The Pribilovians must give adequate advance 
notice of their harvest schedules to the NMFS representatives to allow 
for necessary monitoring activities. Scheduling must be consistent with 
the following restrictions:
    (1) St. Paul Island--Seals may only be harvested from the following 
haulout areas: Zapadni, English Bay, Northeast Point, Polovina, Lukanin, 
Kitovi, and Reef. No haulout area may be harvested more than once per 
week.
    (2) St. George Island--Seals may only be harvested from the 
following haulout areas: Northeast and Zapadni. Neither haulout area may 
be harvested more than twice per week.
    (e)(1) The Assistant Administrator is required to suspend the take 
provided for in Sec. 215.31 when:
    (i) He determines, after reasonable notice by NMFS representatives 
to the Pribilovians on the island, that the subsistence needs of the 
Pribilovians on the island have been satisfied;
or
    (ii) He determines that the harvest is otherwise being conducted in 
a wasteful manner; or
    (iii) The lower end of the range of the estimated subsistence level 
provided in the notice issued under paragraph (b) of this section is 
reached.
    (2) A suspension based on a determination under paragraph (e)(1)(ii) 
of this section may be lifted by the Assistant Administrator if he finds 
that the conditions which led to the determination that the harvest was 
being conducted in a wasteful manner have been remedied.
    (3) A suspension issued in accordance with paragraph (e)(1)(iii) of 
this section may not exceed 48 hours in duration and shall be followed 
immediately by a review of the harvest data to determine if a finding 
under paragraph (e)(1)(i) of this section is warranted. If a the harvest 
is not suspended under paragraph (e)(1)(i) of this section, the 
Assistant Administrator must provide a revised estimate of the number of 
seals required to satisfy the Pribilovians' subsistence needs.
    (f) The Assistant Administrator shall terminate the take provided 
for in Sec. 215.31 on August 8 of each year or when it is determined 
under paragraph (e)(1)(i) of this section that the subsistence needs of 
the Pribilovians on the island have been satisfied, whichever occurs 
first.

[51 FR 24840, July 9, 1986, as amended at 57 FR 33902, July 31, 1992; 59 
FR 35474, July 12, 1994. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.73  Disposition of fur seal parts.

    Except for transfers to other Alaskan Natives for barter or sharing 
for personal or family consumption, no part of a fur seal taken for 
subsistence uses may be sold or otherwise transferred to any person 
unless it is a nonedible byproduct which:
    (a) Has been transformed into an article of handicraft, or
    (b) Is being sent by an Alaskan Native directly, or through a 
registered agent, to a tannery registered under 50 CFR 216.23(c) for the 
purpose of processing, and will be returned directly to the Alaskan 
Native for conversion into an article of handicraft, or
    (c) Is being sold or transferred to an Alaskan Native, or to an 
agent registered under 50 CFR 216.23(c) for resale or transfer to an 
Alaskan Native, who will convert the seal part into a handicraft.

[51 FR 24840, July 9, 1986. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.74  Cooperation with Federal officials.

    Pribilovians who engage in the harvest of seals are required to 
cooperate with scientists engaged in fur seal research on the Pribilof 
Islands who may need assistance in recording tag or other data and 
collecting tissue or other fur seal samples for research purposes. In 
addition, Pribilovians who take fur seals for subsistence uses must, 
consistent with 5 CFR 1320.7(k)(3), cooperate with the NMFS 
representatives on the Pribilof Islands who are responsible for 
compiling the following information on a daily basis:
    (a) The number of seals taken each day in the subsistence harvest,
    (b) The extent of the utilization of fur seals taken, and
    (c) Other information determined by the Assistant Administrator to 
be necessary for determining the subsistence

[[Page 57]]

needs of the Pribilovians or for making determinations under 
Sec. 215.32(e).

[51 FR 24840, July 9, 1986. Redesignated at 61 FR 11750, Mar. 22, 1996]



               Subpart G--Pribilof Islands Administration



Sec. 216.81  Visits to fur seal rookeries.

    From June 1 to October 15 of each year, no person, except those 
authorized by a representative of the National Marine Fisheries Service, 
or accompanied by an authorized employee of the National Marine 
Fisheries Service, shall approach any fur seal rookery or hauling 
grounds nor pass beyond any posted sign forbidding passage.

[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.82  Dogs prohibited.

    In order to prevent molestation of fur seal herds, the landing of 
any dogs at Pribilof Islands is prohibited.

[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.83   Importation of birds or mammals.

    No mammals or birds, except household cats, canaries and parakeets, 
shall be imported to the Pribilof Islands without the permission of an 
authorized representative of the National Marine Fisheries Service.

[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.84  [Reserved]



Sec. 216.85   Walrus and Otter Islands.

    By Executive Order 1044, dated February 27, 1909, Walrus and Otter 
Islands were set aside as bird reservations. All persons are prohibited 
to land on these islands except those authorized by the appropriate 
representative of the National Marine Fisheries Service.

[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.86   Local regulations.

    Local regulations will be published from time to time and will be 
brought to the attention of local residents and persons assigned to duty 
on the Islands by posting in public places and brought to the attention 
of tourists by personal notice.

[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]



Sec. 216.87  Wildlife research.

    (a) Wildlife research, other than research on North Pacific fur 
seals, including specimen collection, may be permitted on the Pribilof 
Islands subject to the following conditions:
    (1) Any person or agency, seeking to conduct such research shall 
first obtain any Federal or State of Alaska permit required for the type 
of research involved.
    (2) Any person seeking to conduct such research shall obtain prior 
approval of the Director, Pribilof Islands Program, National Marine 
Fisheries Service, National Oceanic and Atmospheric Administration, 1700 
Westlake Avenue North, Seattle, WA 98109, by filing with the Director an 
application which shall include:
    (i) Copies of the required Federal and State of Alaska permits; and
    (ii) A resume of the intended research program.
    (3) All approved research shall be subject to all regulations and 
administrative procedures in effect on the Pribilof Islands, and such 
research shall not commence until approval from the Director is 
received.
    (4) Any approved research program shall be subject to such terms and 
conditions as the Director, Pribilof Islands Program deems appropriate.
    (5) Permission to utilize the Pribilof Islands to conduct an 
approved research program may be revoked by the Director, Pribilof 
Islands Program at any time for noncompliance with any terms and 
conditions, or for violations of any regulation or administrative 
procedure in effect on the Pribilof Islands.

[43 FR 5521, Feb. 9, 1978. Redesignated at 61 FR 11750, Mar. 22, 1996]



                  Subpart H--Dolphin Safe Tuna Labeling

    Authority: 16 U.S.C. 1385.

    Source: 61 FR 27794, June 3, 1996, unless otherwise noted.


[[Page 58]]





Sec. 216.90  Purpose.

    This subpart governs the requirements for labeling of tuna or tuna 
products sold in or exported from the United States that suggest the 
tuna was harvested in a manner not injurious to dolphins.



Sec. 216.91  Labeling requirements.

    It is a violation of section 5 of the Federal Trade Commission Act 
(15 U.S.C. 45) for any person subject to U.S. jurisdiction, including 
any producer, exporter, importer, distributor, or seller of any tuna 
product exported from the United States or offered for sale in the 
United States to include on the label of that product the term ``dolphin 
safe'' or any other term, phrase, or symbol that claims or suggests that 
the tuna contained in the product was harvested using a fishing method 
that is not harmful to dolphins, if the product:
    (a) Contains tuna harvested with a large-scale driftnet; or
    (b) Contains tuna harvested in the ETP by a purse seine vessel 400 
short tons (362.8 metric tons) carrying capacity or greater and is 
labeled in a manner that violates the standards set forth in Sec. 216.92 
or Sec. 216.93.



Sec. 216.92  Purse seine vessels greater than 400 short tons (362.8 metric tons).

    For purposes of Sec. 216.91(b), any tuna product containing tuna 
that were harvested in the ETP by a purse seine vessel 400 short tons 
(362.8 metric tons) carrying capacity or greater, must be accompanied 
by:
    (a) A completed Fisheries Certificate of Origin;
    (b) A written statement by the captain of each vessel that harvested 
the tuna, certifying that the vessel did not intentionally deploy a 
purse seine net on or to encircle dolphins at any time during the trip;
    (c) A written statement certifying that an observer, employed by or 
working under contract with the Inter-American Tropical Tuna Commission 
or the Secretary, was on board the vessel during the entire trip and 
that the vessel did not intentionally deploy a purse seine net on or to 
encircle dolphin at any time during the trip. The statement must be 
signed by either:
    (1) The Secretary; or
    (2) A representative of the Inter-American Tropical Tuna Commission; 
and
    (d) An endorsement on the Fisheries Certificate of Origin by each 
exporter, importer, and processor certifying that, to the best of his or 
her knowledge and belief, the Fisheries Certificate of Origin and 
attached documentation, accurately describe the tuna products.



Sec. 216.93  Submission of documentation.

    The documents required by Sec. 216.92 must accompany the tuna 
product whenever it is offered for sale or export, except that these 
documents need not accompany the product when offered for sale if:
    (a) The documents do not require further endorsement by any importer 
or processor, and are submitted to officials of the U.S. Customs Service 
at the time of import; or
    (b) The documents are endorsed as required by Sec. 216.92(d) and 
delivered to the Director, Southwest Region, or to the U.S. Customs 
Service at the time of exportation.



Sec. 216.94  Requests to review documents.

    At any time, the Assistant Administrator may request, in writing, 
any exporter, importer, processor, distributor, or seller of any tuna or 
tuna product labeled in a manner subject to the requirements of 
Sec. 216.91, to produce, within a specified time period, all documentary 
evidence concerning the origin of any product that is offered for sale 
as ``dolphin safe,'' including the original invoice.



Sec. 216.95  False statements or endorsements.

    Any person who knowingly and willfully makes a false statement or 
false endorsement required by Sec. 216.92 is liable for a civil penalty 
not to exceed $100,000, that may be assessed in an action brought in any 
appropriate District Court of the United States on behalf of the 
Secretary.

[[Page 59]]



 Subpart I--General Regulations Governing Small Takes of Marine Mammals 
                   Incidental to Specified Activities

    Source: 61 FR 15887, Apr. 10, 1996, unless otherwise noted.



Sec. 216.101  Purpose.

    The regulations in this subpart implement section 101(a)(5) (A) 
through (D) of the Marine Mammal Protection Act of 1972, as amended, 16 
U.S.C. 1371(a)(5), which provides a mechanism for allowing, upon 
request, the incidental, but not intentional, taking of small numbers of 
marine mammals by U.S. citizens who engage in a specified activity 
(other than commercial fishing) within a specified geographic region.



Sec. 216.102  Scope.

    The taking of small numbers of marine mammals under section 
101(a)(5) (A) through (D) of the Marine Mammal Protection Act may be 
allowed only if the National Marine Fisheries Service:
    (a) Finds, based on the best scientific evidence available, that the 
total taking by the specified activity during the specified time period 
will have a negligible impact on species or stock of marine mammal(s) 
and will not have an unmitigable adverse impact on the availability of 
those species or stocks of marine mammals intended for subsistence uses;
    (b) Prescribes either regulations under Sec. 216.106, or 
requirements and conditions contained within an incidental harassment 
authorization issued under Sec. 216.107, setting forth permissible 
methods of taking and other means of effecting the least practicable 
adverse impact on the species or stock of marine mammal and its habitat 
and on the availability of the species or stock of marine mammal for 
subsistence uses, paying particular attention to rookeries, mating 
grounds, and areas of similar significance; and
    (c) Prescribes either regulations or requirements and conditions 
contained within an incidental harassment authorization, as appropriate, 
pertaining to the monitoring and reporting of such taking. The specific 
regulations governing certain specified activities are contained in 
subsequent subparts of this part.



Sec. 216.103  Definitions.

    In addition to definitions contained in the MMPA, and in Sec. 216.3, 
and unless the context otherwise requires, in subsequent subparts to 
this part:
    Arctic waters means the marine and estuarine waters north of 60 deg. 
N. lat.
    Citizens of the United States and U.S. citizens mean individual U.S. 
citizens or any corporation or similar entity if it is organized under 
the laws of the United States or any governmental unit defined in 16 
U.S.C. 1362(13). U.S. Federal, state and local government agencies shall 
also constitute citizens of the United States for purposes of this part.
    Incidental harassment, incidental taking and incidental, but not 
intentional, taking all mean an accidental taking. This does not mean 
that the taking is unexpected, but rather it includes those takings that 
are infrequent, unavoidable or accidental. (A complete definition of 
``take'' is contained in Sec. 216.3).
    Negligible impact is an impact resulting from the specified activity 
that cannot be reasonably expected to, and is not reasonably likely to, 
adversely affect the species or stock through effects on annual rates of 
recruitment or survival.
    Small numbers means a portion of a marine mammal species or stock 
whose taking would have a negligible impact on that species or stock.
    Specified activity means any activity, other than commercial 
fishing, that takes place in a specified geographical region and 
potentially involves the taking of small numbers of marine mammals.
    Specified geographical region means an area within which a specified 
activity is conducted and that has certain biogeographic 
characteristics.
    Unmitigable adverse impact means an impact resulting from the 
specified activity:
    (1) That is likely to reduce the availability of the species to a 
level insufficient for a harvest to meet subsistence needs by:
    (i) Causing the marine mammals to abandon or avoid hunting areas;

[[Page 60]]

    (ii) Directly displacing subsistence users; or
    (iii) Placing physical barriers between the marine mammals and the 
subsistence hunters; and
    (2) That cannot be sufficiently mitigated by other measures to 
increase the availability of marine mammals to allow subsistence needs 
to be met.



Sec. 216.104  Submission of requests.

    (a) In order for the National Marine Fisheries Service to consider 
authorizing the taking by U.S. citizens of small numbers of marine 
mammals incidental to a specified activity (other than commercial 
fishing), or to make a finding that an incidental take is unlikely to 
occur, a written request must be submitted to the Assistant 
Administrator. All requests must include the following information for 
their activity:
    (1) A detailed description of the specific activity or class of 
activities that can be expected to result in incidental taking of marine 
mammals;
    (2) The date(s) and duration of such activity and the specific 
geographical region where it will occur;
    (3) The species and numbers of marine mammals likely to be found 
within the activity area;
    (4) A description of the status, distribution, and seasonal 
distribution (when applicable) of the affected species or stocks of 
marine mammals likely to be affected by such activities;
    (5) The type of incidental taking authorization that is being 
requested (i.e., takes by harassment only; takes by harassment, injury 
and/or death) and the method of incidental taking;
    (6) By age, sex, and reproductive condition (if possible), the 
number of marine mammals (by species) that may be taken by each type of 
taking identified in paragraph (a)(5) of this section, and the number of 
times such takings by each type of taking are likely to occur;
    (7) The anticipated impact of the activity upon the species or stock 
of marine mammal;
    (8) The anticipated impact of the activity on the availability of 
the species or stocks of marine mammals for subsistence uses;
    (9) The anticipated impact of the activity upon the habitat of the 
marine mammal populations, and the likelihood of restoration of the 
affected habitat;
    (10) The anticipated impact of the loss or modification of the 
habitat on the marine mammal populations involved;
    (11) The availability and feasibility (economic and technological) 
of equipment, methods, and manner of conducting such activity or other 
means of effecting the least practicable adverse impact upon the 
affected species or stocks, their habitat, and on their availability for 
subsistence uses, paying particular attention to rookeries, mating 
grounds, and areas of similar significance;
    (12) Where the proposed activity would take place in or near a 
traditional Arctic subsistence hunting area and/or may affect the 
availability of a species or stock of marine mammal for Arctic 
subsistence uses, the applicant must submit either a plan of cooperation 
or information that identifies what measures have been taken and/or will 
be taken to minimize any adverse effects on the availability of marine 
mammals for subsistence uses. A plan must include the following:
    (i) A statement that the applicant has notified and provided the 
affected subsistence community with a draft plan of cooperation;
    (ii) A schedule for meeting with the affected subsistence 
communities to discuss proposed activities and to resolve potential 
conflicts regarding any aspects of either the operation or the plan of 
cooperation;
    (iii) A description of what measures the applicant has taken and/or 
will take to ensure that proposed activities will not interfere with 
subsistence whaling or sealing; and
    (iv) What plans the applicant has to continue to meet with the 
affected communities, both prior to and while conducting the activity, 
to resolve conflicts and to notify the communities of any changes in the 
operation;
    (13) The suggested means of accomplishing the necessary monitoring 
and reporting that will result in increased knowledge of the species, 
the level of taking or impacts on populations of marine mammals that are 
expected to be present while conducting activities

[[Page 61]]

and suggested means of minimizing burdens by coordinating such reporting 
requirements with other schemes already applicable to persons conducting 
such activity. Monitoring plans should include a description of the 
survey techniques that would be used to determine the movement and 
activity of marine mammals near the activity site(s) including migration 
and other habitat uses, such as feeding. Guidelines for developing a 
site-specific monitoring plan may be obtained by writing to the 
Director, Office of Protected Resources; and
    (14) Suggested means of learning of, encouraging, and coordinating 
research opportunities, plans, and activities relating to reducing such 
incidental taking and evaluating its effects.
    (b)(1) The Assistant Administrator shall determine the adequacy and 
completeness of a request and, if determined to be adequate and 
complete, will begin the public review process by publishing in the 
Federal Register either:
    (i) A proposed incidental harassment authorization; or
    (ii) A notice of receipt of a request for the implementation or 
reimplementation of regulations governing the incidental taking.
    (2) Through notice in the Federal Register, newspapers of general 
circulation, and appropriate electronic media in the coastal areas that 
may be affected by such activity, NMFS will invite information, 
suggestions, and comments for a period not to exceed 30 days from the 
date of publication in the Federal Register. All information and 
suggestions will be considered by the National Marine Fisheries Service 
in developing, if appropriate, the most effective regulations governing 
the issuance of letters of authorization or conditions governing the 
issuance of an incidental harassment authorization.
    (3) Applications that are determined to be incomplete or 
inappropriate for the type of taking requested, will be returned to the 
applicant with an explanation of why the application is being returned.
    (c) The Assistant Administrator shall evaluate each request to 
determine, based upon the best available scientific evidence, whether 
the taking by the specified activity within the specified geographic 
region will have a negligible impact on the species or stock and, where 
appropriate, will not have an unmitigable adverse impact on the 
availability of such species or stock for subsistence uses. If the 
Assistant Administrator finds that the mitigating measures would render 
the impact of the specified activity negligible when it would not 
otherwise satisfy that requirement, the Assistant Administrator may make 
a finding of negligible impact subject to such mitigating measures being 
successfully implemented. Any preliminary findings of ``negligible 
impact'' and ``no unmitigable adverse impact'' shall be proposed for 
public comment along with either the proposed incidental harassment 
authorization or the proposed regulations for the specific activity.
    (d) If, subsequent to the public review period, the Assistant 
Administrator finds that the taking by the specified activity would have 
more than a negligible impact on the species or stock of marine mammal 
or would have an unmitigable adverse impact on the availability of such 
species or stock for subsistence uses, the Assistant Administrator shall 
publish in the Federal Register the negative finding along with the 
basis for denying the request.



Sec. 216.105  Specific regulations.

    (a) For all petitions for regulations under this paragraph, 
applicants must provide the information requested in Sec. 216.104(a) on 
their activity as a whole, which includes, but is not necessarily 
limited to, an assessment of total impacts by all persons conducting the 
activity.
    (b) For allowed activities that may result in incidental takings of 
small numbers of marine mammals by harassment, serious injury, death or 
a combination thereof, specific regulations shall be established for 
each allowed activity that set forth:
    (1) Permissible methods of taking;
    (2) Means of effecting the least practicable adverse impact on the 
species and its habitat and on the availability of the species for 
subsistence uses; and

[[Page 62]]

    (3) Requirements for monitoring and reporting, including 
requirements for the independent peer-review of proposed monitoring 
plans where the proposed activity may affect the availability of a 
species or stock for taking for subsistence uses.
    (c) Regulations will be established based on the best available 
information. As new information is developed, through monitoring, 
reporting, or research, the regulations may be modified, in whole or in 
part, after notice and opportunity for public review.



Sec. 216.106  Letter of Authorization.

    (a) A Letter of Authorization, which may be issued only to U.S. 
citizens, is required to conduct activities pursuant to any regulations 
established under Sec. 216.105. Requests for Letters of Authorization 
shall be submitted to the Director, Office of Protected Resources. The 
information to be submitted in a request for an authorization will be 
specified in the appropriate subpart to this part or may be obtained by 
writing to the above named person.
    (b) Issuance of a Letter of Authorization will be based on a 
determination that the level of taking will be consistent with the 
findings made for the total taking allowable under the specific 
regulations.
    (c) Letters of Authorization will specify the period of validity and 
any additional terms and conditions appropriate for the specific 
request.
    (d) Notice of issuance of all Letters of Authorization will be 
published in the Federal Register within 30 days of issuance.
    (e) Letters of Authorization shall be withdrawn or suspended, either 
on an individual or class basis, as appropriate, if, after notice and 
opportunity for public comment, the Assistant Administrator determines 
that:
    (1) The regulations prescribed are not being substantially complied 
with; or
    (2) The taking allowed is having, or may have, more than a 
negligible impact on the species or stock or, where relevant, an 
unmitigable adverse impact on the availability of the species or stock 
for subsistence uses.
    (f) The requirement for notice and opportunity for public review in 
Sec. 216.106(e) shall not apply if the Assistant Administrator 
determines that an emergency exists that poses a significant risk to the 
wellbeing of the species or stocks of marine mammals concerned.
    (g) A violation of any of the terms and conditions of a Letter of 
Authorization or of the specific regulations shall subject the Holder 
and/or any individual who is operating under the authority of the 
Holder's Letter of Authorization to penalties provided in the MMPA.



Sec. 216.107  Incidental harassment authorization for Arctic waters.

    (a) Except for activities that have the potential to result in 
serious injury or mortality, which must be authorized under 
Sec. 216.105, incidental harassment authorizations may be issued, 
following a 30-day public review period, to allowed activities that may 
result in only the incidental harassment of a small number of marine 
mammals. Each such incidental harassment authorization shall set forth:
    (1) Permissible methods of taking by harassment;
    (2) Means of effecting the least practicable adverse impact on the 
species, its habitat, and on the availability of the species for 
subsistence uses; and
    (3) Requirements for monitoring and reporting, including 
requirements for the independent peer-review of proposed monitoring 
plans where the proposed activity may affect the availability of a 
species or stock for taking for subsistence uses.
    (b) Issuance of an incidental harassment authorization will be based 
on a determination that the number of marine mammals taken by harassment 
will be small, will have a negligible impact on the species or stock of 
marine mammal(s), and will not have an unmitigable adverse impact on the 
availability of species or stocks for taking for subsistence uses.
    (c) An incidental harassment authorization will be either issued or 
denied within 45 days after the close of the public review period.
    (d) Notice of issuance or denial of an incidental harassment 
authorization will be published in the Federal Register within 30 days 
of issuance of a determination.

[[Page 63]]

    (e) Incidental harassment authorizations will be valid for a period 
of time not to exceed 1 year but may be renewed for additional periods 
of time not to exceed 1 year for each reauthorization.
    (f) An incidental harassment authorization shall be modified, 
withdrawn, or suspended if, after notice and opportunity for public 
comment, the Assistant Administrator determines that:
    (1) The conditions and requirements prescribed in the authorization 
are not being substantially complied with; or
    (2) The authorized taking, either individually or in combination 
with other authorizations, is having, or may have, more than a 
negligible impact on the species or stock or, where relevant, an 
unmitigable adverse impact on the availability of the species or stock 
for subsistence uses.
    (g) The requirement for notice and opportunity for public review in 
paragraph (f) of this section shall not apply if the Assistant 
Administrator determines that an emergency exists that poses a 
significant risk to the well-being of the species or stocks of marine 
mammals concerned.
    (h) A violation of any of the terms and conditions of an incidental 
harassment authorization shall subject the holder and/or any individual 
who is operating under the authority of the holder's incidental 
harassment authorization to penalties provided in the MMPA.



Sec. 216.108  Requirements for monitoring and reporting under incidental harassment authorizations for Arctic waters.

    (a) Holders of an incidental harassment authorization in Arctic 
waters and their employees, agents, and designees must cooperate with 
the National Marine Fisheries Service and other designated Federal, 
state, or local agencies to monitor the impacts of their activity on 
marine mammals. Unless stated otherwise within an incidental harassment 
authorization, the holder of an incidental harassment authorization 
effective in Arctic waters must notify the Alaska Regional Director, 
National Marine Fisheries Service, of any activities that may involve a 
take by incidental harassment in Arctic waters at least 14 calendar days 
prior to commencement of the activity.
    (b) Holders of incidental harassment authorizations effective in 
Arctic waters may be required by their authorization to designate at 
least one qualified biological observer or another appropriately 
experienced individual to observe and record the effects of activities 
on marine mammals. The number of observers required for monitoring the 
impact of the activity on marine mammals will be specified in the 
incidental harassment authorization. If observers are required as a 
condition of the authorization, the observer(s) must be approved in 
advance by the National Marine Fisheries Service.
    (c) The monitoring program must, if appropriate, document the 
effects (including acoustical) on marine mammals and document or 
estimate the actual level of take. The requirements for monitoring 
plans, as specified in the incidental harassment authorization, may vary 
depending on the activity, the location, and the time.
    (d) Where the proposed activity may affect the availability of a 
species or stock of marine mammal for taking for subsistence purposes, 
proposed monitoring plans or other research proposals must be 
independently peer-reviewed prior to issuance of an incidental 
harassment authorization under this subpart. In order to complete the 
peer-review process within the time frames mandated by the MMPA for an 
incidental harassment authorization, a proposed monitoring plan 
submitted under this paragraph must be submitted to the Assistant 
Administrator no later than the date of submission of the application 
for an incidental harassment authorization. Upon receipt of a complete 
monitoring plan, and at its discretion, the National Marine Fisheries 
Service will either submit the plan to members of a peer review panel 
for review or within 60 days of receipt of the proposed monitoring plan, 
schedule a workshop to review the plan. The applicant must submit a 
final monitoring plan to the Assistant Administrator prior to the 
issuance of an incidental harassment authorization.
    (e) At its discretion, the National Marine Fisheries Service may 
place an

[[Page 64]]

observer aboard vessels, platforms, aircraft, etc., to monitor the 
impact of activities on marine mammals.
    (f)(1) As specified in the incidental harassment authorization, the 
holder of an incidental harassment authorization for Arctic waters must 
submit reports to the Assistant Administrator within 90 days of 
completion of any individual components of the activity (if any), within 
90 days of completion of the activity, but no later than 120 days prior 
to expiration of the incidental harassment authorization, whichever is 
earlier. This report must include the following information:
    (i) Dates and type(s) of activity;
    (ii) Dates and location(s) of any activities related to monitoring 
the effects on marine mammals; and
    (iii) Results of the monitoring activities, including an estimate of 
the actual level and type of take, species name and numbers of each 
species observed, direction of movement of species, and any observed 
changes or modifications in behavior.
    (2) Monitoring reports will be reviewed by the Assistant 
Administrator and, if determined to be incomplete or inaccurate, will be 
returned to the holder of the authorization with an explanation of why 
the report is being returned. If the authorization holder disagrees with 
the findings of the Assistant Administrator, the holder may request an 
independent peer review of the report. Failure to submit a complete and 
accurate report may result in a delay in processing future authorization 
requests.
    (g) Results of any behavioral, feeding, or population studies, that 
are conducted supplemental to the monitoring program, should be made 
available to the National Marine Fisheries Service before applying for 
an incidental harassment authorization for the following year.



     Subpart J--Taking of Ringed Seals Incidental to On-Ice Seismic 
                               Activities

    Source: 47 FR 21254, May 18, 1982, unless otherwise noted. 
Redesignated at 61 FR 15887, Apr. 10, 1996.



Sec. 216.111  Specified activity and specified geographical region.

    Regulations in this subpart apply only to the incidental taking of 
ringed seals (Phoca hispida) by U.S. citizens engaged in on-ice seismic 
exploratory and associated activities over the Outer Continental Shelf 
of the Beaufort Sea of Alaska, from the shore outward to 45 miles (72 
km) and from Point Barrow east to Demarcation Point, from January 1 
through May 31 of any calendar year.

[58 FR 4093, Jan. 13, 1993]

Effective Date Note: At 58 FR 4093, Jan. 13, 1993 Sec. 228.11 was 
revised, effective through December 31, 1997. At 61 FR 15887, Apr. 10, 
1996, the section was redesignated as Sec. 216.111.



Sec. 216.112  Effective dates.

    Regulations in this subpart are effective from February 12, 1993 
through December 31, 1997.

[58 FR 4093, Jan. 13, 1993]

Effective Date Note: At 58 FR 4093, Jan. 13, 1993 Sec. 228.12 was 
revised, effective through December 31, 1997. At 61 FR 15887, Apr. 10, 
1996, the section was redesignated as Sec. 216.112.



Sec. 216.113  Permissible methods.

    (a) The incidental, but not intentional, taking of ringed seals from 
January 1 through May 31 by U.S. citizens holding a Letter of 
Authorization is permitted during the course of the following 
activities:
    (1) On-ice geophysical seismic activities involving vibrator-type, 
airgun, or other energy source equipment shown to have similar or lesser 
effects; and
    (2) Operation of transportation and camp facilities associated with 
seismic activities.
    (b) All activities identified in Sec. 216.113(a) must be conducted 
in a manner that minimizes to the greatest extent practicable adverse 
effects on ringed seals and their habitat.
    (c) All activities identified in Sec. 216.113(a) must be conducted 
as far as practicable from any observed ringed seal or ringed seal lair. 
No energy source must be placed over an observed

[[Page 65]]

ringed seal lair, whether or not any seal is present.

[47 FR 21254, May 18, 1982, as amended at 58 FR 4093, Jan. 13, 1993. 
Redesignated and amended at 61 FR 15887, 15890, Apr. 10, 1996]

Effective Date Note: At 58 FR 4093, Jan. 13, 1993 in Sec. 228.13 
paragraphs (b) and (c) were revised, effective through December 31, 
1997. At 61 FR 15887, Apr. 10, 1996, the section was redesignated as 
Sec. 216.113.



Sec. 216.114  Requirements for monitoring and reporting.

    (a) Holders of Letters of Authorization are required to cooperate 
with the National Marine Fisheries Service and any other Federal, State, 
or local agency monitoring the impacts on ringed seals.
    (b) Holders of Letters of Authorization must designate a qualified 
individual or individuals to observe and record the presence of ringed 
seals and ringed seal lairs along shot lines and around camps, and the 
information required in Sec. 216.114(c).
    (c) An annual report must be submitted to the Assistant 
Administrator for Fisheries within 90 days after completing each year's 
activities and must include the following information:
    (1) Location(s) of survey activities;
    (2) Level of effort (e.g., duration, area surveyed, number of 
surveys), methods used, and a description of habitat (e.g., ice 
thickness, surface topography) for each location;
    (3) Numbers of ringed seals observed, proximity to seismic or 
associated activities, and any seal reactions observed for each 
location;
    (4) Numbers of ringed seal lairs observed and proximity to seismic 
or associated activities for each location; and
    (5) Other information as required in a Letter of Authorization.

[47 FR 21254, May 18, 1982, as amended at 58 FR 4093, Jan. 13, 1993. 
Redesignated and amended at 61 FR 15887, 15890, Apr. 10, 1996]

Effective Date Note: At 58 FR 4093, Jan. 13, 1993 in Sec. 228.14 
paragraph (b) and paragraph (c) introductory text were revised, 
effective through December 31, 1997. At 61 FR 15887, Apr. 10, 1996, the 
section was redesignated as Sec. 216.114.



                        Subparts K-L  [Reserved]



Subpart M--Taking of Bottlenose Dolphins and Spotted Dolphins Incidental 
               to Oil and Gas Structure Removal Activities

    Source: 60 FR 53145, Oct. 12, 1995, unless otherwise noted. 
Redesignated at 61 FR 15887, Apr. 10, 1996.

    Effective Date Note: At 60 FR 53145, Oct. 12, 1995, subpart E to 
part 228 was added, effective Nov. 13, 1995 through Nov. 13, 2000. At 61 
FR 15887, Apr. 10, 1996, subpart E to part 228 was redesignated as 
subpart M to part 216.



Sec. 216.141  Specified activity and specified geographical region.

    (a) Regulations in this subpart apply only to the incidental taking 
of marine mammals by U.S. citizens engaged in removing oil and gas 
drilling and production structures in state waters and on the Outer 
Continental Shelf in the Gulf of Mexico adjacent to the coasts of Texas, 
Louisiana, Alabama, Mississippi, and Florida. The incidental, but not 
intentional, taking of marine mammals by U.S. citizens holding a Letter 
of Authorization is permitted during the course of severing pilings, 
well conductors, and related supporting structures, and other activities 
related to the removal of the oil well structure.
    (b) The incidental take of marine mammals under the activity 
identified in paragraph (a) of this section is limited annually to a 
combined total of no more than 200 takings by harassment of bottlenose 
dolphins (Tursiops truncatus) and spotted dolphins (Stenella frontalis 
and S. attenuata).



Sec. 216.142  Effective dates.

    Regulations in this subpart are effective from November 13, 1995 
through November 13, 2000.



Sec. 216.143  Permissible methods of taking; mitigation.

    (a) The use of the following means in conducting the activities 
identified in Sec. 216.141 is permissible: Bulk explosives, shaped 
explosive charges, mechanical

[[Page 66]]

or abrasive cutters, and underwater arc cutters.
    (b) All activities identified in Sec. 216.141 must be conducted in a 
manner that minimizes, to the greatest extent practicable, adverse 
effects on bottlenose dolphins, spotted dolphins, and their habitat. 
When using explosives, the following mitigation measures must be 
utilized:
    (1)(i) If bottlenose or spotted dolphins are observed within 3,000 
ft (910 m) of the platform prior to detonating charges, detonation must 
be delayed until either the marine mammal(s) are more than 3,000 ft (910 
m) from the platform or actions (e.g., operating a vessel in the 
vicinity of the dolphins to stimulate bow riding, then steering the 
vessel away from the structure to be removed) are successful in removing 
them at least 3,000 ft (910 m) from the detonation site;
    (ii) Whenever the conditions described in paragraph (b)(1)(i) of 
this section occur, the aerial survey required under Sec. 216.145(b)(1) 
must be repeated prior to detonation of charges if the timing 
requirements of Sec. 216.145(b)(1) cannot be met.
    (2) Detonation of explosives must occur no earlier than 1 hour after 
sunrise and no later than 1 hour before sunset;
    (3) If weather and/or sea conditions preclude adequate aerial, 
shipboard or subsurface surveillance, detonations must be delayed until 
conditions improve sufficiently for surveillance to be undertaken; and
    (4) Detonations must be staggered by a minimum of 0.9 seconds for 
each group of charges.

[60 FR 53145, Oct. 12, 1995. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.144  Prohibitions.

    Notwithstanding takings authorized by Sec. 216.143 or by a Letter of 
Authorization issued under Sec. 216.106, the following activities are 
prohibited:
    (a) The taking of a marine mammal that is other than unintentional, 
except that the intentional passive herding of dolphins from the 
vicinity of the platform may be authorized under section 109(h) of the 
Act as described in a Letter of Authorization;
    (b) The violation of, or failure to comply with, the terms, 
conditions, and requirements of this part or a Letter of Authorization 
issued or renewed under Sec. 216.106 or Sec. 216.146;
    (c) The incidental taking of any marine mammal of a species either 
not specified in this subpart or whenever the incidental taking 
authorization for authorized species has been reached; and
    (d) The use of single explosive charges having an impulse and 
pressure greater than that generated by a 50-lb (22.7 kg) explosive 
charge detonated outside the rig piling.

[60 FR 53145, Oct. 12, 1995. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.145  Requirements for monitoring and reporting.

    (a) Observer(s) approved by the National Marine Fisheries Service in 
advance of the detonation must be used to monitor the area around the 
site prior to, during, and after detonation of charges.
    (b)(1) Both before and after each detonation episode, an aerial 
survey by NMFS-approved observers must be conducted for a period not 
less than 30 minutes within 1 hour of the detonation episode. To ensure 
that no marine mammals are within the designated 3,000 ft (1,000 yd, 941 
m) safety zone nor are likely to enter the designated safety zone prior 
to or at the time of detonation, the pre-detonation survey must 
encompass all waters within one nautical mile of the structure.
    (2) A second post-detonation aerial or vessel survey of the 
detonation site must be conducted no earlier than 48 hours and no later 
than 1 week after the oil and gas structure is removed, unless a 
systematic underwater survey, either by divers or remotely-operated 
vehicles, dedicated to marine mammals and sea turtles, of the site has 
been successfully conducted within 24 hours of the detonation event. The 
aerial or vessel survey must be systematic and concentrate down-current 
from the structure.
    (3) The NMFS observer may waive post-detonation monitoring described 
in paragraph (b)(2) of this section provided no marine mammals were 
sighted

[[Page 67]]

by the observer during either the required 48 hour pre-detonation 
monitoring period or during the pre-detonation aerial survey.
    (c) During all diving operations (working dives as required in the 
course of the removals), divers must be instructed to scan the 
subsurface areas surrounding the platform (detonation) sites for 
bottlenose or spotted dolphins and if marine mammals are sighted to 
inform either the U.S. government observer or the agent of the holder of 
the Letter of Authorization immediately upon surfacing.
    (d)(1) A report summarizing the results of structure removal 
activities, mitigation measures, monitoring efforts, and other 
information as required by a Letter of Authorization, must be submitted 
to the Director, NMFS, Southeast Region, 9721 Executive Center Drive N, 
St. Petersburg, FL 33702 within 30 calendar days of completion of the 
removal of the rig.
    (2) NMFS will accept the U.S. Government observer report as the 
activity report if all requirements for reporting contained in the 
Letter of Authorization are provided to that observer before the 
observer's report is complete.



Sec. 216.146  Letters of Authorization.

    (a) To incidentally take bottlenose and spotted dolphins pursuant to 
these regulations, each company operating or which operated an oil or 
gas structure in the geographical area described in Sec. 216.141, and 
which is responsible for abandonment or removal of the platform, must 
apply for and obtain a Letter of Authorization in accordance with 
Sec. 216.106.
    (b) A copy of the Letter of Authorization must be in the possession 
of the persons conducting activities that may involve incidental takings 
of bottlenose and spotted dolphins.

[60 FR 53145, Oct. 12, 1995. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.147  Renewal of Letters of Authorization.

    (a) A Letter of Authorization issued under Sec. 216.106 for the 
activity identified in Sec. 216.141 will be renewed annually upon:
    (1) Timely receipt of the reports required under Sec. 216.145(d), 
which have been reviewed by the Assistant Administrator and determined 
to be acceptable;
    (2) A determination that the maximum incidental take authorizations 
in Sec. 216.141(b) will not be exceeded; and
    (3) A determination that the mitigation measures required under 
Sec. 216.143(b) and the Letter of Authorization have been undertaken.
    (b) If a species' annual authorization is exceeded, the Assistant 
Administrator will review the documentation submitted with the annual 
reports required under Sec. 216.145(d), to determine that the taking is 
not having more than a negligible impact on the species or stock 
involved.
    (c) Notice of issuance of a renewal of the Letter of Authorization 
will be published in the Federal Register.

[60 FR 53145, Oct. 12, 1995. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.148  Modifications to Letters of Authorization.

    (a) In addition to complying with the provisions of Sec. 216.106, 
except as provided in paragraph (b) of this section, no substantive 
modification, including withdrawal or suspension, to the Letter of 
Authorization issued pursuant to Sec. 216.106 and subject to the 
provisions of this subpart shall be made until after notice and an 
opportunity for public comment. For purposes of this paragraph, renewal 
of a Letter of Authorization under Sec. 216.147, without modification, 
is not considered a substantive modification.
    (b) If the Assistant Administrator determines that an emergency 
exists that poses a significant risk to the well-being of the species or 
stocks of marine mammals specified in Sec. 216.141(b), the Letter of 
Authorization issued pursuant to Sec. 216.106, or renewed pursuant to 
this section may be substantively modified without prior notice and an 
opportunity for public comment. A notice will be published in the 
Federal Register subsequent to the action.

[60 FR 53145, Oct. 12, 1995. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]

[[Page 68]]



Subpart N--Taking of Marine Mammals Incidental to Underwater Detonation 
         of Conventional Explosives by the Department of Defense

    Source: 59 FR 5126, Feb. 3, 1994, unless otherwise noted. 
Redesignated at 61 FR 15887, Apr. 10, 1996.

    Effective Date Note: At 59 FR 5126, Feb. 3, 1994, subpart F to part 
228 was added, effective March 3, 1994 through March 3, 1999. At 61 FR 
15887, Apr. 10, 1996, subpart F of part 228 was redesignated as subpart 
N of part 216.



Sec. 216.151  Specified activity, geographical region, and incidental take levels.

    (a) Regulations in this subpart apply only to the incidental taking 
of marine mammals specified in paragraph (b) of this section by U.S. 
citizens engaged in the detonation of conventional military explosives 
within the waters of the Outer Sea Test Range of the Naval Air Warfare 
Center, Pt. Mugu, Ventura County, CA.
    (b) The incidental take of marine mammals under the activity 
identified in paragraph (a) of this section is limited annually to the 
following species and species groups:

------------------------------------------------------------------------
                                              Lethal  Injury  Harassment
------------------------------------------------------------------------
California Sea Lion.........................       2      38       173  
Harbor Seal.................................       2      16        68  
Northern Elephant Seal......................       9     158       724  
Northern Fur Seal...........................       2      13        57  
Common Dolphin..............................       1      16        67  
Striped Dolphin.............................       0       2         5  
Risso's Dolphin.............................       0       1         2  
Pacific White-Sided Dolphin.................       3      52       236  
Northern Rt. Whale Dolphin..................       2      24       108  
Dall's Porpoise.............................       0       6        18  
Bottlenose Dolphin..........................       0       4        15  
Killer Whale................................       0       0         1  
Sperm Whale.................................       0       6        20  
Beaked Whales...............................       0       0         3  
Minke Whale.................................       0       0         4  
Blue Whale..................................       0       1        11  
Fin Whale...................................       0       0         6  
Sei Whale...................................       0       0         1  
Humpback Whale..............................       0       0         4  
Gray Whale..................................       0       3        40  
Right Whale.................................       0       0         1  
------------------------------------------------------------------------



Sec. 216.152  Effective dates.

    Regulations in this subpart are effective from March 3, 1994, 
through March 3, 1999.



Sec. 216.153  Permissible methods of taking; mitigation.

    (a) U.S. citizens holding a Letter of Authorization issued pursuant 
to Sec. 216.106 may incidentally, but not intentionally, take marine 
mammals by harassment, injury or killing in the course of the detonation 
of conventional explosives up to the following maximum annual level 
within the area described in Sec. 216.151(a):
    (1) 12 detonations of 10,000 lbs (4,536 kg);
    (2) 2 detonations of 1,200 lbs (544 kg);
    (3) 10 detonations of 100 lbs (45 kg);
    (4) 10 detonations of 10 lbs (4.5 kg); and
    (5) 20 detonations of 1 lb (0.45 kg), provided all terms, 
conditions, and requirements of these regulations and such Letter of 
Authorization are complied with.
    (b) The activity identified in paragraph (a) of this section must be 
conducted in a manner that minimizes, to the greatest extent possible, 
adverse impacts on marine mammals and their habitat. When detonating 
explosives, the following mitigation measures must be utilized:
    (1) If marine mammals are observed within the designated safety zone 
prescribed in the Letter of Authorization, or on a course that will put 
them within the safety zone prior to detonation, detonation must be 
delayed until the marine mammals are no longer within the safety zone.
    (2) If weather and/or sea conditions preclude adequate aerial 
surveillance, detonation must be delayed until conditions improve 
sufficiently for aerial surveillance to be undertaken.
    (3) If post-test surveys determine that an injurious or lethal take 
of a marine mammal has occurred, the test procedure and the monitoring 
methods must be reviewed and appropriate changes must be made prior to 
conducting the next project.

[59 FR 5126, Feb. 3, 1994. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.154  Prohibitions.

    Notwithstanding takings authorized by Sec. 216.153 or by a Letter of 
Authorization issued under Sec. 216.106, the following activities are 
prohibited:

[[Page 69]]

    (a) The taking of a marine mammal that is other than unintentional;
    (b) The violation of, or failure to comply with, the terms, 
conditions, and requirements of this part or a Letter of Authorization 
issued or renewed under Sec. 216.106 or Sec. 216.156; and
    (c) The incidental taking of any marine mammal of a species either 
not specified in this subpart or whose taking authorization for the year 
has been reached.

[59 FR 5126, Feb. 3, 1994. Redesignated and amended at 61 FR 15887, 
15890, Apr. 10, 1996]



Sec. 216.155  Requirements for monitoring and reporting.

    (a) The holder of the Letter of Authorization is required to 
cooperate with the National Marine Fisheries Service and any other 
Federal, state or local agency monitoring the impacts of the activity on 
marine mammals. The holder must notify the Director, Southwest Region, 
National Marine Fisheries Service, 501 West Ocean Boulevard, suite 4200, 
Long Beach, CA (Telephone: (310) 980-4001), at least 2 weeks prior to 
activities involving the detonation of explosives in order to satisfy 
paragraph (f) of this section.
    (b) The holder of the Letter of Authorization must designate a 
qualified on-site individual(s) to record the effects of explosives 
detonation on marine mammals that inhabit the Outer Sea Test Range.
    (c) The primary test area, and if necessary, secondary and tertiary 
test areas, in the Outer Sea Test Range, must be surveyed by marine 
mammal biologists and other trained individuals, and the marine mammal 
populations monitored, approximately 48 hours prior to a scheduled 
detonation, on the day of detonation, and for a period of time specified 
in the Letter of Authorization after each test or project. Monitoring 
shall include, but not necessarily be limited to, aerial surveillance 
sufficient to ensure that no marine mammals are within the designated 
safety zone nor are likely to enter the designated safety zone prior to 
or at the time of detonation.
    (d)(1) Under the direction of a certified marine mammal 
veterinarian, examination and recovery of any dead or injured marine 
mammals will be conducted. Necropsies will be performed and tissue 
samples taken from any dead animals. After completion of the necropsy, 
animals not retained for shoreside examination, will be tagged and 
returned to the sea. The occurrence of live marine mammals will also be 
documented.
    (2) Activities related to the monitoring described in paragraph 
(d)(1) of this section or the Letter of Authorization issued under this 
part may include the retention of marine mammals without the need for a 
separate scientific research permit. The use of such marine mammals in 
other scientific research may be authorized pursuant to 50 CFR parts 216 
and 220.
    (e) At its discretion, the National Marine Fisheries Service may 
place an observer on either the towing vessel, target vessel, or both, 
and on any ship or aircraft involved in marine mammal reconnaissance, or 
monitoring either prior to, during, or after explosives detonation in 
order to monitor the impact on marine mammals.
    (f) A summary report must be submitted to the Assistant 
Administrator for Fisheries, NOAA, within 90 days after the conclusion 
of any explosives detonation project. This report must include the 
following information:
    (1) Date and time of the test(s);
    (2) A summary of the pre-test and post-test activities related to 
mitigating and monitoring the effects of explosives detonation on marine 
mammal populations; and
    (3) Results of the monitoring program, including numbers by species/
stock of any marine mammals noted injured or killed as a result of the 
detonation and numbers that may have been harassed due to presence 
within the safety zone.
    (g) An annual report must be submitted to the Assistant 
Administrator for Fisheries, NOAA, no later than 120 days prior to the 
date of expiration of the annual Letter of Authorization in order for 
issuance of a Letter of Authorization for the following year. This 
annual report must contain the following information:
    (1) Date and time of all tests conducted under the expiring Letter 
of Authorization;

[[Page 70]]

    (2) A description of all pre-test and post-test activities related 
to mitigating and monitoring the effects of explosives detonation on 
marine mammal populations;
    (3) Results of the monitoring program, including numbers by species/
stock of any marine mammals noted injured or killed as a result of the 
detonation and numbers that may have been harassed due to presence 
within the designated safety zone;
    (4) If one or more species' take levels have been reached or 
exceeded during the previous year, additional documentation must be 
provided on the taking and a description of any measures that will be 
taken in the following year to prevent exceeding the authorized 
incidental take level.
    (5) Results of any population assessment studies made on marine 
mammals in the Outer Sea Test Range during the previous year.



Sec. 216.156  Renewal of Letter of Authorization.

    (a) A Letter of Authorization issued under Sec. 216.106 for the 
activity identified in Sec. 216.151(a) will be renewed annually upon:
    (1) Timely receipt of the reports required under Sec. 216.155(f) and 
(g), which have been reviewed by the Assistant Administrator for 
Fisheries, NOAA, and determined to be acceptable;
    (2) A determination that the maximum incidental take authorizations 
in Sec. 216.151(b) will not be exceeded; and
    (3) A determination that the mitigation measures required under 
Sec. 216.153(b) and the Letter of Authorization have been undertaken.
    (b) If a species' annual authorization is exceeded, the National 
Marine Fisheries Service will review the documentation submitted with 
the annual report required under Sec. 216.155(g), to determine that the 
taking is not having more than a negligible impact on the species or 
stock involved.
    (c) Notice of issuance of a renewal of the Letter of Authorization 
will be published in the Federal Register.

[59 FR 5126, Feb. 3, 1994. Redesignated and amended at 61 FR 15887, 
15890-15891, Apr. 10, 1996]



Sec. 216.157  Modifications to Letter of Authorization.

    (a) In addition to complying with the provisions of Sec. 216.106, 
except as provided in paragraph (b) of this section, no substantive 
modification, including withdrawal or suspension, to the Letter of 
Authorization issued pursuant to Sec. 216.106 and subject to the 
provisions of this subpart shall be made until after notice and an 
opportunity for public comment. For purposes of this paragraph, renewal 
of a Letter of Authorization under Sec. 216.146, without modification, 
is not considered a substantive modification.
    (b) If the National Marine Fisheries Service determines that an 
emergency exists that poses a significant risk to the well-being of the 
species or stocks of marine mammals specified in Sec. 216.151, or that 
significantly and detrimentally alters the scheduling of explosives 
detonation within the area specified in Sec. 216.151, the Letter of 
Authorization issued pursuant to Sec. 216.106, or renewed pursuant to 
this section may be substantively modified without prior notice and an 
opportunity for public comment. A notice will be published in the 
Federal Register subsequent to the action.

[59 FR 5126, Feb. 3, 1994. Redesignated and amended at 61 FR 15887, 
15891, Apr. 10, 1996]



                         Subparts O-Q [Reserved]



PART 217--GENERAL PROVISIONS--Table of Contents




                         Subpart A--Introduction

Sec.
217.1  Purpose of regulations.
217.2  Scope of regulations.
217.3  Other applicable laws.
217.4  When regulations apply.

                         Subpart B--Definitions

217.12  Definitions.

                          Subpart C--Addresses

217.21  Assistant Administrator.
217.22  Office of Marine Mammals and Endangered Species.
217.23  Enforcement Division.

    Authority: 16 U.S.C. 1531-1544; and 16 U.S.C. 742a et seq., unless 
otherwise noted.

[[Page 71]]



                         Subpart A--Introduction



Sec. 217.1   Purpose of regulations.

    The regulations of parts 216 through 227 are promulgated to 
implement the following statutes enforced by the National Marine 
Fisheries Service, National Oceanic and Atmospheric Administration, 
Department of Commerce, which regulate the taking, possession, 
transportation, sale, purchase, barter, exportation, and importation of 
wildlife.

(Endangered Species Act of 1973, section 11(f), 87 Stat. 884, Pub. L. 
93-205; Fish and Wildlife Act of 1956, 16 U.S.C. 742a-1)

[39 FR 41370, Nov. 27, 1974, as amended at 52 FR 24250, June 29, 1987]



Sec. 217.2   Scope of regulations.

    The various provisions of parts 216 through 227 of this chapter are 
interrelated, and particular note should be taken that the parts must be 
construed with reference to each other. The regulations in parts 216 
through 227 apply only for fish or wildlife under the jurisdictional 
responsibilities of the Secretary of Commerce for the purpose of 
carrying out the Endangered Species Act of 1973 (see part 222, 
Sec. 222.23(a)). Endangered species of fish or wildlife other than those 
covered by these regulations are under the jurisdiction of the Secretary 
of the Interior. For rules and procedures relating to such species, see 
50 CFR parts 10 through 17.

[39 FR 41370, Nov. 27, 1974, as amended at 52 FR 24250, June 29, 1987]



Sec. 217.3   Other applicable laws.

    No statute or regulation of any State shall be construed to relieve 
a person from the restrictions, conditions, and requirements contained 
in parts 216 through 227 of this chapter. In addition, nothing in parts 
216 through 227 of this chapter, nor any permit issued under parts 217 
through 228 of this chapter, shall be construed to relieve a person from 
any other requirements imposed by a statute or regulation of any State 
or of the United States, including any applicable health, quarantine, 
agricultural, or customs laws or regulations, or other National Marine 
Fisheries Service enforced statutes or regulations.

[39 FR 41370, Nov. 27, 1974, as amended at 52 FR 24250, June 29, 1987]



Sec. 217.4   When regulations apply.

    The regulations of parts 216 through 227 of this chapter shall apply 
to all matters, including the processing of permits, arising after the 
effective date of such regulations, with the following exception:
    (a) Civil penalty proceedings. Except as otherwise provided in 
Sec. 218.25, the civil penalty assessment procedures contained in parts 
216 through 227 of this chapter shall apply only to any proceeding 
instituted by notice of violation dated subsequent to the effective date 
of these regulations, regardless of when the act or omission which is 
the basis of a civil penalty proceeding occurred.

[39 FR 41370, Nov. 27, 1974, as amended at 52 FR 24250, June 29, 1987]



                         Subpart B--Definitions



Sec. 217.12  Definitions.

    Accelerator funnel means a device used to accelerate the flow of 
water through a shrimp trawl net.
    Act means the Endangered Species Act of 1973, as amended (Pub. L.
93-205).
    Approved TED means:
    (1) A hard TED that complies with the generic design criteria set 
forth in 50 CFR 227.72(e)(4)(i). (A hard TED may be modified as 
specifically authorized by 50 CFR 227.72(e)(4)(iv)); or
    (2) A soft TED that complies with the provisions of 50 CFR 
227.72(e)(4)(iii); or
    (3) A special hard TED which complies with the provisions of 50 CFR 
227.72(e)(4)(ii).
    Assistant Administrator means the Assistant Administrator for 
Fisheries of the National Marine Fisheries Service, National Oceanic and 
Atmospheric Administration, Department of Commerce, or his authorized 
representative.
    Atlantic Area means all waters of the Atlantic Ocean south of 
36 deg.33'00.8'' N. latitude (the line of the North Carolina/Virginia 
border) and adjacent seas, other than waters of the Gulf Area, and

[[Page 72]]

all waters shoreward thereof (including ports).
    Authorized officer means:
    (1) Any commissioned, warrant, or petty officer of the U.S. Coast 
Guard;
    (2) Any special agent or enforcement officer of the National Marine 
Fisheries Service;
    (3) Any officer designated by the head of a Federal or state agency 
that has entered into an agreement with the Secretary or the Commandant 
of the Coast Guard to enforce the provisions of the Act; or
    (4) Any Coast Guard personnel accompanying and acting under the 
direction of any person described in paragraph (1) of this definition.
    Bait shrimper means a shrimp trawler that fishes for and retains its 
shrimp catch alive for the purpose of selling it for use as bait.
    Commercial activity means all activities of industry and trade, 
including, but not limited to, the buying or selling of commodities and 
activities conducted for the purpose of facilitating such buying and 
selling: Provided, however, That it does not include the exhibition of 
commodities by museums or similar cultural or historical organizations.
    Country of exportation means the last country from which the animal 
was exported before importation into the United States.
    Country of origin means the country where the animal was taken from 
the wild, or the country of natal origin of the animal.
    Fish or wildlife means any member of the animal kingdom, including 
without limitation any mammal, fish, bird (including any migratory, 
nonmigratory, or endangered bird for which protection is also afforded 
by treaty or other international agreement), amphibian, reptile, 
mollusk, crustacean, arthropod or other invertebrate, and includes any 
part, product, egg, or offspring thereof, or the dead body or parts 
thereof.
    Fishing, or to fish, means:
    (1) The catching taking or harvesting of fish or wildlife;
    (2) The attempted catching, taking, or harvesting of fish or 
wildlife;
    (3) Any other activity that can reasonably be expected to result in 
the catching, taking, or harvesting of fish or wildlife; or
    (4) Any operations on any waters in support of, or in preparation 
for, any activity described in paragraphs (1) through (3) of this 
definition.
    Footrope means a weighted rope or cable attached to the lower lip 
(bottom edge) of the mouth of a trawl net along the forwardmost webbing.
    Footrope length means the distance between the points at which the 
ends of the footrope are attached to the trawl net, measured along the 
forwardmost webbing.
    Foreign commerce includes, among other things, any transaction (1) 
between persons within one foreign country, or (2) between persons in 
two or more foreign countries, or (3) between a person within the United 
States and a person in one or more foreign countries, or (4) between 
persons within the United States, where the fish or wildlife in question 
are moving in any country or countries outside the United States.
    Gulf Area means all waters of the Gulf of Mexico west of 81 deg. W. 
longitude (the line at which the Gulf Area meets the Atlantic Area) and 
all waters shoreward thereof (including ports).
    Hard TED means a rigid deflector grid and associated hardware 
designed to be installed in a trawl net forward of the codend for the 
purpose of excluding sea turtles from the net.
    Headrope means a rope that is attached to the upper lip (top edge) 
of the mouth of a trawl net along the forewardmost webbing.
    Headrope length means the distance between the points at which the 
ends of the headrope are attached to the trawl net, measured along the 
forewardmost webbing.
    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 constitutes an importation within the meaning 
of the tariff laws of the United States.
    Inshore means marine and tidal waters landward of the 72 COLREGS 
demarcation line (International Regulations for Preventing Collisions at 
Sea,

[[Page 73]]

1972), as depicted or noted on nautical charts published by the National 
Oceanic and Atmospheric Administration (Coast Charts, 1:80,000 scale) 
and as described in 33 CFR part 80.
    Leatherback conservation zone means all inshore and offshore waters 
bounded on the south by a line along 28 deg.24.6' N. lat. (Cape 
Canaveral, FL), and bounded on the north by a line along 36 deg.30.5' N. 
lat. (North Carolina-Virginia border).
    Length in reference to a shrimp trawler, means the distance from the 
tip of the vessel's bow to the tip of its stern.
    North Carolina restricted area means that portion of the offshore 
waters bounded on the north by a line along 34 deg.17.6' N. latitude 
(Rich Inlet, North Carolina) and 34 deg.35.7' N. latitude (Browns Inlet, 
North Carolina) to a distance of 1 nautical mile seaward of the 72 
COLREGS demarcation line (International Regulations for Preventing 
Collisions at Sea, 1972).
    Offshore means marine and tidal waters seaward of the 72 COLREGS 
demarcation line (International Regulations for Preventing Collisions at 
Sea, 1972), as depicted or noted on nautical charts published by the 
National Oceanic and Atmospheric Administration (Coast Charts, 1:80,000 
scale) and as described in 33 CFR part 80.
    Permit or ``Certificate of exemption'' means any document so 
designated by the National Marine Fisheries Service and signed by an 
authorized official of the National Marine Fisheries Service, including 
any document which modifies, amends, extends or renews any permit or 
certificate of exemption.
    Person means an individual, corporation, partnership, trust, 
association, or any other private entity, or any officer, employee, 
agent, department, or instrumentality of the Federal Government, of any 
State or political subdivision thereof, or of any foreign government.
    Possession means the detention and control, or the manual or ideal 
custody of anything which may be the subject of property, for one's use 
and enjoyment, either as owner or as the proprietor of a qualified right 
in it, and either held personally or by another who exercises it in 
one's place and name. Possession includes the act or state of possessing 
and that condition of facts under which one can exercise his power over 
a corporeal thing at his pleasure to the exclusion of all other persons. 
Possession includes constructive possession which means not actual but 
assumed to exist, where one claims to hold by virtue of some title, 
without having actual custody.
    Pre-Act endangered species part means any sperm whale oil, including 
derivatives and products thereof, which was lawfully held within the 
United States on December 28, 1973 in the course of a commercial 
activity; or any finished scrimshaw product, if such product or the raw 
material for such product was lawfully held within the United States on 
December 28, 1973, in the course of a commercial activity.
    Pusher-head trawl (chopsticks) means a trawl that is spread by poles 
suspended in a ``V'' configuration from the bow of the trawler.
    Scrimshaw product means any art form which involves the substantial 
etching or engraving of designs upon, or the substantial carving of 
figures, patterns, or designs from any bone or tooth of any marine 
mammal of the order Cetacea. For purposes of this part, polishing or the 
adding of minor superficial markings does not constitute substantial 
etching, engraving or carving.
    Secretary means the Secretary of Commerce or his authorized 
representative.
    Shrimp means any species of marine shrimp (Order Crustacea) found in 
the Atlantic Area or the Gulf Area, including, but not limited to:
    (1) Brown shrimp (Penaeus aztecus);
    (2) White shrimp (P. setiferus);
    (3) Pink shrimp (P. duorarum);
    (4) Rock shrimp (Sicyonia brevirostris);
    (5) Royal red shrimp (Hymenopenaeus robustus); and
    (6) Seabob shrimp (Xiphopenaeus kroyeri).
    Shrimp trawler means any vessel that is equipped with one or more 
trawl nets and that is capable of, or used for, fishing for shrimp, or 
whose on-board or landed catch of shrimp is more than 1 percent, by 
weight, of all fish comprising its on-board or landed catch.
    Skimmer trawl means a trawl that extends from the outrigger of a 
vessel

[[Page 74]]

with a cable and a lead weight holding the trawl mouth open.
    Soft TED means a panel of polypropylene or polyethylene netting 
designed to be installed in a trawl net forward of the codend for the 
purpose of excluding sea turtles from the net.
    State means any State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, American Samoa, the Virgin 
Islands, Guam, and the Trust Territory of the Pacific Islands.
    Stretched mesh size means the distance between the centers of the 
two opposite knots in the same mesh when pulled taut.
    Summer flounder means the species Paralichthys dentatus.
    Summer flounder fishery-sea turtle protection area means:
    (1) All offshore waters, bounded on the north by a line along 
37 deg.05' N. latitude (Cape Charles, VA) and bounded on the south by a 
line along 33 deg.35' N. latitude (North Carolina-South Carolina 
border), except as provided in paragraph (2) of this definition.
    (2) [Reserved]
    Summer flounder trawler means any vessel that is equipped with one 
or more bottom trawl nets, and that is capable of, or used for, fishing 
for flounder, or whose on-board or landed catch of flounder is more than 
100 pounds (45.4 kg).
    Take means to harass, harm, pursue, hunt, shoot, wound, kill, trap, 
capture, or collect, or attempt to harass, harm, pursue, hunt, shoot, 
wound, kill, trap, capture, or collect.
    Taut means a condition in which there is no slack in the net 
webbing.
    TED (turtle excluder device) means a device designed to be installed 
in a trawl net forward of the codend for the purpose of excluding sea 
turtles from the net.
    Test net, or try net, means a net pulled for brief periods of time 
just before, or during, deployment of the primary net(s) in order to 
test for shrimp concentrations or determine fishing conditions (e.g., 
presence or absence of bottom debris, jellyfish, bycatch, seagrasses, 
etc.).
    Transportation means to ship, convey, carry or transport by any 
means whatever, and deliver or receive for such shipment, conveyance, 
carriage, or transportation.
    United States means the several States of the United States of 
America, the District of Columbia, the Commonwealth of Puerto Rico, 
American Samoa, the Virgin Islands, Guam, and the Trust Territory of the 
Pacific Islands.
    Whoever means the same as person.
    Wildlife means the same as fish or wildlife.
    Wing net (butterfly trawl) means a trawl with a rigid frame, rather 
than trawl door, holding the trawl mouth open.

(Sec. 3(d), Fish and Wildlife Act of 1956, as amended, 88 Stat. 92 (16 
U.S.C. 742b); sec. 11(f), Endangered Species Act of 1973, Pub. L. 93-
205, 87 Stat. 884 (16 U.S.C. 1540))

[45 FR 57132, Aug. 27, 1980]

    Editorial Note: For Federal Register citations affecting 
Sec. 217.12, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



                          Subpart C--Addresses

    Authority: Sec. 3(d), Fish and Wildlife Act of 1956, as amended, 88 
Stat. 92 (16 U.S.C. 742b); sec. 11(f), Endangered Species Act of 1973, 
Pub. L. 93-205, 87 Stat. 884 (16 U.S.C. 1540).

    Source: 45 FR 57133, Aug. 27, 1980, unless otherwise noted.



Sec. 217.21  Assistant Administrator.

    Mail forwarded to the Assistant Administrator for Fisheries should 
be addressed:

Assistant Administrator for Fisheries, F
National Marine Fisheries Service
Washington, DC 20235.



Sec. 217.22  Office of Marine Mammals and Endangered Species.

    Mail in regard to permits should be addressed to:

Office of Marine Mammals and Endangered Species, F/MM
National Marine Fisheries Service
Washington, DC 20235.



Sec. 217.23  Enforcement Division.

    Mail in regard to enforcement and certificates of exemption should 
be addressed to:

Enforcement Division, F/CM5

[[Page 75]]

National Marine Fisheries Service
Washington, DC 20235.



PART 220--GENERAL PERMIT PROCEDURES--Table of Contents




                         Subpart A--Introduction

Sec.
220.1  General.
220.2  Purpose of regulations.
220.3  Scope of regulations.
220.4  Emergency variation from requirements.

                   Subpart B--Application for Permits

220.11  Procedure for obtaining a permit.
220.12  [Reserved]
220.13  Abandoned application.

                    Subpart C--Permit Administration

220.21  Issuance of permits.
220.22  Duration of permit.
220.23  [Reserved]
220.24  Renewal of permit.
220.25  Permits not transferable; agents.
220.26  Right of succession by certain persons.
220.27  Change of mailing address.
220.28  Change in name.
220.29--220.30  [Reserved]
220.31  Discontinuance of activity.

                          Subpart D--Conditions

220.42  Permits are specific.
220.43  Alteration of permits.
220.44  Display of permit.
220.45  Filing of reports.
220.46  Maintenance of records.
220.47  Inspection requirement.

    Subpart E--Permits Involving Endangered or Threatened Sea Turtles

220.50  Purpose.
220.51  Permit applications.
220.52  Issuance of permits.
220.53  Other requirements.

    Authority: Endangered Species Act of 1973, sec. 11(f), 87 Stat. 884, 
Pub. L. 93-205; act of August 31, 1951, Ch. 376. Title 5, sec. 501, 65 
Stat. 290 (31 U.S.C. 483a).

    Source: 39 FR 41373, Nov. 27, 1974, unless otherwise noted.



                         Subpart A--Introduction



Sec. 220.1   General.

    Each person intending to engage in an activity for which a permit is 
required by parts 217 through 222 of this chapter or the Endangered 
Species Act of 1973 shall, before commencing such activity, obtain a 
valid permit authorizing such activity. Each person who desires to 
obtain the permit privileges authorized by parts 217 through 222 of this 
chapter must make application for such permit in accordance with the 
requirements of this part 220 of this chapter and the other regulations 
in parts 217 through 222 of this chapter which set forth the additional 
requirements for the specific permits desired. If the activity for which 
permission is sought is covered by the requirements of more than one 
part of parts 217 through 222 of this chapter, the requirements of each 
part must be met. If the information required for each specific 
permitted activity is included, one application may be accepted for all 
permits required, and a single permit may be issued.



Sec. 220.2   Purpose of regulations.

    The regulations contained in this part will provide uniform rules 
and procedures for application, issuance, renewal, conditions, and 
general administration of permits issuable pursuant to parts 217 through 
222 of this chapter.



Sec. 220.3   Scope of regulations.

    The provisions in this part are in addition to, and are not in lieu 
of, other permit regulations of parts 217 through 222 of this chapter 
and apply to all permits issued thereunder, including ``Endangered Fish 
or Wildlife'' (part 222).



Sec. 220.4   Emergency variation from requirements.

    The Director may approve variations from the requirements of this 
part when he finds that an emergency exists and that the proposed 
variations will not hinder effective administration of parts 217 through 
222 of this chapter, and will not be unlawful.



                   Subpart B--Application for Permits



Sec. 220.11   Procedure for obtaining a permit.

    The following general procedures apply to applications for permits:

[[Page 76]]

    (a) Forms. Applications must be submitted by letter containing all 
necessary information, attachments, certification, and signature. In no 
case will oral or telephone applications be accepted.
    (b) Forwarding instructions. Applications must be submitted to the 
Director, National Marine Fisheries Service. The address is listed in 
Sec. 217.21.
    (c) Time requirement. Applications must be received by the 
appropriate official of the National Marine Fisheries Service at least 
90 calendar days prior to the date on which the applicant desires to 
have the permit made effective. The National Marine Fisheries Service 
will, in all cases, attempt to process applications deemed sufficient in 
the shortest possible time. The National Marine Fisheries Service does 
not, however, guarantee 90 days issuance after publication in the 
Federal Register of receipt of a permit application and some permits 
cannot be issued within that time period.
Sec. 220.12  [Reserved]



Sec. 220.13   Abandoned application.

    Upon receipt of an insufficiently or improperly executed 
application, the applicant shall be notified of the deficiency in the 
application. If the applicant fails to supply the deficient information 
or otherwise fails to correct the deficiency within 60 days following 
the date of notification, the application shall be considered abandoned.



                    Subpart C--Permit Administration



Sec. 220.21   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 Sec. 220.4 is inserted into the official file of the 
National Marine Fisheries Service. Any representation of an employee or 
agent of the United States Government shall not be construed as a permit 
unless it meets the requirements of a permit as defined in 50 CFR 
217.12.
    (b) The Director shall issue the appropriate permit unless--
    (1) Denial of a permit has been made pursuant to subpart D of 15 CFR 
part 904;
    (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 or a showing of responsibility;
    (4) The authorization requested potentially threatens a wildlife 
population, or
    (5) The Director finds through further inquiry or investigation, or 
otherwise, that the applicant is not qualified.
    (c) Each permit shall bear a serial number. Such number may be 
reassigned to the permittee to whom issued so long as he maintains 
continuity of renewal.
    (d) The applicant shall be notified in writing of the denial of any 
permit request, and the reasons therefor. If authorized in the notice of 
denial, the applicant may submit further information, or reasons why the 
permit should not be denied. Such further submissions shall not be 
considered a new application. The final action by the Director shall be 
considered the final administrative decision of the Department.

[39 FR 41373, Nov. 27, 1974, as amended at 49 FR 1042, Jan. 6, 1984]



Sec. 220.22  Duration of permit.

    Permits shall entitle the person to whom issued to engage in the 
activity specified in the permit, within the limitations of the 
applicable statute and regulations contained in parts 217 through 222 of 
this chapter for the period stated on the permit, unless sooner 
modified, suspended, or revoked pursuant to subpart D of 15 CFR part 
904.

[49 FR 1042, Jan. 6, 1984]
Sec. 220.23  [Reserved]



Sec. 220.24   Renewal of permit.

    Where the permit is renewable and a permittee intends to continue 
the activity described in the permit during

[[Page 77]]

any portion of the year ensuing its expiration, he shall, unless 
otherwise notified in writing by the Director, file a request for permit 
renewal, together with a certified statement that the information in his 
original application is still currently correct, or a statement of all 
changes in the original application, accompanied by any required fee at 
least 30 days prior to the expiration of his permit. Any person holding 
a valid renewable permit, who has complied with the foregoing provision 
of this section, may continue such activities as were authorized by his 
expired permit until his renewal application is acted upon.



Sec. 220.25   Permits not transferable; agents.

    (a) Permits issued under parts 220 through 222 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 Sec. 220.26.
    (b) Except as otherwise stated on the face of a permit, any person 
who is under the direct control of the permittee, or who is employed by 
or under contract to the permittee for the purposes authorized by the 
permit, may carry out the activity authorized by the permit.



Sec. 220.26   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 furnish the 
permit to the issuing officer for endorsement within 90 days from the 
date the successor begins to carry on the activity.



Sec. 220.27   Change of mailing address.

    During the term of his permit, a permittee may change his mailing 
address without procuring a new permit. However, in every case 
notification of the new mailing address must be forwarded to the issuing 
official within 30 days after such change. This section does not 
authorize the change of location of the permitted activity for which an 
amendment must be obtained.



Sec. 220.28   Change in name.

    A permittee continuing to conduct a permitted activity is not 
required to obtain a new permit by reason of a mere change in trade name 
under which a business is conducted or a change of name by reason of 
marriage or legal decree: Provided, That such permittee must furnish his 
permit to the issuing official for endorsement within 30 days from the 
date the permittee begins conducting the permitted activity under the 
new name.
Secs. 220.29--220.30  [Reserved]



Sec. 220.31   Discontinuance of activity.

    When any permittee discontinues his activity, he shall, within 30 
days thereof, mail his permit and a request for cancellation to the 
issuing officer, and said permit shall be deemed void upon receipt. No 
refund of any part of an amount paid as a permit fee shall be made where 
the operations of the permittee are, for any reason, discontinued during 
the tenure of an issued permit.



                          Subpart D--Conditions



Sec. 220.42   Permits are specific.

    The authorizations on the face of a permit which set forth specific 
times, dates, places, methods of taking, numbers and kinds of fish or 
wildlife, location of activity, authorize certain circumscribed 
transactions, or otherwise permit a specifically limited matter, are to 
be strictly construed and shall not be interpreted to permit similar or

[[Page 78]]

related matters outside the scope of strict construction.



Sec. 220.43   Alteration of permits.

    Permits shall not be altered, erased, or mutilated, and any permit 
which has been altered, erased, or mutilated shall immediately become 
invalid.



Sec. 220.44   Display of permit.

    Any permit issued under parts 220 through 222 shall be displayed for 
inspection upon request to the Director or his agent, or to any other 
person relying upon its existence.



Sec. 220.45   Filing of reports.

    Permittees may be required to file reports of the activities 
conducted under the permit. Any such reports shall be filed not later 
than March 31 for the preceding calendar year ending December 31, or any 
portion thereof, during which a permit was in force, unless the 
regulations of parts 217 through 222 of this chapter or the provisions 
of the permit set forth other reporting requirements.



Sec. 220.46   Maintenance of records.

    From the date of issuance of the permit, the permittee shall 
maintain complete and accurate records of any taking, possession, 
transportation, sale, purchase, barter, exportation, or importation of 
fish or wildlife pursuant to such permit. Such records shall be kept 
current and shall include names and addresses of persons with whom any 
fish or wildlife has been purchased, sold, bartered, or otherwise 
transferred, and the date of such transaction, and such other 
information as may be required or appropriate. Such records, unless 
otherwise specified, shall be entered in books, legibly written in the 
English language. Such records shall be retained for 5 years from the 
date of issuance of the permit.



Sec. 220.47   Inspection requirement.

    Any person holding a permit under parts 217 through 222 of this 
chapter shall allow the Director's agent to enter his premises at any 
reasonable hour to inspect any fish or wildlife held or to inspect, 
audit, or copy any permits, books, or records required to be kept by 
regulations of parts 217 through 222 of this chapter or by the 
Endangered Species Act of 1973.



    Subpart E--Permits Involving Endangered or Threatened Sea Turtles

    Source: 43 FR 32809, July 28, 1978, unless otherwise noted.



Sec. 220.50  Purpose.

    This subpart establishes procedures for issuance of permits for 
scientific purposes or to enhance the propagation or survival of 
``endangered'' or ``threatened'' sea turtles and zoological exhibition 
or educational purposes for ``threatened'' sea turtles.



Sec. 220.51  Permit applications.

    Applications for permits to take, import, export or engage in any 
other prohibited activity involving any species of sea turtle listed in 
50 CFR 17.11 shall be submitted to the Wildlife Permit Office (WPO) of 
the U.S. Fish and Wildlife Service in accordance with either, 50 CFR 
17.22(a) (Endangered Species) or 50 CFR 17.32(a) (Threatened Species) as 
appropriate. Applications involving activities under the jurisdiction of 
the National Marine Fisheries Service (NMFS) as defined in 50 CFR 
222.23(a) and 50 CFR 227.4 shall be forwarded by the WPO to NMFS.



Sec. 220.52  Issuance of permits.

    (a) Applications under the jurisdiction of the WPO shall be reviewed 
and acted upon in accordance with 50 CFR 17.22 or 50 CFR 17.32 as 
appropriate.
    (b) NMFS shall make a complete review of applications forwarded to 
it by the WPO in accordance with Sec. 220.51 and determine the 
appropriate action to be taken in accordance with 50 CFR 220.21(b) and 
222.23(c). In instances where the application involves activities solely 
within NMFS jurisdiction, NMFS shall issue permits or letters of denial 
and provide WPO with copies of its actions.
    (c) Where a permit application involves activities under both NMFS 
and FWS jurisdiction, each agency will process the application for 
activities under its jurisdiction. WPO will issue either a permit or a 
letter of denial.

[[Page 79]]

    (d) Where a permit application for activities under NMFS 
jurisdiction also requires a permit under the Convention on 
International Trade in Endangered Species of Wild Fauna and Flora (TIAS 
8249, July 1, 1975) (CITES) (50 CFR part 23), NMFS will process the 
application for activities under its jurisdiction. WPO will issue the 
final document by means of a combination ESA/CITES permit or a letter of 
denial.



Sec. 220.53  Other requirements.

    Permits issued by NMFS under this subpart shall be administered and 
comply with the provisions of 50 CFR parts 217 through 227 as 
appropriate.



PART 221--DESIGNATED PORTS--Table of Contents




    Authority: Endangered Species Act of 1973, sec. 11(f), 87 Stat. 884, 
Pub. L. 93-205.



Sec. 221.1   Importation and exportation at designated ports.

    Any fish or wildlife (other than shellfish and fishery products 
which (a) are not endangered or not threatened species, and (b) are 
imported for purposes of human or animal consumption or taken in waters 
under the jurisdiction of the United States or on the high seas for 
recreational purposes) which is subject to the jurisdiction of the 
National Marine Fisheries Service, National Oceanic and Atmospheric 
Administration, Department of Commerce and is intended for importation 
into or exportation from the United States, shall not be imported or 
exported except at a port or ports designated by the Secretary of the 
Interior. The Secretary of the Interior may permit the importation or 
exportation at nondesignated ports in the interest of the health or 
safety of the fish or wildlife or for other reasons if he deems it 
appropriate and consistent with the purpose of facilitating enforcement 
of the Endangered Species Act and reducing the costs thereof. Importers 
and exporters are advised to see 50 CFR part 14 for importation and 
exportation requirements and information.

[39 FR 41375, Nov. 27, 1974]



PART 222--ENDANGERED FISH OR WILDLIFE--Table of Contents




                         Subpart A--Introduction

Sec.
222.1  Purpose of regulations.
222.2  Scope of regulations.

  Subpart B--Certificates of Exemption for Pre-Act Endangered Species 
                                  Parts

222.11-1  General certificate of exemption requirements.
222.11-2  Application renewal procedure.
222.11-3  Application renewal requirements.
222.11-4  Procedures for issuance of renewals of certificates of 
          exemption.
222.11-5  Application for modification of certificate of exemption by 
          holder.
222.11-6  Amendment of certificates of exemption.
222.11-7  Procedures for suspension, revocation, or modification of 
          certificates of exemption.
222.11-8  Purchaser provisions.
222.11-9  Duration of certificate of exemption.
222.12  Locations covered by certificate of exemption.
222.12-1  Certificate of exemption not transferable; exception.
222.12-2  Change of address.
222.12-3  Certain continuance of business.
222.12-4  Change in trade name.
222.12-5  State or other law.
222.12-6  Right of entry and examination.
222.12-7  Records.
222.12-8  Record of receipt and disposition.
222.12-9  Importation.
222.13  Exportation.
222.13-1  Procedure by exporter.
222.13-2  Action by Customs.
222.13-3  Transportation to effect exportation.
222.13-4  Burden of proof; presumption.

             Subpart C--Endangered Fish or Wildlife Permits

222.21  General permit requirement.
222.22  Permits for the incidental taking of endangered species.
222.23  Permits for scientific purposes or to enhance the propagation or 
          survival of the affected endangered species.
222.24  Procedures for issuance of permits.
222.25  Applications for modification of permit by permittee.
222.26  Amendment of permits by NMFS.
222.27  Procedures for suspension, revocation, or modification of 
          permits.
222.28  Possession of permits.

[[Page 80]]

                     Subpart D--Special Prohibitions

222.31  Approaching humpback whales in Hawaii.

         Subpart E--Incidental Capture of Endangered Sea Turtles

222.41  Policy regarding incidental capture of sea turtles.
222.42  Special prohibitions relating to leatherback sea turtles.

    Authority: 16 U.S.C. 1531 et seq.



                         Subpart A--Introduction



Sec. 222.1  Purpose of regulations.

    The regulations contained in this part identify the species or 
subspecies of fish or wildlife determined to be endangered under either 
the Endangered Species Conservation Act of 1969 or the Endangered 
Species Act of 1973, and presently deemed endangered species under the 
Endangered Species Act of 1973, which are under the jurisdiction of the 
Secretary of Commerce, and establish procedures and criteria for 
issuance of permits for the taking, importation, exportation, or 
otherwise prohibited acts, involving endangered fish or wildlife. The 
regulations of this part implement, in part, the Endangered Species Act 
of 1973, 87 Stat. 884, Pub. L. 93-205, as amended.

[45 FR 57133, Aug. 27, 1980]



Sec. 222.2  Scope of regulations.

    (a) The regulations of this part apply only to endangered fish or 
wildlife.
    (b) The provisions in this part are in addition to, and are not in 
lieu of, other regulations of parts 217 through 222 of this chapter 
which may require a permit or prescribe additional restrictions or 
conditions for the taking, importation, exportation, and interstate 
transportation of fish or wildlife. (See also parts 220 and 221 of this 
chapter.)

[45 FR 57133, Aug. 27, 1980]



  Subpart B--Certificates of Exemption for Pre-Act Endangered Species 
                                  Parts

    Source: 45 FR 57134, Aug. 27, 1980, unless otherwise noted.



Sec. 222.11-1  General certificate of exemption requirements.

    (a) The Assistant Administrator, pursuant to the provisions of the 
Endangered Species Act, and pursuant to the provisions of this 
paragraph, may exempt any pre-Act endangered species part from one or 
more of the following:
    (1) The prohibition, as set forth in section 9(a)(1)(A) of the Act, 
to export any such species part from the United States;
    (2) The prohibitions, as set forth in section 9(a)(1)(E) of the Act, 
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 such species part;
    (3) The prohibitions, as set forth in section 9(a)(1)(F) of the Act, 
to sell or offer for sale in interstate or foreign commerce any such 
species part.
    (b) No person shall engage in any of the above activities involving 
any pre-Act endangered species part without a valid certificate of 
exemption, or evidence of a right thereunder, issued pursuant to this 
subpart B.
    (c) After January 31, 1984, no person may 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 any pre-Act finished scrimshaw product unless that 
person has been issued a valid certificate of exemption and the product 
or the raw material for such product was held by such certificate holder 
on October 13, 1982.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12808, Apr. 1, 1985]



Sec. 222.11-2  Application renewal procedure.

    (a) Any person to whom a certificate of exemption has been issued by 
the National Marine Fisheries Service and who desires to obtain a 
renewal of such certificate of exemption may make application therefor 
to the Assistant Administrator. The sufficiency of the application shall 
be determined by the Assistant Administrator in accordance with the 
requirements of this part and, in that connection, he may waive any 
requirement for information, or require

[[Page 81]]

any elaboration for further information deemed necessary.
    (b) One copy of a completed application for renewal shall be 
submitted to the Assistant Administrator for Fisheries, National Marine 
Fisheries Service, Washington, DC 20235.
    (c) The outside of the envelope should be marked, ATTENTION: 
Enforcement Division, ``Certificate of Exemption Request.'' Assistance 
may be obtained by writing or calling the Enforcement Division, NMFS, in 
Washington, DC (AC 202, 634-7265). At least 15 days should be allowed 
for processing. An application for a certificate of exemption shall 
provide the information contained in Sec. 222.11-3 (when the information 
requested is not applicable, put ``N.A.'') and such other information 
that the Assistant Administrator may require.

[45 FR 57134, Aug. 27, 1980]



Sec. 222.11-3  Application renewal requirements.

    (a) The following information will be used as the basis for 
determining whether an application for renewal of a certificate of 
exemption is complete:
    (1) Title: Application for Renewal of Certificate of Exemption Under 
Pub. L. 97-304.
    (2) The date of application.
    (3) The identity of the applicant including complete name, original 
certificate of exemption number, current address, and telephone number, 
including zip and area codes. If the applicant is a corporation, 
partnership, or association set forth the details.
    (4) The period of time for which a renewal of the certificate of 
exemption is requested; however, no renewal of certificate of exemption, 
or right claimed thereunder, shall be effective after the close of the 
three-year period beginning on the date of the expiration of the 
previous renewal of the certificate of exemption.
    (5)(i) A complete and detailed up-dated inventory of all pre-Act 
endangered species parts for which the applicant seeks exemption. Each 
item on the inventory must be identified by the following information: a 
unique serial number; the weight of the item in grams, to the nearest 
whole gram; and a description in detail sufficient to permit ready 
identification of the item. Small lots, not exceeding five pounds (2,270 
grams), of scraps or raw material, which may include or consist of one 
or more whole raw whale teeth, may be identified by a single serial 
number and total weight. All finished scrimshaw items subsequently made 
from a given lot of scrap may be identified by the lot serial number 
plus additional digits to signify the piece number of the individual 
finished item. Identification numbers will be in the following format: 
00-000000-0000. The first two digits will be the last two digits of the 
appropriate certificate of exemption number; the next six digits, the 
serial number of the individual piece or lot of scrap or raw material; 
and the last four digits, where applicable, the piece number of an item 
made from a lot of scrap or raw material. The serial numbers for each 
certificate holder's inventory must begin with 000001, and piece 
numbers, where applicable, must begin with 0001 for each separate lot.
    (ii) Identification numbers may be affixed to inventory items by any 
means, including, but not limited to, etching the number into the item, 
attaching a label or tag bearing the number to the item, or sealing the 
item in a plastic bag, wrapper or other container bearing the number. 
Provided that, the number must remain affixed to the item until it is 
sold to an ultimate user, as defined in Sec. 222.11-8(b) of this part.
    (iii) No renewals will be issued for scrimshaw products in excess of 
any quantities declared in the original application for a certificate of 
exemption.
    (6) A certification in the following language:

    I hereby certify that the foregoing information is complete, true, 
and correct to the best of my knowledge and belief. I understand that 
this information is submitted for the purpose of obtaining a renewal of 
my certificate of exemption under the Endangered Species Act of 1973, as 
amended by Pub. L. 94-359, 90 Stat. 911, Pub. L. 96-159, 93 Stat. 1225, 
Pub. L. 97-304, 95 Stat. 715, and the Department of Commerce regulations 
issued thereunder, and that any false statement may subject me to the 
criminal penalties of 18 U.S.C. 1001, or to the penalties under the 
Endangered Species Act of 1973.

    (7) Signature of the applicant.

[[Page 82]]

    (b) Upon receipt of an incomplete or improperly executed application 
for renewal, the applicant shall be notified by Certified Mail of the 
deficiency in the application for renewal. If the application for 
renewal is not corrected and received by the Assistant Administrator 
within 30 days following the date of receipt of notification, the 
application for renewal shall be considered as having been abandoned.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12808, Apr. 1, 1985]



Sec. 222.11-4  Procedures for issuance of renewals of certificates of exemption.

    Whenever application for a renewal of a certificate of exemption is 
received by the Assistant Administrator which the Assistant 
Administrator deems sufficient, he shall, as soon as practicable, issue 
a certificate of renewal to the applicant.



Sec. 222.11-5  Application for modification of certificate of exemption by holder.

    Where circumstances have changed so that an applicant or certificate 
of exemption holder desires to have any material term or condition of 
his application or certificate modified, he must submit in writing full 
justification and supporting information in conformance with the 
provisions of this part.



Sec. 222.11-6  Amendment of certificates of exemption.

    All certificates are issued subject to the condition that the 
Assistant Administrator reserves the right to amend the provisions of a 
certificate of exemption for just cause at any time. Such amendments 
take effect on the date of notification, unless otherwise specified.



Sec. 222.11-7  Procedures for suspension, revocation, or modification of certificates of exemption.

    Any violation of the applicable provisions of parts 217 through 222 
of this chapter, or of the Act, or of a condition of the certificate of 
exemption may subject the certificate holder to the following:
    (a) The penalties provided in the Act; and
    (b) Suspension, revocation, or modification of the certificate of 
exemption, as provided in subpart D of 15 CFR part 904.

[49 FR 1042, Jan. 6, 1984]



Sec. 222.11-8  Purchaser provisions.

    (a) Any person granted a certificate of exemption, including a 
renewal, under this subpart, upon a sale of any exempted pre-Act 
endangered species part, must provide the purchaser in writing with a 
description (including full identification number) of the part sold, and 
must inform the purchaser in writing of the purchaser's obligation under 
paragraph (b) of this section, including the address given in the 
certificate to which the purchaser's report is to be sent.
    (b) Any purchaser of pre-Act endangered species parts included in a 
valid certificate of exemption, unless an ultimate user, must within 30 
days after the receipt of such parts submit a written report to the 
address given in the certificate specifying the quantity of such parts 
or products received, the name and address of the seller, a copy of the 
invoice or other document showing the serial numbers, weight, and 
descriptions of the parts or products received, the date on which such 
parts or products were received, and the intended use of such parts by 
the purchaser. An ultimate user, for purposes of this paragraph, means 
any person who acquired such endangered species part or product for his 
own consumption or personal use (including as gifts), and not for 
resale.
    (c) After January 31, 1984, no purchaser may export; deliver, 
receive, carry or transport in interstate or foreign commerce in the 
course of a commercial activity; or sell or offer for sale in interstate 
or foreign commerce any endangered species part or product even though 
such part or product was acquired under a certificate of exemption 
either prior to or subsequent to that date.

[50 FR 12808, Apr. 1, 1985]



Sec. 222.11-9  Duration of certificate of exemption.

    A certificate of exemption is valid only if renewed in accordance 
with the

[[Page 83]]

procedures set forth in Sec. 222.11-3 of this part. All certificates so 
renewed will be valid for a period beginning April 1, 1985, and ending 
no later than March 31, 1988. A renewed certificate of exemption 
entitles the holder to engage in the business or activity specified in 
the certificate of exemption, within the limitations of the Act and the 
regulations contained in this subpart, for the period stated in the 
certificate of exemption, unless sooner terminated.

[50 FR 12808, Apr. 1, 1985, as amended at 50 FR 25713, June 21, 1985]



Sec. 222.12  Locations covered by certificate of exemption.

    The certificate of exemption covers the business or activity 
specified in the certificate of exemption at the address described 
therein. No certificate of exemption is required to cover a separate 
warehouse facility used by the certificate of exemption holder solely 
for storage of pre-Act endangered species parts, if the records required 
by this subpart are maintained at the address specified in the 
certificate of exemption which is served by the warehouse or storage 
facility.

[50 FR 12809, Apr. 1, 1985]



Sec. 222.12-1  Certificate of exemption not transferable; exception.

    Certificates of exemption issued under this subpart are not 
transferable: Provided, That in the event of the lease, sale or other 
transfer of the operations or activity authorized by the certificate of 
exemption the successor is not required by this subpart to obtain a new 
certificate of exemption prior to commencing such operations or 
activity. In such case, the successor will be treated as a purchaser and 
must comply with the record and reporting requirements set forth in 
Sec. 222.11-8.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12809, Apr. 1, 1985]



Sec. 222.12-2  Change of address.

    A certificate of exemption holder may during the term of the 
certificate of exemption move his business or activity to a new location 
at which he intends regularly to carry on such business or activity, 
without obtaining a new certificate of exemption. However, in every 
case, notification of the new location of the business or activity must 
be given in writing within 10 days of such move to the Assistant 
Administrator. In each instance, the certificate of exemption must be 
endorsed by the Assistant Administrator. After endorsement of the 
certificate of exemption the Assistant Administrator will provide an 
amended certificate of exemption to the person to whom issued.



Sec. 222.12-3  Certain continuance of business.

    A certificate of exemption holder who requests that his certificate 
of exemption be amended by the Assistant Administrator for corrections 
or endorsement in compliance with the provisions contained in this 
subpart, may continue his operations while awaiting action by the 
Assistant Administrator.



Sec. 222.12-4  Change in trade name.

    A certificate holder continuing to conduct business at the location 
shown on his certificate of exemption is not required to obtain a new 
certificate of exemption by reason of a change in trade name under which 
he conducts his business: Provided, That such certificate of exemption 
holder requests in writing that his certificate of exemption be endorsed 
to reflect such change of name to the Assistant Administrator within 30 
days from the date the certificate of exemption holder begins his 
business under the new name.



Sec. 222.12-5  State or other law.

    A certificate of exemption issued under this subpart confers no 
right or privilege to conduct a business or an activity contrary to 
State or other law. Similarly, compliance with the provisions of any 
State or other law affords no immunity under any Federal laws or 
regulations of any other Federal Agency.



Sec. 222.12-6  Right of entry and examination.

    Any person authorized to enforce the Act may enter during business 
hours the premises, including places of storage, of any holder of a 
certificate of exemption or of any purchaser for the purpose of 
inspecting or examining any records or documents required to be

[[Page 84]]

kept by such certificate of exemption holder or successor under this 
subpart, and any endangered species parts at such premises of location.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12809, Apr. 1, 1985]



Sec. 222.12-7  Records.

    The records pertaining to pre-Act endangered species parts 
prescribed by this subpart shall be in permanent form, and shall be 
retained at the address shown on the certificate of exemption, or at the 
principal address of a purchaser in the manner prescribed by this 
subpart.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12809, Apr. 1, 1985]



Sec. 222.12-8  Record of receipt and disposition.

    (a) Holders of certificates of exemption must maintain records of 
all pre-Act endangered species parts they receive, sell, transfer, 
distribute or dispose of otherwise. Purchasers of pre-Act endangered 
species parts, unless ultimate users, must similarly maintain records of 
all such parts or products they receive.
    (b) Such records as referred to in paragraph (a) of this section may 
consist of invoices or other commercial records which must be filed in 
an orderly manner separate from other commercial records maintained, and 
be readily available for inspection. Such records must (1) show the name 
and address of the purchaser, seller, or other transferor; (2) show the 
type, quantity, and identity of the part or product; (3) show the date 
of such sale or transfer; and (4) be retained, in accordance with the 
requirements of this subpart, for a period of not less than three years 
following the date of sale or transfer. Each pre-Act endangered species 
part will be identified by its number on the updated inventory required 
to renew a certificate of exemption.
    (c)(1) Each certificate of exemption holder must submit a quarterly 
report (to the address given in the certificate) containing all record 
information required by paragraph (b) on all transfers of pre-Act 
endangered species parts made in the previous calendar quarter, or such 
other record information the Assistant Administrator may specify from 
time to time.
    (2) Quarterly reports are due on January 15, April 15, July 15, and 
October 15. The first report is due on October 15, 1985.
    (d) The Assistant Administrator may authorize the record information 
to be submitted in a manner other than that prescribed in paragraph (b) 
of this section when it is shown by the record holder that an alternate 
method of reporting is reasonably necessary and will not hinder the 
effective administration or enforcement of this subpart.

[45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12809, Apr. 1, 1985]



Sec. 222.12-9  Importation.

    No pre-Act endangered species part shall be imported into the United 
States, and a certificate of exemption issued in accordance with the 
provisions of this subpart confers no right or privilege to import into 
the United States any such part.



Sec. 222.13  Exportation.

    (a) Any person desiring to export from the United States any pre-Act 
endangered species part or scrimshaw product, must possess a valid 
certificate of exemption issued in accordance with the provisions of 
this subpart.
    (b) In addition to other information, which may be required by this 
subpart, the exporter will notify the Assistant Administrator by letter 
which shall show the name and address of the foreign consignee, the 
intended port of exportation, and a complete description of the parts to 
be exported. Such information should reach the Assistant Administrator 
not less than 10 days prior to shipment.
    (c) No pre-Act endangered species part or scrimshaw product which is 
to be exported from the United States under a certificate of exemption 
issued therefor, shall be exported except at a port or ports designated 
by the Secretary of the Interior. The Secretary of the Interior may 
permit the exportation at non-designated ports for any reason if he 
deems it appropriate and consistent with the purposes of the Endangered 
Species Act, as amended, or it will facilitate the administration or 
enforcement of the Act and reducing

[[Page 85]]

the costs thereof. Exporters are advised to see 50 CFR part 14 for a 
listing of the designated ports.



Sec. 222.13-1  Procedure by exporter.

    Shipment may not be made until the requirements of Sec. 222.13 are 
met by the exporter. A copy of the certificate of exemption, and any 
endorsements thereto, must be sent by the exporter to the District 
Director of Customs at the port of exportation, and must precede or 
accompany the shipment in order to permit appropriate inspection prior 
to lading.



Sec. 222.13-2  Action by Customs.

    Upon receipt of a certificate of exemption authorizing the 
exportation of pre-Act endangered species parts or scrimshaw products, 
the District Director of Customs may order such inspection as deemed 
necessary prior to lading of the merchandise. If satisfied that the 
shipment is proper and agrees with the information contained in the 
certificate, and any endorsement thereto, the District Director of 
Customs will clear the merchandise for export. The certificate, and any 
endorsements, will be forwarded to the Chief, Enforcement Division, F/
CM5 National Marine Fisheries Service, Washington, DC 20235.



Sec. 222.13-3  Transportation to effect exportation.

    Notwithstanding any provision of this subpart, it shall not be 
required that authorization be obtained from the Assistant Administrator 
for the transportation in interstate or foreign commerce of pre-Act 
endangered species parts to effect an exportation of such parts 
authorized under the provisions of this subpart.



Sec. 222.13-4  Burden of proof; presumption.

    Any person claiming the benefit of any exemption or certificate of 
exemption under the Act or regulations, shall have the burden of proving 
that the exemption or certificate is applicable, has been granted, and 
was valid and in force at the time of the alleged violation.



             Subpart C--Endangered Fish or Wildlife Permits

    Source: 39 FR 41375, Nov. 27, 1974, unless otherwise noted.



Sec. 222.21   General permit requirement.

    No person shall take, import, export, or engage in any other 
prohibited activity involving, any species or subspecies of fish or 
wildlife which the Secretary has determined to be endangered under the 
Endangered Species Act of 1973, as evidenced by its inclusion on the 
list of endangered fish or wildlife (see 50 CFR chapter I, part 17) or 
which the Secretary of the Interior determined to be endangered under 
the Endangered Species Conservation Act of 1969 and which are now under 
the jurisdictional responsibilities of the Secretary of Commerce, 
without a valid permit issued pursuant to this part.

(Pub. L. 94-359)

[41 FR 36028, Aug. 26, 1976]



Sec. 222.22  Permits for the incidental taking of endangered species.

    (a) Scope. (1) The Assistant Administrator may issue permits to take 
endangered marine species incidentally to an otherwise lawful activity 
under section 10(a)(1)(B) of the Endangered Species Act of 1973. The 
regulations in this section apply only to those endangered species under 
the jurisdiction of the Secretary of Commerce identified in 
Sec. 222.23(a).
    (2) If the applicant represents an individual or a single entity, 
such as a corporation, the Assistant Administrator will issue an 
individual incidental take permit. If the applicant represents a group 
or organization whose members conduct the same or a similar activity in 
the same geographical area with similar impacts on endangered marine 
species, the Assistant Administrator will issue a general incidental 
take permit. To be covered by a general incidental take permit, each 
individual conducting the activity must have a certificate of inclusion 
issued under paragraph (f) of this section.
    (b) Permit application procedures. Applications should be sent to 
the Assistant Administrator for Fisheries, National Marine Fisheries 
Service, 1335

[[Page 86]]

East West Highway, Silver Spring, MD 20910. The sufficiency of the 
application will be determined by the Assistant Administrator in 
accordance with the requirements of this section. At least 120 days 
should be allowed for processing. Each application must be signed and 
dated and include the following:
    (1) The type of application, either:
    (i) Application for an Individual Incidental Take Permit under the 
Endangered Species Act of 1973, or
    (ii) Application for a General Incidental Take Permit under the 
Endangered Species Act of 1973.
    (2) The name, address and telephone number of the applicant. If the 
applicant is a partnership, corporate entity or is representing a group 
or organization, the applicable details.
    (3) The species or stocks, by common and scientific name, and a 
description of the status, distribution, seasonal distribution, habitat 
needs, feeding habits and other biological requirements of the affected 
species or stocks.
    (4) A detailed description of the proposed activity, including the 
anticipated dates, duration and specific location. If the request is for 
a general incidental take permit, an estimate of the total level of 
activity expected to be conducted.
    (5) A conservation plan, based on the best scientific and commercial 
data available, which specifies
    (i) The anticipated impact (i.e., amount, extent and type of 
anticipated taking) of the proposed activity on the species or stocks;
    (ii) The anticipated impact of the proposed activity on the habitat 
of the species or stocks and the likelihood of restoration of the 
affected habitat;
    (iii) The steps (specialized equipment, methods of conducting 
activities, or other means) that will be taken to monitor, minimize and 
mitigate such impacts, and the funding available to implement such 
measures; and
    (iv) The alternative actions to such taking that were considered and 
the reasons why those alternatives are not being used.
    (v) A list of all sources of data used in preparation of the plan, 
including reference reports, environmental assessments and impact 
statements, and personal communications with recognized experts on the 
species or activity who may have access to data not published in current 
literature.
    (c) Issuance criteria. (1) In determining whether to issue a permit, 
the Assistant Administrator will consider the following:
    (i) The status of the affected species or stocks;
    (ii) The potential severity of direct, indirect and cumulative 
impacts on the species or stocks and habitat as a result of the proposed 
activity;
    (iii) The availability of effective monitoring techniques;
    (iv) The use of the best available technology for minimizing or 
mitigating impacts; and
    (v) The views of the public, scientists and other interested parties 
knowledgeable of the species or stocks or other matters related to the 
application.
    (2) To issue the permit, the Assistant Administrator must find that:
    (i) The taking will be incidental;
    (ii) The applicant will, to the maximum extent practicable, monitor, 
minimize and mitigate the impacts of such taking;
    (iii) The taking will not appreciably reduce the likelihood of the 
survival and recovery of the species in the wild;
    (iv) The applicant has amended the conservation plan to include any 
measures (not originally proposed by the applicant) that the Assistant 
Administrator determines are necessary or appropriate; and
    (v) There are adequate assurances that the conservation plan will be 
funded and implemented, including any measures required by the Assistant 
Administrator.
    (d) Permit conditions. In addition to the general conditions set 
forth in part 220 of this chapter, every permit issued under this 
section will contain such terms and conditions as the Assistant 
Administrator deems necessary and appropriate, including, but not 
limited to the following:
    (1) Reporting requirements or rights of inspection for determining 
whether the terms and conditions are being complied with;
    (2) The species and number of animals covered;
    (3) The authorized method of taking;

[[Page 87]]

    (4) The procedures to be used to handle or dispose of any animals 
taken; and
    (5) The payment of a fee to reimburse the National Marine Fisheries 
Service the cost of processing the application.
    (e) Duration of permits. The duration of permits issued under this 
section will be such as to provide adequate assurances to the permit 
holder to commit funding necessary for the activities authorized by the 
permit, including conservation activities. In determining the duration 
of a permit, the Assistant Administrator will consider the duration of 
the proposed activities, as well as the possible positive and negative 
effects associated with issuing a permit of the proposed duration on 
listed species, including the extent to which the conservation plan is 
likely to enhance the habitat of the endangered species or increase the 
long-term survivability of the species.
    (f) Certificates of inclusion. (1) Any individual who wishes to 
conduct an activity covered by a general incidental take permit must 
apply to the Assistant Administrator for a certificate of inclusion. 
Each application must be signed and dated and include the following:
    (i) The general incidental take permit under which the applicant 
wants coverage.
    (ii) The name, address and telephone number of the applicant. If the 
applicant is a partnership or a corporate entity, the applicable 
details.
    (iii) A description of the activity the applicant seeks to have 
covered under the general incidental take permit including the 
anticipated dates, duration, and specific location; and
    (iv) A signed certification that the applicant has read and 
understands the general incidental take permit and the conservation 
plan, will comply with their terms and conditions, and will fund and 
implement applicable measures of the conservation plan.
    (2) To issue a certificate of inclusion, the Assistant Administrator 
must find that:
    (i) The applicant will be engaged in the activity covered by the 
general permit and
    (ii) The applicant has made adequate assurances that the applicable 
measures of the conservation plan will be funded and implemented.

[55 FR 20606, May 18, 1990]



Sec. 222.23   Permits for scientific purposes or to enhance the propagation or survival of the affected endangered species.

    (a) The Director, National Marine Fisheries Service, may issue 
permits for scientific purposes or to enhance the propagation or 
survival of the affected endangered species which authorize, under such 
terms and conditions as he may prescribe, taking, importation, or 
certain other acts with respect to endangered species otherwise 
prohibited by section 9 of the Endangered Species Act of 1973. The 
species listed as endangered under either the Endangered Species 
Conservation Act of 1969 or the Endangered Species Act of 1973 and 
currently under the jurisdiction of the Secretary of Commerce are: 
Shortnose sturgeon (Acipenser brevirostrum); Totoaba (Cynoscian 
macdonaldi); Snake River sockeye salmon (Oncorhynchus nerka); Umpqua 
River cutthroat trout (Oncorhynchus clarki clarki); Sacramento River 
winter-run chinook salmon (Oncorhynchus tshawytscha); Western North 
Pacific (Korean) gray whale (Eschrichtius robustus), Blue whale 
(Balaenoptera musculus), Humpback whale (Megaptera novaeangliae), 
Bowhead whale (Balaenamysticetus), Right whales (Eubalaena spp.), Fin or 
finback whale (Balaenoptera physalus), Sei whale (Balaenoptera 
borealis), Sperm whale (Physeter catodon); Cochito (Phocoena Sinus), 
Chinese river dolphin (Lipotes vexillifer); Indus River dolphin 
(Platanista minor); Caribean monk seal (Monachus tropicalis) Hawaiian 
monk seal (Monachus schauinslandi); Mediterranean monk seal (Monachus 
monachus); Saimaa seal (Phoca hispida saimensis); Leatherback sea turtle 
(Dermochelys coriacea), Pacific hawksbill sea turtle (Eretmochelys 
imbricata bissa), Atlantic hawksbill sea turtle (Eretmochelys imbricata 
imbricata), Atlantic ridley sea turtle (Lepidochelys kempii). Green sea 
turtle (Chelonia mydas) breeding colony populations in Florida and on 
the Pacific coast of Mexico, and the olive ridley

[[Page 88]]

sea turtle (Lepidochelys olivacea) breeding colony population on the 
Pacific coast of Mexico. Of these, the National Marine Fisheries Service 
has sole agency jurisdiction for sea turtles while the turtles are in 
the water and the U.S. Fish and Wildlife Service has jurisdiction for 
sea turtles while the turtles are on land. Within the jurisdiction of a 
State, more restrictive State laws or regulations in regard to 
endangered species shall prevail in regard to taking. Proof of 
compliance with applicable State laws will be required before a permit 
will be issued.
    (b) Application procedures. To obtain such a permit, an application 
must be made to the Director in accordance with this subpart, except for 
marine mammal permits which shall be issued in accordance with the 
provisions of part 216, subpart D of this chapter, and sea turtle 
permits which shall be issued in accordance with part 220, subpart E of 
this chapter. The sufficiency of the application shall be determined by 
the Director in accordance with the requirements of this part and, in 
that connection, he may waive any requirement for information, or 
require any elaboration or further information deemed necessary. The 
following information will be used as the basis for determining whether 
an application is complete and whether a permit for scientific purposes 
or to enhance the propagation or survival of the affected endangered 
species should be issued by the Director. An original and four copies of 
the completed application shall be submitted to the Director, National 
Marine Fisheries Service, National Oceanic and Atmospheric 
Administration (NOAA), U.S. Department of Commerce, Washington, DC 
20235. Assistance may be obtained by writing the Director or calling the 
Marine Mammal and Endangered Species Division in Washington, DC (202-
343-9445 and effective December 2, 1974, it will become 202-634-7529). 
At least 45 days should be allowed for processing. An application for a 
permit shall provide the following information (when the information 
requested is not applicable put ``N.A.'') and such other information 
that the Director may require:
    (1) Title: As applicable, either:
    (i) Application for Permit for Scientific Purposes under the 
Endangered Species Act of 1973; or
    (ii) Application for Permit to Enhance the Propagation or Survival 
of the Endangered Species Under the Endangered Species Act of 1973.
    (2) The date of the application.
    (3) The identity of the applicant including complete name, address, 
and telephone number. If the applicant is a partnership or a corporate 
entity set forth the details. If the endangered species is to be 
utilized by a person other than the Applicant, set forth the name of 
that person and such other information as would be required if such 
person were an Applicant.
    (4) A description of the purpose of the proposed acts, including:
    (i) A detailed justification of the need for the endangered species, 
including a discussion of possible alternatives, whether or not under 
the control of the applicant; and
    (ii) A detailed description of how the species will be used.
    (5) A detailed description of the project, or program, in which the 
endangered species is to be used, including:
    (i) The period of time over which the project or program will be 
conducted;
    (ii) A list of the names and addresses of the sponsors or 
cooperating institutions and the scientists involved;
    (iii) A copy of the formal research proposal or contract if one has 
been prepared;
    (iv) A statement of whether the proposed project or program has 
broader significance than the individual researcher's goals (i.e., does 
the proposed project or program respond directly or indirectly to 
recommendation of any national or international scientific body charged 
with research or management of the endangered species, and, if so, 
how?); and
    (v) A description of the arrangements, if any, for the disposition 
of any dead specimen or its skeleton or other remains, for the continued 
benefit to science, in a museum or other institutional collection.
    (6) A description of the endangered species which is the subject of 
the application, including the following:
    (i) A list of each species and the number of each, including the 
common and

[[Page 89]]

scientific name; the subspecies (if applicable); population group, and 
range;
    (ii) A physical description of each animal, including the age, size, 
and sex;
    (iii) A list of the probable dates of capture or other taking, 
importation, exportation, and other acts which require a permit, for 
each animal, and the location of capture or other taking, importation, 
exportation, and other acts which require a permit, as specifically as 
possible;
    (iv) A description of the status of the stock of each species 
related insofar as possible to the location or area of taking;
    (v) A description of the manner of taking for each animal, including 
the gear to be used;
    (vi) The name and qualifications of the persons or entity which will 
capture or otherwise take the animals;
    (vii) If the capture or other taking is to be done by a contractor, 
a statement as to whether a qualified member of your staff (include 
name(s) and qualifications) will supervise or observe the capture or 
other taking. Accompany such statement with a copy of the proposed 
contract or a letter from the contractor indicating agreement to capture 
or otherwise taken the animals, should a permit be granted;
    (7) A description of the manner of transportation of any live animal 
taken, imported, exported, or shipped in interstate commerce, including:
    (i) Mode of transportation;
    (ii) Name of transportation company;
    (iii) Length of time in transit for the transfer of the animal(s) 
from the capture site to the holding facility;
    (iv) Length of time in transit for any future move or transfer of 
the animal(s) that is planned;
    (v) The qualifications of the common carrier or agent used for 
transportation of the animals;
    (vi) A description of the pen, tank, container, cage, cradle, or 
other devices used, both to hold the animal at the capture site and 
during transportation;
    (vii) Special care before and during transportation, such as salves, 
antibiotics, moisture; and
    (viii) A statement as to whether the animals will be accompanied by 
a veterinarian or other similarly qualified person, and the 
qualifications of such person.
    (8) Describe the contemplated care and maintenance of any live 
animals sought, including a complete description of the facilities where 
any such animals will be maintained including:
    (i) The dimensions of the pools or other holding facilities and the 
number, sex, and age of animals by species to be held in each;
    (ii) The water supply, amount, and quality;
    (iii) The diet, amount and type, for all animals;
    (iv) Sanitation practices used;
    (v) Qualifications and experience of the staff; and
    (vi) A written certification from a licensed veterinarian 
knowledgeable about the species (or related species) or group which is 
the subject of the application, or from a recognized expert on the 
species (or related species) or group covered in the application that he 
has personally reviewed the amendments for transporting and maintaining 
the animal(s) and that in his opinion they are adequate to provide for 
the well-being of the animal; and
    (vii) The availability in the future of a consulting expert or 
veterinarian meeting paragraph (b)(8)(vi) requirements of this section;
    (9) A statement of willingness to participate in a cooperative 
breeding program and maintain or contribute data to a stud book.
    (10) A statement of how the applicant's proposed project or program 
will enhance or benefit the wild population.
    (11) For the 5 years preceding the date of this application, provide 
a detailed description of all mortalities involving species which were 
under the control of or utilized by the applicant and are either 
presently listed as endangered species or are taxonomically related 
within the Order to the species which is the subject of this 
application, including:
    (i) A list of all endangered species and species related to the 
species which is the subject of this application; captured, transported, 
maintained, or utilized by the applicant for scientific purposes or to 
enhance the propagation or survival of the affected species, and/ 

[[Page 90]]

or for all such species caused to be captured, transported, maintained, 
or utilized for scientific purposes or to enhance the propagation or 
survival of the affected species, by the Applicant;
    (ii) The numbers of mortalities among such animals by species, by 
date, location of capture, i.e., from which population, and location of 
such mortalities;
    (iii) The cause(s) of any such mortalities; and
    (iv) The steps which have been taken by Applicant to avoid or 
decrease any such mortalities.
    (12) A certification in the following language:

    I hereby certify that the foregoing information is complete, true 
and correct to the best of my knowledge and belief. I understand that 
this information is submitted for the purpose of obtaining a permit 
under the Endangered Species Act of 1973 (87 Stat. 864, Pub. L. 93-205, 
16 U.S.C. 1531 et seq.) and regulations promulgated thereunder, and that 
any false statement may subject me to the criminal penalties of 18 
U.S.C. 1001, or to penalties under the Endangered Species Act of 1973.

    (13) The applicant and/or an officer thereof must sign the 
application.
    (c) Issuance criteria. The Director shall specifically consider, 
among other criteria, the following in determining whether to issue a 
permit for scientific purposes or to enhance the propagation or survival 
of the affected endangered species:
    (1) Whether the permit was applied for in good faith;
    (2) Whether the permit if granted and exercised will not operate to 
the disadvantage of the endangered species;
    (3) Whether the permit would be consistent with the purposes and 
policy set forth in section 2 of the Act;
    (4) Whether the permit would further a bona fide and necessary or 
desirable scientific purpose or enhance the propagation or survival of 
the endangered species, taking into account the benefits anticipated to 
be derived on behalf of the endangered species;
    (5) The status of the population of the requested species, and the 
effect of the proposed action on the population, both direct and 
indirect;
    (6) If a live animal is to be taken, transported, or held in 
captivity--the applicant's qualifications for the proper care and 
maintenance of the species and the adequacy of his facilities;
    (7) Whether alternative non-endangered species or population stocks 
can and should be used;
    (8) Whether the animal was born in captivity or was (or will be) 
taken from the wild;
    (9) Provision for disposition of the species if and when the 
applicant's project or program terminates;
    (10) How the applicant's needs, program, and facilities compare and 
relate to proposed and ongoing projects and programs;
    (11) Whether the expertise, facilities, or other resources available 
to the applicant appear adequate to successfully accomplish the 
objectives stated in the application;
    (12) Opinions or views of scientists or other persons or 
organizations knowledgeable of the species which is the subject of the 
application or of other matters germane to the application; and
    (d) Permits applied for under this section shall contain terms and 
conditions as the Director may deem appropriate, including:
    (1) The number and kind of species which are covered;
    (2) The location and manner of taking;
    (3) Port of entry or export;
    (4) The methods of transportation, care and maintenance to be used 
with live species;
    (5) Any requirements for reports or rights of inspections with 
respect to any activities carried out pursuant to the permit;
    (6) The transferability or assignability of the permit;
    (7) The sale or other disposition of the species, its progeny or the 
species product;
    (8) A reasonable fee covering the costs of issuance of such permit, 
including reasonable inspections and an appropriate apportionment of 
overhead and administrative expenses of the Department of Commerce. All 
such fees will be deposited in the Treasury to the credit of the 
appropriation which is

[[Page 91]]

current and chargeable for the cost of furnishing the service.

[39 FR 41375, Nov. 27, 1974, as amended at 41 FR 51612, Nov. 23, 1976; 
43 FR 32809, July 28, 1978; 44 FR 21289, Apr. 10, 1979; 44 FR 29480, May 
26, 1979; 48 FR 57302, Dec. 29, 1983; 50 FR 1059, Jan. 9, 1985; 54 FR 
22907, May 30, 1989; 55 FR 50836, Dec. 11, 1990; 56 FR 58624, Nov. 20, 
1991; 58 FR 26921, May 6, 1993; 59 FR 450, Jan. 4, 1994; 59 FR 31095, 
June 16, 1994; 61 FR 21939, May 10, 1996; 61 FR 41522, Aug. 9, 1996]



Sec. 222.24   Procedures for issuance of permits.

    (a) Whenever application for a permit is received by the Director 
which the Director deems sufficient, he shall, as soon as practicable, 
publish a notice thereof in the Federal Register. Information received 
by the Director as a part of the application shall be available to the 
public as a matter of public record at every stage of the proceeding. An 
interested party may within 30 days after the date of publication of 
such notice, submit to the Director his written data, views, or 
arguments with respect to the taking, importation, or other action 
proposed in the application and may request a hearing in connection with 
the action to be taken thereon.
    (b) If a request for a hearing is made within the 30-day period 
referred to in paragraph (a) of this section, or if the Director 
determines that a hearing would otherwise be advisable, the Director 
may, within 60 days after the date of publication of the notice referred 
to in paragraph (a) of this section, afford to such requesting party or 
parties an opportunity for a hearing. Such hearing shall also be open to 
participation by any interested members of the public. Notice of the 
date, time, and place of such hearing shall be published in the Federal 
Register not less than 15 days in advance of such hearing. Any 
interested person may appear in person or through representatives at the 
hearing and may submit any relevant material, data, views, comments, 
arguments, or exhibits. A summary record of the hearing shall be kept.
    (c) Except as provided in subpart D of 15 CFR part 904, as soon as 
practicable but not later than 30 days after the close of the hearing 
(or if no hearing is held, as soon as practicable after the end of the 
30 days succeeding publication of the notice referred to in paragraph 
(a) of this section) the Director shall issue or deny issuance of the 
permit. Notice of the decision of the Director shall be published in the 
Federal Register within 10 days after the date of the issuance or denial 
and indicate where copies of the permit, if issued, may be obtained.
    (d) If a permit is issued, the Director shall publish notice thereof 
in the Federal Register, including his finding that (1) such permit was 
applied for in good faith, (2) if granted and exercised will not operate 
to the disadvantage of such endangered species, and (3) will be 
consistent with the purposes and policy set forth in section 2 of the 
Endangered Species Act of 1973. The requirements of this paragraph 
pertain solely to the permits issued under Sec. 222.23.
    (e) The Director may waive the thirty-day period in an emergency 
situation where the health or life of an endangered animal is threatened 
and no reasonable alternative is available to the applicant, but notice 
of any such waiver shall be published by the Director in the Federal 
Register within ten days following the issuance of the certificate of 
exemption or permit.

[39 FR 41375, Nov. 27, 1974, as amended at 42 FR 28139, June 2, 1977; 49 
FR 1042, Jan. 6, 1984; 55 FR 20607, May 18, 1990]



Sec. 222.25  Applications for modification of permit by permittee.

    Where circumstances have changed so that an applicant or permittee 
desires to have any term or condition of his application or permit 
modified, he must submit in writing full justification and supporting 
information in conformance with the provisions of this part and the part 
under which the permit has been issued or requested. Such applications 
for modification are subject to the same issuance criteria as are 
original applications, as provided in Secs. 222.22(c) and 222.23(c).

[39 FR 41375, Nov. 27, 1974, as amended at 55 FR 20607, May 18, 1990]



Sec. 222.26  Amendment of permits by NMFS.

    All permits are issued subject to the condition that the National 
Marine Fisheries Service reserves the right to

[[Page 92]]

amend the provisions of a permit for just cause at any time during its 
term. Such amendments take effect on the date of notification, unless 
otherwise specified.

[39 FR 41375, Nov. 27, 1974]



Sec. 222.27  Procedures for suspension, revocation, or modification of permits.

    Any violation of the applicable provisions of parts 217 through 222 
of this chapter, or of the Act, or of a condition of the permit may 
subject the certificate holder to the following:
    (a) The penalties provided in the Act; and
    (b) Suspension, revocation, or modification of the permit, as 
provided in subpart D of 15 CFR part 904.

[49 FR 1043, Jan. 6, 1984, as amended at 55 FR 20607, May 18, 1990]



Sec. 222.28   Possession of permits.

    (a) Any permit issued under these regulations must be in the 
possession of the person to whom it is issued (or an agent of such 
person) during:
    (1) The time of the authorized taking, importation, exportation, or 
other act;
    (2) The period of any transit of such person or agent which is 
incident to such taking, importation, exportation, or other act; and
    (3) Any other time while any animal under such permit is in the 
possession of such person or agent.
    (b) A duplicate copy of the issued permit must be physically 
attached to the tank, container, package, enclosure, or other means of 
containment, in which the animal is placed for purposes of storage, 
transit, supervision, or care.

[39 FR 41375, Nov. 27, 1974]



                     Subpart D--Special Prohibitions



Sec. 222.31  Approaching humpback whales in Hawaii.

    Except as provided in subpart C (Endangered Fish or Wildlife 
Permits) of this part it is unlawful 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, within 200 
nautical miles (370.4 km) of the Islands of Hawaii, any of the following 
acts with respect to humpback whales (Megaptera novaeangliae):
    (a) Operate any aircraft within 1,000 ft (300 m) of any humpback 
whale; or
    (b) Approach by any means, within 100 yd (90 m) of any humpback 
whale; or
    (c) Cause a vessel or other object to approach within 100 yd (90 m) 
of a humpback whale; or
    (d) Disrupt the normal behavior or prior activity of a whale by any 
other act or omission. A disruption of normal behavior may be manifested 
by, among other actions on the part of the whale, a rapid change in 
direction or speed; escape tactics such as prolonged diving, underwater 
course changes, underwater exhalation, or evasive swimming patterns; 
interruptions of breeding, nursing, or resting activities, attempts by a 
whale to shield a calf from a vessel or human observer by tail swishing 
or by other protective movement; or the abandonment of a previously 
frequented area.

[60 FR 3775, Jan. 19, 1995]



         Subpart E--Incidental Capture of Endangered Sea Turtles



Sec. 222.41  Policy regarding incidental capture of sea turtles.

    Shrimp fishermen in the southeastern United States and the Gulf of 
Mexico who comply with rules for threatened sea turtles specified in 
Sec. 227.72(e) of this subchapter will not be subject to civil penalties 
under the Act for incidental captures of endangered sea turtles by 
shrimp trawl gear.

[52 FR 24251, June 29, 1987]



Sec. 222.42  Special prohibitions relating to leatherback sea turtles.

    Special prohibitions relating to leatherback sea turtles are 
provided at Sec. 227.72(e)(2)(iv) of this chapter.

[60 FR 25623, May 12, 1995]



PART 225--FEDERAL/STATE COOPERATION IN THE CONSERVATION OF ENDANGERED AND THREATENED SPECIES--Table of Contents




Sec.
225.1  Purpose of regulations.

[[Page 93]]

225.2  Scope of regulations.
225.3  Definitions.
225.4  Cooperation with the States.
225.5  Cooperative agreement.
225.6  Allocation of funds.
225.7  Financial assistance.
225.8  Availability of funds.
225.9  Payments.
225.10  Assurances.
225.11  Submission of documents.
225.12  Project evaluation.
225.13  Contracts.
225.14  Inspection.

    Authority: Endangered Species Act of 1973, 87 Stat. 884, 16 U.S.C. 
1531-1543, Pub. L. 93-205.

    Source: 41 FR 24354, June 16, 1976, unless otherwise noted.



Sec. 225.1   Purpose of regulations.

    The regulations in this part implement section 6 of the Endangered 
Species Act of 1973, 87 Stat. 884, 16 U.S.C. 1531 through 1543, Pub. L. 
93-205 which provides, under certain circumstances, for cooperative 
agreements with and financial assistance to the States.



Sec. 225.2   Scope of regulations.

    This part applies to endangered and threatened species under the 
jurisdiction of the Department of Commerce (see 50 CFR 222.23(a)).



Sec. 225.3   Definitions.

    In addition to the definitions contained in the Act, and unless the 
context otherwise requires, in this part 225:
    (a) Act means the Endangered Species Act of 1973, 87 Stat. 884, 16 
U.S.C. 1531 through 1543, Pub. L. 93-205.
    (b) Agreements mean signed documented statements of the actions to 
be taken by the State(s) and the Director in furthering certain purposes 
of the Act. They include:
    (1) A Cooperative Agreement entered into pursuant to section 6(c) of 
the Act and, where appropriate, containing provisions found in section 
6(d)(2) of the Act.
    (2) A Grant-In-Aid Award which includes a statement of the actions 
to be taken in connection with the conservation of endangered or 
threatened species receiving Federal financial assistance, objectives 
and costs of such actions, and costs to be borne by the Federal 
Government and by the State(s).
    (c) Application for Federal Assistance means a description of work 
to be accomplished, including objectives and needs, expected results and 
benefits, approach, cost, location and time required for completion.
    (d) Director means the Director of the National Marine Fisheries 
Service, National Oceanic and Atmospheric Administration, Department of 
Commerce, or his authorized designee.
    (e) Program means a State-developed plan for the conservation and 
management of all resident species which are deemed by the Secretary to 
be endangered or threatened and those which are deemed by the State to 
be endangered or threatened, which includes goals, priorities, 
strategies, actions, and funding necessary to accomplish the objectives 
on an individual species basis.
    (f) Project means a substantial undertaking to conserve the various 
endangered or threatened species.
    (g) Project segment means an essential part or a division of a 
project, usually separated as a period of time, occasionally as a unit 
of work.
    (h) Resident species means, for purposes of these regulations, with 
respect to a State, a species which exists in the wild in that State 
during any part of its life.
    (i) Secretary means the Secretary of Commerce or his authorized 
designee.



Sec. 225.4   Cooperation with the States.

    The Director shall cooperate with any State which establishes and 
maintains an adequate and active program for the conservation of 
endangered and threatened species. In order for a State program to be 
deemed an adequate and active program, the Director must find and 
reconfirm, on an annual basis, that:
    (a) Authority resides in a State agency to conserve resident species 
determined by the State agency or the Director to be endangered or 
threatened;
    (b) The State agency has established an acceptable conservation 
program, consistent with the purposes and policies of the Act, for all 
resident species in the State which are deemed by the Director to be 
endangered or threatened; and has furnished a copy of such

[[Page 94]]

program together with all pertinent details, information and data 
requested to the Director;
    (c) The State agency is authorized to conduct investigations to 
determine the status and requirements for survival of resident species;
    (d) The State agency is authorized to establish programs, including 
the acquisition of land or aquatic habitat or interests therein, for the 
conservation of resident endangered or threatened species; and
    (e) Provisions are made for public participation in designating 
resident species as endangered or threatened.



Sec. 225.5   Cooperative agreement.

    Following receipt of an application by a State for a Cooperative 
Agreement and a determination by the Director that the State program for 
endangered and threatened species is adequate and active, the Director 
shall enter into an Agreement with the State. A Cooperative Agreement is 
necessary before a Grant-In-Aid Award can be approved for endangered or 
threatened species projects. The Cooperative Agreement must be 
reconfirmed annually to insure that it reflects new laws, species lists, 
rules or regulations, and programs, and to demonstrate that the program 
is still active and adequate. In order for a State to receive financial 
assistance, such Cooperative Agreement must also contain:
    (a) The actions that are to be taken by the Director and the State;
    (b) The benefits that are expected to be derived in connection with 
the conservation of endangered or threatened species; and
    (c) The estimated cost of these actions.



Sec. 225.6   Allocation of funds.

    The Director shall allocate funds, appropriated for the purpose of 
carrying out section 6 of the Act, to various States using the following 
as the basis for his determination:
    (a) The international commitments of the United States to protect 
endangered or threatened species;
    (b) The readiness of a State to proceed with a conservation program 
consistent with the objectives and purposes of the Act;
    (c) The number of federally listed endangered and threatened species 
within a State;
    (d) The potential for restoring endangered and threatened species 
within a State; and
    (e) The relative urgency to initiate a program to restore and 
protect an endangered or threatened species in terms of survival of the 
species.



Sec. 225.7   Financial assistance.

    (a) Before any Federal funds may be obligated for any project to be 
undertaken in a State, the State must have entered into a Cooperative 
Agreement. Subsequent to such agreement, the Director may further agree 
with a State(s) to provide financial assistance in the development and 
implementation of acceptable projects for the conservation of endangered 
and threatened species. Documents to provide financial assistance will 
consist of an Application for Federal Assistance and a Grant-In-Aid 
Award. The availability of Federal funds under a Grant-In-Aid Award 
shall be contingent upon the continued existence of the Cooperative 
Agreement.
    (b) To meet the requirements of the Act, the Application for Federal 
Assistance shall certify that the State agency submitting the project is 
committed to its execution and that it has been reviewed by the 
appropriate State officials and is in compliance with other requirements 
of the Office of Management and Budget Circular No. A-95 (as revised and 
published in the Federal Register on January 13, 1976 (41 FR 2052)).
    (c) The mutual obligations by the cooperating agencies will be set 
forth in a Grant-In-Aid Award executed between the State and the 
Director. The Grant-In-Aid Award shall cover the proposed financing and 
the work items described in the documents supporting it. The form and 
content for both the Application for Federal Assistance and the Grant-
In-Aid Award are provided in the Federal Aid Handbook No. 22.



Sec. 225.8   Availability of funds.

    Funds allocated to a State are available for obligation during the 
fiscal year for which they are allocated and until the close of the 
succeeding fiscal

[[Page 95]]

year. For the purpose of this section, obligation of allocated funds 
occurs when a Grant-In-Aid Award is signed by the Director.



Sec. 225.9   Payments.

    The payment of the Federal share of costs incurred in the conduct of 
activities included under a Grant-In-Aid Award shall be in accordance 
with the Treasury Circular 1075.
    (a) Federal payments under the Act shall not exceed 75 percent of 
the program costs as stated in the agreement; except, the Federal share 
may be increased to 90 percent when two or more States having a common 
interest in one or more endangered or threatened resident species, the 
conservation of which may be enhanced by cooperation of such States, 
jointly enter into an agreement with the Director.
    (b) The State share of program costs may be in the form of cash or 
in-kind contributions, including real property, subject to standards 
established by the Director as provided in Federal Management Circular 
74-7.
    (c) Payments of funds, including payment of such preliminary costs 
and expenses as may be incurred in connection with projects, shall not 
be made unless all documents that may be necessary or required in the 
administration of the Act shall have first been submitted to and 
approved by the Director. Payments shall be made for expenditures 
reported and certified by the State agency. Payments shall be made only 
to the State office or official designated by the State agency and 
authorized under the laws of the State to receive public funds for the 
State.
    (d) Vouchers and forms provided by the Director and certified as 
therein prescribed, showing amounts expended and the amount of Federal 
Aid funds claimed to be due on account thereof, shall be submitted to 
the Director by the State agency.

[41 FR 24354, June 16, 1976, as amended at 49 FR 30074, July 26, 1984]



Sec. 225.10   Assurances.

    A State shall certify that it will comply with all applicable 
Federal laws, regulations, and requirements as they relate to the 
application, acceptance, and use of Federal funds for projects under the 
Act in accordance with Federal Management Circular 74-7.



Sec. 225.11   Submission of documents.

    Documents required by section 6 of the Act or by these regulations 
shall be addressed to the Director, National Marine Fisheries Service, 
Washington, DC 20235.



Sec. 225.12   Project evaluation.

    Any difference of opinion about a proposed project or appraised 
value of land to be acquired or any other related matter will be 
considered by qualified representatives of the Director and the State. 
Final determination in the event of continued disagreement rests with 
the Director.



Sec. 225.13   Contracts.

    The State may use its own regulations in obtaining services provided 
they adhere to Federal laws and the requirements set forth in Federal 
Management Circular 74-7. The State is the responsible authority without 
recourse to the Director regarding settlement of contractual issues.



Sec. 225.14   Inspection.

    Supervision of each project by the State shall include adequate and 
continuous inspection. The project will be subject to periodic Federal 
inspection.



PART 226--DESIGNATED CRITICAL HABITAT--Table of Contents




                         Subpart A--Introduction

Sec.
226.1  Purpose of regulations.
226.2  Scope of regulations.

             Subpart B--Critical Habitat for Marine Mammals

226.11  Northwestern Hawaiian Islands.
226.12  North Pacific Ocean.
226.13  North Atlantic Ocean.

                  Subpart C--Critical Habitat for Fish

226.21  Sacramento River winter-run chinook salmon (Oncorhynchus 
          tshawytscha).

[[Page 96]]

226.22  Snake River sockeye salmon (Oncorhynchus nerka), Snake River 
          spring/summer chinook salmon (Oncorhynchus tshawytscha), Snake 
          River fall chinook salmon (Oncorhynchus tshawytscha).

             Subpart D--Critical Habitat for Marine Reptiles

226.71  Sandy Point, St. Croix, U.S. Virgin Islands.

Table 1 to Part 226
Table 2 to Part 226
Table 3 to Part 226
Figure 1 to Part 226
Figure 2 to Part 226
Figure 3 to Part 226
Figure 4 to Part 226
Figure 5 to Part 226
Figure 6 to Part 226
Figure 7 to Part 226
Figure 8 to Part 226

    Authority: 16 U.S.C. 1533.

    Source: 44 FR 17711, Mar. 23, 1979, unless otherwise noted.



                         Subpart A--Introduction



Sec. 226.1  Purpose of regulations.

    The regulations contained in this part identify those habitats 
designated as critical under section 7 of the Endangered Species Act, as 
amended, by the Assistant Administrator for Fisheries, National Oceanic 
and Atmospheric Administration, for those endangered and threatened 
species under the jurisdiction of the Secretary of Commerce. The list of 
these species is found in 50 CFR 222.23(a) for endangered species and 50 
CFR 227.4 for threatened species.



Sec. 226.2  Scope of regulations.

    (a) The critical habitat designations contained in this part apply 
only to the endangered and threatened species listed in this part.
    (b) Regulations implementing section 7 of the Endangered Species 
Act, as amended, are found in 50 CFR part 402.
    (c) The provisions in this part are in addition to, and not in lieu 
of other regulations of parts 217 through 227 and 402 of this chapter.



             Subpart B--Critical Habitat for Marine Mammals



Sec. 226.11  Northwestern Hawaiian Islands.

                           Hawaiian Monk Seal

                        (Monachus schauinslandi)

    All beach areas, sand spits and islets, including all beach crest 
vegetation to its deepest extent inland, lagoon waters, inner reef 
waters, and ocean waters out to a depth of 20 fathoms around the 
following:

Kure Atoll (28 deg.24'N, 178 deg.20'W)
Midway Islands, except Sand Island and its harbor (28 deg.14' N, 
177 deg.22' W)
Pearl and Hermes Reef (27 deg.55' N, 175 deg. W)
Lisianski Island (26 deg.46' N, 173 deg.58' W)
Laysan Island (25 deg.46' N, 171 deg.44' W)
Maro Reef (25 deg.25' N, 170 deg.35' W)
Gardner Pinnacles (25 deg.00' N, 168 deg.00' W)
French Frigate Shoals (23 deg.45' N, 166 deg.00' W)
Necker Island (23 deg.34' N, 164 deg.42' W)
Nihoa Island (23 deg.03.5' N, 161 deg.55.5' W).

[[Page 97]]

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[53 FR 18990, May 26, 1988]

[[Page 105]]



Sec. 226.12  North Pacific Ocean.

                  Steller Sea Lion (Eumetopias jubatus)

    (a) Alaska rookeries, haulouts, and associated areas. In Alaska, all 
major Steller sea lion rookeries identified in Table 1 and major 
haulouts identified in Table 2 and associated terrestrial, air, and 
aquatic zones. Critical habitat includes a terrestrial zone that extends 
3,000 feet (0.9 km) landward from the baseline or base point of each 
major rookery and major haulout in Alaska. Critical habitat includes an 
air zone that extends 3,000 feet (0.9 km) above the terrestrial zone of 
each major rookery and major haulout in Alaska, measured vertically from 
sea level. Critical habitat includes an aquatic zone that extends 3,000 
feet (0.9 km) seaward in State and Federally managed waters from the 
baseline or basepoint of each major rookery and major haulout in Alaska 
that is east of 144 deg. W. longitude. Critical habitat includes an 
aquatic zone that extends 20 nm (37 km) seaward in State and Federally 
managed waters from the baseline or basepoint of each major rookery and 
major haulout in Alaska that is west of 144 deg. W. longitude.
    (b) California and Oregon rookeries and associated areas. In 
California and Oregon, all major Steller sea lion rookeries identified 
in Table 1 and associated air and aquatic zones. Critical habitat 
includes an air zone that extends 3,000 feet (0.9 km) above areas 
historically occupied by sea lions at each major rookery in California 
and Oregon, measured vertically from sea level. Critical habitat 
includes an aquatic zone that extends 3,000 feet (0.9 km) seaward in 
State and Federally managed waters from the baseline or basepoint of 
each major rookery in California and Oregon.
    (c) Three special aquatic foraging areas in Alaska. Three special 
aquatic foraging areas in Alaska, including the Shelikof Strait area, 
the Bogoslof area, and the Seguam Pass area.
    (1) Critical habitat includes the Shelikof Strait area in the Gulf 
of Alaska which is identified in Figure 2 and consists of the area 
between the Alaska Peninsula and Tugidak, Sitkinak, Aiaktilik, Kodiak, 
Raspberry, Afognak and Shuyak Islands (connected by the shortest lines); 
bounded on the west by a line connecting Cape Kumlik (56 deg.38''N/
157 deg.27'W) and the southwestern tip of Tugidak Island (56 deg.24'N/
154 deg.41'W) and bounded in the east by a line connecting Cape Douglas 
(58 deg.51'N/153 deg.15'W) and the northernmost tip of Shuyak Island 
(58 deg.37'N/152 deg.22'W).
    (2) Critical habitat includes the Bogoslof area in the Bering Sea 
shelf which is identified in Figure 3 and consists of the area between 
170 deg.00'W and 164 deg.00'W, south of straight lines connecting 
55 deg.00'N/170 deg.00'W and 55 deg.00'N/168 deg.00'W; 55 deg.30'N/
168 deg.00'W and 55 deg.30'N/166 deg.00'W; 56 deg.00'N/166 deg.00'W and 
56 deg.00'N/164 deg.00'W and north of the Aleutian Islands and straight 
lines between the islands connecting the following coordinates in the 
order listed:

52 deg.49.2'N/169 deg.40.4'W
52 deg.49.8'N/169 deg.06.3'W
53 deg.23.8'N/167 deg.50.1'W
53 deg.18.7'N/167 deg.51.4'W
53 deg.59.0'N/166 deg.17.2'W
54 deg.02.9'N/166 deg.03.0'W
54 deg.07.7'N/165 deg.40.6'W
54 deg.08.9'N/165 deg.38.8'W
54 deg.11.9'N/165 deg.23.3'W
54 deg.23.9'N/164 deg.44.0'W

    (3) Critical habitat includes the Seguam Pass area which is 
identified in Figure 4 and consists of the area between 52 deg.00'N and 
53 deg.00'N and between 173 deg.30'W and 172 deg.30'W.

[58 FR 45278, Aug. 27, 1993]



Sec. 226.13  North Atlantic Ocean.

               Northern Right Whale (Eubalaena glacialis)

    (a) Great South Channel. The area bounded by 41 deg.40' N/69 deg.45' 
W; 41 deg.00' N/69 deg.05' W; 41 deg.38' N/68 deg.13' W; and 42 deg.10' 
N/68 deg.31' W (Figure 6 to part 226).
    (b) Cape Cod Bay, Massachusetts. The area bounded by 42 deg.04.8' N/
70 deg.10' W; 42 deg.12' N/70 deg.15' W; 42 deg.12' N/70 deg.30' W; 
41 deg.46.8' N/70 deg.30' W and on the south and east by the interior 
shore line of Cape Cod, Massachusetts (Figure 7 to part 226).
    (c) Southeastern United States. The coastal waters between 
31 deg.15' N and 30 deg.15' N from the coast out 15 nautical miles; and 
the coastal waters between 30 deg.15' N and 28 deg.00' N from the coast 
out 5 nautical miles (Figure 8 to part 226).

[59 FR 28805, June 3, 1994]

[[Page 106]]



                  Subpart C--Critical Habitat for Fish

    Source: 58 FR 33218, June 16, 1993, unless otherwise noted.



Sec. 226.21  Sacramento River winter-run chinook salmon (Oncorhynchus tshawytscha).

    The following waterways, bottom and water of the waterways and 
adjacent riparian zones: The Sacramento River from Keswick Dam, Shasta 
County (River Mile 302) to Chipps Island (River Mile 0) at the westward 
margin of the Sacramento-San Joaquin Delta, all waters from Chipps 
Island westward to Carquinez Bridge, including Honker Bay, Grizzly Bay, 
Suisun Bay, and Carquinez Strait, all waters of San Pablo Bay westward 
of the Carquinez Bridge, and all waters of San Francisco Bay (north of 
the San Francisco/Oakland Bay Bridge) from San Pablo Bay to the Golden 
Gate Bridge.



Sec. 226.22  Snake River Sockeye Salmon (Oncorhynchus nerka), Snake River Spring/Summer Chinook Salmon (Oncorhynchus tshawytscha), Snake River Fall Chinook 
          Salmon (Oncorhynchus tshawytscha).

    The following areas consisting of the water, waterway bottom, and 
adjacent riparian zone of specified lakes and river reaches in 
hydrologic units presently or historically accessible to listed Snake 
River salmon (except reaches above impassable natural falls, and 
Dworshak and Hells Canyon Dams). Adjacent riparian zones are defined as 
those areas within a horizontal distance of 300 feet (91.4 m) from the 
normal line of high water of a stream channel (600 feet or 182.8 m, when 
both sides of the stream channel are included) or from the shoreline of 
a standing body of water. Figure 5 identifies the general geographic 
extent of larger rivers, lakes, and streams within hydrologic units 
designated as critical habitat for Snake River sockeye, spring/summer 
chinook, and fall chinook salmon. Note that Figure 5 does not constitute 
the definition of critical habitat, but instead is provided as a general 
reference to guide Federal agencies and interested parties in locating 
the general boundaries of critical habitat for listed Snake River 
salmon. The complete text delineating critical habitat for each species 
follows. Hydrologic units (Table 3) are those defined by the Department 
of the Interior (DOI), U.S. Geological Survey (USGS) publication, 
``State Hydrologic Unit Maps,'' pages 1 to 22 and 17-1 to 17-13, Open-
file Report 84-708, 1984, and the following DOI, USGS, 1:500,000 scale 
hydrologic unit maps: State of Oregon, 1974; State of Washington, 1974; 
State of Idaho, 1974, which are incorporated by reference. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of 
the USGS publication and maps may be obtained from the USGS, Map Sales, 
Box 25286, Denver, CO 80225. Copies may be inspected at NMFS, Endangered 
Species Branch, Environmental and Technical Services Division, 911 NE. 
11th Avenue, room 620, Portland, OR 97232, NMFS, Office of Protected 
Resources, 1335 East-West Highway, Silver Spring, MD 20910, or at the 
Office of the Federal Register, 800 North Capitol Street, NW., suite 
700, Washington, DC.
    (a) Snake River Sockeye Salmon (Oncorhynchus nerka). The Columbia 
River from a straight line connecting the west end of the Clatsop jetty 
(south jetty, Oregon side) and the west end of the Peacock jetty (north 
jetty, Washington side) and including all Columbia River estuarine areas 
and river reaches upstream to the confluence of the Columbia and Snake 
Rivers; all Snake River reaches from the confluence of the Columbia 
River upstream to the confluence of the Salmon River; all Salmon River 
reaches from the confluence of the Snake River upstream to Alturas Lake 
Creek; Stanley, Redfish, Yellow Belly, Pettit, and Alturas Lakes 
(including their inlet and outlet creeks); Alturas Lake Creek, and that 
portion of Valley Creek between Stanley Lake Creek and the Salmon River. 
Critical habitat is comprised of all river lakes and reaches presently 
or historically accessible (except reaches above impassable natural 
falls, and Dworshak and Hells Canyon Dams) to Snake River sockeye salmon 
in the following hydrologic units: Lower Salmon, Lower Snake, Lower 
Snake-Asotin,

[[Page 107]]

Lower Snake-Tucannon, Middle Salmon-Chamberlain, Middle Salmon-Panther, 
and Upper Salmon. Critical habitat borders on or passes through the 
following counties in Oregon: Clatsop, Columbia, Gillium, Hood River, 
Morrow, Multnomah, Sherman, Umatilla, Wallowa, Wasco; the following 
counties in Washington: Asotin, Benton, Clark, Columbia, Cowlitz, 
Franklin, Garfield, Klickitat, Pacific, Skamania, Wahkiakum, Walla, 
Whitman; and the following counties in Idaho: Blaine, Custer, Idaho, 
Lemhi, Lewis, Nez Perce.
    (b) Snake River Spring/Summer Chinook Salmon (Oncorhynchus 
tshawytscha). The Columbia River from a straight line connecting the 
west end of the Clatsop jetty (south jetty, Oregon side) and the west 
end of the Peacock jetty (north jetty, Washington side) and including 
all Columbia River estuarine areas and river reaches proceeding upstream 
to the confluence of the Columbia and Snake Rivers; all Snake River 
reaches from the confluence of the Columbia River upstream to Hells 
Canyon Dam. Critical habitat also includes river reaches presently or 
historically accessible (except reaches above impassable natural falls, 
and Dworshak and Hells Canyon Dams) to Snake River spring/summer chinook 
salmon in the following hydrologic units: Hells Canyon, Imnaha, Lemhi, 
Little Salmon, Lower Grande Ronde, Lower Middle Fork Salmon, Lower 
Salmon, Lower Snake-Asotin, Lower Snake-Tucannon, Middle Salmon-
Chamberlain, Middle Salmon-Panther, Pahsimeroi, South Fork Salmon, Upper 
Middle Fork Salmon, Upper Grande Ronde, Upper Salmon, Wallowa. Critical 
habitat borders on or passes through the following counties in Oregon: 
Baker, Clatsop, Columbia, Gillium, Hood River, Morrow, Multnomah, 
Sherman, Umatilla, Union, Wallowa, Wasco; the following counties in 
Washington: Asotin, Benton, Clark, Columbia, Cowlitz, Franklin, 
Garfield, Klickitat, Pacific, Skamania, Wahkiakum, Walla, Whitman; and 
the following counties in Idaho: Adams, Blaine, Custer, Idaho, Lemhi, 
Lewis, Nez Perce, Valley.
    (c) Snake River Fall Chinook Salmon (Oncorhynchus tshawytscha). The 
Columbia River from a straight line connecting the west end of the 
Clatsop jetty (south jetty, Oregon side) and the west end of the Peacock 
jetty (north jetty, Washington side) and including all Columbia River 
estuarine areas and river reaches proceeding upstream to the confluence 
of the Columbia and Snake Rivers; the Snake River, all river reaches 
from the confluence of the Columbia River, upstream to Hells Canyon Dam; 
the Palouse River from its confluence with the Snake River upstream to 
Palouse Falls; the Clearwater River from its confluence with the Snake 
River upstream to its confluence with Lolo Creek; the North Fork 
Clearwater River from its confluence with the Clearwater River upstream 
to Dworshak Dam. Critical habitat also includes river reaches presently 
or historically accessible (except reaches above impassable natural 
falls, and Dworshak and Hells Canyon Dams) to Snake River fall chinook 
salmon in the following hydrologic units; Clearwater, Hells Canyon, 
Imnaha, Lower Grande Ronde, Lower North Fork Clearwater, Lower Salmon, 
Lower Snake, Lower Snake-Asotin, Lower Snake-Tucannon, and Palouse. 
Critical habitat borders on or passes through the following counties in 
Oregon: Baker, Clatsop, Columbia, Gillium, Hood River, Morrow, 
Multnomah, Sherman, Umatilla, Wallowa, Wasco; the following counties in 
Washington: Adams, Asotin, Benton, Clark, Columbia, Cowlitz, Franklin, 
Garfield, Klickitat, Lincoln, Pacific, Skamania, Spokane, Wahkiakum, 
Walla, Whitman; and the following counties in Idaho: Adams, Benewah, 
Clearwater, Idaho, Latah, Lewis, Nez Perce, Shoshone, Valley.

[58 FR 68551, Dec. 28, 1993]

[[Page 108]]



             Subpart D--Critical Habitat for Marine Reptiles



Sec. 226.71  Sandy Point, St. Croix, U.S. Virgin Islands.

              Leatherback Sea Turtle (dermochelys coriacea)

    The waters adjacent to Sandy Point, St. Croix, U.S. Virgin Islands, 
up to and inclusive of the waters from the hundred fathom curve 
shoreward to the level of mean high tide with boundaries at 
17 deg.42'12'' North and 64 deg.50'00'' West.

                           Table 1 to Part 226

    Major Steller sea lion rookery sites are identified in the following 
table. Where two sets of coordinates are given, the baseline extends in 
a clockwise direction from the first set of geographic coordinates along 
the shoreline at mean lower-low water to the second set of coordinates. 
Where only one set of coordinates is listed, that location is the base 
point.

[[Page 109]]



----------------------------------------------------------------------------------------------------------------
                                                                      Boundaries to--                           
            State/region/site             ----------------------------------------------------------------------
                                               Latitude          Longitude         Latitude         Longitude   
----------------------------------------------------------------------------------------------------------------
Alaska:                                                                                                         
    Western Aleutians:                                                                                          
        Agattu I.:                                                                                              
            Cape Sabak \1\...............  52 23.5N........  173 43.5E.......  52 22.0N........  173 41.0E      
            Gillon Point \1\.............  52 24.0N........  173 21.5E.......                                   
        Attu I.\1\.......................  52 54.5N........  172 28.5E.......  52 57.5N........  172 31.5E      
        Buldir I.\1\.....................  52 20.5N........  175 57.0E.......  52 23.5N........  172 51.0E      
    Central Aleutians:                                                                                          
        Adak I.\1\.......................  51 36.5N........  176 59.0W.......  51 38.0N........  176 59.5W      
        Agligadak I.\1\..................  52 06.5N........  172 54.0W.......                                   
        Amchitka I.:\1\                                                                                         
            Column Rock \1\..............  51 32.5N........  178 49.5E.......                                   
            East Cape \1\................  51 22.5N........  179 28.0E.......  51 21.5N........  179 25.0E      
        Ayugadak I.\1\...................  51 45.5N........  178 24.5E.......                                   
        Gramp Rock \1\...................  51 29.0N........  178 20.5W.......                                   
        Kasatochi I.\1\..................  52 10.0N........  175 31.5W.......  52 10.5N........  175 29.0W      
        Kiska I.:                                                                                               
            Lief Cove \1\................  51 57.5N........  177 21.0E.......  51 56.5N........  177 20.0E      
            Cape St. Stephen \1\.........  51 52.5N........  177 13.0E.......  51 53.5N........  177 12.0E      
        Seguam I./Saddleridge \1\........  52 21.0N........  172 35.0W.......  52 21.0N........  172 33.0W      
        Semisopochnoi I.:                                                                                       
            Pochnoi Pt \1\...............  51 58.5N........  179 45.5E.......  51 57.0N........  179 46.0E      
            Petrel Pt \1\................  52 01.5N........  179 37.5E.......  52 01.5E........  179 39.0E      
        Tag I.\1\........................  51 33.5N........  178 34.5W.......                                   
        Ulak I.\1\.......................  51 20.0N........  178 57.0W.......  51 18.5N........  178 59.5W      
        Yunaska I.\1\....................  52 42.0N........  170 38.5W.......  52 41.0N........  170 34.5W      
    Eastern Aleutian:                                                                                           
        Adugak I.\1\.....................  52 55.0N........  169 10.5W.......                                   
        Akun I./Billings Head \1\........  54 18.0N........  165 32.5W.......  54 18.0N........  165 31.5W      
        Akutan I./Cape Morgan \1\........  54 03.5N........  166 00.0W.......  54 05.5N........  166 05.0W      
        Bogoslof I.\1\ \2\...............  53 56.0N........  168 02.0W.......                                   
        Ogchul I.\1\.....................  53 00.0N........  168 24.0W.......                                   
        Sea Lion Rocks. (Amak) \1\.......  55 28.0N........  163 12.0W.......                                   
        Ugamak I.\1\.....................  54 14.0N........  164 48.0W.......  54 13.0N........  164 48.0W      
    Bering Sea:                                                                                                 
        Walrus I.\1\.....................  57 11.0N........  169 56.0W.......                                   
    Western Gulf of Alaska:                                                                                     
        Atkins I.\1\.....................  55 03.5N........  159 18.5W.......                                   
        Chernabura I.\1\.................  54 47.5N........  159 31.0W.......  54 45.5N........  159 33.5W      
        Clubbing Rocks (N) \1\...........  54 43.0N........  162 26.5W.......                                   
        Clubbing Rocks (S) \1\...........  54 42.0N........  162 26.5W.......                                   
        Pinnacle Rock \1\................  54 46.0N........  161 46.0W.......                                   
    Central Gulf of Alaska:                                                                                     
        Chirikof I.\1\...................  55 46.5N........  155 39.5W.......  55 46.5N........  155 43.0W      
        Chowiet I.\1\....................  56 00.5N........  156 41.5W.......  56 00.5N........  156 42.0W      
        Marmot I.\1\.....................  58 14.5N........  151 47.5W.......  58 10.0N........  151 51.0W      

[[Page 110]]

                                                                                                                
        Outer I.\1\......................  59 20.5N........  150 23.0W.......  59 21.0N........  150 24.5W      
        Sugarloaf I.\1\..................  58 53.0N........  152 02.0W.......                                   
    Eastern Gulf of Alaska:                                                                                     
        Seal Rocks \1\...................  60 10.0N........  146 50.0W.......                                   
        Fish I.\1\.......................  59 53.0N........  147 20.5W.......                                   
    Southeast Alaska:                                                                                           
        Forrester I......................  54 51.0N........  133 32.0W.......  54 52.5N........  133 35.5W      
        Hazy I...........................  55 52.0N........  134 34.0W.......  55 51.5N........  134 35.0W      
        White Sisters....................  57 38.0N........  136 15.5W.......                                   
Oregon:                                                                                                         
    Rogue Reef: Pyramid Rock.............  42 26.4N........  124 28.1W.......                                   
    Orford Reef:                                                                                                
        Long Brown Rock..................  42 47.3N........  124 36.2W.......                                   
        Seal Rock........................  42 47.1N........  124 35.4W.......                                   
California:                                                                                                     
    Ano Nuevo I..........................  37 06.3N........  122 20.3W.......                                   
    Southeast Farallon I.................  37 41.3N........  123 00.1W.......                                   
    Sugarloaf I. & Cape Mendocino........  40 26.0N........  124 24.0W ......                                   
----------------------------------------------------------------------------------------------------------------
\1\ Includes an associated 20 NM aquatic zone.                                                                  
\2\ Associated 20 NM aquatic zone lies entirely within one of the three special foraging areas.                 


[58 FR 45278, Aug. 27, 1993]

[[Page 111]]

                           Table 2 to Part 226

    Major Steller sea lion haulout sites in Alaska are identified in the 
following table. Where two sets of coordinates are given, the baseline 
extends in a clockwise direction from the first set of geographic 
coordinates along the shoreline at mean lower-low water to the second 
set of coordinates. Where only one set of coordinates is listed, that 
location is the basepoint.

[[Page 112]]



----------------------------------------------------------------------------------------------------------------
                                                                      Boundaries to--                           
            State/region/site             ----------------------------------------------------------------------
                                               Latitude          Longitude         Latitude         Longitude   
----------------------------------------------------------------------------------------------------------------
Alaska:                                                                                                         
    Western Aleutians:                                                                                          
        Alaid I.\1\......................  52 45.0N........  173 56.5E.......  52 46.5N........  173 51.5E      
        Attu/Chirikof Pt.\1\.............  52 30.0N........  173 26.7E.......  ................  ...............
        Shemya I.\1\.....................  52 44.0N........  174 09.0E.......  ................  ...............
    Central Aleutians:                                                                                          
        Amatignak I.\1\..................  51 13.0N........  179 08.0E.......  ................  ...............
        Amlia I:                                                                                                
            East \1\.....................  52 05.0N........  172 58.5W.......  52 06.0N........  172 57.0W      
            Sviech. Harbor \1\...........  52 02.0N........  173 23.0W.......  ................  ...............
        Amukta I. & Rocks \1\............  52 31.5N........  171 16.5W.......  52 26.5N........  171 16.5W      
        Anagaksik I.\1\..................  51 51.0N........  175 53.5W.......  ................  ...............
        Atka I.\1\.......................  52 23.5N........  174 17.0W.......  52 24.5N........  174 07.5W      
        Bobrof I.\1\.....................  51 54.0N........  177 27.0W.......  ................  ...............
        Chagulak I.\1\...................  52 34.0N........  171 10.5W.......  ................  ...............
        Chuginadak I.\1\.................  52 46.5N........  169 44.5W.......  52 46.5N........  169 42.0W      
        Great Sitkin I.\1\...............  52 06.0N........  176 10.5W.......  52 07.0N........  176 08.5W      
        Kagamil I.\1\....................  53 02.5N........  169 41.0W.......  ................  ...............
        Kanaga I:                                                                                               
            North Cape \1\...............  51 56.5N........  177 09.0W.......  ................  ...............
            Ship Rock \1\................  51 47.0N........  177 22.5W.......  ................  ...............
        Kavalga I.\1\....................  51 34.5N........  178 51.5W.......  51 34.5N........  178 49.5W      
        Kiska I./Sirius Pt.\1\...........  52 08.5N........  177 36.5E.......  ................  ...............
        Kiska I./Sobaka & Vega \1\.......  51 50.0N........  177 20.0E.......  51 48.5N........  177 20.5E      
        Little Sitkin I.\1\..............  51 59.5N........  178 30.0E.......  ................  ...............
        Little Tanaga I.\1\..............  51 50.5N........  176 13.0W.......  51 49.0N........  176 13.0W      
        Sagigik I.\1\....................  52 00.5N........  173 08.0W.......  ................  ...............
        Seguam I:                                                                                               
            South \1\....................  52 19.5N........  172 18.0W.......  52 15.0N........  172 37.0W      
            Finch Pt.\1\.................  52 23.5N........  172 25.5W.......  52 23.5N........  172 24.0W      
        Segula I.\1\.....................  52 00.0N........  178 06.5E.......  52 03.5N........  178 09.0E      
        Tanaga I.\1\.....................  51 55.0N........  177 58.5W.......  51 55.0N........  177 57.0W      
        Tanadak I. (Amlia) \1\...........  52 04.5N........  172 57.0W.......  ................  ...............
        Tanadak I. (Kiska) \1\...........  51 57.0N........  177 47.0E.......  ................  ...............
        Ugidak I.\1\.....................  51 35.0N........  178 30.5W.......  ................  ...............
        Uliaga I.\1\.....................  53 04.0N........  169 47.0W.......  53 05.0N........  169 46.0W      
        Unalga & Dinkum Rocks \1\........  51 34.0N........  179 04.0W.......  51 34.5N........  179 03.0W      
    Eastern Aleutians:                                                                                          
        Akutan I./Reef-Lava \1\..........  54 10.5N........  166 04.5W.......  54 07.5N........  166 06.5W      
        Amak I.\1\.......................  55 24.0N........  163 07.0W.......  55 26.0N........  163 10.0W      
        Cape Sedanka & Island \1\........  53 50.5N........  166 05.0W.......  ................  ...............
        Emerald I.\1\....................  53 17.5N........  167 51.5W.......  ................  ...............
        Old Man Rocks \1\................  53 52.0N........  166 05.0W.......  ................  ...............
        Polivnoi Rock \1\................  53 16.0N........  167 58.0W.......  ................  ...............
        Tanginak I.\1\...................  54 13.0N........  165 19.5W.......  ................  ...............
        Tigalda I.\1\....................  54 08.5N........  164 58.5W.......  ................  ...............

[[Page 113]]

                                                                                                                
        Umnak I./Cape Aslik \1\..........  53 25.0N........  168 24.5W.......  ................  ...............
    Bering Sea:                                                                                                 
        Cape Newenham \1\................  58 39.0N........  162 10.5W.......  ................  ...............
        Hall I.\1\.......................  60 37.0N........  173 00.0W.......  ................  ...............
        Round I.\1\......................  58 36.0N........  159 58.0W.......  ................  ...............
        St. Paul I:                                                                                             
            Northeast Point \1\..........  57 15.0N........  170 06.5W.......  ................  ...............
            Sea Lion Rock \1\............  57 06.0N........  170 17.5W.......  ................  ...............
        St. George I:                                                                                           
            S Rookery \1\................  56 33.5N........  169 40.0W.......  ................  ...............
            Dalnoi Point \1\.............  56 36.0N........  169 46.0W.......  ................  ...............
        St. Lawrence I:                                                                                         
            S Punuk I.\1\................  64 04.0N........  168 51.0W.......  ................  ...............
            SW Cape \1\..................  63 18.0N........  171 26.0W.......  ................  ...............
    Western Gulf of Alaska:                                                                                     
        Bird I. \1\......................  54 40.5N........  163 18.0W.......    ..............                 
        Castle Rock \1\..................  55 17.0N........  159 30.0W.......  ................  ...............
        Caton I.\1\......................  54 23.5N........  162 25.5W.......  ................  ...............
        Jude I.\1\.......................  55 16.0N........  161 06.0W.......  ................  ...............
        Lighthouse Rocks \1\.............  55 47.5N........  157 24.0W.......  ................  ...............
        Nagai I.\1\......................  54 52.5N........  160 14.0W.......  54 56.0N........  160 15.0W      
        Nagai Rocks \1\..................  55 50.0N........  155 46.0W.......  ................  ...............
        Sea Lion Rocks (Unga) \1\........  55 04.5N........  160 31.0W.......  ................  ...............
        South Rock \1\...................  54 18.0N........  162 43.5W.......  ................  ...............
        Spitz I.\1\......................  55 47.0N........  158 54.0W.......  ................  ...............
        The Whaleback \1\................  55 16.5N........  160 06.0W.......  ................  ...............
    Central Gulf of Alaska:                                                                                     
        Cape Barnabas \1\................  57 10.0N........  152 55.0W.......  57 07.5N........  152 55.0W      
        Cape Chiniak \1\.................  57 35.0N........  152 09.0W.......  57 37.5N........  152 09.0W      
        Cape Gull \1\ \2\................  58 13.5N........  154 09.5W.......  58 12.5N........  154 10.5W      
        Cape Ikolik \1\ \2\..............  57 17.0N........  154 47.5W.......  ................  ...............
        Cape Kuliak \1\ \2\..............  58 08.0N........  154 12.5W.......  ................  ...............
        Cape Sitkinak \1\................  56 32.0N........  153 52.0W.......  ................  ...............
        Cape Ugat \1\ \2\................  57 52.0N........  153 51.0W.......  ................  ...............
        Gore Point \1\...................  59 12.0N........  150 58.0W.......  ................  ...............
        Gull Point \1\...................  57 21.5N........  152 36.5W.......  57 24.5N........  152 39.0W      
        Latax Rocks \1\..................  58 42.0N........  152 28.5W.......  58 40.5N........  152 30.0W      
        Long I.\1\.......................  57 45.5N........  152 16.0W.......  ................  ...............
        Nagahut Rocks \1\................  59 06.0N........  151 46.0W.......  ................  ...............
        Puale Bay \1\ \2\................  57 41.0N........  155 23.0W.......  ................  ...............
        Sea Lion Rocks (Marmot) \1\......  58 21.0N........  151 48.5W.......  ................  ...............
        Sea Otter I.\1\..................  58 31.5N........  152 13.0W.......  ................  ...............
        Shakun Rock \1\ \2\..............  58 33.0N........  153 41.5W.......  ................  ...............
        Sud I.\1\........................  58 54.0N........  152 12.5W.......  ................  ...............
        Sutwik I.\1\.....................  56 32.0N........  157 14.0W.......  56 32.0N........  157 20.0W      
        Takli I. \1\ \2\.................  58 03.0N........  154 27.5W.......  58 03.0N........  154 30.0W      
        Two-headed I.\1\.................  56 54.5N........  153 33.0W.......  56 53.5N........  153 35.5W      
        Ugak I.\1\.......................  57 23.0N........  152 15.5W.......  57 22.0N........  152 19.0W      
        Ushagat I. \1\...................  58 55.0N........  152 22.0W.......    ..............                 
    Eastern Gulf of Alaska:                                                                                     
        Cape Fairweather.................  58 47.5N........  137 56.3W.......    ..............                 

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        Cape St. Elias \1\...............  59 48.0N........  144 36.0W.......  ................  ...............
        Chiswell Islands \1\.............  59 36.0N........  149 34.0W.......  ................  ...............
        Graves Rock......................  58 14.5N........  136 45.5W.......                                   
        Hook Point \1\...................  60 20.0N........  146 15.5W.......  ................  ...............
        Middleton I.\1\..................  59 26.5N........  146 20.0W.......  ................  ...............
        Perry I.\1\......................  60 39.5N........  147 56.0W.......  ................  ...............
        Point Eleanor \1\................  60 35.0N........  147 34.0W.......  ................  ...............
        Point Elrington \1\..............  59 56.0N........  148 13.5W.......  ................  ...............
        Seal Rocks \1\...................  60 10.0N........  146 50.0W.......  ................  ...............
        The Needle \1\...................  60 07.0N........  147 37.0W.......  ................  ...............
    Southeast Alaska:                                                                                           
        Benjamin I.......................  58 33.5N........  134 54.5W.......  ................  ...............
        Biali Rock.......................  56 43.0N........  135 20.5W.......  ................  ...............
        Biorka I.........................  56 50.0N........  135 34.0W.......    ..............                 
        Cape Addington...................  55 26.5N........  133 49.5W.......    ..............                 
        Cape Cross.......................  57 55.0N........  136 34.0W.......                                   
        Cape Ommaney.....................  56 10.5N........  134 42.5W.......                                   
        Coronation I.....................  55 56.0N........  134 17.0W.......                                   
        Gran Point.......................  59 08.0N........  135 14.5W.......                                   
        Lull Point.......................  57 18.5N........  134 48.5W.......                                   
        Sunset I.........................  57 30.5N........  133 35.0W.......  ................  ...............
        Timbered I.......................  55 42.0N........  133 48.0W.......  ................  ...............
----------------------------------------------------------------------------------------------------------------
\1\ Includes an associated 20 NM aquatic zone.                                                                  
\2\ Associated 20 nm aquatic zone lies entirely within one of the three special foraging areas.                 


[58 FR 45279, Aug. 27, 1993, as amended at 59 FR 30716, June 15, 1994]

[[Page 115]]


    Table 3.--Hydrologic Units \1\ Containing Critical Habitat for Endangered Snake River Sockeye Salmon and    
                          Threatened Snake River Spring/Summer and Fall Chinook Salmon                          
----------------------------------------------------------------------------------------------------------------
                                                                                      Hydrologic unit number    
                                                                                --------------------------------
                                                                                             Spring/            
                              Hydrologic unit name                                Sockeye     summer      Fall  
                                                                                   salmon    chinook    chinook 
                                                                                              salmon     salmon 
----------------------------------------------------------------------------------------------------------------
Hells Canyon...................................................................  .........   17060101   17060101
Imnaha.........................................................................  .........   17060102   17060102
Lower Snake--Asotin............................................................   17060103   17060103   17060103
Upper Grande Ronde.............................................................  .........   17060104  .........
Wallowa........................................................................  .........   17060105  .........
Lower Grande Ronde.............................................................  .........   17060106   17060106
Lower Snake--Tucannon..........................................................   17060107   17060107   17060107
Palouse........................................................................  .........  .........   17060108
Lower Snake....................................................................   17060110   17060110   17060110
Upper Salmon...................................................................   17060201   17060201  .........
Pahsimeroi.....................................................................  .........   17060202  .........
Middle Salmon--Panther.........................................................   17060203   17060203  .........
Lemhi..........................................................................  .........   17060204  .........
Upper Middle Fork Salmon.......................................................  .........   17060205  .........
Lower Middle Fork Salmon.......................................................  .........   17060206  .........
Middle Salmon--Chamberlain.....................................................   17060207   17060207  .........
South Fork Salmon..............................................................  .........   17060208  .........
Lower Salmon...................................................................   17060209   17060209   17060209
Little Salmon..................................................................  .........   17060210  .........
Clearwater.....................................................................  .........  .........   17060306
Lower North Fork Clearwater....................................................  .........  .........   17060308
----------------------------------------------------------------------------------------------------------------
\1\ Hydrologic units and names taken from DOI, USGS 1:500,000 scale hydrologic unit maps (available from USGS); 
  State of Oregon, 1974; State of Washington, 1974; State of Idaho, 1974.                                       


[58 FR 68552, Dec. 28, 1993]

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[58 FR 45284, Aug. 27, 1993]

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[58 FR 45285, Aug. 27, 1993]

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       Figure 5:  Designated critical habitat, Snake River salmon
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[58 FR 68552, Dec. 28, 1993]

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[59 FR 28805, June 3, 1994]

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PART 227--THREATENED FISH AND WILDLIFE--Table of Contents




                      Subpart A--General Provisions

Sec.
227.1  Purpose.
227.2  Scope.
227.3  Definitions.
227.4  Enumeration of threatened species.

                  Subpart B--Threatened Marine Mammals

227.11  Guadalupe fur seal.
227.12  Steller sea lion.

            Subpart C--Threatened Marine and Anadromous Fish

227.21  Threatened salmon.

                  Subpart D--Threatened Marine Reptiles

227.71  Prohibitions.
227.72  Exceptions to prohibitions.

Figure 1 to Part 227--NMFS TED
Figure 2 to Part 227--Cameron TED
Figure 3 to Part 227--Matagorda TED
Figure 4 to Part 227--Georgia TED
Figure 5 to Part 227--Morrison TED
Figure 6 to Part 227--Schematic example of Morrison TED's main panel & 
          jibs
Figure 7 to Part 227--Parrish TED
Figure 8a to Part 227--Andrews TED
Figure 8b to Part 227--Andrews TED
Figure 9a to Part 227--Taylor TED
Figure 9b to Part 227--Taylor TED
Figure 10 to Part 227--Flounder TED
Figure 11 to Part 227--Jones TED
Figure 12a to Part 227--Attachment of the Exit Hole Cover
Figure 12b to Part 227--Grid TED Leatherback Modification
Figure 13 to Part 227--Single Grid Hard TED Escape Opening

    Authority: 16 U.S.C. 1531 et seq.

    Source: 43 FR 32809, July 28, 1978, unless otherwise noted.

    Editorial Note: For a document relating to adoption of alternative 
scientific testing protocol for evaluating TEDs see 55 FR 41092, Oct. 9, 
1990.



                      Subpart A--General Provisions



Sec. 227.1  Purpose.

    The regulations contained in this part identify the species, 
subspecies, or any other group of fish and wildlife of the same species 
or smaller taxa in common spatial arrangement that interbreed when 
mature, under the jurisdiction of the Secretary of Commerce which have 
been determined to be threatened species under the Endangered Species 
Act of 1973 and provide for the conservation of such species by 
establishing rules and procedures to govern activities involving the 
species.



Sec. 227.2  Scope.

    (a) The regulations contained in this part apply only to the 
threatened species enumerated in Sec. 227.4.
    (b) The provision of this part are in addition to, and not in lieu 
of other regulations of parts 217 through 222 and part 225 of this 
chapter II which prescribe additional restrictions or conditions 
governing threatened species.
    (c) Certain of the threatened fish or wildlife listed in 50 CFR 
17.11 and enumerated in 50 CFR 227.4 are included in Appendix I or II to 
the Convention on International Trade in Endangered Species of Wild 
Fauna and Flora. The importation, exportation, and reexportation of such 
species are subject to additional regulations provided in part 23, 
chapter I (title 50).



Sec. 227.3  Definitions.

    In addition to the definitions contained in the Act, and in parts 
217 and 225 of this chapter, and unless the context otherwise requires, 
in this part 227:
    (a) Act means the Endangered Species Act of 1973, as amended, 16 
U.S.C. 1531 through 1547;
    (b) Assistant Administrator means the Assistant Administrator for 
Fisheries, National Oceanic and Atmospheric Administration, Department 
of Commerce, or his authorized delegate. The Assistant Administrator for 
Fisheries is in charge of the National Marine Fisheries Service;
    (c) Ongoing project(s) means an activity for scientific purposes or 
to enhance the propagation or survival of such species which are not 
conducted in the course of a commercial activity initiated before the 
listing of the effected species;
    (d) Plastron means the ventral part of the shell of a sea turtle 
consisting typically of nine symmetrically placed bones overlaid by 
horny plates; and
    (e) Sea turtle(s) means those sea turtle species enumerated in 
Sec. 227.4 and

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any part(s), product(s), egg(s) or offspring thereof, or the dead body 
or part(s) thereof.



Sec. 227.4  Enumeration of threatened species.

    The species listed as threatened under the Act which are under the 
jurisdiction of the Secretary of Commerce are:
    (a) Green sea turtle (Chelonia mydas) except for those populations 
listed under 50 CFR 222.23(a).1
    (b) Loggerhead sea turtle (Caretta caretta ).1
    (c) Pacific ridley sea turtle (Lepidochelys olivacea) except for 
those populations listed under 50 CFR 222.23(a).1
---------------------------------------------------------------------------

    1 Department of Commerce, National Oceanic and Atmospheric 
Administration, National Marine Fisheries Service, jurisdiction for sea 
turtles is limited to turtles while in the water.

The effective date of the listing of the species in paragraphs (a), (b), 
and (c) of this section is September 6, 1978.
    (d) Guadalupe fur seal (Arctocephalus townsendi).
    (e) Steller (northern) sea lion (Eumetopias jubatus).
    (f) Snake River spring/summer chinook salmon (Oncorhynchus 
tshawytscha). Includes all natural population(s) of spring/summer 
chinook salmon in the mainstream Snake River and any of the following 
subbasins: Tucannon River, Grande Ronde River, Imnaha River, and Salmon 
River.
    (g) Snake River fall chinook salmon (Oncorhynchus tshawytscha). 
Includes all natural population(s) of fall chinook in the mainstem Snake 
River and any of the following subbasins: Tucannon River, Grande Ronde 
River, Imnaha River, Salmon River, and Clearwater River.

[43 FR 32809, July 18, 1978, as amended at 45 FR 29055, May 1, 1980; 50 
FR 51258, Dec. 16, 1985; 55 FR 46523, Nov. 5, 1990; 55 FR 49210, Nov. 
26, 1990; 57 FR 14662, Apr. 22, 1992; 59 FR 450, Jan. 4, 1994; 59 FR 
42532, Aug. 18, 1994; 60 FR 19342, Apr. 17, 1995]



                  Subpart B--Threatened Marine Mammals



Sec. 227.11  Guadalupe fur seal.

    (a) Prohibitions. The prohibitions of section 9 of the Act (16 
U.S.C. 1538) relating to endangered species apply to the Guadalupe fur 
seal except as provided in paragraph (b) of this section.
    (b) Exceptions. (1) The Assistant Administrator may issue permits 
authorizing activities which would otherwise be prohibited under 
paragraph (a) of this section in accordance with the subject to the 
provisions of part 222 subpart C--Endangered Fish or Wildlife Permits.
    (2) Any Federal, State or local government official, employee, or 
designated agent may, in the course of official duties, take a stranded 
Guadalupe fur seal without a permit if such taking:
    (i) Is accomplished in a humane manner;
    (ii) Is for the protection or welfare of the animal, is for the 
protection of the public health or welfare, or is for the salvage or 
disposal of a dead specimen;
    (iii) Includes steps designed to ensure the return of the animal to 
its natural habitat, if feasible; and
    (iv) Is reported within 30 days to the Director, Southwest Region, 
National Marine Fisheries Service, 300 S. Ferry Street, Terminal Island, 
CA 90731.
    (3) Any animal or specimen taken under paragraph (b)(2) of this 
section may only be retained, disposed of, or salvaged in accordance 
with directions from the Director, Southwest Region.

[50 FR 51258, Dec. 16, 1985]



Sec. 227.12  Steller sea lion.

    (a) Prohibitions--(1) No discharge of firearms. Except as provided 
in paragraph (b) of this section, no person subject to the jurisdiction 
of the United States may discharge a firearm at or within 100 yards 
(91.4 meters) of a Steller sea lion. A firearm is any weapon, such as a 
pistol or rifle, capable of firing a missile using an explosive charge 
as a propellant.

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    (2) No approach in buffer areas. Except as provided in paragraph (b) 
of this section:
    (i) No owner or operator of a vessel may allow the vessel to 
approach within 3 nautical miles (5.5 kilometers) of a Steller sea lion 
rookery site listed in paragraph (a)(3) of this section;
    (ii) No person may approach on land not privately owned within one-
half statutory miles (0.8 kilometers) or within sight of a Steller sea 
lion rookery site listed in paragraph (a)(3) of this section, whichever 
is greater, except on Marmot Island; and
    (iii) No person may approach on land not privately owned within one 
and one-half statutory miles (2.4 kilometers) or within sight of the 
eastern shore of Marmot Island, including the Steller sea lion rookery 
site listed in paragraph (a)(3) of this section, whichever is greater.
    (3) Listed sea lion rookery sites. Listed Steller sea lion rookery 
sites consist of the rookeries in the Aleutian Islands and the Gulf of 
Alaska listed in Table 1.

                                                   Table 1. Listed Steller Sea Lion Rookery Sites \1\                                                   
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       From                                       To                                                    
              Island               -------------------------------------------------------------------------------------    NOAA            Notes       
                                            Lat.                 Long.                 Lat.                Long.           chart                        
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Outer I........................  59 deg.20.5 N         150 deg.23.0 W       59 deg.21.0 N        150 deg.24.5 W           16681  S quadrant.         
2. Sugarloaf I....................  58 deg.53.0 N         152 deg.02.0 W                                                     16580  Whole island.       
3. Marmot I.......................  58 deg.14.5 N         151 deg.47.5 W       58 deg.10.0 N        151 deg.51.0 W           16580  SE quadrant.        
4. Chirikof I.....................  55 deg.46.5 N         155 deg.39.5 W       55 deg.46.5 N        155 deg.43.0 W           16580  S quadrant.         
5. Chowiet I......................  56 deg.00.5 N         156 deg.41.5 W       56 deg.00.5 N        156 deg.42.0 W           16013  S quadrant.         
6. Atkins I.......................  55 deg.03.5 N         159 deg.18.5 W                                                     16540  Whole island.       
7. Chernabura I...................  54 deg.47.5 N         159 deg.31.0 W       54 deg.45.5 N        159 deg.33.5 W           16540  SE corner.          
8. Pinnacle Rock..................  54 deg.46.0 N         161 deg.46.0 W                                                     16540  Whole island.       
9. Clubbing Rks (N)...............  54 deg.43.0 N         162 deg.26.5 W                                                     16540  Whole island.       
Clubbing Rks (S)..................  54 deg.42.0 N         162 deg.26.5 W                                                     16540  Whole Island.       
10. Sea Lion Rks..................  55 deg.28.0 N         163 deg.12.0 W                                                     16520  Whole island.       
11. Ugamak I......................  54 deg.14.0 N         164 deg.48.0 W       54 deg.13.0 N        164 deg.48.0 W           16520  E end of island.    
12. Akun I........................  54 deg.18.0N          165 deg.32.5W        54 deg.18.0N         165 deg.31.5W            16547  Billings Head Bight.
13. Akutan I......................  54 deg.03.5 N         166 deg.00.0 W       54 deg.05.5 N        166 deg.05.0 W           16520  SW corner, Cape     
                                                                                                                                     Morgan.            
14. Bogoslof I....................  53 deg.56.0 N         168 deg.02.0 W                                                     16500  Whole island.       
15. Ogchul I......................  53 deg.00.0 N         168 deg.24.0 W                                                     16500  Whole island.       
16. Adugak I......................  52 deg.55.0 N         169 deg.10.5 W                                                     16500  Whole island.       
17. Yunaska I.....................  52 deg.42.0 N         170 deg.38.5 W       52 deg.41.0 N        170 deg.34.5 W           16500  NE end.             
18. Seguam I......................  52 deg.21.0 N         172 deg.35.0 W       52 deg.21.0 N        172 deg.33.0 W           16480  N coast, Saddleridge
                                                                                                                                     Pt.                
19. Agligadak I...................  52 deg.06.5 N         172 deg.54.0 W                                                     16480  Whole island.       
20. Kasatochi I...................  52 deg.10.0N          175 deg.31.5W        52 deg.10.5N         175 deg.29.0W            16480  N half of island.   
21. Adak I........................  51 deg.36.5N          176 deg.59.0W        51 deg.38.0N         176 deg.59.5W            16460  SW Point, Lake      
                                                                                                                                     Point.             
22. Gramp rock....................  51 deg.29.0 N         178 deg.20.5 W                                                     16460  Whole island.       
23. Tag I.........................  51 deg.33.5 N         178 deg.34.5 W                                                     16460  Whole island.       
24. Ulak I........................  51 deg.20.0 N         178 deg.57.0 W       51 deg.18.5 N        178 deg.59.5 W           16460  SE corner, Hasgox   
                                                                                                                                     Pt.                

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25. Semisopochnoi.................  51 deg.58.5 N         179 deg.45.5 E       51 deg.57.0 N        179 deg.46.0 E           16440  E quadrant, Pochnoi 
                                                                                                                                     Pt.                
Semisopochnoi.....................  52 deg.01.5 N         179 deg.37.5 E       52 deg.01.5 N        179 deg.39.0 E           16440  N quadrant, Petrel  
                                                                                                                                     Pt.                
26. Amchitka I....................  51 deg.22.5N          179 deg.28.0E        51 deg.21.5N         179 deg.25.0E            16440  East Cape.          
27. Amchitka I....................  51 deg.32.5N          178 deg.49.5E        ...................  ...................      16440  Column Rocks.       
28. Ayugadak Pt...................  51 deg.45.5 N         178 deg.24.5 E                                                     16440  SE coast of Rat     
                                                                                                                                     Island.            
29. Kiska I.......................  51 deg.57.5 N         177 deg.21.0 E       51 deg.56.5 N        177 deg.20.0 E           16440  W central, Lief     
                                                                                                                                     Cove.              
30. Kiska I.......................  51 deg.52.5 N         177 deg.13.0 E       51 deg.53.5 N        177 deg.12.0 E           16440  Cape St. Stephen.   
31. Walrus I......................  57 deg.11.0 N         169 deg.56.0 W                                                     16380  Whole island.       
32. Buldir I......................  52 deg.20.5 N         175 deg.57.0 E       52 deg.23.5 N        175 deg.51.0 E           16420  Se point to NW      
                                                                                                                                     point.             
33. Agattu I......................  52 deg.24.0 N         173 deg.21.5 E                                                     16420  Gillion Point.      
34. Agattu I......................  52 deg.23.5 N         173 deg.43.5 E       52 deg.22.0 N        173 deg.41.0 E           16420  Cape Sabak.         
35. Attu I........................  52 deg.54.5N          172 deg.28.5E        52 deg.57.5N         172 deg.31.5E            16681  S Quadrant.         
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Each site extends in a clockwise direction from the first set of geographic coordinates along the shoreline at mean lower low water to the second   
  set of coordinates; or, if only one set of geographic coordinates is listed, the site extends around the entire shoreline of the island at mean lower 
  low water.                                                                                                                                            


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    (4) Quota. If the Assistant Administrator determines and publishes 
notice that 675 Steller sea lions have been killed incidentally in the 
course of commercial fishing operations in Alaskan waters and adjacent 
areas of the U.S. Exclusive Economic Zone (EEZ) west of 141 deg. W 
longitude during any calendar year, then it will be unlawful to kill any 
additional Steller sea lions in this area. In order to monitor this 
quota, the Director, Alaska Region, National Marine Fisheries Service, 
may require the placement of an observer on any fishing vessel. If data 
indicate that the quota is being approached, the Assistant Administrator 
will issue emergency rules to establish closed areas, allocate the 
remaining quota among fisheries, or take other action(s) to ensure that 
commercial fishing operations do not exceed the quota.
    (b) Exceptions--(1) Permits. The Assistant Administrator may issue 
permits authorizing activities that would otherwise be prohibited under 
paragraph (a) of this section in accordance with and subject to the 
provisions of 50 CFR part 222, subpart C--Endangered Fish or Wildlife 
Permits.
    (2) Official activities. Paragraph (a) of this section does not 
prohibit or restrict a Federal, state or local government official, or 
his or her designee, who is acting in the course of official duties 
from:
    (i) Taking a Steller sea lion in a humane manner, if the taking is 
for the protection or welfare of the animal, the protection of the 
public health and welfare, or the nonlethal removal of nuisance animals; 
or
    (ii) Entering the buffer areas to perform activities that are 
necessary for national defense, or the performance of other legitimate 
governmental activities.
    (3) Subsistence takings by Alaska natives. Paragraph (a) of this 
section does not apply to the taking of Steller sea lions for 
subsistence purposes under section 10(e) of the Act.
    (4) Emergency situations. Paragraph (a)(2) of this section does not 
apply to an emergency situation in which compliance with that provision 
presents a threat to the health, safety, or life of a person or presents 
a significant threat to the vessel or property.
    (5) Exemptions. Paragraph (a)(2) of this section does not apply to 
any activity authorized by a prior written exemption from the Director, 
Alaska Region, National Marine Fisheries Service. Concurrently with the 
issuance of any exemption, the Assistant Administrator will publish 
notice of the exemption in the Federal Register. An exemption may be 
granted only if the activity will not have a significant adverse affect 
on Steller sea lions, the activity has been conducted historically or 
traditionally in the buffer zones, and there is no readily available and 
acceptable alternative to or site for the activity.
    (6) Navigational transit. Paragraph (a)(2) of this section does not 
prohibit a vessel in transit from passing through a strait, narrows, or 
passageway listed in this paragraph if the vessel proceeds in continuous 
transit and maintains a minimum of 1 nautical mile from the rookery 
site. The listing of a strait, narrows, or passageway does not indicate 
that the area is safe for navigation. The listed straits, narrows, or 
passageways include the following:

------------------------------------------------------------------------
                Rookery                     Straits, narrows, or pass   
------------------------------------------------------------------------
Akutan Island..........................  Akutan Pass between Cape Morgan
                                          and Unalga Island.            
Clubbing Rocks.........................  Between Clubbing Rocks and     
                                          Cherni Island.                
Outer Island...........................  Wildcat Pass between Rabbit and
                                          Ragged Islands.               
------------------------------------------------------------------------


    (c) Penalties. (1) Any person who violates this section or the Act 
is subject to the penalties specified in section 11 of the Act, and any 
other penalties provided by law.
    (2) Any vessel used in violation of this section or the Endangered 
Species Act is subject to forfeiture under section 11(e)(4)(B) of the 
Act.

[55 FR 49210, Nov. 26, 1990, as amended at 56 FR 42542, Aug. 28, 1991; 
56 FR 58184, Nov. 18, 1991; 58 FR 16371, Mar. 26, 1993; 58 FR 53139, 
53141, Oct. 14, 1993; 58 FR 58594, Nov. 2, 1993]

[[Page 158]]



            Subpart C--Threatened Marine and Anadromous Fish



Sec. 227.21  Threatened salmon.

    (a) Prohibitions. The prohibitions of section 9 of the Act (16 
U.S.C. 1539) relating to endangered species apply to threatened species 
of salmon listed in Sec. 227.4(f) and (g), except as provided in 
paragraph (b) of this section.
    (b) Exceptions. The exceptions of section 10 of the Act (16 U.S.C. 
1538) and other exceptions under the Act relating to endangered species, 
including regulations implementing such exceptions, also apply to the 
threatened species of salmon listed in Sec. 227.4(f) and (g). This 
section supersedes other restrictions on the applicability of parts 217 
through 222 of this chapter, including, but not limited to, the 
restrictions specified in Secs. 217.2, 222.2(a) and 222.22(a) of this 
chapter with respect to the species identified in paragraph (a) of this 
section.

[60 FR 19342, Apr. 17, 1995]



                  Subpart D--Threatened Marine Reptiles



Sec. 227.71  Prohibitions.

    (a) Except as provided in Sec. 227.72, the prohibitions of section 9 
of the Act (16 U.S.C. 1538) relating to endangered species apply to any 
species of sea turtle enumerated in Sec. 227.4.
    (b) Except as provided in Sec. 227.72, it is unlawful for any person 
subject to the jurisdiction of the United States to do any of the 
following:
    (1) Own, operate, or be on board a vessel, except if that vessel is 
in compliance with all applicable provisions of Sec. 227.72(e);
    (2) Fish for, catch, take, harvest, or possess, fish or wildlife 
while on board a vessel, except if that vessel is in compliance with all 
applicable provisions of Sec. 227.72(e);
    (3) Fish for, catch, take, harvest, or possess, fish or wildlife 
contrary to any notice of tow-time or other restriction specified in, or 
issued under, Sec. 227.72(e) (3) or (6);
    (4) Possess fish or wildlife taken in violation of paragraph (b) of 
this section;
    (5) Fail to follow any of the sea turtle handling and resuscitation 
requirements specified in Sec. 227.72(e)(1);
    (6) Possess a sea turtle in any manner contrary to the handling and 
resuscitation requirements of Sec. 227.72(e) (1);
    (7) Fail to comply immediately, in the manner specified at 50 CFR 
620.8 (b)-(d), with instructions and signals specified therein issued by 
an authorized officer, including instructions and signals to haul back a 
net for inspection;
    (8) Refuse to allow an authorized officer to board a vessel, or to 
enter an area where fish or wildlife may be found, for the purpose of 
conducting a boarding, search, inspection, seizure, investigation, or 
arrest in connection with enforcement of this section;
    (9) Destroy, stave, damage, or dispose of in any manner, fish or 
wildlife, gear, cargo, or any other matter after a communication or 
signal from an authorized officer, or upon the approach of such an 
officer or of an enforcement vessel or aircraft, before the officer has 
an opportunity to inspect same, or in contravention of directions from 
the officer;
    (10) Assault, resist, oppose, impede, intimidate, threaten, 
obstruct, delay, prevent, or interfere with an authorized officer in the 
conduct of any boarding, search, inspection, seizure, investigation, or 
arrest in connection with enforcement of this section;
    (11) Interfere with, delay, or prevent by any means, the 
apprehension of another person, knowing that such person committed an 
act prohibited by this section;
    (12) Resist a lawful arrest for an act prohibited by this section;
    (13) Make a false statement, oral or written, to an authorized 
officer or to the agency concerning the fishing for, catching, taking, 
harvesting, landing, purchasing, selling, or transferring fish or 
wildlife, or concerning any other matter subject to investigation under 
this section by such officer, or required to be submitted under this 
part 227;
    (14) Sell, barter, trade or offer to sell, barter, or trade, a TED 
that is not an approved TED; or
    (15) Attempt to do, solicit another to do, or cause to be done, any 
of the foregoing.

[[Page 159]]

    (c) In connection with any action alleging a violation of this 
section, any person claiming the benefit of any exemption, exception, or 
permit under this subpart D has the burden of proving that the 
exemption, exception, or permit is applicable, was granted, and was 
valid and in force at the time of the alleged violation. Further, any 
person claiming that a modification made to a TED that is the subject of 
such an action complies with the requirements of Sec. 227.72(e) (4)(iii) 
has the burden of proving such claim.

[57 FR 57354, Dec. 4, 1992]



Sec. 227.72  Exceptions to prohibitions.

    (a) Scientific, propagation, or survival permits. (1) The Assistant 
Administrator may issue permits authorizing activities which would 
otherwise be prohibited under Sec. 227.71 for scientific purposes or to 
enhance the propagation or survival of such species. Applications for 
these permits are subject to the provisions of part 220 of this chapter 
II.
    (2) Ongoing scientific, propagation, or survival projects, which 
would otherwise be prohibited by Sec. 227.71 may continue without a 
permit until an application for a permit has been denied or 90 days from 
the effective date of the listing of the effected species, whichever 
comes first. If a permit has not been denied, ongoing projects may 
continue beyond this 90-day period provided that the individual 
responsible for such project(s) has applied for a permit and receives a 
letter from the Assistant Administrator stating that the application is 
complete and sufficient for processing within the 90-day period. 
Projects not receiving a permit or letter indicating sufficiency by the 
90th day must cease. Within 30 days of receipt of an application, the 
Assistant Administrator will determine the completeness and sufficiency 
of the application for processing. If an application is deemed complete 
and sufficient for processing, a permit will be issued or denied within 
the next 90 days beginning with the date of the letter informing the 
applicant that the application is sufficient. Approved projects shall 
continue in accordance with the conditions of the permit.
    (b) Permits for zoological exhibition or educational purposes. The 
Assistant Administrator may issue permits authorizing activities which 
would be otherwise prohibited under Sec. 227.71 for zoological 
exhibition or educational purposes. Applications for these permits are 
subject to the provisions of part 220 of this chapter II.
    (c) Exceptions for injured, dead, or stranded specimens. If any 
member of any threatened species listed in Sec. 227.4 is found injured, 
dead, or stranded, any agent or employee of the National Marine 
Fisheries Service, the Fish and Wildlife Service, the U.S. Coast Guard, 
or any other Federal land or water management agency, or any agent or 
employee of a State agency responsible for fish and wildlife who is 
designated by his or her agency for such purposes, may, when acting in 
the course of his or her official duties, take such specimens without a 
permit if such taking is necessary to aid a sick, injured, or stranded 
specimen or dispose of a dead specimen or salvage a dead specimen which 
may be useful for scientific study. Wherever possible, live specimens 
shall be returned to their aquatic environment as soon as possible. 
Every action shall be reported in writing to the Assistant Administrator 
within 30 days, and reports of further occurrence shall be made as 
deemed appropriate by the Assistant Administrator until the specimen is 
either returned to its environment or disposed of. Reports shall be 
mailed by registered or certified mail, return receipt requested, to the 
Assistant Administrator for Fisheries, National Marine Fisheries 
Service, Washington, DC 20235, and shall contain the following 
information:
    (1) Name and position of the official or employee involved;
    (2) Description of the specimen(s) involved;
    (3) Date and location of disposal;
    (4) Circumstances requiring the action;
    (5) Method of disposal;
    (6) Disposition of the specimen(s), including, where the specimen(s) 
has been retained in captivity, a description of the place and means of 
confinement, and the measures taken for its maintenance and care; and

[[Page 160]]

    (7) Such other information as the Assistant Administrator may 
require.
    (d) Exception for research or conservation. Any employee or agent of 
the National Marine Fisheries Service, the Fish and Wildlife Service, or 
a State fish and wildlife agency operating a conservation program 
pursuant to the terms of a Cooperative Agreement with the National 
Marine Fisheries Service or the Fish and Wildlife Service in accordance 
with section 6(c) of the Act, designated by his or her agency for such 
purposes, may, when acting in the course of his or her official duties, 
take any threatened species to carry out scientific research or 
conservation programs. All such takings shall be reported within 30 days 
of the taking to the Assistant Administrator who may request additional 
reports of the taking and research at his discretion.
    (e) Exception for incidental taking-- (1) General. The prohibitions 
against taking in Sec. 227.71(a) do not apply to the incidental take of 
any member of any species of sea turtle listed in Sec. 227.4 (i.e., a 
take not directed toward such member) during fishing or scientific 
research activities, to the extent that those involved are in compliance 
with the requirements of paragraphs (e)(1), (2), (3), and (6) of this 
section, or in compliance with the terms and conditions of an incidental 
take permit issued pursuant to paragraph (e)(7) of this section.
    (i) Any specimen so taken must be handled with due care to prevent 
injury to live specimens, observed for activity, and returned to the 
water according to the following procedures:
    (A) Sea turtles that are dead or actively moving must be released 
over the stern of the boat. In addition, they must be released only when 
trawls are not in use, when the engine gears are in neutral position, 
and in areas where they are unlikely to be recaptured or injured by 
vessels.
    (B) Resuscitation must be attempted on sea turtles that are comatose 
or inactive but not dead by:
    (1) Placing the turtle on its back (carapace) and pumping its 
breastplate (plastron) with hand or foot; or
    (2) Placing the turtle on its breastplate (plastron) and elevating 
its hindquarter several inches for a period of 1 up to 24 hours. The 
amount of the elevation depends on the size of the turtle; greater 
elevations are needed for larger turtles. Sea turtles being resuscitated 
must be shaded and kept wet or moist. Those that revive and become 
active must be released over the stern of the boat only when trawls are 
not in use, when the engine gears are in neutral position, and in areas 
where they are unlikely to be recaptured or injured by vessels. 
Similarly, sea turtles that fail to move within several hours (up to 24, 
if possible) must be returned to the water in the same manner.
    (ii) Any specimen so taken must not be consumed, sold, landed, 
offloaded, transshipped, or kept below deck.
    (2) Gear requirements--(i) TED requirement. Except as provided in 
paragraph (e)(2)(ii) of this section, any shrimp trawler that is in the 
Atlantic Area or Gulf Area must have an approved TED (as defined in 
Sec. 217.12 of this subchapter) installed in each net that is rigged for 
fishing. A net is rigged for fishing if it is in the water, or if it is 
shackled, tied, or otherwise connected to any trawl door or board, or to 
any tow rope, cable, pole or extension, either on board or attached in 
any manner to the shrimp trawler.
    (ii) Exemptions from the TED requirement. (A) A shrimp trawler is 
exempt from the TED requirements of paragraph (e)(2)(i) of this section 
if it complies with the alternative tow-time restrictions in paragraph 
(e)(3)(i) of this section and if it:
    (1) Has on board no power or mechanical-advantage trawl retrieval 
system (i.e., any device used to haul any part of the net aboard);
    (2) Is a bait shrimper that retains all live shrimp on board in a 
container with a circulating seawater system, if it does not possess 
more than 32 pounds (14.5 kg) of dead shrimp on board, and if it has on 
board a valid original state bait-shrimp license (if in a state that 
requires such a license);
    (3) Has only a pusher-head trawl, skimmer trawl, or wing net rigged 
for fishing;
    (4) Is in an area during a period for which tow-time restrictions 
apply under paragraphs (e)(3)(ii) or (iii) of

[[Page 161]]

this section, if it complies with all applicable provisions imposed 
under those paragraphs;
    (5) Prior to December 1, 1994, is in inshore waters, if it has no 
more than one net rigged for fishing (other than a test (or try) net), 
if that net has both a headrope length of less than 35 feet (10.7 m) and 
a footrope length of less than 44 feet (13.4 m).
    (B) The following fishing gear or activities are exempted from the 
TED requirements of paragraph (e)(2)(i) of this section:
    (1) A single test net (try net) with a headrope length of 20 feet 
(6.1 m) or less, if it is either pulled immediately in front of another 
net or is not connected to another net in any way, if no more than one 
test net is used at a time, and if it is not towed as a primary net;
    (2) A beam or roller trawl fished without doors, boards, or similar 
devices, that has a mouth formed by a rigid frame and rigid vertical 
bars, if none of the spaces between the bars, or between the bars and 
the frame, exceed 4 inches (10.2 cm); and
    (3) A shrimp trawler fishing for, or possessing, royal red shrimp, 
if at least 90 percent (by weight) of all shrimp either found on board, 
or offloaded from that shrimp trawler, is royal red shrimp.
    (iii) Gear requirement--summer flounder trawlers--(A) TED 
requirement. Except as provided in paragraph (e)(2)(iii)(B) of this 
section, any summer flounder trawler in the summer flounder fishery-sea 
turtle protection area must have an approved TED (as defined in 
Sec. 217.12 of this chapter) installed in each net that is rigged for 
fishing. A net is rigged for fishing if it is in the water, or if it is 
shackled, tied, or otherwise connected to any trawl door or board, or to 
any tow rope, cable, pole or extension, either on board or attached in 
any manner to the summer flounder trawler.
    (B) Exemptions from the TED requirement. Any summer flounder trawler 
north of 35 deg.46.1' N. lat. (Oregon Inlet, NC) from January 15 through 
March 15 annually is exempt from the TED requirement of paragraph 
(e)(2)(iii)(A) of this section, unless the Assistant Administrator 
determines that TED use is necessary to protect sea turtles or ensure 
compliance, pursuant to the procedures of paragraph (e)(6) of this 
section.
    (C) Monitoring. Summer flounder trawlers must carry onboard a NMFS-
approved observer if requested upon written notification from the 
Director, Southeast Region, NMFS, or the Director, Northeast Region, 
NMFS, sent to the address specified for the vessel in either the NMFS or 
state fishing permit application, or to the address specified for 
registration or documentation purposes, or upon written notification 
otherwise served on the owner or operator of the vessel. Owners and 
operators must comply with the terms and conditions specified in such 
written notification. All NMFS-approved observers will report any 
violations of this section, or other applicable regulations and laws; 
such information may be used for enforcement purposes.
    (D) Additional sea turtle conservation measures. The Assistant 
Administrator may impose other such restrictions upon summer flounder 
trawlers as he or she deems necessary or appropriate to protect sea 
turtles and ensure compliance, pursuant to the procedures of paragraph 
(e)(6) of this section. Such measures may include, but are not limited 
to, a requirement to use TEDs in areas other than summer flounder 
fishery-sea turtle protection area, a requirement to use limited tow-
times, and closure of the fishery.
    (iv) Gear requirement--leatherback conservation zone--(A) 
Leatherback surveys. From January 1 through June 30 of each year, weekly 
aerial surveys will be conducted (contingent upon weather conditions) by 
NMFS or state agents in the leatherback conservation zone (defined in 
Sec. 217.12 of this chapter). If sighting rates of greater than 10 
leatherback turtles per 50 nautical miles (92.6 km) of trackline are 
observed, the aerial surveys of that area will be replicated within 24 
hours, or as soon as practicable thereafter.
    (B) TED requirements and registration. If surveys pursuant to 
(e)(2)(iv)(A) of this section indicate a sighting rate within the 
leatherback conservation zone of greater than 10 leatherback sea turtles 
per 50 nautical miles (92.6 km) of trackline, NMFS will close, for a 2-

[[Page 162]]

week period, an area of the leatherback conservation zone encompassing 
all, or a portion of, inshore waters and offshore waters 10 nautical 
miles (18.5 km) seaward of the COLREGS demarcation line, bounded by 
1 deg. lat. coinciding with the trackline, within the leatherback 
conservation zone. Within such closed area, fishing by any shrimp 
trawler required to have a NMFS-approved TED installed in each net 
rigged for fishing is prohibited, unless the TED installed is one 
described at paragraph (e)(4)(i)(G)(2)(ii) or paragraph (e)(4)(iii)(E) 
of this section, and the owner or operator of the shrimp trawler has 
notified the Director, Southeast Region, NMFS (Regional Director) of his 
or her intention to fish in that area, in accordance with the procedure 
provided in paragraphs (e)(6)(iv) (A) through (F) of this section. If 
requested in writing from the Regional Director, owners and operators of 
shrimp trawlers in the leatherback conservation zone must carry NMFS-
approved observers aboard such vessel(s). A shrimp trawler in the 
leatherback conservation zone must comply with the terms and conditions 
specified in such written request, as well as provide information on 
trawling hours, gear modifications, and turtle captures.
    (C) Notification. NMFS will immediately announce specific area 
closures on the NOAA weather radio channel, in newspapers, and other 
media. Specific area closures will be effective upon filing for public 
inspection at the Office of the Federal Register. Owners and operators 
of shrimp trawl vessels in the leatherback conservation zone are 
responsible for monitoring the NOAA weather radio channel for closure 
announcements. Shrimp trawlers may also call the Southeast Regional 
Office at (813) 570-5312 to receive updated area closure information.
    (3) Tow-time restrictions--(i) Duration of tows. If tow-time 
restrictions are utilized pursuant to paragraphs (e)(2)(ii), (e)(3)(ii), 
or (e)(3)(iii) of this section, a shrimp trawler must limit tow times to 
no more than 55 minutes from April 1 through October 31; and to no more 
than 75 minutes from November 1 through March 31. A shrimp trawler in 
the North Carolina restricted area must limit tow times to no more than 
30 minutes from May 16 through August 15. The tow time is measured from 
the time that the trawl door enters the water until it is removed from 
the water. For a trawl that is not attached to a door, the tow time is 
measured from the time the codend enters the water until it is removed 
from the water.
    (ii) Alternative--special environmental conditions. (A) The 
Assistant Administrator may allow compliance with tow-time restrictions, 
as an alternative to the TED requirement of paragraph (e)(2)(i) of this 
section, if he/she determines that the presence of algae, seaweed, 
debris or other special environmental conditions in a particular area 
makes trawling with TED-equipped nets impracticable.
    (B) North Carolina restricted area. From June 27, 1994 through 
November 30, 1994, a shrimp trawler in the North Carolina restricted 
area, as an alternative to complying with the TED requirement of 
paragraph (e)(2)(i) of this section, may comply with the tow-time 
restrictions set forth in paragraph (e)(3)(i) of this section. The owner 
or operator of a shrimp trawler who wishes to operate his or her shrimp 
trawler in the North Carolina restricted area must register pursuant to 
paragraph (e)(3)(v) of this section, with registration received by the 
Director, Southeast Region, NMFS, at least 24 hours before the first use 
of such tow times. Registration may be made by telephoning (813) 893-
3141 or writing to 9721 Executive Center Drive, St. Petersburg, FL 
33702. The owner or operator of a shrimp trawler in the North Carolina 
restricted area must carry onboard a NMFS-approved observer upon written 
notification by the Director, Southeast Region, NMFS. Notification shall 
be made to the address specified for the vessel in either the NMFS or 
state fishing permit application, the registration or documentation 
papers, or otherwise served upon the owner or operator of the vessel. 
The owner or operator must comply with the terms and conditions 
specified in such written notification. All observers will report any 
violations of this section, or other applicable regulations and laws; 
such information may be used for enforcement purposes.

[[Page 163]]

    (iii) Substitute--ineffectiveness of TEDs. The Assistant 
Administrator may require compliance with tow-time restrictions, as a 
substitute for the TED requirement of paragraph (e)(2)(i) of this 
section, if he/she determines that TEDs are ineffective in protecting 
sea turtles.
    (iv) Notice; applicability; conditions. The Assistant Administrator 
will publish notification concerning any tow-time restriction imposed 
under paragraphs (e)(3) (ii) or (iii) of this section in the Federal 
Register and will announce it in summary form on channel 16 of the 
marine VHF radio. A notification of tow-time restrictions will include 
findings in support of these restrictions as an alternative to, or as 
substitute for, the TED requirements of paragraph (e)(2)(i) of this 
section. The notification will specify the effective dates, the 
geographic area where tow-time restrictions apply, and any applicable 
conditions or restrictions that the Assistant Administrator determines 
are necessary or appropriate to protect sea turtles and ensure 
compliance, including, but not limited to, a requirement to carry 
observers, or for all shrimp trawlers in the area to synchronize their 
tow times so that all trawl gear remains out of the water during certain 
times. A notification withdrawing tow-time restrictions will include 
findings in support of that action.
    (v) Registration. If the Assistant Administrator imposes 
restrictions under paragraph (e)(3) (ii) or (iii) of this section, he/
she may require the owner and operator of a shrimp trawler to register 
before entering an area where, and during the time when, the 
restrictions apply. If registration is required, the trawler's owner and 
operator must submit the following information to the NMFS Regional 
Office:
    (A) The name and official number (or registration number) of the 
shrimp trawler;
    (B) The names, mailing and street addresses, and telephone numbers 
of the trawler owner and operator;
    (C) The permit number or other identification of relevant state or 
Federal fishing permit(s);
    (D) Where and when the trawler intends to fish;
    (E) Where and when the trawler will depart on any fishing trip, with 
sufficient specificity to allow for an observer to embark on the trip; 
and
    (F) Any changes in the information submitted under paragraphs 
(e)(3)(v) (A) through (E) of this section. Failure to do so immediately 
will void the registration, which will render unlawful any subsequent 
entry of the shrimp trawler into the area where and during the time when 
the restrictions apply.
    (vi) Procedures. The Assistant Administrator will consult with the 
appropriate fishery officials (state or Federal) where the affected 
shrimp fishery is located in issuing a notification concerning tow-time 
restrictions. An emergency notification can be effective for a period of 
up to 30 days and may be renewed for additional periods of up to 30 days 
each if the Assistant Administrator finds that the conditions that 
necessitated the imposition of tow-time restrictions continue to exist. 
The Assistant Administrator may invite comments on such an action, and 
may withdraw or modify the action by following procedures similar to 
those for implementation. The Assistant Administrator will implement any 
permanent tow-time restriction through rulemaking.
    (4) Approved TEDs. Any netting, webbing, or mesh that may be 
measured to determine compliance with this paragraph (e)(4) is subject 
to measurement, regardless of whether it is wet or dry. Any such 
measurement will be of the stretched mesh size.
    (i) Hard TEDs. Hard TEDs are TEDs with rigid deflector grids and are 
categorized as ``hooped hard TEDs,'' such as the NMFS and Cameron TEDs 
(Figures 1 & 2), or ``single-grid hard TEDs,'' such as the Matagorda and 
Georgia TEDs (Figures 3 & 4). Hard TEDs complying with the following 
generic design criteria are approved TEDs:
    (A) Construction materials. A hard TED must be constructed of one or 
a combination of the following materials, with minimum dimensions as 
follows:
    (1) Solid steel rod with a minimum outside diameter of \1/4\ inch 
(0.64 cm);
    (2) Fiberglass or aluminum rod with a minimum outside diameter of 
\1/2\ inch (1.27 cm); or

[[Page 164]]

    (3) Steel or aluminum tubing with a minimum outside diameter of 1/2 
inch (1.27 cm) and a minimum wall thickness of 1/8 inch (0.32 cm) (also 
known as schedule 40 tubing).
    (B) Method of attachment. A hard TED must be sewn into the trawl 
around the entire circumference of the TED with heavy twine.
    (C) Angle of deflector bars. The angle of the deflector bars must be 
between 30 deg. and 55 deg. from the normal, horizontal flow through the 
interior of the trawl.
    (D) Space between bars. The space between deflector bars, and 
between the deflector bars and the frame, must not exceed 4 inches (10.2 
cm).
    (E) Direction of bars. The deflector bars must run from top to 
bottom of the TED, as the TED is positioned in the net, except that up 
to four of the bottom bars and two of the top bars, including the frame, 
may run from side to side of the TED.
    (F) Position of escape opening. The entire width of the escape 
opening from the trawl must be centered on and immediately forward of 
the frame at either the top or bottom of the net when the net is in its 
deployed position. The escape opening must be at the top of the net when 
the slope of the deflector bars from forward to aft is upward, and must 
be at the bottom when such slope is downward. For a single-grid TED, the 
escape opening must be cut horizontally along the same plane as the TED, 
and may not be cut in a fore-and-aft direction.
    (G) Size of escape opening. (1) On a hooped hard TED, the escape 
opening must not be smaller than 25 inches by 25 inches (63.5 cm by 63.5 
cm) in the Gulf Area, or 30 inches by 30 inches (76.2 cm by 76.2 cm) in 
the Atlantic Area. A door frame may not be used over the escape opening; 
however, a webbing flap may be used as provided in paragraph 
(e)(4)(iv)(C) of this section.
    (2)(i) On a single-grid hard TED, the cut in the trawl webbing for 
the escape opening cannot be narrower than the outside width of the grid 
minus 4 inches (10.2 cm) on both sides of the grid, when measured as a 
straight line width. (Figure 13 of this part illustrates the dimensions 
of this cut.) The resulting escape opening in the net webbing must 
measure at least 32 inches (81.3 cm) in horizontal taut length and, 
simultaneously, 10 inches (25.4 cm) in vertical taut height in the Gulf 
Area; or 35 inches (88.9 cm) in horizontal taut length and, 
simultaneously, 12 inches (30.5 cm) in vertical taut height in the 
Atlantic Area. The vertical measurement must be taken at the midpoint of 
the horizontal measurement.
    (ii) Escape opening for leatherback turtles. A single-grid hard TED 
escape opening shall be enlarged to allow leatherback turtles to escape 
by cutting an exit hole in the extension forward of the TED frame 26 
inches (66 cm) deep, on each side, by 83 inches (211 cm) across (Figures 
12a and 12b of this part). Excess webbing is removed by cutting across 
\1/2\ mesh forward of the TED frame. The exit hole cover is made by 
cutting a 133-inch (338-cm) by 58-inch (148 cm) piece of webbing no 
smaller than 1\1/2\ inch (4 cm) stretch mesh and no larger than 1\5/8\ 
inch (4.2 cm) stretch mesh. The 133-inch (338 cm) edge of the cover is 
attached to the forward edge of the opening (83-inch (211-cm) edge) with 
a sewing sequence of 3:2. The cover should overlap 5 inches (13 cm) of 
the exit hole on each side. The side of the cover is attached, 
maintaining the 5-inch (13-cm) overlap, to the side of the opening by 
sewing 28 inches (71 cm) of the cover to 26 inches (66 cm) of the 
opening forward of the TED frame and by sewing 15 inches (38 cm) of the 
cover to 15 inches (38 cm) of the extension behind the TED frame. The 
cover may extend no more than 24 inches (61 cm) behind the posterior 
edge of the TED frame. The circumference of the exit opening must be 142 
inches (361 cm) when stretched. If an accelerator funnel is used with a 
single-grid hard TED, modified as above, it must also have a minimum 
circumference of 142 inches (361 cm).
    (H) Size of hoop or grid-- (1) Hooped hard TED. (i) An oval front 
hoop on a hard TED must have an inside horizontal measurement of at 
least 32 inches (81.3 cm) and an inside vertical measurement of at least 
20 inches (50.8 cm) in the Gulf Area, or an inside horizontal 
measurement of at least 35 inches (88.9 cm) and an inside vertical

[[Page 165]]

measurement of at least 30 inches (76.2 cm) in the Atlantic Area.
    (ii) A circular front hoop on a hard TED must have an inside 
diameter of at least 32 inches (81.3 cm) in the Gulf Area or 35 inches 
(88.9 cm) in the Atlantic Area.
    (2) Single-grid hard TED. A single-grid hard TED must have an inside 
horizontal and vertical measurement of at least 28 inches (71.1 cm) in 
the Gulf Area or 30 inches (76.2 cm) in the Atlantic Area. The required 
inside measurements must be at the mid-point of the deflector grid.
    (I) Flotation. Floats must be attached to the top one-half of all 
hard TEDs with bottom escape openings. The floats may be attached either 
outside or inside the net, but not to a flap. Floats attached inside the 
net must be behind the rear surface. Floats must be attached with heavy 
twine or rope. Floats must be constructed of aluminum, hard plastic, 
expanded polyvinyl chloride, or expanded ethylene vinyl acetate unless 
otherwise specified. The requirements of this paragraph may be satisfied 
by compliance with either the dimension requirements of paragraph 
(e)(4)(i)(I)(1) of this section, or the buoyancy requirements of 
paragraph (e)(4)(i)(I)(2) of this section, or the buoyancy-dimension 
requirements of paragraph (e)(4)(i)(I)(3) of this section. If roller 
gear is used pursuant to paragraph (e)(4)(iv)(E), the roller gear must 
be included in the circumference measurement of the TED or the total 
weight of the TED.
    (1) Float dimension requirements. (i) For hard TEDs with a 
circumference of 120 inches (304.8 cm) or more, a minimum of either one 
round, aluminum or hard plastic float, no smaller than 9.8 inches (25.0 
cm) in diameter, or two expanded polyvinyl chloride or expanded ethylene 
vinyl acetate floats, each no smaller than 6.75 inches (17.2 cm) in 
diameter by 8.75 inches (22.2 cm) in length, must be attached.
    (ii) For hard TEDs with a circumference of less than 120 inches 
(304.8 cm), a minimum of either one round, aluminum or hard plastic 
float, no smaller than 9.8 inches (25.0 cm) in diameter, or one expanded 
polyvinyl chloride or expanded ethylene vinyl acetate float, no smaller 
than 6.75 inches (17.2 cm) in diameter by 8.75 inches (22.2 cm) in 
length, must be attached.
    (2) Float buoyancy requirements. Floats of any size and in any 
combination must be attached such that the combined buoyancy of the 
floats, as marked on the floats, equals or exceeds the weight of the 
hard TED, as marked on the TED. The buoyancy of the floats and the 
weight of the TED must be clearly marked on the floats and the TED as 
follows:
    (i) Float buoyancy markings. Marking must be made in clearly legible 
raised or recessed lettering by the original manufacturer. The marking 
must identify the buoyancy of the float in water, expressed in grams or 
kilograms, and must include the metric unit of measure. The marking may 
additionally include the buoyancy in English units. The marking must 
identify the nominal buoyancy for the manufactured float.
    (ii) TED weight markings. The marking must be made by a registered 
TED manufacturer and must be permanent and clearly legible and must be 
accompanied by the identifying symbol of the registered manufacturer. 
The marking must identify the in-air, dry weight of the TED, expressed 
in grams or kilograms, and must include the metric unit of measure. The 
marking may additionally include the weight in English units. The marked 
weight must represent the actual weight of the individual TED as 
manufactured. Previously manufactured TEDs may be marked upon return to 
a registered TED manufacturer. Where a TED is comprised of multiple 
detachable components, the weight of each component must be separately 
marked. A TED manufacturer may become registered to mark TEDs by 
requesting registration in writing from the NMFS Southeast Regional 
Director. To request registration, the manufacturer should write to the 
Director, Southeast Region, NMFS, 9721 Executive Center Dr. North, St. 
Petersburg, FL 33702, and include the manufacturer's name, address, and 
telephone number; the sizes, styles, and anticipated number of TEDs to 
be produced annually; the method of marking; and a description of the 
manufacturer's distinctive, identifying

[[Page 166]]

symbol. Upon receipt of a complete request, the Director, Southeast 
Region, NMFS, will notify the manufacturer in writing of their 
registration.
    (3) Buoyancy-dimension requirements. Floats of any size and in any 
combination, provided that they are marked pursuant to paragraph 
(e)(4)(i)(I)(2)(i) of this section, must be attached such that the 
combined buoyancy of the floats equals or exceeds the following values:
    (i) For floats constructed of aluminum or hard plastic, regardless 
of the size of the TED grid, the combined buoyancy must equal or exceed 
14 lb (6.4 kg);
    (ii) For floats constructed of expanded polyvinyl chloride or 
expanded ethylene vinyl acetate, where the circumference of the TED is 
120 inches (304.8 cm) or more, the combined buoyancy must equal or 
exceed 20 lb (9.1 kg); or
    (iii) For floats constructed of expanded polyvinyl chloride or 
expanded ethylene vinyl acetate, where the circumference of the TED is 
less than 120 inches (304.8 cm), the combined buoyancy must equal or 
exceed 10 lb (4.5 kg).
    (ii) Special Hard TEDs. Special hard TEDs are hard TEDs which do not 
meet all of the design and construction criteria of the generic 
standards. The following special hard TEDs are approved TEDs:
    (A) Flounder TED (Figure 10 of this part). The Flounder TED must be 
constructed of at least 1 1/4 inch (3.2 cm) outside diameter aluminum or 
steel pipe with a wall thickness of at least 1/8 inch (0.3 cm). It must 
have a rectangular frame with outside dimensions which can be no less 
than 51 inches (129.5 cm) in length and 32 inches (81.3 cm) in width. It 
must have at least five vertical deflector bars, with bar spacings of no 
more than 4 inches (10.2 cm). The vertical bars must be connected to the 
top of the frame and to a single horizontal bar near the bottom. The 
horizontal bar must be connected at both ends to the sides of the frame 
and parallel to the bottom bar of the frame. There must be a space no 
larger than 10 inches (25.4 cm) between the horizontal bar and the 
bottom bar of the frame. An additional vertical bar runs from the middle 
of the bottom bar to the middle of the horizontal bar dividing the 
opening at the bottom into two rectangles with an opening height of no 
more than 10 inches (25.4 cm) and an opening width of no more than 14 1/
2 inches (36.8 cm). If, because of the width of the TED, the opening 
width of the bottom rectangles exceeds the maximum allowed, additional 
vertical bars must be added. This TED must comply with paragraphs 
(e)(4)(i)(B), (e)(4)(i)(C), (e)(4)(i)(F), and (e)(4)(i)(G) of this 
section with respect to the method of attachment, the angle of the 
deflector bars, the position of the escape opening, and the size of the 
escape opening, except that the deflector bars must be positioned in the 
net to deflect turtles to the escape opening in the top of the trawl. 
This TED may not be configured with a bottom escape opening. 
Installation of an accelerator funnel is not permitted with this TED. 
Use of this TED is restricted to the Atlantic summer flounder bottom 
trawl fishery.
    (B) Jones TED (Figure 11 of this part). The Jones TED must be 
constructed of at least 1 1/4 inch (3.2 cm) outside diameter aluminum or 
steel pipe, and the pipe must have a wall thickness of at least 1/8 inch 
(0.3 cm). It must be generally oval in shape with a flattened bottom. 
The deflector bars must be attached to the frame at a 45 deg. angle from 
the horizontal positioning downward and each bar must be attached at 
only one end to the frame. The deflector bars must be attached and lie 
in the same plane as the frame. The space between the ends of the bottom 
deflector bars and the bottom frame bar must be no more than 3 inches 
(7.6 cm). The spacing between the bottom three deflector bars on each 
side must be no greater than 2 1/2 inches (6.4 cm). The spacing between 
all other deflector bars must not exceed 3 1/2 inches (8.9 cm) and 
spacing between ends of opposing deflector bars also must not exceed 3 
1/2 inches (8.9 cm). This TED must comply with paragraphs (e)(4)(i)(B), 
(e)(4)(i)(C), (e)(4)(i)(F), (e)(4)(i)(G), (e)(4)(i)(H)(2), and 
(e)(4)(i)(I) of this section with respect to the method of attachment, 
the angle of the deflector bars, the position of the escape opening, the 
size of the escape opening, the size of the grid, and flotation.

[[Page 167]]

    (iii) Soft TEDS. Soft TEDs are TEDs with deflector panels made from 
polypropylene or polyethylene netting. The following soft TEDs are 
approved TEDs:
    (A) Morrison TED (Figures 5 & 6)-- (1) Description. The Morrison TED 
uses synthetic mesh webbing for its deflector panel(s). The webbing must 
consist of number 42 (3-mm thick) or larger polypropylene or 
polyethylene webbing that is heat-set knotted or braided. The stretched 
mesh size may not exceed 8 inches (20.3 cm). The webbing may be 
installed either as one main excluder panel or as a main and two side 
(jib) excluder panels (Figure 6), so long as it forms a complete barrier 
to large objects inside the trawl net forward of the codend. The base 
(leading edge) of the excluder panel(s) must be sewn to the bottom body 
of the trawl net at least 16 feet 8 inches (5.1 m) forward of the point 
at which the codend is attached to the trawl net. The apex of the 
excluder panel(s) must be sewn to the center of the top body of the 
trawl net not more than 20 inches (50.8 cm) forward of the point at 
which the codend is attached to the trawl net. The meshes of the leading 
edge of the excluder panel shall be sewn evenly onto the bottom belly of 
the trawl following the same row of meshes from seam to seam, including 
the wings (i.e., the sides of the trawl that separate the top from the 
bottom). The leading edge of the panel cannot be installed on a bias. If 
a net extension is inserted forward of the codend, the base and apex 
attachments of the excluder panel(s) must be measured from the forward 
attachment points of such extension. The horizontal taut length of the 
stretched main excluder panel may not be less than 15 feet (4.6 m). Each 
point on the circumference of the webbing must be sewn to the trawl net. 
The meshes of the webbing must be under tension when the codend is 
pulled aft, thus forming diamond patterns pointing toward the top of the 
trawl net. As an escape opening, a slit at least 4 feet 8 inches (1.4 m) 
in taut length must be cut in a fore-and-aft direction at the top of the 
trawl net immediately forward of the apex of the panel webbing. The slit 
may not be covered or closed in any manner.
    (2) [Reserved]
    (B) Parrish TED (Figure 7). The Parrish TED consists of an extension 
and deflector panel made of synthetic mesh and a steel frame. The 
extension must be a piece of 1\3/4\-inch (4.4-cm) stretched mesh, no. 15 
thread, treated nylon, measuring 150 meshes by 100 meshes and installed 
in the trawl. When installed, the extension must be cylindrically shaped 
with a circumference of 150 meshes and a depth of 100 meshes. The 
deflector panel must slope down the inside of the extension and must be 
a rectangular piece of 8-inch (20.3-cm), stretched mesh, 3-mm diameter, 
braided polyethylene. The deflector panel must measure eight meshes 
across its leading and trailing edges and be 15\1/2\ meshes deep. The 
eight meshes at the leading edge of the deflector panel must be sewn 
into the small (1\3/4\-inch) (4.4-cm) mesh of the extension three meshes 
down from the top edge of the extension. The eight meshes at the 
trailing edge must be attached to the top edge of the frame. Each side 
edge of the deflector panel must be attached at 5\5/8\-inch (14.3-cm) 
intervals to a \3/8\-inch (1.0-cm) diameter, three-strand polydacron 
rope, which must be attached to the small mesh of the extension at 5\5/
8\-inch (14.3-cm) intervals. The deflector panel must form a complete 
barrier to large objects inside the extension forward of the frame. The 
frame must be a rectangular, \3/8\-inch (1.0-cm) diameter, welded 
galvanized steel rod unit with a 40-inch by 4-inch (101.6-cm by 10.2-cm) 
opening and small pad eyes at the top corners. The trailing-edge meshes 
of the deflector panel must be attached to the top of the frame, and 50 
lateral meshes of the extension netting (1\3/4\-inch (4.4.-cm) mesh) 
must be centered and sewn to the bottom and sides of the frame. The 
escape opening must consist of a lateral slit, measuring 40 meshes, cut 
from the leading edge at the bottom of the frame. A bungee cord having a 
50-inch (127.0-cm) non-stretched length and a \1/4\-inch (0.64-cm) 
diameter must be laced through the meshes at the cut. Opposing ends of 
the bungee cord must be secured to the opposing pad eyes at the top of 
the frame. One end of a flap measuring 50 meshes across by 30

[[Page 168]]

meshes deep must be attached to the meshes at the cut.
    (C) Andrews TED (Figures 8a and 8b of this part). The Andrews TED is 
a funnel constructed of 5-inch (12.7-cm) stretched mesh polyethylene or 
polypropylene webbing that is sewn inside a shrimp trawl. The bottom 
panel of the trawl may be used as the bottom panel of the funnel, so 
long as the bottom edges of the sides of the funnel are sewn at every 
mesh to the bottom panel of the trawl. The leading edge of the funnel 
must be sewn with heavy twine at all points to the outer trawl beginning 
on the row of meshes located 20 meshes behind the center of the footrope 
and continuing around the circumference of the trawl, following the same 
row of meshes. The webbing may not be laced with rope. The funnel must 
taper to an escape opening in the bottom of the trawl. The trailing edge 
on the funnel must be sewn at all points around the circumference of the 
escape opening. The escape opening must be at least 96 inches (243.8 cm) 
in circumference. A webbing flap may be used to cover the escape opening 
if no device holds the webbing flap closed or otherwise restricts the 
opening, and if such flap is constructed of webbing that has a stretched 
mesh size no larger than 2 inches (5.1 cm), lies on the outside of the 
trawl, is attached along its entire forward edge forward of the escape 
opening, is 50 meshes wide and 15 meshes deep, does not overlap the exit 
opening more than 5 meshes on each side (it may be attached along the 
15-mesh edge), and maintains an opening of at least 48 inches (121.9 cm) 
in a taut position.
    (D) Taylor TED (Figures 9a and 9b of this part). The Taylor TED is 
constructed of 6-inch (15.2-cm) polyethylene or polypropylene webbing 
that is heat-set knotted or braided. The Taylor TED deflector panel must 
be not less than 228 inches (580 cm) on the leading edge and not less 
than 120 inches (305 cm) long. The leading edge, sides, and apex of the 
deflector panel must be sewn to the trawl body so as to form a complete 
barrier to large objects inside the trawl net forward of the codend or 
extension. The apex may be removed not more than 24 inches (61 cm) 
forward of the rear point. If the apex is removed, a rectangular section 
24 inches (61 cm) long must be sewn evenly to the rear of the deflector 
panel to maintain the 120-inch (305-cm) length. The leading edge of the 
Taylor TED deflector panel must be sewn to the bottom body of the trawl 
net. The rear point of the deflector panel, or rear edge, if the apex is 
removed, must be sewn evenly, centered across the top body. An escape 
opening must be located on the top of the trawl body centered over the 
deflector panel. The opening must measure not less than 72 inches (183.6 
cm), must be in a single row of meshes, and must be located no farther 
forward than the point where its entire length is above the deflector 
panel--the forward edge of the opening must extend from the attachment 
of the deflector panel on one side of the body, across the top of the 
body, to the attachment of the deflector panel on the other side. All 
trawl webbing above the deflector panel between the 72-inch (183.6-cm) 
cut and the posterior edge of the deflector panel must be removed. A 
rectangular flap of nylon webbing not larger than 2-inch (5.1-cm) 
stretched mesh may be sewn to the forward edge of the escape opening. 
The width of the flap may not exceed the length of the forward edge of 
the triangular opening. The flap may extend not more than 12 inches 
(30.5 cm) beyond the rear point of the escape opening. The sides of the 
flap may be attached to the body, but may not be attached farther aft 
than the rear point of the escape opening. One row of chain not larger 
than 3/16 inch (4.76 mm) may be sewn evenly to the back edge of the 
flap. The stretched length of the chain may not exceed 84 inches (214.2 
cm).
    (E) Allowable modifications to soft TEDs. The following 
modifications may be made to the Morrison and Taylor TEDs to increase 
the size of the escape opening to permit the exclusion of leatherback 
turtles. An enlarged escape opening must be created on the top of the 
trawl body centered over the deflector panel. The opening must measure 
not less than 96 inches (244 cm), must be in a single row of meshes, and 
must be located no farther forward than the point where its entire 
length is above the deflector panel--the forward edge of the opening 
must extend

[[Page 169]]

from the attachment of the deflector panel on one side of the body, 
across the top of the body, to the attachment of the deflector panel on 
the other side. All trawl webbing above the deflector panel between the 
96-inch (244-cm) cut and the posterior edge of the deflector panel must 
be removed. A rectangular flap of nylon webbing not larger than 2-inch 
(5.1-cm) stretched mesh may be sewn to the forward edge of the escape 
opening. The width of the flap may not exceed the length of the forward 
edge of the triangular opening. The flap may extend not more than 12 
inches (30.4 cm) beyond the rear point of the escape opening. The sides 
of the flap may be attached to the body, but may not be attached farther 
aft than the rear point of the escape opening. One row of chain not 
larger than 3/16 inch (4.76 mm) may be sewn evenly to the back edge of 
the flap. The stretched length of the chain may not exceed 96 inches 
(244 cm). For the Morrison TED, the apex of the excluder panel may be 
removed no more than 48 inches (122 cm) forward of the rear edge. A 
rectangular section 48 inches (122 cm) long must then be sewn evenly to 
the rear of the excluder panel to maintain the length prescribed in the 
description of the Morrison TED. For the Morrison TED, the addition of a 
webbing flap and the modification of the excluder panel may only be done 
conjointly with the enlargement of the escape opening as described in 
this paragraph (e)(4)(iii)(E).
    (iv) Allowable modifications to TEDs. No modifications may be made 
to an approved soft TED, except for the modifications described in 
paragraph (e)(4)(iii)(E). Unless otherwise prohibited in paragraph 
(e)(4)(ii) of this section, only the following modifications may be made 
to an approved hard TED and an approved special hard TED:
    (A) Floats. In addition to floats required pursuant to paragraph 
(e)(4)(i)(I) of this section, floats may be attached to the top one-half 
of the TED, either outside or inside the net, but not to a flap. Floats 
attached inside the net must be behind the rear surface at the top of 
the TED.
    (B) Accelerator funnel. An accelerator funnel may be installed in 
the trawl, if it is made of net webbing material with a stretched mesh 
size not greater than 1 5/8 inches (4.1 cm), if it has an inside 
horizontal opening of at least 39 inches (99.1 cm) when measured in a 
taut position, if it is inserted in the net immediately forward of the 
TED, and if its rear edge does not extend past the bars of the TED. The 
trailing edge of the accelerator funnel may be attached to the TED on 
the side opposite the escape opening if not more than 1/3 of the 
circumference of the funnel is attached, and if the inside horizontal 
opening of at least 39 inches (99.1 cm) is maintained. In a downward 
shooting TED, only the top 1/3 of the circumference of the funnel may be 
attached to the TED. In an upward shooting TED, only the bottom 1/3 of 
the circumference of the funnel may be attached to the TED.
    (C) Webbing flap. A webbing flap may be used to cover the escape 
opening if no device holds it closed or otherwise restricts the opening, 
and if it is constructed of webbing with a stretched mesh size no larger 
than 1 5/8 inches (4.1 cm), lies on the outside of the trawl, is 
attached along its entire forward edge forward of the escape opening, is 
not attached on the sides beyond the row of meshes that lies 6 inches 
(15.2 cm) behind the posterior edge of the grid, and does not extend 
more than 24 inches (61.0 cm) beyond the posterior edge of the grid.
    (D) Chafing webbing. A single piece of nylon webbing, with a twine 
size no smaller than size 36 (2.46 mm in diameter), may be attached 
outside of the escape opening webbing flap to prevent chafing on bottom 
opening TEDs. This webbing may be attached along its leading edge only. 
This webbing may not extend beyond the trailing edge or sides of the 
existing escape opening webbing flap, and it must not interfere or 
otherwise restrict the turtle escape opening.
    (E) Roller gear. Roller gear may be attached to the bottom of a TED 
to prevent chafing on the bottom of the TED and the trawl net. When a 
webbing flap is used in conjunction with roller gear, the webbing flap 
must be of a length such that no part of the webbing flap can touch or 
come in contact with any part of the roller gear assembly or the means 
of attachment of the roller gear assembly to the TED, when the trawl

[[Page 170]]

net is in its normal, horizontal position. Roller gear must be 
constructed according to one of the following design criteria:
    (1) A single roller consisting of hard plastic shall be mounted on 
an axle rod, so that the roller can roll freely about the axle. The 
maximum diameter of the roller shall be 6 inches (15.24 cm), and the 
maximum width of the axle rod shall be 12 inches (30.4 cm). The axle rod 
must be attached to the TED by two support rods. The maximum clearance 
between the roller and the TED shall not exceed 1 inch (2.5 cm) at the 
center of the roller. The support rods and axle rod must be made from 
solid steel or solid aluminum rod no larger than 1/2 inch (1.28 cm) in 
diameter. The attachment of the support rods to the TED shall be such 
that there are no protrusions (lips, sharp edges, burrs, etc.) on the 
front face of the grid. The axle rod and support rods must lie entirely 
behind the plane of the face of the TED grid.
    (2) A single roller consisting of hard plastic tubing shall be 
tightly tied to the back face of the TED grid with rope or heavy twine 
passed through the center of the roller tubing. The roller shall lie 
flush against the TED. The maximum outside diameter of the roller shall 
be 3 1/2 inches (8.0 cm), the minimum outside diameter of the roller 
shall be 2 inches (5.1 cm), and the maximum length of the roller shall 
be 12 inches (30.4 cm). The roller must lie entirely behind the plane of 
the face of the grid.
    (5) Revision of generic design criteria, allowable modification of 
hard TEDs, additional soft TEDs and special hard TEDs. (i) The Assistant 
Administrator may revise the generic design criteria for hard TEDs set 
forth in paragraph (e)(4)(i) of this section, may approve special hard 
TEDs in addition to those listed in paragraph (e)(4)(ii) of this 
section, may approve soft TEDs in addition to those listed in paragraph 
(e)(4)(iii) of this section, or may approve allowable modifications to 
hard TEDs in addition to those authorized in paragraph (e)(4)(iv) of 
this section, by a regulatory amendment, if, according to a NMFS-
approved scientific protocol, the TEDs demonstrate a sea turtle 
exclusion rate of 97 percent or greater (or an equivalent exclusion 
rate). Two such protocols have been published by NMFS (52 FR 24262, June 
29, 1987; and 55 FR 41092, October 9, 1990). Testing under the protocol 
must be conducted under the supervision of the Assistant Administrator, 
and shall be subject to all such conditions and restrictions as the 
Assistant Administrator deems appropriate. Any person wishing to 
participate in such testing should contact the Director, Southeast 
Fisheries Science Center, NMFS, 75 Virginia Beach Drive, Miami, FL 
33149.
    (ii) Upon application, the Assistant Administrator may issue 
permits, subject to such conditions and restrictions as the Assistant 
Administrator deems appropriate, authorizing public or private 
experimentation aimed at improving shrimp retention efficiency of 
existing approved TEDs and at developing additional TEDs, or conducting 
fishery research, that would otherwise be subject to paragraph (e)(2) of 
this section. Applications should be addressed to the Director, 
Southeast Region, NMFS, 9450 Koger Blvd., St. Petersburg, FL 33702.
    (6) Limitations on incidental takings during fishing activities.--
(i) Limitations. The exemption for incidental takings of sea turtles in 
paragraph (e)(1) of this section does not authorize incidental takings 
during fishing activities if the takings:
    (A) Would violate the restrictions, terms, or conditions of an 
incidental take statement or biological opinion;
    (B) Would violate the restrictions, terms, or conditions of an 
incidental take permit; or
    (C) May be likely to jeopardize the continued existence of a species 
listed under the Act.
    (ii) Determination; restrictions on fishing activities. The 
Assistant Administrator may issue a determination that incidental 
takings during fishing activities are unauthorized. Pursuant thereto, 
the Assistant Administrator may restrict fishing activities in order to 
conserve a species listed under the Act, including, but not limited to, 
restrictions on the fishing activities of vessels subject to paragraph 
(e)(2)(i) of this section. The Assistant Administrator will take such 
action if he/she

[[Page 171]]

determines that restrictions are necessary to avoid unauthorized takings 
that may be likely to jeopardize the continued existence of a listed 
species. The Assistant Administrator may withdraw or modify a 
determination concerning unauthorized takings or any restriction on 
fishing activities if the Assistant Administrator determines that such 
action is warranted.
    (iii) Notice; applicability; conditions. The Assistant Administrator 
will publish a notification of a determination concerning unauthorized 
takings or a notification concerning the restriction of fishing 
activities in the Federal Register. The Assistant Administrator will 
provide as much advance notice as possible, consistent with the 
requirements of the Act, and will announce the notification in summary 
form on channel 16 of the marine VHF radio. Notification of a 
determination concerning unauthorized takings will include findings in 
support of that determination; specify the fishery, including the target 
species and gear used by the fishery, the area, and the times, for which 
incidental takings are not authorized; and include such other conditions 
and restrictions as the Assistant Administrator determines are necessary 
or appropriate to protect sea turtles and ensure compliance. 
Notification of restriction of fishing activities will include findings 
in support of the restriction, will specify the time and area where the 
restriction is applicable, and will specify any applicable conditions or 
restrictions that the Assistant Administrator determines are necessary 
or appropriate to protect sea turtles and ensure compliance. Such 
conditions and restrictions may include, but are not limited to, 
limitations on the types of fishing gear that may be used, tow-time 
restrictions, alteration or extension of the periods of time during 
which particular tow-time requirements apply, requirements to use TEDs, 
and requirements to provide observers. Notification of withdrawal or 
modification will include findings in support of that action.
    (iv) Registration. If the Assistant Administrator imposes 
restrictions under paragraph (e)(6)(ii) of this section, he/she may 
require the owner and operator of a vessel to register before entering 
an area where, and during the time when, the restrictions apply. If 
registration is required, the vessel's owner and operator must submit 
the following information to the NMFS Regional Office:
    (A) The name and official number (or registration number) of the 
vessel;
    (B) The names, mailing and street addresses, and telephone numbers 
of the vessel owner and operator;
    (C) The permit number or other identification of relevant state or 
Federal fishing permit(s);
    (D) Where and when the vessel intends to fish; and
    (E) Where and when the vessel will depart on any fishing trip, with 
sufficient specificity to allow for an observer to embark on the trip.
    (F) Any changes in the information submitted under paragraphs 
(e)(6)(iv) (A) through (E) of this section. Failure to do so immediately 
will void the registration, which will render unlawful any subsequent 
entry of the fishing vessel into the area where and during the time when 
the restrictions apply.
    (v) Procedures. The Assistant Administrator will consult with the 
appropriate fisheries officials (state or Federal) where the fishing 
activities are located in issuing notification of a determination 
concerning unauthorized takings or notification concerning the 
restriction of fishing activities. An emergency notification will be 
effective for a period of up to 30 days and may be renewed for 
additional periods of up to 30 days each. The Assistant Administrator 
may invite comments on such action, and may withdraw or modify the 
action by following procedures similar to those for implementation. The 
Assistant Administrator will implement any permanent determination or 
restriction through rulemaking.
    (7) Incidental-take permits. The Assistant Administrator may issue 
permits authorizing activities that would otherwise be prohibited in 
Sec. 227.71(a) of this chapter in accordance with section 10(a)(1)(B) of 
the Act (16 U.S.C. 1539(a)(1)(B)), and in accordance with, and subject 
to, the provisions of parts 220 and 222 of this chapter. Such permits 
may be issued for the incidental

[[Page 172]]

taking of both endangered and threatened species of sea turtles. This 
section supersedes restrictions on the scope of parts 220 and 222, 
including, but not limited to, the restrictions specified in 
Secs. 220.3, 222.1, 222.2(a) and 222.22(a).
    (f) Subsistence. The prohibition in Sec. 227.71(b) shall not apply 
with respect to the taking of any member of the species of green sea 
turtle (Chelonia mydas) in waters seaward of mean low tide for personal 
consumption by residents of the Trust Territory of the Pacific Islands 
if such taking is customary, traditional and necessary for the 
sustenance of such resident and his immediate family. Sea turtles so 
taken cannot be transferred to non-residents or sold.

[43 FR 32809, July 28, 1978]

    Editorial Note: For Federal Register citations affecting 
Sec. 227.72, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

    Effective Date Note: At 60 FR 15516, Mar. 24, 1995 in Sec. 227.72, 
paragraph (e)(4)(i)(I) was revised. Paragraph (e)(4)(i)(I)(2)(ii) 
contains information collection requirements and will not become 
effective until approval has been given by the Office of Management and 
Budget.

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[GRAPHIC] [TIFF OMITTED] TC01JY91.045



[60 FR 15519, Mar. 24, 1995]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.046



                         Figure 2 (Cameron TED)

[52 FR 24259, June 29, 1987. Redesignated at 57 FR 40868, Sept. 8, 1992]

[[Page 175]]

[GRAPHIC] [TIFF OMITTED] TC01JY91.047



                         Figure 3 Matagorda TED

[52 FR 24260, June 29, 1987. Redesignated at 57 FR 40868, Sept. 8, 1992]

[[Page 176]]

[GRAPHIC] [TIFF OMITTED] TC01JY91.048



                         Figure 4 (Georgia TED)

[52 FR 24261, June 29, 1987. Redesignated at 57 FR 40868, Sept. 8, 1992]

[[Page 177]]

[GRAPHIC] [TIFF OMITTED] TC01JY91.049


[GRAPHIC] [TIFF OMITTED] TC01JY91.050


[52 FR 37154, Oct. 5, 1987. Redesignated at 57 FR 40868, Sept. 8, 1992]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.051



[53 FR 33822, Sept. 1, 1988. Redesignated at 57 FR 40868, Sept. 8, 1992]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.052



[55 FR 41090, Oct. 9, 1990. Redesignated at 57 FR 40868, Sept. 8, 1992]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.053



[55 FR 41091, Oct. 9, 1990. Redesignated at 57 FR 40868, Sept. 8, 1992]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.054



[58 FR 28797, May 17, 1993]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.055



[58 FR 28798, May 17, 1993]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.056



[58 FR 54069, Oct. 20, 1993]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.057



[58 FR 54070, Oct. 20, 1993]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.058



[59 FR 25830, May 18, 1994]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.059



[59 FR 25831, May 18, 1994]

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[GRAPHIC] [TIFF OMITTED] TC01JY91.060



[60 FR 15520, Mar. 24, 1995]

[[Page 188]]



PART 229--AUTHORIZATION FOR COMMERCIAL FISHERIES UNDER THE MARINE MAMMAL PROTECTION ACT OF 1972--Table of Contents




                      Subpart A--General Provisions

Sec.
229.1  Purpose and scope.
229.2  Definitions.
229.3  Prohibitions.
229.4  Requirements for Category I and II fisheries.
229.5  Requirements for Category III fisheries.
229.6  Reporting requirements.
229.7  Monitoring of incidental mortalities and serious injuries.
229.8  Publication of List of Fisheries.
229.9  Emergency regulations.
229.10  Penalties.
229.11  Confidential fisheries data.
229.12  Consultation with the Secretary of the Interior.

      Subpart B--Takes of Endangered and Threatened Marine Mammals

229.20  Issuance of permits.

  Subpart C--Take Reduction Plan Regulations and Emergency Regulations 
                               [Reserved]

    Authority: 16 U.S.C. 1361 et seq.

    Source: 60 FR 45100, Aug. 30, 1995, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 229.1  Purpose and scope.

    (a) The regulations in this part implement sections 101(a)(5)(E) and 
118 of the Marine Mammal Protection Act of 1972, as amended (16 U.S.C. 
1371(a)(5)(E) and 1387) that provide for exceptions for the taking of 
marine mammals incidental to certain commercial fishing operations from 
the Act's general moratorium on the taking of marine mammals.
    (b) Section 118 of the Act, rather than sections 103 and 104, 
governs the incidental taking of marine mammals in the course of 
commercial fishing operations by persons using vessels of the United 
States, other than vessels fishing for yellowfin tuna in the eastern 
tropical Pacific Ocean purse seine fishery, and vessels that have valid 
fishing permits issued in accordance with section 204(b) of the Magnuson 
Fishery Conservation and Management Act (16 U.S.C. 1824(b)).
    (c) The regulations of Subpart B also govern the incidental taking 
by commercial fishers of marine mammals from species or stocks 
designated under the Act as depleted on the basis of their listing as 
threatened species or endangered species under the Endangered Species 
Act of 1973 (16 U.S.C. 1531 et seq.).
    (d) The regulations of this part do not apply to the incidental 
taking of California sea otters or to Northwest treaty Indian tribal 
members exercising treaty fishing rights.
    (e) Authorizations under subpart A of this part are exemptions only 
from the taking prohibitions under the Act and not those under the 
Endangered Species Act of 1973. To be exempt from the taking 
prohibitions under the Endangered Species Act, specific authorization 
under subpart B of this part is required.
    (f) Authorizations under this part do not apply to the intentional 
lethal taking of marine mammals in the course of commercial fishing 
operations.
    (g) The purposes of the regulations in this part are to: (1) Reduce 
the incidental mortality or serious injury of marine mammals occurring 
in the course of commercial fishing operations below the potential 
biological removal level for a particular stock, and
    (2) Reduce the incidental mortality or serious injury of marine 
mammals occurring in the course of commercial fishing operations to 
insignificant levels approaching a zero mortality and serious injury 
rate by the statutory deadline of April 30, 2001.



Sec. 229.2  Definitions.

    In addition to the definitions contained in the Act and Sec. 216.3 
of this chapter, and unless the context otherwise requires, in this part 
229:
    Act or MMPA means the Marine Mammal Protection Act of 1972, as 
amended (16 U.S.C. 1361 et seq.).

[[Page 189]]

    Authorization Certificate means a document issued by the Assistant 
Administrator, or designee, under the authority of section 118 of the 
Act that authorizes the incidental, but not intentional, taking of 
marine mammals in Category I or II fisheries.
    Category I fishery means a commercial fishery determined by the 
Assistant Administrator to have frequent incidental mortality and 
serious injury of marine mammals. A commercial fishery that frequently 
causes mortality or serious injury of marine mammals is one that is by 
itself responsible for the annual removal of 50 percent or more of any 
stock's potential biological removal level.
    Category II fishery means a commercial fishery determined by the 
Assistant Administrator to have occasional incidental mortality and 
serious injury of marine mammals. A commercial fishery that occasionally 
causes mortality or serious injury of marine mammals is one that, 
collectively with other fisheries, is responsible for the annual removal 
of more than 10 percent of any marine mammal stock's potential 
biological removal level and that is by itself responsible for the 
annual removal of between 1 and 50 percent, exclusive, of any stock's 
potential biological removal level. In the absence of reliable 
information indicating the frequency of incidental mortality and serious 
injury of marine mammals by a commercial fishery, the Assistant 
Administrator will determine whether the taking is ``occasional'' by 
evaluating other factors such as fishing techniques, gear used, methods 
used to deter marine mammals, target species, seasons and areas fished, 
qualitative data from logbooks or fisher reports, stranding data, and 
the species and distribution of marine mammals in the area, or at the 
discretion of the Assistant Administrator. Eligible commercial fisheries 
not specifically identified in the list of fisheries are deemed to be 
Category II fisheries until the next list of fisheries is published.
    Category III fishery means a commercial fishery determined by the 
Assistant Administrator to have a remote likelihood of, or no known 
incidental mortality and serious injury of marine mammals. A commercial 
fishery that has a remote likelihood of causing incidental mortality and 
serious injury of marine mammals is one that collectively with other 
fisheries is responsible for the annual removal of:
    (1) Ten percent or less of any marine mammal stock's potential 
biological removal level, or
    (2) More than 10 percent of any marine mammal stock's potential 
biological removal level, yet that fishery by itself is responsible for 
the annual removal of 1 percent or less of that stock's potential 
biological removal level. In the absence of reliable information 
indicating the frequency of incidental mortality and serious injury of 
marine mammals by a commercial fishery, the Assistant Administrator will 
determine whether the taking is ``remote'' by evaluating other factors 
such as fishing techniques, gear used, methods used to deter marine 
mammals, target species, seasons and areas fished, qualitative data from 
logbooks or fisher reports, stranding data, and the species and 
distribution of marine mammals in the area or at the discretion of the 
Administrator.
    Commercial fishing operation means the catching, taking, or 
harvesting of fish from the marine environment (or other areas where 
marine mammals occur) that results in the sale or barter of all or part 
of the fish harvested. The term includes licensed commercial passenger 
fishing vessel (as defined in Sec. 216.3 of this chapter) activities and 
aquaculture activities.
    Depleted species means any species or population that has been 
designated as depleted under the Act and is listed in Sec. 216.15 of 
this chapter or part 18, subpart E of this title, or any endangered or 
threatened species of marine mammal.
    Fisher means the vessel owner or operator or owner or operator of 
gear in a nonvessel fishery.
    Fishery has the same meaning as in section 3 of the Magnuson Fishery 
Conservation and Management Act (16 U.S.C. 1802).
    Fishing trip means any time spent away from port actively engaged in 
commercial fishing operations. The end of a fishing trip will be the 
time of a

[[Page 190]]

fishing vessel's return to port or the return of a fisher from tending 
gear in a nonvessel fishery.
    Fishing vessel or vessel means any vessel, boat, ship, or other 
craft that is used for, equipped to be used for, or of a type normally 
used for, fishing.
    Incidental, but not intentional, take means the non-intentional or 
accidental taking of a marine mammal that results from, but is not the 
purpose of, carrying out an otherwise lawful action.
    Incidental mortality means the non-intentional or accidental death 
of a marine mammal that results from, but is not the purpose of, 
carrying out an otherwise lawful action.
    Injury means a wound or other physical harm. Signs of injury to a 
marine mammal include, but are not limited to, visible blood flow, loss 
of or damage to an appendage or jaw, inability to use one or more 
appendages, asymmetry in the shape of the body or body position, 
noticeable swelling or hemorrhage, laceration, puncture or rupture of 
eyeball, listless appearance or inability to defend itself, inability to 
swim or dive upon release from fishing gear, or signs of equilibrium 
imbalance. Any animal that ingests fishing gear, or any animal that is 
released with fishing gear entangling, trailing or perforating any part 
of the body will be considered injured regardless of the absence of any 
wound or other evidence of an injury.
    Interaction means coming in contact with fishing gear or catch. An 
interaction may be characterized by a marine mammal entangled, hooked, 
or otherwise trapped in fishing gear, regardless of whether injury or 
mortality occurs, or situations where marine mammals are preying on 
catch. Catch means fish or shellfish that has been hooked, entangled, 
snagged, trapped or otherwise captured by commercial fishing gear.
    List of Fisheries means the most recent final list of commercial 
fisheries published in the Federal Register by the Assistant 
Administrator, categorized according to the likelihood of incidental 
mortality and serious injury of marine mammals during commercial fishing 
operations.
    Minimum population estimate means an estimate of the number of 
animals in a stock that:
    (1) Is based on the best available scientific information on 
abundance, incorporating the precision and variability associated with 
such information; and
    (2) Provides reasonable assurance that the stock size is equal to or 
greater than the estimate.
    Negligible impact has the same meaning as in Sec. 228.3 of this 
chapter.
    Net productivity rate means the annual per capita rate of increase 
in a stock resulting from additions due to reproduction, less losses due 
to mortality.
    Nonvessel fishery means a commercial fishing operation that uses 
fixed or other gear without a vessel, such as gear used in set gillnet, 
trap, beach seine, weir, ranch, and pen fisheries.
    NMFS means the National Marine Fisheries Service.
    Observer means an individual authorized by NMFS, or a designated 
contractor, to record information on marine mammal interactions, fishing 
operations, marine mammal life history information, and other scientific 
data, and collect biological specimens during commercial fishing 
activities.
    Potential biological removal level means the maximum number of 
animals, not including natural mortalities, that may be removed from a 
marine mammal stock while allowing that stock to reach or maintain its 
optimum sustainable population. The potential biological removal level 
is the product of the following factors:
    (1) The minimum population estimate of the stock;
    (2) One-half the maximum theoretical or estimated net productivity 
rate of the stock at a small population size; and
    (3) A recovery factor of between 0.1 and 1.0.
    Regional Fishery Management Council means a regional fishery 
management council established under section 302 of the Magnuson Fishery 
Conservation and Management Act.
    Serious injury means any injury that will likely result in 
mortality.
    Strategic stock means a marine mammal stock:

[[Page 191]]

    (1) For which the level of direct human-caused mortality exceeds the 
potential biological removal level;
    (2) Which, based on the best available scientific information, is 
declining and is likely to be listed as a threatened species under the 
Endangered Species Act of 1973 within the foreseeable future;
    (3) Which is listed as a threatened species or endangered species 
under the Endangered Species Act of 1973; or
    (4) Which is designated as depleted under the Marine Mammal 
Protection Act of 1972, as amended.
    Take Reduction Plan means a plan developed to reduce the incidental 
mortality and serious injury of marine mammals during commercial fishing 
operations in accordance with section 118 of the Marine Mammal 
Protection Act of 1972, as amended.
    Take Reduction Team means a team established to recommend methods of 
reducing the incidental mortality and serious injury of marine mammals 
due to commercial fishing operations, in accordance with section 118 of 
the Marine Mammal Protection Act of 1972, as amended.
    Vessel owner or operator means the owner or operator of:
    (1) A fishing vessel that engages in a commercial fishing operation; 
or
    (2) Fixed or other commercial fishing gear that is used in a 
nonvessel fishery.
    Vessel of the United States has the same meaning as in section 3 of 
the Magnuson Fishery Conservation and Management Act (16 U.S.C. 1802).



Sec. 229.3  Prohibitions.

    (a) It is prohibited to take any marine mammal incidental to 
commercial fishing operations except as otherwise provided in part 216 
of this chapter or in this part 229.
    (b) It is prohibited to assault, harm, harass (including sexually 
harass), oppose, impede, intimidate, impair, or in any way influence or 
interfere with an observer, or attempt the same. This prohibition 
includes, but is not limited to, any action that interferes with an 
observer's responsibilities, or that creates an intimidating, hostile, 
or offensive environment.
    (c) It is prohibited to provide false information when registering 
for an Authorization Certificate, applying for renewal of the 
Authorization Certificate, reporting the taking of any marine mammal, or 
providing information to any observer.
    (d) It is prohibited to tamper with or destroy observer equipment in 
any way.
    (e) It is prohibited to intentionally lethally take any marine 
mammal in the course of commercial fishing operations unless imminently 
necessary in self-defense or to save the life of a person in immediate 
danger, and such taking is reported in accordance with the requirements 
of Sec. 229.6.
    (f) It is prohibited to violate any regulation in this part or any 
provision of section 118 of the Act.



Sec. 229.4  Requirements for Category I and II fisheries.

    (a) General. For a vessel owner or crew members to lawfully 
incidentally take marine mammals in the course of commercial fishing 
operations in a Category I or II fishery, the owner or authorized 
representative of a fishing vessel or nonvessel fishing gear must 
annually register for and receive an Authorization Certificate. The 
granting and administration of authorizations under this part shall be 
integrated and coordinated with existing fishery license, registration, 
or permit systems and related programs, wherever possible. These 
programs may include, but are not limited to, state or 
interjurisdictional fisheries programs. If the administration of 
authorizations is integrated into an existing program, NMFS will publish 
a notice in the Federal Register of where to register, and efforts will 
be made to contact affected fishers via other appropriate means of 
notification.
    (b) Registration. Owners of vessels or, for nonvessel fisheries, 
gear, must register for and receive an Authorization Certificate. To 
register, owners must submit the following information, using a format 
specified by NMFS:
    (1) Name, address, and phone number of owner;
    (2) Name, address, and phone number of operator, if different from 
owner, unless the name of the operator is not known or has not been 
established at the time the registration is submitted;

[[Page 192]]

    (3) Vessel name, length and home port; U.S. Coast Guard 
documentation number, or state registration number, and state commercial 
vessel license number;
    (4) A list of all Category I and II fisheries in which the fisher 
may actively engage during the calendar year;
    (5) The approximate time, duration, and location of each such 
fishery operation, and the general type and nature of use of the fishing 
gear and techniques used; and
    (6) A certification, signed and dated by the vessel owner or 
authorized representative, as follows: ``I hereby certify that I am the 
owner of the vessel, that I have reviewed all information contained on 
this document, and that it is true and complete to the best of my 
knowledge.''
    (c) Fee. A check or money order made payable to NMFS in the amount 
specified in the notice of the final List of Fisheries must accompany 
each registration submitted to NMFS. The amount of this fee will be 
based on recovering the administrative costs incurred in granting an 
authorization. The Assistant Administrator may waive the fee requirement 
for good cause upon the recommendation of the Regional Director.
    (d) Address. Unless the granting and administration of 
authorizations under part 229 is integrated and coordinated with 
existing fishery licenses, registrations, or related programs pursuant 
to paragraph (a) of this section, requests for registration forms and 
completed registration forms should be sent to the NMFS Regional Offices 
are given:
    (1) Alaska Region, NMFS, P.O. Box 21668, 709 West 9th Street, 
Juneau, AK 99802; telephone: 907-586-7235;
    (2) Northwest Region, NMFS, 7600 Sand Point Way NE., Seattle, WA 
98115-0070; telephone: 206-526-4353;
    (3) Southwest Region, NMFS, 501 West Ocean Blvd., Suite 4200, Long 
Beach, CA 90802-4213; telephone: 310-980-4001;
    (4) Northeast Region, NMFS, 1 Blackburn Drive, Gloucester, MA 01930; 
telephone: 508-281-9254; or
    (5) Southeast Region, NMFS, 9721 Executive Center Drive North, St. 
Petersburg, FL 33702; telephone: 813-570-5301.
    (e) Issuance. After receipt of a completed initial registration form 
and the required fee, NMFS will issue an Authorization Certificate and 
annual decal to the vessel owner. The Authorization Certificate will be 
renewed annually, and an annual decal issued, after receipt of an 
updated registration form, required fee, and statement (yes/no) 
regarding whether any marine mammals were incidentally killed or injured 
during the previous calendar year. The Authorization Certificate will be 
renewed only if the fisher has complied with the provisions of 
Secs. 229.4, 229.6, and 229.7.
    (f) Authorization Certificate and decal requirements. (1) The annual 
decal must be attached to the vessel on the port side of the cabin or, 
in the absence of a cabin, on the forward port side of the hull, and 
must be free of obstruction and in good condition. The decal must be 
attached to the Authorization Certificate for nonvessel fisheries.
    (2) The Authorization Certificate, or a copy, must be on board the 
vessel while it is operating in a Category I or II fishery, or, in the 
case of nonvessel fisheries, the Authorization Certificate with decal 
attached, or copy must be in the possession of the person in charge of 
the fishing operation. The Authorization Certificate, or copy, must be 
made available upon request to any state or Federal enforcement agent 
authorized to enforce the Act, any designated agent of NMFS, or any 
contractor providing observer services to NMFS.
    (3) Authorization Certificates and annual decals are not 
transferable. In the event of the sale or change in ownership of the 
vessel, the Authorization Certificate is void and the new owner must 
register for an Authorization Certificate and decal.
    (4) An Authorization Certificate holder must notify the issuing 
office in writing:
    (i) If the vessel or nonvessel fishing gear will engage in any 
Category I or II fishery not listed on the initial registration form at 
least 30 days prior to engaging in that fishery; and,
    (ii) If there are any changes in the mailing address or vessel 
ownership within 30 days of such change.

[[Page 193]]

    (g) Reporting. Any Authorization Certificate holders must comply 
with the reporting requirements specified under Sec. 229.6.
    (h) Disposition of marine mammals. Any marine mammal incidentally 
taken must be immediately returned to the sea with a minimum of further 
injury, unless directed otherwise by NMFS personnel, a designated 
contractor or an official onboard observer, or authorized otherwise by a 
scientific research permit that is in the possession of the operator.
    (i) Monitoring. Authorization Certificate holders must comply with 
the observer or other monitoring requirements specified under 
Sec. 229.7.
    (j) Deterrence. When necessary to deter a marine mammal from 
damaging fishing gear, catch, or other private property, or from 
endangering personal safety, vessel owners and crew members engaged in a 
Category I or II fishery must comply with all deterrence provisions set 
forth in the Act and all guidelines and prohibitions published 
thereunder.
    (k) Self defense. When imminently necessary in self-defense or to 
save the life of a person in immediate danger, a marine mammal may be 
lethally taken if such taking is reported to NMFS in accordance with the 
requirements of Sec. 229.6.
    (l) Take reduction plans and emergency regulations. Authorization 
Certificate holders must comply with any applicable take reduction plans 
and emergency regulations.
    (m) Expiration. Authorization Certificates and annual decals expire 
at the end of each calendar year.



Sec. 229.5  Requirements for Category III fisheries.

    (a) General. Vessel owners and crew members of such vessels engaged 
only in Category III fisheries may incidentally take marine mammals 
without registering for or receiving an Authorization Certificate.
    (b) Reporting. Vessel owners engaged in a Category III fishery must 
comply with the reporting requirements specified in Sec. 229.6.
    (c) Disposition of marine mammals. Any marine mammal incidentally 
taken must be immediately returned to the sea with a minimum of further 
injury unless directed otherwise by NMFS personnel, a designated 
contractor, or an official onboard observer, or authorized otherwise by 
a scientific research permit in the possession of the operator.
    (d) Monitoring. Vessel owners engaged in a Category III fishery must 
comply with the observer requirements specified under Sec. 229.7(f).
    (e) Deterrence. When necessary to deter a marine mammal from 
damaging fishing gear, catch, or other private property, or from 
endangering personal safety, vessel owners and crew members engaged in a 
Category I or II fishery must comply with all deterrence provisions set 
forth in the Act and all guidelines and prohibitions published 
thereunder.
    (f) Self-defense. When imminently necessary in self-defense or to 
save the life of a person in immediate danger, a marine mammal may be 
lethally taken if such taking is reported to NMFS in accordance with the 
requirements of Sec. 229.6.
    (g) Emergency regulations. Vessel owners engaged in a Category III 
fishery must comply with any applicable emergency regulations.



Sec. 229.6  Reporting requirements.

    (a) Vessel owners or operators engaged in any Category I, II, or III 
fishery must report all incidental mortality and injury of marine 
mammals in the course of commercial fishing operations to the Assistant 
Administrator, or appropriate Regional Office, by mail or other means, 
such as fax or overnight mail specified by the Assistant Administrator. 
Reports must be sent within 48 hours after the end of each fishing trip 
during which the incidental mortality or injury occurred, or, for 
nonvessel fisheries, within 48 hours of an occurrence of an incidental 
mortality or injury. Reports must be submitted on a standard postage-
paid form as provided by the Assistant Administrator. The vessel owner 
or operator must provide the following information on this form:
    (1) The vessel name, and Federal, state, or tribal registration 
numbers of the registered vessel;

[[Page 194]]

    (2) The name and address of the vessel owner or operator;
    (3) The name and description of the fishery, including gear type and 
target species; and
    (4) The species and number of each marine mammal incidentally killed 
or injured, and the date, time, and approximate geographic location of 
such occurrence. A description of the animal(s) killed or injured must 
be provided if the species is unknown.
    (b) Participants in nonvessel fisheries must provide all of the 
information in paragraphs (a)(1) through (4) of this section with the 
exception of the vessel name and registration number.



Sec. 229.7  Monitoring of incidental mortalities and serious injuries.

    (a) Purpose. The Assistant Administrator will establish a program to 
monitor incidental mortality and serious injury of marine mammals during 
the course of commercial fishing operations in order to:
    (1) Obtain statistically reliable estimates of incidental mortality 
and serious injury;
    (2) Determine the reliability of reports of incidental mortality and 
injury under Sec. 229.6; and
    (3) Identify changes in fishing methods or technology that may 
increase or decrease incidental mortality and serious injury.
    (b) Observer program. Pursuant to paragraph (a) of this section, the 
Assistant Administrator may place observers aboard Category I and II 
vessels as necessary. Observers may, among other tasks:
    (1) Record incidental mortality and injury, and bycatch of other 
nontarget species;
    (2) Record numbers of marine mammals sighted; and
    (3) Perform other scientific investigations, which may include, but 
are not limited to, sampling and photographing incidental mortalities 
and serious injuries.
    (c) Observer requirements for Authorization Certificate holders. (1) 
If requested by NMFS or a designated contractor providing observer 
services to NMFS, an Authorization Certificate holder engaged in a 
Category I or II fishery must take aboard an observer to accompany the 
vessel on fishing trips.
    (2) After being notified by NMFS, or by a designated contractor 
providing observer services to NMFS, that the vessel is required to 
carry an observer, the Authorization Certificate holder must comply with 
the notification by providing information requested within the specified 
time on scheduled or anticipated fishing trips.
    (3) NMFS, or a designated contractor providing observer services to 
NMFS, may waive the observer requirement based on a finding that the 
facilities for housing the observer or for carrying out observer 
functions are so inadequate or unsafe that the health or safety of the 
observer or the safe operation of the vessel would be jeopardized.
    (4) The Authorization Certificate holder and crew must cooperate 
with the observer in the performance of the observer's duties including:
    (i) Providing adequate accommodations;
    (ii) Allowing for the embarking and debarking of the observer as 
specified by NMFS personnel or designated contractors. The operator of a 
vessel must ensure that transfers of observers at sea are accomplished 
in a safe manner, via small boat or raft, during daylight hours if 
feasible, as weather and sea conditions allow, and with the agreement of 
the observer involved;
    (iii) Allowing the observer access to all areas of the vessel 
necessary to conduct observer duties;
    (iv) Allowing the observer access to communications equipment and 
navigation equipment, when available on the vessel, as necessary to 
perform observer duties;
    (v) Providing true vessel locations by latitude and longitude, 
accurate to the minute, or by loran coordinates, upon request by the 
observer;
    (vi) Sampling marine mammal or other protected species specimens, 
upon request by NMFS personnel;
    (vii) Sampling, retaining and storing mammal or other protected 
species specimens, upon request by NMFS personnel, designated 
contractors, or the observer aboard, if adequate facilities are 
available and if feasible;

[[Page 195]]

    (viii) Notifying the observer in a timely fashion of when all 
commercial fishing operations are to begin and end;
    (ix) Not impairing or in any way interfering with the research or 
observations being carried out; and
    (x) Complying with other guidelines or regulations that NMFS may 
develop to ensure the effective deployment and use of observers.
    (5) Marine mammals incidentally killed during fishing operations and 
which are readily accessible to crew members, must be brought onboard 
the vessel as biological specimens and retained for the purposes of 
scientific research if feasible and requested by NMFS personnel, 
designated contractors, or the aboard observer. Marine mammals so 
collected and retained as biological specimens must, upon request by 
NMFS personnel, designated contractors, or the observer aboard, be 
retained in cold storage on board the vessel, if feasible, until removed 
at the request of NMFS personnel, designated contractors, or the 
observer aboard, retrieved by authorized personnel of NMFS, or released 
by the observer for return to the ocean. Such biological specimens may 
be transported on board the vessel during the fishing trip and back to 
port under this authorization.
    (6) Any marine mammal incidentally taken may be retained only if 
authorized by NMFS personnel, designated contractors or an official 
observer aboard, or by a scientific research permit that is in the 
possession of the operator.
    (d) Observer requirements for Category III fisheries. (1) The 
Assistant Administrator may place observers on Category III vessels if 
the Assistant Administrator:
    (i) Believes that the incidental mortality and serious injury of 
marine mammals from such fishery may be contributing to the immediate 
and significant adverse impact on a species or stock listed as a 
threatened species or endangered species under the Endangered Species 
Act of 1973 (16 U.S.C. 1531 et seq.); and
    (ii) Has complied with Sec. 229.9(a)(3)(i) and (ii); or
    (iii) Has the consent of the vessel owner.
    (2) If an observer is placed on a Category III vessel, the vessel 
owner and/or operator must comply with the requirements of 
Sec. 229.7(c).
    (e) Alternative observer program. The Assistant Administrator may 
establish an alternative observer program to provide statistically 
reliable information on the species and number of marine mammals 
incidentally taken in the course of commercial fishing operations. The 
alternative observer program may include direct observation of fishing 
activities from vessels, airplanes, or points on shore.



Sec. 229.8  Publication of List of Fisheries.

    (a) The Assistant Administrator will publish in the Federal Register 
a proposed revised List of Fisheries on or about July 1 of each year for 
the purpose of receiving public comment. Each year, on or about October 
1, the Assistant Administrator will publish a final revised List of 
Fisheries, which will become effective January 1 of the next calendar 
year.
    (b) The proposed and final revised List of Fisheries will:
    (1) Categorize each commercial fishery based on the definitions of 
Category I, II, and III fisheries set forth in Sec. 229.2; and
    (2) List the marine mammals that interact with commercial fishing 
operations and the estimated number of vessels or persons involved in 
each commercial fishery.
    (c) The Assistant Administrator may publish a revised List of 
Fisheries at other times, after notification and opportunity for public 
comment. The revised final List of Fisheries will become effective no 
sooner than 30 days after publication in the Federal Register.



Sec. 229.9  Emergency regulations.

    (a) If the Assistant Administrator finds that the incidental 
mortality or serious injury of marine mammals from commercial fisheries 
is having, or is likely to have, an immediate and significant adverse 
impact on a stock or species, the Assistant Administrator will:
    (1) In the case of a stock or species for which a take reduction 
plan is in effect--

[[Page 196]]

    (i) Prescribe emergency regulations that, consistent with such plan 
to the maximum extent practicable, reduce incidental mortality and 
serious injury in that fishery; and
    (ii) Approve and implement on an expedited basis, any amendments to 
such plan that are recommended by the Take Reduction Team to address 
such adverse impact;
    (2) In the case of a stock or species for which a take reduction 
plan is being developed--
    (i) Prescribe emergency regulations to reduce such incidental 
mortality and serious injury in that fishery; and
    (ii) Approve and implement, on an expedited basis, such plan, which 
will provide methods to address such adverse impact if still necessary;
    (3) In the case of a stock or species for which a take reduction 
plan does not exist and is not being developed, or in the case of a 
Category III fishery that the Assistant Administrator believes may be 
contributing to such adverse impact,
    (i) Prescribe emergency regulations to reduce such incidental 
mortality and serious injury in that fishery, to the extent necessary to 
mitigate such adverse impact;
    (ii) Immediately review the stock assessment for such stock or 
species and the classification of such commercial fishery under this 
section to determine if a take reduction team should be established; and
    (iii) Where necessary to address such adverse impact on a species or 
stock listed as a threatened species or endangered species under the 
Endangered Species Act (16 U.S.C. 1531 et seq.), place observers on 
vessels in a Category III fishery if the Assistant Administrator has 
reason to believe such vessels may be causing the incidental mortality 
and serious injury to marine mammals from such stock.
    (b) Prior to taking any action under Sec. 229.9(a)(1) through (3), 
the Assistant Administrator will consult with the Marine Mammal 
Commission, all appropriate Regional Fishery Management Councils, state 
fishery managers, and the appropriate take reduction team, if 
established.
    (c) Any emergency regulations issued under this section:
    (1) Shall be published in the Federal Register and will remain in 
effect for no more than 180 days or until the end of the applicable 
commercial fishing season, whichever is earlier, except as provided in 
paragraph (d) of this section; and
    (2) May be terminated by notification in the Federal Register at an 
earlier date if the Assistant Administrator determines that the reasons 
for the emergency regulations no longer exist.
    (d) If the Assistant Administrator finds that incidental mortality 
and serious injury of marine mammals in a commercial fishery is 
continuing to have an immediate and significant adverse impact on a 
stock or species, the Assistant Administrator may extend the emergency 
regulations for an additional period of not more than 90 days or until 
reasons for the emergency regulations no longer exist, whichever is 
earlier.



Sec. 229.10  Penalties.

    (a) Except as provided for in paragraphs (b) and (c) of this 
section, any person who violates any regulation under this part or any 
provision of section 118 of the MMPA shall be subject to all penalties 
set forth in the Act.
    (b) The owner or master of a vessel that fails to comply with a take 
reduction plan shall be subject to the penalties of sections 105 and 107 
of the Act, and may be subject to the penalties of section 106 of the 
Act.
    (c) The owner of a vessel engaged in a Category I or II fishery who 
fails to ensure that a decal, or other physical evidence of such 
authorization issued by NMFS, is displayed on the vessel or is in 
possession of the operator of the vessel shall be subject to a penalty 
of not more than $100.
    (d) Failure to comply with take reduction plans or emergency 
regulations issued under this part may result in suspension or 
revocation of an Authorization Certificate, and failure to comply with a 
take reduction plan is also subject to the penalties of sections 105 and 
107 of the Act, and may be subject to the penalties of section 106 of 
the Act.

[[Page 197]]

    (e) For fishers operating in Category I or II fisheries, failure to 
report all incidental injuries and mortalities within 48 hours of the 
end of each fishing trip, or failure to comply with requirements to 
carry an observer, will subject such persons to the penalties of 
sections 105 and 107 and may subject them to the penalties of section 
106 of the Act, which will result in suspension, revocation, or denial 
of an Authorization Certificate until such requirements have been 
fulfilled.
    (f) For fishers operating in Category III fisheries, failure to 
report all incidental injuries and mortalities within 48 hours of the 
end of each fishing trip will subject such persons to the penalties of 
sections 105 and 107, and may subject them to section 106, of the Act.
    (g) Suspension, revocation or denial of Authorization Certificates. 
(1) Until the Authorization Certificate holder complies with the 
regulations under this part, the Assistant Administrator shall suspend 
or revoke an Authorization Certificate or deny an annual renewal of an 
Authorization Certificate in accordance with the provisions in 15 CFR 
part 904 if the Authorization Certificate holder fails to report all 
incidental mortality and serious injury of marine mammals as required 
under Sec. 229.6; or fails to take aboard an observer if requested by 
NMFS or its designated contractors.
    (2) The Assistant Administrator may suspend or revoke an 
Authorization Certificate or deny an annual renewal of an Authorization 
Certificate in accordance with the provisions in 15 CFR part 904 if the 
Authorization Certificate holder fails to comply with any applicable 
take reduction plan, take reduction regulations, or emergency 
regulations developed under this subpart or subparts B and C of this 
part or if the Authorization Certificate holder fails to comply with 
other requirements of these regulations;
    (3) A suspended Authorization Certificate may be reinstated at any 
time at the discretion of the Assistant Administrator provided the 
Assistant Administrator has determined that the reasons for the 
suspension no longer apply or corrective actions have been taken.



Sec. 229.11  Confidential fisheries data.

    (a) Proprietary information collected under this part is 
confidential and includes information, the unauthorized disclosure of 
which could be prejudicial or harmful, such as information or data that 
are identifiable with an individual fisher. Proprietary information 
obtained under part 229 will not be disclosed, in accordance with NOAA 
Administrative Order 216-100, except:
    (1) To Federal employees whose duties require access to such 
information;
    (2) To state employees under an agreement with NMFS that prevents 
public disclosure of the identity or business of any person;
    (3) When required by court order; or
    (4) In the case of scientific information involving fisheries, to 
employees of Regional Fishery Management Councils who are responsible 
for fishery management plan development and monitoring.
    (5) To other individuals or organizations authorized by the 
Assistant Administrator to analyze this information, so long as the 
confidentiality of individual fishers is not revealed.
    (b) Information will be made available to the public in aggregate, 
summary, or other such form that does not disclose the identity or 
business of any person in accordance with NOAA Administrative Order 216-
100 (see ADDRESSES). Aggregate or summary form means data structured so 
that the identity of the submitter cannot be determined either from the 
present release of the data or in combination with other releases.



Sec. 229.12  Consultation with the Secretary of the Interior.

    The Assistant Administrator will consult with the Secretary of the 
Interior prior to taking actions or making determinations under this 
part that affect or relate to species or population stocks of marine 
mammals for which the Secretary of the Interior is responsible under the 
Act.

[[Page 198]]



      Subpart B--Takes of Endangered and Threatened Marine Mammals



Sec. 229.20  Issuance of permits.

    (a) Determinations. During a period of up to 3 consecutive years, 
NMFS will allow the incidental, but not the intentional, taking by 
persons using vessels of the United States or foreign vessels that have 
valid fishing permits issued by the Assistant Administrator in 
accordance with section 204(b) of the Magnuson Fishery Conservation and 
Management Act (16 U.S.C. 1824(b)), while engaging in commercial fishing 
operations, of marine mammals from a species or stock designated as 
depleted because of its listing as an endangered species or threatened 
species under the Endangered Species Act of 1973 if the Assistant 
Administrator determines that:
    (1) The incidental mortality and serious injury from commercial 
fisheries will have a negligible impact on such species or stock;
    (2) A recovery plan has been developed or is being developed for 
such species or stock pursuant to the Endangered Species Act of 1973; 
and
    (3) Where required under regulations in subpart A of this part:
    (i) A monitoring program has been established under Sec. 229.7; (ii) 
Vessels engaged in such fisheries are registered in accordance with 
Sec. 229.4; and
    (iii) A take reduction plan has been developed or is being developed 
for such species or stock in accordance with regulations at subpart C of 
this part.
    (b) Procedures for making determinations. In making any of the 
determinations listed in paragraph (a) of this section, the Assistant 
Administrator will publish an announcement in the Federal Register of 
fisheries having takes of marine mammals listed under the Endangered 
Species Act, including a summary of available information regarding the 
fisheries interactions with listed species. Any interested party may, 
within 45 days of such publication, submit to the Assistant 
Administrator written data or views with respect to the listed 
fisheries. As soon as practicable after the end of the 45 days following 
publication, NMFS will publish in the Federal Register a list of the 
fisheries for which the determinations listed in paragraph (a) of this 
section have been made. This publication will set forth a summary of the 
information used to make the determinations.
    (c) Issuance of authorization. The Assistant Administrator will 
issue appropriate permits for vessels in fisheries that are required to 
register under Sec. 229.4 and for which determinations under the 
procedures of paragraph (b) of this section can be made.
    (d) Category III fisheries. Vessel owners engaged only in Category 
III fisheries for which determinations are made under the procedures of 
paragraph (b) of this section will not be subject to the penalties of 
this Act for the incidental taking of marine mammals to which this 
subpart applies, as long as the vessel owner or operator of such vessel 
reports any incidental mortality or injury of such marine mammals in 
accordance with the requirements of Sec. 229.6.
    (e) Emergency authority. During the course of the commercial fishing 
season, if the Assistant Administrator determines that the level of 
incidental mortality or serious injury from commercial fisheries for 
which such a determination was made under this section has resulted or 
is likely to result in an impact that is more than negligible on the 
endangered or threatened species or stock, the Assistant Administrator 
will use the emergency authority of Sec. 229.9 to protect such species 
or stock, and may modify any permit granted under this paragraph as 
necessary.
    (f) Suspension, revocation, modification and amendment. The 
Assistant Administrator may, pursuant to the provisions of 15 CFR part 
904, suspend or revoke a permit granted under this section if the 
Assistant Administrator determines that the conditions or limitations 
set forth in such permit are not being complied with. The Assistant 
Administrator may amend or modify, after notification and opportunity 
for public comment, the list of fisheries published in accordance with 
Sec. 229.21(b) whenever the Assistant Administrator determines there has 
been a significant change in the information or conditions used to 
determine such a list.

[[Page 199]]

    (g) Southern sea otters. This subpart does not apply to the taking 
of Southern (California) sea otters.



  Subpart C--Take Reduction Plan Regulations and Emergency Regulations 
                               [Reserved]

[[Page 200]]



                          SUBCHAPTER D--WHALING





PART 230--WHALING PROVISIONS--Table of Contents




Sec.
230.1  Purpose and scope.
230.2  Definitions.
230.3  General prohibitions.
230.4  Aboriginal subsistence whaling.
230.5  Licenses for aboriginal subsistence whaling.
230.6  Quotas and other restrictions.
230.7  Salvage of stinkers.
230.8  Reporting by whaling captains.

    Authority: 16 U.S.C. 916 et seq.

    Source: 61 FR 29631, June 11, 1996, unless otherwise noted.



Sec. 230.1  Purpose and scope.

    The purpose of the regulations in this part is to implement the 
Whaling Convention Act (16 U.S.C. 916 et seq.) by prohibiting whaling 
except for aboriginal subsistence whaling allowed by the International 
Whaling Commission. Provisions of the Marine Mammal Protection Act of 
1972 (16 U.S.C. 1361 et seq.) and the Endangered Species Act of 1973 (16 
U.S.C. 1531 et seq.) also pertain to human interactions with whales. 
Rules elsewhere in this chapter govern such topics as scientific 
research permits, and incidental take and harassment of marine mammals.



Sec. 230.2  Definitions.

    Aboriginal subsistence whaling means whaling authorized by paragraph 
13 of the Schedule annexed to and constituting a part of the Convention.
    Assistant Administrator means the Assistant Administrator for 
Fisheries of the National Oceanic and Atmospheric Administration.
    Authorized officer means:
    (1) Any commissioned, warrant, or petty officer of the U.S. Coast 
Guard;
    (2) Any special agent or enforcement officer of the National Marine 
Fisheries Service;
    (3) Any officer designated by the head of a Federal or state agency 
that has entered into an agreement with the Secretary of Commerce or the 
Commandant of the Coast Guard to enforce the provisions of the Whaling 
Convention Act; or
    (4) Any Coast Guard personnel accompanying and acting under the 
direction of any person described in paragraph (1) of this definition.
    Calf means any whale less than 1 year old or having milk in its 
stomach.
    Commission means the International Whaling Commission established by 
article III of the Convention.
    Convention means the International Convention for the Regulation of 
Whaling signed at Washington on December 2, 1946.
    Cooperative agreement means a written agreement between the National 
Oceanic and Atmospheric Administration and a Native American whaling 
organization for the cooperative management of aboriginal subsistence 
whaling operations.
    Landing means bringing a whale or any parts thereof onto the ice or 
land in the course of whaling operations.
    Native American whaling organization means an entity recognized by 
the National Oceanic and Atmospheric Administration as representing and 
governing Native American whalers for the purposes of cooperative 
management of aboriginal subsistence whaling.
    Regulations of the Commission means the regulations in the Schedule 
annexed to and constituting a part of the Convention, as modified, 
revised, or amended by the Commission from time to time.
    Stinker means a dead, unclaimed whale found upon a beach, stranded 
in shallow water, or floating at sea.
    Strike means hitting a whale with a harpoon, lance, or explosive 
device.
    Wasteful manner means a method of whaling that is not likely to 
result in the landing of a struck whale or that does not include all 
reasonable efforts to retrieve the whale.
    Whale products means any unprocessed part of a whale and blubber, 
meat, bones, whale oil, sperm oil, spermaceti, meal, and baleen.
    Whaling means the scouting for, hunting, striking, killing, 
flensing, or landing of a whale, and the processing of whales or whale 
products.

[[Page 201]]

    Whaling captain or captain means any Native American who is 
authorized by a Native American whaling organization to be in charge of 
a vessel and whaling crew.
    Whaling crew means those Native Americans under the control of a 
captain.
    Whaling village means any U.S. village recognized by the Commission 
as having a cultural and/or subsistence need for whaling.



Sec. 230.3  General prohibitions.

    (a) No person shall engage in whaling in a manner that violates the 
Convention, any regulation of the Commission, or this part.
    (b) No person shall engage in whaling without first having obtained 
a license or scientific research permit issued by the Assistant 
Administrator.
    (c) No person shall ship, transport, purchase, sell, offer for sale, 
import, export, or possess any whale or whale products taken or 
processed in violation of the Convention, any regulation of the 
Commission, or this part, except as specified in Sec. 230.4(f).
    (d) No person shall fail to make, keep, submit, or furnish any 
record or report required of him/her by the Convention, any regulation 
of the Commission, or this part.
    (e) No person shall refuse to permit any authorized officer to 
enforce the Convention, any regulation of the Commission, or this part.



Sec. 230.4  Aboriginal subsistence whaling.

    (a) No person shall engage in aboriginal subsistence whaling, except 
a whaling captain licensed pursuant to Sec. 230.5 or a member of a 
whaling crew under the control of a licensed captain.
    (b) No whaling captain shall engage in whaling that is not in 
accordance with the regulations of the Commission, this part, and the 
relevant cooperative agreement.
    (c) No whaling captain shall engage in whaling for any calf or any 
whale accompanied by a calf.
    (d) No whaling captain shall engage in whaling without an adequate 
crew or without adequate supplies and equipment.
    (e) No person may receive money for participation in aboriginal 
subsistence whaling.
    (f) No person may sell or offer for sale whale products from whales 
taken in an aboriginal subsistence hunt, except that authentic articles 
of Native handicrafts may be sold or offered for sale.
    (g) No whaling captain shall continue to whale after:
    (1) The quota set for his/her village by the relevant Native 
American whaling organization is reached;
    (2) The license under which he/she is whaling is suspended as 
provided in Sec. 230.5(b); or
    (3) The whaling season for that species has been closed pursuant to 
Sec. 230.6.
    (h) No whaling captain shall claim domicile in more than one whaling 
village.
    (i) No person may salvage a stinker without complying with the 
provisions of Sec. 230.7.
    (j) No whaling captain shall engage in whaling with a harpoon, 
lance, or explosive dart that does not bear a permanent distinctive mark 
identifying the captain as the owner thereof.
    (k) No whaling captain shall engage in whaling in a wasteful manner.



Sec. 230.5  Licenses for aboriginal subsistence whaling.

    (a) A license is hereby issued to whaling captains identified by the 
relevant Native American whaling organization.
    (b) The Assistant Administrator may suspend the license of any 
whaling captain who fails to comply with the regulations in this part.



Sec. 230.6  Quotas and other restrictions.

    (a) Quotas for aboriginal subsistence whaling shall be set in 
accordance with the regulations of the Commission. Quotas shall be 
allocated to each whaling village or captain by the appropriate Native 
American whaling organization. The Assistant Administrator shall publish 
in the Federal Register, at least annually, aboriginal subsistence 
whaling quotas and any other limitations on aboriginal subsistence 
whaling deriving from regulations of the Commission. These quotas and 
restrictions shall also be incorporated in the relevant cooperative 
agreements.

[[Page 202]]

    (b) The relevant Native American whaling organization shall monitor 
the whale hunt and keep tally of the number of whales landed and struck. 
When a quota is reached, the organization shall declare the whaling 
season closed, and there shall be no further whaling under that quota 
during the calendar year. If the organization fails to close the whaling 
season after the quota has been reached, the Assistant Administrator may 
close it by filing notification in the Federal Register.



Sec. 230.7  Salvage of stinkers.

    (a) Any person salvaging a stinker shall submit to the Assistant 
Administrator or his/her representative an oral or written report 
describing the circumstances of the salvage within 12 hours of such 
salvage. He/she shall provide promptly to the Assistant Administrator or 
his/her representative each harpoon, lance, or explosive dart found in 
or attached to the stinker. The device shall be returned to the owner 
thereof promptly, unless it is retained as evidence of a possible 
violation.
    (b) There shall be a rebuttable presumption that a stinker has been 
struck by the captain whose mark appears on the harpoon, lance, or 
explosive dart found in or attached thereto, and, if no strike has been 
reported by such captain, such strike shall be deemed to have occurred 
at the time of recovery of the device.



Sec. 230.8  Reporting by whaling captains.

    (a) The relevant Native American whaling organization shall require 
each whaling captain licensed pursuant to Sec. 230.5 to provide a 
written statement of his/her name and village of domicile and a 
description of the distinctive marking to be placed on each harpoon, 
lance, and explosive dart.
    (b) Each whaling captain shall provide to the relevant Native 
American whaling organization an oral or written report of whaling 
activities including but not limited to the striking, attempted 
striking, or landing of a whale and, where possible, specimens from 
landed whales. The Assistant Administrator is authorized to provide 
technological assistance to facilitate prompt reporting and collection 
of specimens from landed whales, including but not limited to ovaries, 
ear plugs, and baleen plates. The report shall include at least the 
following information:
    (1) The number, dates, and locations of each strike, attempted 
strike, or landing.
    (2) The length (taken as the straight-line measurement from the tip 
of the upper jaw to the notch between the tail flukes) and the sex of 
the whales landed.
    (3) The length and sex of a fetus, if present in a landed whale.
    (4) An explanation of circumstances associated with the striking or 
attempted striking of any whale not landed.
    (c) If the relevant Native American whaling organization fails to 
provide the National Marine Fisheries Service the required reports, the 
Assistant Administrator may require the reports to be submitted by the 
whaling captains directly to the National Marine Fisheries Service.

[[Page 203]]



  SUBCHAPTER E--TRANSPORTATION AND LABELING OF FISH OR WILDLIFE--[RESERVED]





                     SUBCHAPTER F--AID TO FISHERIES





PART 253--FISHERIES ASSISTANCE PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
253.1  Purpose.

            Subpart B--Fisheries Obligation Guarantee Program

253.10  Definitions.
253.11  Guarantee policy.
253.12  Guaranteed note, U.S. note, and security documents.
253.13  Ability and experience requirements.
253.14  Economic and financial requirements.
253.15  Miscellaneous.
253.16  Fees.
253.17  Demand and payment.
253.18  Program operating guidelines.
253.19  Default and liquidation.

                Subpart C--Interjurisdictional Fisheries

253.20  Definitions.
253.21  Apportionment.
253.22  State projects.
253.23  Other funds.
253.24  Administrative requirements.

    Authority: 46 U.S.C. 1271-1279 and 16 U.S.C. 4101 et seq.

    Source: 61 FR 19172, May 1, 1996, unless otherwise noted.



                           Subpart A--General



Sec. 253.1  Purpose.

    (a) The regulations in this part pertain to fisheries assistance 
programs. Subpart B of these rules governs the Fisheries Obligation 
Guarantee Program, which guarantees the repayment of certain long-term 
fisheries and aquacultural debts. This allows those debts to be placed 
in the same private investment market that buys U.S. Treasury 
securities, where interest rates are lower and maturities are longer. 
The Program does all credit work and holds and services all credit 
collateral. The Program's guarantee fee makes it self-supporting.
    (b) Subpart C implements Title III of Public Law 99-659 (16 U.S.C. 
4100 et seq.), which has two objectives:
    (1) To promote and encourage State activities in support of the 
management of interjurisdictional fishery resources identified in 
interstate or Federal fishery management plans; and
    (2) To promote and encourage management of interjurisdictional 
fishery resources throughout their range.
    (3) The scope of this part includes guidance on making financial 
assistance awards to States or Interstate Commissions to undertake 
projects in support of management of interjurisdictional fishery 
resources in both the exclusive economic zone (EEZ) and State waters, 
and to encourage States to enter into enforcement agreements with either 
the Department of Commerce or the Department of the Interior.



            Subpart B--Fisheries Obligation Guarantee Program



Sec. 253.10  Definitions.

    The terms used in this subpart have the following meanings:
    Act means Title XI of the Merchant Marine Act, 1936, as amended.
    Actual cost means project cost (less a 10-percent salvage value), 
depreciated (excluding land) on a straightline basis at 1-year intervals 
over the project property's useful life including architectural, 
engineering, inspection, delivery, outfitting, and interest costs, as 
well as the cost of any consulting contract the Division requires.
    Applicant means the one applying for a guarantee (the prospective 
notemaker).
    Application means an application for a guarantee.
    Application fee means 0.5 percent of the dollar amount of an 
application.
    Aquacultural facility means land, land structures, water structures, 
water craft built in the U.S., and equipment for hatching, caring for, 
or growing fish under controlled circumstances

[[Page 204]]

and for its unloading, receiving, holding, processing, or distribution 
for commercial purposes.
    CCF means Capital Construction Fund.
    Citizen means a citizen or national of the U.S. who is otherwise 
also a citizen for the purpose of documenting a vessel in the coastwise 
trade under section 2 of the Shipping Act, 1916, as amended.
    Contributory project means any project that contributes to 
developing the U.S. fishing industry by: Causing any vessel to catch 
less overutilized species than before; applying new technology; 
improving safety or fuel efficiency; making project property more 
efficient, productive, or competitive; potentially increasing fisheries 
exports; helping develop an underutilized fishery; or enhancing 
financial stability, financial performance, growth, productivity, or any 
other business attribute.
    Demand means a noteholder's request that the guarantor pay a 
guaranteed note's full principal and interest balance.
    Division means the Financial Services Division, National Marine 
Fisheries Service, National Oceanic and Atmospheric Administration, U.S. 
Department of Commerce.
    Dual Use CCF means a CCF agreement whose qualified vessel is project 
property and whose deposits are pledged to repayment of the U.S. note.
    Facility means a fisheries facility or aquacultural facility.
    Financing means the first permanent debt placed on project property 
for financing its project cost.
    Fish means all forms of aquatic animal and plant life, except marine 
mammals and birds.
    Fishery facility means land, land structures, water craft that do 
not fish, and equipment used for transporting, unloading, receiving, 
holding, processing, or distributing fish for commercial purposes 
(including any fishery facility for passenger fishing).
    Fishing means catching wild fish for commercial purposes (including 
passenger fishing).
    Guarantee means the guarantor's contractual promise, backed by the 
full faith and credit of the United States, to repay a guaranteed note 
if a notemaker fails to repay it as agreed.
    Guarantee fee means 1 percent of a guaranteed note's average annual 
unpaid principal balance.
    Guaranteed note means a promissory note from a notemaker to a 
noteholder whose repayment the guarantor guarantees.
    Guarantor means the U.S., acting, under the Act, by and through the 
Secretary of Commerce.
    Industry means the fisheries and/or aquacultural industry.
    Noteholder means a guaranteed note payee.
    Notemaker means a guaranteed note payor.
    Passenger fishing means carrying in vessels for commercial purposes 
passengers who catch fish.
    Program means the Fisheries Obligation Guarantee Program.
    Project means the construction of new project property or the 
refurbishing or purchase of used project property including 
architectural, engineering, inspection, delivery, outfitting, and 
interest costs, as well as the cost of any consulting contract the 
Division requires.
    Project property means the vessel or facility involved in a project 
whose actual cost is eligible under the Act for guarantee and controls 
the dollar amount of a guaranteed note.
    Property means the project property and all other property pledged 
as security for a U.S. note.
    Qualified means acceptable, in the Division's credit risk judgment, 
and otherwise meeting the Division's requirements for guarantee.
    Refinancing means newer debt that either replaces older debt or 
reimburses applicants for previous expenditures.
    Refinancing/assumption fee means 0.25 percent of the principal 
amount of a guaranteed note to be refinanced or assumed.
    Refurbishing means any reconstruction, reconditioning, or other 
improvement of used project property involving more than routine repair 
or maintenance.
    Security documents mean all collateral securing the U.S. note's 
repayment and all other assurances, undertakings, and

[[Page 205]]

contractual arrangements associated with the U.S. note.
    Underutilized fishery means:
    (1) For a vessel, any fish species harvested below its sustainable 
yield.
    (2) For a fisheries facility, any facility using that species or any 
for which aggregate facilities are inadequate to best use harvests of 
that or any other species.
    U.S. means the United States of America and, for citizenship 
purposes, includes the Commonwealth of Puerto Rico; American Samoa; the 
U.S. Virgin Islands; Guam; the Republic of the Marshal Islands; the 
Federated States of Micronesia; the Commonwealth of the Northern Mariana 
Islands; any other commonwealth, territory, or possession of the United 
States; or any political subdivision of any of them.
    U.S. note means a promissory note payable by the notemaker to the 
guarantor.
    Useful life means the period during which project property will, as 
determined by the Division, remain economically productive.
    Vessel means any vessel documented under U.S. law and used for 
fishing.
    Wise use means the wise use of fisheries resources and their 
development, advancement, management, conservation, and protection.



Sec. 253.11  Guarantee policy.

    (a) A guarantee financing or refinancing up to 80 percent of a 
project's actual cost shall be available to any qualified citizen 
otherwise eligible under the Act and these rules, except:
    (1) Vessel construction. The Program will not finance this project 
cost. The Program will only refinance this project cost for an existing 
vessel whose previous construction cost has already been financed (or 
otherwise paid). Refinancing this project cost for a vessel that already 
exists is not inconsistent with wise use, but financing it may be.
    (2) Vessel refurbishing that materially increases an existing 
vessel's harvesting capacity. The Program will not finance this project 
cost. The Program will only refinance this project cost for a vessel 
whose previous refurbishing cost has already been financed (or otherwise 
paid). Refinancing this project cost is not inconsistent with wise use, 
but financing it may be.
    (3) Purchasing a used vessel or used fishery facility. The Program 
will neither finance nor refinance this project cost (except for a used 
vessel or fishery facility that the Program purchased and is reselling), 
unless the used vessel or fishery facility will be refurbished in the 
United States and will be a contributory project or it will be used in 
an underutilized fishery.
    (b) Every project, other than those specified in paragraphs (a) (1) 
and (2) of this section, is consistent with wise use and every project, 
other than those specifically precluded in paragraphs (a) (1) and (2) of 
this section, may be financed, as well as refinanced.



Sec. 253.12  Guaranteed note, U.S. note, and security documents.

    (a) Guaranteed note--(1) Principal. This may not exceed 80 percent 
of actual cost, but may, in the Division's credit judgment, be less.
    (2) Maturity. This may not exceed 25 years, but shall not exceed the 
project property's useful life and may, in the Division's credit 
judgment, be less.
    (3) Interest rate. This may not exceed the amount the Division deems 
reasonable.
    (4) Prepayment penalty. The Division will allow a reasonable 
prepayment penalty, but the guarantor will not guarantee a notemaker's 
payment of it.
    (5) Form. This will be the simple promissory note (with the 
guarantee attached) the Division prescribes, promising only to pay 
principal, interest, and prepayment penalty.
    (6) Sole security. The guaranteed note and the guarantee will be the 
noteholder's sole security.
    (b) U.S. note and security documents--(1) Form. The U.S. note and 
security documents will be in the form the Division prescribes.
    (2) U.S. note. This exists to evidence the notemaker's actual and 
contingent liability to the guarantor (contingent if the guarantor does 
not pay the guaranteed note (including any portion of it), on the 
notemaker's behalf or if the guarantor does not advance any other 
amounts or incur any other expenses on the notemaker's behalf to protect

[[Page 206]]

the U.S. or accommodate the notemaker; actual if, and to the same 
monetary extent that, the guarantor does). Payment of the guaranteed 
note by anyone but the guarantor will amortize the original principal 
balance (and interest accruing on it) of the U.S. note to the same 
extent that it amortizes the guaranteed note. The U.S note will, among 
other things, contain provisions for adding to its principal balance all 
amounts the Program advances, or expenses it incurs, to protect the U.S. 
or accommodate the notemaker.
    (3) Security documents. The Division will, at a minimum, require a 
pledge of all project property (or adequate substitute collateral). The 
Division will require such other security as it deems the circumstances 
of each notemaker and project require to protect the U.S. All security 
documents will secure the U.S. note. The security documents will, among 
other things, contain provisions for adding to the U.S. note all Program 
advances, expenditures, and expenses required to protect the U.S. or 
accommodate the notemaker.
    (4) Recourse. Significant Program reliance, as a secondary means of 
repayment, on the net worths of parties other than the notemaker will 
ordinarily require secured recourse against those net worths. Recourse 
may be by a repayment guarantee or irrevocable letter of credit. 
Ordinarily, the Division will require recourse against: All major 
shareholders of a closely-held corporate notemaker, the parent 
corporation of a subsidiary corporate notemaker without substantial 
pledged assets other than the project property, and all major limited 
partners. The Division may also require recourse against others it deems 
necessary to protect the U.S. The principal parties in interest, who 
ultimately stand most to benefit from the project, should ordinarily be 
held financially accountable for the project's performance. Where 
otherwise appropriate recourse is unavailable, the conservatively 
projected net liquidating value of the notemaker's assets pledged to the 
Program must, in the Division's credit judgment, substantially exceed 
all projected Program exposure.
    (c) Dual-use CCF. For a vessel, the Division may require annually 
depositing some portion of the project property's net income into a 
dual-use CCF. A dual-use CCF provides the normal CCF tax-deferral 
benefits, but also both gives the Program control of CCF withdrawals and 
recourse against CCF deposits and ensures an emergency refurbishing 
reserve (tax-deferred) for project property.



Sec. 253.13  Ability and experience requirements.

    A notemaker and the majority of its principals must generally have 
the ability, experience, resources, character, reputation, and other 
qualifications the Division deems necessary for successfully operating 
the project property and protecting the U.S. The Program will ordinarily 
not provide guarantees: For venture capital purposes; to a notemaker 
whose principals are all from outside the industry; or for a notemaker 
the majority of whose principals cannot document successful industry 
ability and experience of a duration, degree, and nature consistent with 
protecting the U.S.



Sec. 253.14  Economic and financial requirements.

    (a) Income and expense projections. The Division's conservative 
income and expense projections for the project property's operation must 
prospectively indicate net earnings that can service all debt, properly 
maintain the project property, and protect the U.S. against the 
industry's cyclical economics and other risks of loss.
    (b) Working capital. The Division's conservative assessment of an 
applicant's financial condition must indicate initial working capital 
prospectively sufficient to provide for the project property to achieve 
net earnings projections, fund all foreseeable contingencies, and 
protect the U.S. At the Division's discretion, some portion of projected 
working capital needs may be met by something other than current assets 
minus current liabilities (i.e., by a line or letter of credit, 
noncurrent assets readily capable of generating working capital, a 
guarantor with sufficient financial resources, etc.).

[[Page 207]]

    (c) Audited financial statements. These will ordinarily be required 
for any notemaker with large or financially extensive operations whose 
financial condition the Division believes it cannot otherwise assess 
with reasonable certainty.
    (d) Consultant services. Infrequently, expert consulting services 
may be necessary to help the Division assess a project's economic, 
technical, or financial feasibility. The Division will select and employ 
the necessary consultant, but require the applicant to reimburse the 
Division. A subsequently approved application will not be closed until 
the applicant reimburses the Division. This cost may, at the Division's 
discretion, be included in a guaranteed note's amount. For a declined 
application, the Division may reimburse itself from the remaining 25 
percent of the application fee.



Sec. 253.15  Miscellaneous.

    (a) Applicant. Only the legal title holder of project property (or 
the lessee of an appropriate long-term financing lease) may apply for a 
guarantee. Applicants must submit an ``Application for Fisheries 
Obligation Program Guarantee'' to the appropriate NMFS Regional 
Financial Services Branch to be considered for a guaranteed loan.
    (b) Investigation and approval. The Division shall do a due 
diligence investigation of every application it accepts and determine 
if, in the Division's sole judgment, the application is eligible and 
qualified. Applications the Division deems ineligible or unqualified 
will be declined. The Division will approve eligible and qualified 
applications based on the applicability of the information obtained 
during the application and investigation process to the programmatic 
goals and financial requirements of the program and under terms and 
conditions that, in the Division's sole discretion, protect the U.S. The 
Division will state these terms and conditions in its approval in 
principal letter.
    (c) Insurance. All property and other risks shall be continuously 
insured during the term of the U.S. note. Insurers must be acceptable to 
the Division. Insurance must be in such forms and amounts and against 
such risks as the Division deems necessary to protect the U.S. Insurance 
must be endorsed to include the requirements the U.S., as respects its 
interest only, deems necessary to protect the U.S. (e.g., the Program 
will ordinarily be an additional insured as well as the sole loss payee 
for the amount of its interest; cancellation will require 20 days' 
advance written notice; vessel seaworthiness will be admitted, and the 
Program will be adequately protected against other insureds' breaches of 
policy warranties, negligence, omission, etc.)
    (d) Property inspections. The Division will require adequate 
condition and valuation inspection of all property as the basis for 
assessing the property's worth and suitability for guarantee. The 
Division may also require these at specified periods during guarantee 
life. These must be conducted by competent and impartial inspectors 
acceptable to the Division. Inspection cost will be at an applicant's 
expense. Those occurring before application approval may be included in 
actual cost.
    (e) Guarantee terms and conditions. The Division's approval in 
principle letter shall specify the terms and conditions of the 
guarantor's willingness to guarantee. These shall be incorporated in 
closing documents that the Division prepares. Terms and conditions are 
at the Division's sole discretion. An applicant's nonacceptance will 
result in disqualification for guarantee.
    (f) Noteholder. The Division will, as a gratuitous service, request 
parties interested in investing in guaranteed notes to submit offers to 
fund each prospective guaranteed note. The Division and the applicant 
will, by mutual consent, choose the responsive bidder, which ordinarily 
will be the prospective noteholder whose bid represents the lowest net 
effective annual cost of capital. Until the Division has closed the 
guarantee, arrangements between an applicant and a prospective 
noteholder are a matter of private contract between them, and the 
Program is not responsible to either for nonperformance by the other.
    (g) Closing--(1) Approval in principle letters. Every closing will 
be in strict accordance with a final approval in principle letter.

[[Page 208]]

    (2) Contracts. The guaranteed note, U.S. note, and security 
documents will ordinarily be on standard Program forms that may not be 
altered without Divisional approval. The Division will ordinarily 
prepare all contracts, except certain pledges involving real property, 
which will be prepared by each notemaker's attorney at the direction and 
approval of the Division's attorney.
    (3) Closing schedules. The Division will ordinarily close guarantee 
transactions with minimal services from applicants' attorneys, except 
where real property pledges or other matters appropriate for private 
counsel are involved. Real property services required from an 
applicant's attorney may include: Title search, mortgage and other 
document preparation, execution and recording, escrow and disbursement, 
and a legal opinion and other assurances. An applicant's attorney's 
expense, and that of any other private contractor required, is for 
applicant's account. Attorneys and other contractors must be 
satisfactory to the Division. The Division will attempt to meet 
reasonable closing schedules, but will not be liable for adverse 
interest-rate fluctuations, loss of commitments, or other consequences 
of being unable to meet an applicant's and a prospective noteholder's 
closing schedule. These parties should work closely with the Division to 
ensure a closing schedule the Division can meet.



Sec. 253.16  Fees.

    (a) Application fee. The Division will not accept an application 
without the application fee. Fifty percent of the application fee is 
fully earned at application acceptance, and is not refundable. The rest 
is fully earned when the Division issues an approval in principal 
letter, and it is refundable only if the Division declines an 
application or an applicant requests refund before the Division issues 
an approval in principal letter.
    (b) Guarantee fee. Each guarantee fee will be due in advance and 
will be based on the guaranteed note's repayment provisions for the 
prospective year. The first annual guarantee fee is due at guarantee 
closing. Each subsequent one is due and payable on the guarantee 
closing's anniversary date. Each is fully earned when due, and shall not 
subsequently be refunded for any reason.
    (c) Refinancing or assumption fee. This fee applies only to 
refinancing or assuming existing guaranteed notes. It is due upon 
application for refinancing or assuming a guaranteed note. It is fully 
earned when due and shall be nonrefundable. The Division may waive a 
refinancing or assumption fee's payment when the refinancing or 
assumption's primary purpose is to protect the U.S.
    (d) Where payable. Fees are payable by check made payable to ``NMFS/
FSFF.'' Other than those collected at application or closing, fees are 
payable by mailing checks to: U.S. Department of Commerce, National 
Oceanic and Atmospheric Administration, National Marine Fisheries 
Service, P.O. Box 73004, Chicago, Ill. 60673. To ensure proper 
crediting, each check must include the official case number the Division 
assigns to each guarantee.



Sec. 253.17  Demand and payment.

    Every demand must be delivered in writing to the Division. Each must 
include the noteholder's certified record of the date and amount of each 
payment made on the guaranteed note and the manner of its application. 
Should the Division not acknowledge receipt of a timely demand, the 
noteholder must possess evidence of the demand's timely delivery.



Sec. 253.18  Program operating guidelines.

    The Division may issue Program operating guidelines, as the need 
arises, governing national Program policy and administrative issues not 
addressed by these rules.



Sec. 253.19  Default and liquidation.

    Upon default of the security documents, the Division shall take such 
remedial action (including, where appropriate, liquidation) as it deems 
best able to protect the U.S.' interest.

[[Page 209]]



                Subpart C--Interjurisdictional Fisheries



Sec. 253.20  Definitions.

    The terms used in this subpart have the following meanings:
    Act means the Interjurisdictional Fisheries Act of 1986, Public Law 
99-659 (Title III).
    Adopt means to implement an interstate fishery management plan by 
State action or regulation.
    Commercial fishery failure means a serious disruption of a fishery 
resource affecting present or future productivity due to natural or 
undetermined causes. It does not include either:
    (1) The inability to harvest or sell raw fish or manufactured and 
processed fishery merchandise; or
    (2) Compensation for economic loss suffered by any segment of the 
fishing industry as the result of a resource disaster.
    Enforcement agreement means a written agreement, signed and dated, 
between a state agency and either the Secretary of the Interior or 
Secretary of Commerce, or both, to enforce Federal and state laws 
pertaining to the protection of interjurisdictional fishery resources.
    Federal fishery management plan means a plan developed and approved 
under the Magnuson Fishery Conservation and Management Act (16 U.S.C. 
1801 et seq.).
    Fisheries management means all activities concerned with 
conservation, restoration, enhancement, or utilization of fisheries 
resources, including research, data collection and analysis, monitoring, 
assessment, information dissemination, regulation, and enforcement.
    Fishery resource means finfish, mollusks, and crustaceans, and any 
form of marine or Great Lakes animal or plant life, including habitat, 
other than marine mammals and birds.
    Interjurisdictional fishery resource means:
    (1) A fishery resource for which a fishery occurs in waters under 
the jurisdiction of one or more states and the U.S. Exclusive Economic 
Zone; or
    (2) A fishery resource for which an interstate or a Federal fishery 
management plan exists; or
    (3) A fishery resource which migrates between the waters under the 
jurisdiction of two or more States bordering on the Great Lakes.
    Interstate Commission means a commission or other administrative 
body established by an interstate compact.
    Interstate compact means a compact that has been entered into by two 
or more states, established for purposes of conserving and managing 
fishery resources throughout their range, and consented to and approved 
by Congress.
    Interstate Fisheries Research Program means research conducted by 
two or more state agencies under a formal interstate agreement.
    Interstate fishery management plan means a plan for managing a 
fishery resource developed and adopted by the member states of an 
Interstate Marine Fisheries Commission, and contains information 
regarding the status of the fishery resource and fisheries, and 
recommends actions to be taken by the States to conserve and manage the 
fishery resource.
    Landed means the first point of offloading fishery resources.
    NMFS Regional Director means the Director of any one of the five 
National Marine Fisheries Service regions.
    Project means an undertaking or a proposal for research in support 
of management of an interjurisdictional fishery resource or an 
interstate fishery management plan.
    Research means work or investigative study, designed to acquire 
knowledge of fisheries resources and their habitat.
    Secretary means the Secretary of Commerce or his/her designee.
    State means each of the several states, the District of Columbia, 
the Commonwealth of Puerto Rico, American Samoa, the Virgin Islands, 
Guam, or the Commonwealth of the Northern Mariana Islands.
    State Agency means any department, agency, commission, or official 
of a state authorized under the laws of the State to regulate commercial 
fisheries or enforce laws relating to commercial fisheries.
    Value means the monetary worth of fishery resources used in 
developing the apportionment formula, which is equal to the price paid 
at the first point of landing.

[[Page 210]]

    Volume means the weight of the fishery resource as landed, at the 
first point of landing.



Sec. 253.21  Apportionment.

    (a) Apportionment formula. The amount of funds apportioned to each 
state is to be determined by the Secretary as the ratio which the 
equally weighted average of the volume and value of fishery resources 
harvested by domestic commercial fishermen and landed within such state 
during the 3 most recent calendar years for which data satisfactory to 
the Secretary are available bears to the total equally weighted average 
of the volume and value of all fishery resources harvested by domestic 
commercial fishermen and landed within all of the states during those 
calendar years.
    (1) The equally weighted average value is determined by the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR01MY96.004

[GRAPHIC] [TIFF OMITTED] TR01MY96.005

[GRAPHIC] [TIFF OMITTED] TR01MY96.006

    (2) Upon appropriation of funds by Congress, the Secretary will take 
the following actions:
    (i) Determine each state's share according to the apportionment 
formula.
    (ii) Certify the funds to the respective NMFS Regional Director.
    (iii) Instruct NMFS Regional Directors to promptly notify states of 
funds' availability.
    (b) No state, under the apportionment formula in paragraph (a) of 
this section, that has a ratio of one-third of 1 percent or higher may 
receive an apportionment for any fiscal year that is less than 1 percent 
of the total amount of funds available for that fiscal year.
    (c) If a State's ratio under the apportionment formula in paragraph 
(b) of this section is less than one-third of 1 percent, that state may 
receive funding if the state:
    (1) Is signatory to an interstate fishery compact;
    (2) Has entered into an enforcement agreement with the Secretary 
and/or the Secretary of the Interior for a fishery that is managed under 
an interstate fishery management plan;
    (3) Borders one or more of the Great Lakes;
    (4) Has entered into an interstate cooperative fishery management 
agreement and has in effect an interstate fisheries management plan or 
an interstate fisheries research program; or
    (5) Has adopted a Federal fishery management plan for an 
interjurisdictional fishery resource.
    (d) Any state that has a ratio of less than one-third of 1 percent 
and meets any of the requirements set forth in paragraphs (c) (1) 
through (5) of this section may receive an apportionment for any fiscal 
year that is not less than 0.5 percent of the total amount of funds 
available for apportionment for such fiscal year.
    (e) No state may receive an apportionment under this section for any 
fiscal year that is more than 6 percent of the total amount of funds 
available for apportionment for such fiscal year.
    (f) Unused apportionments. Any part of an apportionment for any 
fiscal year to any state:
    (1) That is not obligated during that year;
    (2) With respect to which the state notifies the Secretary that it 
does not wish to receive that part; or
    (3) That is returned to the Secretary by the state, may not be 
considered to be appropriated to that state and must be added to such 
funds as are appropriated for the next fiscal year. Any notification or 
return of funds by a state referred to in this section is irrevocable.



Sec. 253.22  State projects.

    (a) General--(1) Designation of state agency. The Governor of each 
state shall notify the Secretary of which agency of the state government 
is authorized under its laws to regulate commercial fisheries and is, 
therefore, designated receive financial assistance awards. An official 
of such agency shall certify which official(s) is authorized

[[Page 211]]

in accordance with state law to commit the state to participation under 
the Act, to sign project documents, and to receive payments.
    (2) States that choose to submit proposals in any fiscal year must 
so notify the NMFS Regional Director before the end of the third quarter 
of that fiscal year.
    (3) Any state may, through its state agency, submit to the NMFS 
Regional Director a completed NOAA Grants and Cooperative Agreement 
Application Package with its proposal for a project, which may be 
multiyear. Proposals must describe the full scope of work, 
specifications, and cost estimates for such project.
    (4) States may submit a proposal for a project through, and request 
payment to be made to, an Interstate Fisheries Commission. Any payment 
so made shall be charged against the apportionment of the appropriate 
state(s). Submitting a project through one of the Commissions does not 
remove the matching funds requirement for any state, as provided in 
paragraph (c) of this section.
    (b) Evaluation of projects. The Secretary, before approving any 
proposal for a project, will evaluate the proposal as to its 
applicability, in accordance with 16 U.S.C. 4104(a)(2).
    (c) State matching requirements. The Federal share of the costs of 
any project conducted under this subpart, including a project submitted 
through an Interstate Commission, cannot exceed 75 percent of the total 
estimated cost of the project, unless:
    (1) The state has adopted an interstate fishery management plan for 
the fishery resource to which the project applies; or
    (2) The state has adopted fishery regulations that the Secretary has 
determined are consistent with any Federal fishery management plan for 
the species to which the project applies, in which case the Federal 
share cannot exceed 90 percent of the total estimated cost of the 
project.
    (d) Financial assistance award. If the Secretary approves or 
disapproves a proposal for a project, he or she will promptly give 
written notification, including, if disapproved, a detailed explanation 
of the reason(s) for the disapproval.
    (e) Restrictions. (1) The total cost of all items included for 
engineering, planning, inspection, and unforeseen contingencies in 
connection with any works to be constructed as part of such a proposed 
project shall not exceed 10 percent of the total cost of such works, and 
shall be paid by the state as a part of its contribution to the total 
cost of the project.
    (2) The expenditure of funds under this subpart may be applied only 
to projects for which a proposal has been evaluated under paragraph (b) 
of this section and approved by the Secretary, except that up to $25,000 
each fiscal year may be awarded to a state out of the state's regular 
apportionment to carry out an ``enforcement agreement.'' An enforcement 
agreement does not require state matching funds.
    (f) Prosecution of work. All work must be performed in accordance 
with applicable state laws or regulations, except when such laws or 
regulations are in conflict with Federal laws or regulations such that 
the Federal law or regulation prevails.



Sec. 253.23  Other funds.

    (a) Funds for disaster assistance. (1) The Secretary shall retain 
sole authority in distributing any disaster assistance funds made 
available under section 308(b) of the Act. The Secretary may distribute 
these funds after he or she has made a thorough evaluation of the 
scientific information submitted, and has determined that a commercial 
fishery failure of a fishery resource arising from natural or 
undetermined causes has occurred. Funds may only be used to restore the 
resource affected by the disaster, and only by existing methods and 
technology. Any fishery resource used in computing the states' amount 
under the apportionment formula in Sec. 253.21(a) will qualify for 
funding under this section. The Federal share of the cost of any 
activity conducted under the disaster provision of the Act shall be 
limited to 75 percent of the total cost.

[[Page 212]]

    (2) In addition, pursuant to section 308(d) of the Act, the 
Secretary is authorized to award grants to persons engaged in commercial 
fisheries, for uninsured losses determined by the Secretary to have been 
suffered as a direct result of a fishery resource disaster. Funds may be 
distributed by the Secretary only after notice and opportunity for 
public comment of the appropriate limitations, terms, and conditions for 
awarding assistance under this section. Assistance provided under this 
section is limited to 75 percent of an uninsured loss to the extent that 
such losses have not been compensated by other Federal or State 
programs.
    (b) Funds for interstate commissions. Funds authorized to support 
the efforts of the three chartered Interstate Marine Fisheries 
Commissions to develop and maintain interstate fishery management plans 
for interjurisdictional fisheries will be divided equally among the 
Commissions.



Sec. 253.24  Administrative requirements.

    Federal assistance awards made as a result of this Act are subject 
to all Federal laws, Executive Orders, Office of Management and Budget 
Circulars as incorporated by the award; Department of Commerce and NOAA 
regulations; policies and procedures applicable to Federal financial 
assistance awards; and terms and conditions of the awards.



PART 259--CAPITAL CONSTRUCTION FUND--Table of Contents




                          Joint Tax Regulations

Sec.
259.1  Execution of agreements and deposits made in a Capital 
          Construction Fund.

                   Capital Construction Fund Agreement

259.30  Application for Interim Capital Construction Fund Agreement 
          (``Interim CCF Agreement'').
259.31  Acquisition, construction, or reconstruction.
259.32  Conditional fisheries.
259.33  Constructive deposits and withdrawals; ratification of 
          withdrawals (as qualified) made without first having obtained 
          Secretary's consent; first tax year for which Interim CCF 
          Agreement is effective.
259.34  Minimum and maximum deposits; maximum time to deposit.
259.35  Annual deposit and withdrawal reports required.
259.36  CCF accounts.
259.37  Conditional consents to withdrawal qualification.
259.38  Miscellaneous.

    Authority: 46 U.S.C. 1177.

                          Joint Tax Regulations



Sec. 259.1   Execution of agreements and deposits made in a Capital Construction Fund.

    In the case of a taxable year of a taxpayer beginning after December 
31, 1969, and before January 1, 1972, the rules governing the execution 
of agreements and deposits under such agreements shall be as follows:
    (a) A capital construction fund agreement executed and entered into 
by the taxpayer on or prior to the due date, with extensions, for the 
filing of his Federal income tax return for such taxable year or years 
will be deemed to be effective on the date of the execution of such 
agreement or as of the close of business of the last regular business 
day of each such taxable year or years to which such deposit relates, 
whichever day is earlier.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
where:
    (1) For taxable years beginning after December 31, 1969, and prior 
to January 1, 1971, an application for a capital construction fund 
agreement is filed by a taxpayer prior to January 1, 1972, and a capital 
construction fund agreement is executed and entered into by the taxpayer 
prior to March 1, 1972, and
    (2) For taxable years beginning after December 31, 1970, and prior 
to January 1, 1972, an application for a capital construction fund 
agreement is filed by a taxpayer prior to January 1, 1973, and a capital 
construction fund agreement is executed and entered into by the taxpayer 
prior to March 1, 1973 (or, if earlier, 60 days after the publication of 
final joint regulations under section 607 of the Merchant Marine Act, 
1936, as amended); then such a capital construction fund agreement will 
be deemed to be effective as of the close of business of the last 
regular business day of each such taxable year or years to which such 
deposit related.

[[Page 213]]

    (c) (1) Deposits made in a capital construction fund pursuant to 
such an agreement within 60 days after the date of execution of the 
agreement, or on or prior to the due date, with extensions, for the 
filing of his Federal income tax return for such taxable year or years, 
whichever date shall be later, shall be deemed to have been made on the 
date of the actual deposit or as of the close of business of the last 
regular business day of each such taxable year or years to which such 
deposit relates, whichever day is earlier.
    (2) Notwithstanding paragraph (c)(1) of this section, for taxable 
years beginning after December 31, 1970, and ending prior to January 1, 
1972, deposits made later than the last date permitted under paragraph 
(c)(1) of this section but on or before January 9, 1973, in a capital 
construction fund pursuant to an agreement with the Secretary of 
Commerce, acting by and through the Administrator of the National 
Oceanic and Atmospheric Administration, shall be deemed to have been 
made on the date of the actual deposit or as of the close of business of 
the last regular business day of such taxable year, whichever is 
earlier.
    (d) Nothing in this section shall alter the rules and regulations 
governing the timing of deposits with respect to existing capital and 
special reserve funds or with respect to the treatment of deposits for 
any taxable year or years other than a taxable year or years beginning 
after December 31, 1969, and before January 1, 1972.1
---------------------------------------------------------------------------

    1 The phrase ``existing capital and special reserve funds'' does not 
refer to the Capital Construction Fund program but rather to funds 
established with the Maritime Administration prior to the amendment of 
the Merchant Marine Act, 1936, which authorized the Capital Construction 
Fund program.

[37 FR 25025, Nov. 25, 1972, as amended at 38 FR 8163, Mar. 29, 1973]

                   Capital Construction Fund Agreement

    Source: Sections 259.30 to 259.38 appear at 39 FR 33675, Sept. 19, 
1974, unless otherwise noted.



Sec. 259.30   Application for Interim Capital Construction Fund Agreement (``Interim CCF Agreement'').

    (a) General qualifications. To be eligible to enter into an Interim 
CCF Agreement an applicant must:
    (1) Be a citizen of the United States (citizenship requirements are 
those for documenting vessels in the coastwise trade within the meaning 
of section 2 of the Shipping Act, 1916, as amended);
    (2) Own or lease one or more eligible vessels (as defined in section 
607(k)(1) of the Act) operating in the foreign or domestic commerce of 
the United States.
    (3) Have an acceptable program for the acquisition, construction, or 
reconstruction of one or more qualified vessels (as defined in section 
607(k)(2) of the Act). Qualified vessels must be for commercial 
operation in the fisheries of the United States. If the qualified vessel 
is 5 net tons or over, it must be documented in the fisheries of the 
United States. Dual documentation in both the fisheries and the 
coastwise trade of the United States is permissible. Any vessel which 
will carry fishing parties for hire must be inspected and certified 
(under 46 CFR part 176) by the U.S. Coast Guard as qualified to carry 
more than six passengers or demonstrate to the Secretary's satisfaction 
that the carrying of fishing parties for hire will constitute its 
primary activity. The program must be a firm representation of the 
applicant's actual intentions. Vague or contingent objectives will not 
be acceptable.
    (b) Content of application. Applicants seeking an Interim CCF 
Agreement may make application by letter providing the following 
information:
    (1) Proof of U.S. citizenship;
    (2) The first taxable year for which the Interim CCF Agreement is to 
apply (see Sec. 259.33 for the latest time at which applications for an 
Interim CCF Agreement relating to a previous taxable year may be 
received);
    (3) The following information regarding each ``eligible vessel'' 
which is to be incorporated in Schedule A of the Interim CCF Agreement 
for purposes of making deposits into a CCF pursuant to section 607 of 
the Act:
    (i) Name of vessel,

[[Page 214]]

    (ii) Official number, or, in the case of vessels under 5 net tons, 
the State registration number where required,
    (iii) Type of vessel (i.e., catching vessel, processing vessel, 
transporting vessel, charter vessel, barge, passenger carrying fishing 
vessel, etc.),
    (iv) General characteristic (i.e., net tonnage, fish-carrying 
capacity, age, length, type of fishing gear, number of passengers 
carried or in the case of vessels operating in the foreign or domestic 
commerce the various uses of the vessel, etc.),
    (v) Whether owned or leased and, if leased, the name of the owner, 
and a copy of the lease,
    (vi) Date and place of construction,
    (vii) If reconstructed, date of redelivery and place of 
reconstruction,
    (viii) Trade (or trades) in which vessel is documented and date last 
documented,
    (ix) If a fishing vessel, the fishery of operation (which in this 
section means each species or group of species--each species must be 
specifically identified by acceptable common names--of fish, shellfish, 
or other living marine resources which each vessel catches, processes, 
or transports or will catch, process, or transport for commercial 
purposes such as marketing or processing the catch),
    (x) If a fishing vessel, the area of operation (which for fishing 
vessels means the general geographic areas in which each vessel will 
catch, process, or transport, or charter for each species or group of 
species of fish, shellfish, or other living marine resources).
    (4) The specific objectives to be achieved by the accumulation of 
assets in a Capital Construction Fund (to be incorporated in Schedule B 
of the Interim CCF Agreement) including:
    (i) Number of vessels,
    (ii) Type of vessel (i.e., catching, processing, transporting, or 
passenger carrying fishing vessel),
    (iii) General characteristics (i.e., net tonnage, fish-carrying 
capacity, age, length, type of fishing gear, number of passengers 
carried),
    (iv) Cost of projects,
    (v) Amount of indebtedness to be paid for vessels to be constructed, 
acquired, or reconstructed (all notes, mortgages, or other evidences of 
the indebtedness must be submitted as soon as available, together with 
sufficient additional evidence to establish that full proceeds of the 
indebtedness to be paid from a CCF under an Interim CCF Agreement, were 
used solely for the purpose of the construction, acquisition, or 
reconstruction of Schedule B vessels),
    (vi) Date of construction, acquisition, or reconstruction,
    (vii) Fishery of operation (which in this section means each species 
or group of species--each species must be specifically identified by 
acceptable common name--of fish, shellfish, or other living marine 
resources),
    (viii) Area of operation (which in this section means the general 
geographic areas in which each vessel will will operate for each species 
or group of species of fish, shellfish, or other living marine 
resources).
    (c) Filing. The application must be signed and submitted in 
duplicate to the Regional Office of the National Marine Fisheries 
Service's Financial Assistance Division corresponding to the region in 
which the party conducts its business. As a general rule, the Interim 
CCF Agreement must be executed and entered into by the taxpayer on or 
prior to the due date, with extensions, for the filing of the Federal 
tax return in order to be effective for the tax year to which that 
return relates. It is manifestly in the Applicant's best interest to 
file at least 45 days in advance of such date.

[39 FR 33675, Sept. 19, 1974, as amended at 42 FR 65185, Dec. 30, 1978]



Sec. 259.31   Acquisition, construction, or reconstruction.

    (a) Acquisition. No vessel having previously been operated in a 
fishery of the United States prior to its acquisition by the party 
seeking CCF withdrawal therefor shall be a qualified vessel for the 
purpose of acquisition, except in the cases specified in paragraphs 
(a)(1) and (2) of this section:
    (1) A vessel not more than 5 years old, at the time of its 
acquisition by the party seeking CCF withdrawal therefor may be a 
qualified vessel for the purpose of acquisition, but only if each 
acquisition in this category becomes a Schedule A vessel and there

[[Page 215]]

exists for each acquisition in this category (on a one-for-one basis) an 
additional Schedule B construction or reconstruction. The sole 
consideration for permitting an acquisition in this category is that it 
will enable the party (but the Secretary will not attempt to 
predetermine such an ability) to accelerate accomplishment of the 
additional Schedule B construction or reconstruction. Should this 
consideration materially fail, the Secretary shall, at his discretion, 
disqualify previously qualified withdrawals in this category, seek 
liquidated damages as provided for in paragraph (a)(4) of this section 
and/or terminate the Interim CCF Agreement.
    (2) A vessel more than 5 years old, but not more than 25 years old 
(special showing required if more than 25 years old, see paragraph (b) 
of this section), at the time of acquisition by the party seeking CCF 
withdrawal therefor may be a qualified vessel for the purpose of 
acquisition, but only if that same vessel becomes a Schedule A vessel 
and (in addition to being a Schedule B vessel for the purpose of its 
acquisition) becomes a Schedule B vessel for the purpose of that same 
vessel's reconstruction to be accomplished ordinarily within 7 years 
from the date of acquisition. The sole consideration for permitting an 
acquisition in this category is that it will enable a party (but the 
Secretary will not attempt to predetermine such an ability) to 
accelerate accomplishment of the Schedule B reconstruction of the vessel 
so acquired. Should this consideration materially fail, the same penalty 
prescribed in paragraph (a)(1) of this section applies.
    (3) Reserved for minimum deposits under this section.
    (4) Reserved for liquidated damages.
    (b) Reconstruction. No reconstruction project costing less than 
$100,000 shall qualify a vessel for reconstruction, unless the 
reconstruction project costs, or will cost, 20 percent or more of the 
reconstructed vessel's acquisition cost (in its unreconstructed state) 
to the party seeking CCF withdrawal therefor. If the reconstruction 
project meets the $100,000 test, then the 20 percent test does not 
apply. Conversely, if the reconstruction project does not meet the 
$100,000 test, then the 20 percent test applies.
    (1) Reconstruction may include rebuilding, replacing, 
reconditioning, converting and/or improving any portion of a vessel. A 
reconstruction project must, however, substantially prolong the useful 
life of the reconstructed vessel, increase its value, or adapt it to a 
different commercial use in the fishing trade or industry.
    (2) All, or the major portion (ordinarily, not less than 80 
percent), of a reconstruction project's actual cost must (for the 
purpose of meeting the above dollar or percentage tests) be classifiable 
as a capital expenditure for Internal Revenue Service (IRS) purposes. 
That otherwise allowable (i.e., for the purpose of meeting the above 
dollar or percentage tests) portion of a reconstruction project's actual 
cost which is not classifiable as a capital expenditure shall, however, 
be excluded from the amount qualified for withdrawal as a result of the 
reconstruction project.
    (3) No vessel more than 25 years old at the time of withdrawal or 
request for withdrawal shall be a qualified vessel for the purpose of 
reconstruction unless a special showing is made, to the Secretary's 
discretionary satisfaction, that the type and degree of reconstruction 
intended will result in an efficient and productive vessel with an 
economically useful life at least 10 years beyond the date 
reconstruction is completed.
    (c) Time permitted for construction or reconstruction. Construction 
or reconstruction must be completed within 18 months from the date 
construction or reconstruction first commences, unless otherwise 
consented to by the Secretary.
    (d) Energy saving improvements. An improvement made to a vessel to 
conserve energy shall, regardless of cost, be treated as a 
reconstruction for the purpose of qualifying a CCF withdrawal for such 
expenditure and shall be exempted from having to meet conditional 
fishery requirements for reconstruction as set forth in Sec. 259.32 and 
from all qualifying tests for reconstruction set forth in paragraph (b) 
of this section with the following exceptions:

[[Page 216]]

    (1) An energy saving improvement shall be required to meet both 
conditional fishery requirements and the qualifying tests for 
reconstruction if it serves the dual purpose of saving energy and 
meeting the reconstruction requirement of paragraph (a) of this section 
for qualifying a withdrawal for the acquisition of a used vessel.
    (2) That portion of the actual cost of an energy saving improvement 
which is to be paid for from the CCF must be classifiable and treated as 
a capital expenditure for Internal Revenue Service purposes.

(Sec. 607 of the Merchant Marine Act, 1936, as amended (46 U.S.C. 1177))

[39 FR 33675, Sept. 19, 1974, as amended at 46 FR 54563, Nov. 3, 1981]



Sec. 259.32   Conditional fisheries.

    (a) The Secretary may from time-to-time establish certain fisheries 
in which CCF benefits will be restricted. The regulatory mechanism for 
so doing is part 251 of this chapter. Each fishery so restricted is 
termed a ``conditional fishery''. Subpart A of part 251 of this chapter 
establishes the procedure to be used by the Secretary in proposing and 
adopting a fishery as a conditional fishery. Subpart B of part 251 of 
this chapter enumerates each fishery actually adopted as a conditional 
fishery (part 251 of this chapter should be referred to for details). 
The purpose of this Sec. 259.32 is to establish the effect of 
conditional fishery adoption upon Interim CCF Agreements.
    (b) If a written request for an otherwise permissible action under 
an Interim CCF Agreement is submitted prior to the date upon which 
conditional fishery adoption occurs, then the Secretary will act, in an 
otherwise normal manner, upon so much of the action then applied for as 
is then permissible without regard to the subsequent adoption of a 
conditional fishery (even, if that adoption occurs before the Secretary 
gives his consent or issues an Interim CCF Agreement or amendment 
thereto, all as the case may be). Nevertheless, the conditions as set 
forth in paragraph (d) of this section shall apply.
    (c) If a written request for an otherwise permissible action under 
an Interim CCF Agreement, or an application for an Interim CCF 
Agreement, is submitted after the date upon which conditional fishery 
adoption occurs, then the Secretary will act, in an otherwise normal 
manner, upon so much of the action then applied for as is then 
permissible without regard to the previous adoption of a conditional 
fishery provided, however, that this paragraph shall apply only to 
construction or reconstruction for which a binding contract has been 
reduced to writing prior to the date upon which conditional fishery 
adoption occurred. Nevertheless, the conditions as set forth in 
paragraph (d) of this section shall apply.
    (d) Conditional fishery adoption shall have no effect whatsoever 
upon a Schedule B objective whose qualification for withdrawal (which 
may be in an amount equal to the total cost over time of a Schedule B 
objective, i.e., a series of withdrawals) has been, prior to the date of 
conditional fishery adoption, either consented to by the Secretary or 
requested in accordance with paragraph (b) or (c) of this section. This 
extends to past, present, and future withdrawals in an amount 
representing up to 100 percent of the cost of a Schedule B objective. 
Commencement of any project in these categories shall, however, be 
started not later than 6 months from the date of conditional fishery 
adoption and shall be completed within 24 months from the date of 
conditional fishery adoption, unless for good and sufficient cause shown 
the Secretary, at his discretion, consents to a longer period for either 
project commencement or completion. Consent to the qualification of 
withdrawal for any project in these categories not commenced or 
completed within the periods allowed shall be revoked at the end of the 
periods allowed.
    (e) Conditional fishery adoption shall have no effect whatsoever 
upon Schedule B objectives which will not result in significantly 
increasing harvesting capacity in a fishery adopted as a conditional 
fishery.
    (1) Construction of a new vessel (vessel ``Y'') for operation in an 
adopted conditional fishery shall be deemed to significantly increase 
harvesting capacity in that fishery unless the party

[[Page 217]]

causing the ``Y'' vessel to be constructed causes (within 1 year after 
the delivery of vessel ``Y'') to be permanently removed from all 
fishing, or placed permanently in a fishery not then adopted as a 
conditional fishery, under such conditions as the Secretary may deem 
necessary or desirable, a vessel (vessel ``Z'') which has during the 
previous 18 months operated substantially in the same fishery as the 
``Y'' vessel and which has a fishing capacity substantially equivalent 
to the ``Y'' vessel. Failure to remove a vessel could subject all 
withdrawals to be treated as nonqualified and may be cause for 
termination of the CCF. What constitutes substantially equivalent 
fishing capacity shall be a matter for the Secretary's discretion. 
Ordinarily, in exercising his discretion about what does or does not 
constitute substantially equivalent fishing capacity, the Secretary will 
take into consideration (i) the average size of vessels constructed for 
the adopted conditional fishery in question at the time vessel ``Z'' was 
constructed (or, if constructed for a different fishery, the average 
size of vessels in the adopted conditional fishery at the time vessel 
``Z'' entered it), (ii) the average size of vessels constructed for the 
adopted conditional fishery at the time vessel ``Y'' was or will be 
constructed, and (iii) such other factors as the Secretary may deem 
material and equitable, including the length of time the party had owned 
or leased vessel ``Z'' and the length of time the vessel has operated in 
the conditional fishery. The Secretary will consider these factors, and 
exercise his discretion, in such a way as to encourage use of this 
program by established fishermen who have owned or leased for 
substantial periods vessels which need to be replaced, even though a 
``Z'' vessel may have been constructed at a time which dictated a lesser 
fishing capacity than dictated for a ``Y'' vessel at the time of its 
construction.
    (2) Acquisition and/or reconstruction of a used vessel for operation 
in an adopted conditional fishery shall be deemed to significantly 
increase harvesting capacity in that fishery unless the vessel to be 
acquired and/or reconstructed had during the previous 3 years operated 
substantially in the same fishery as the adopted conditional fishery in 
which it will operate after acquisition and/or reconstruction. If less 
than 3 years, then acquisition and/or reconstruction of a used vessel 
for operation in an adopted conditional fishery shall be deemed to 
significantly increase harvesting capacity in that fishery unless there 
occurs vessel removal or permanent placement elsewhere under the same 
conditions specified for construction in paragraph (e)(1) of this 
section.
    (3) Construction of a new vessel or the acquisition and/or 
reconstruction of a used vessel for operation in an adopted conditional 
fishery shall not be deemed to significantly increase the harvesting 
capacity where the vessel constructed, acquired and/or reconstructed 
replaces another vessel which was lost or destroyed and which had, 
immediately prior to the loss or destruction, operated in the same 
fishery as the adopted conditional fishery, provided, however, that the 
fishing capacity of the replacement vessel has a fishing capacity 
substantially equivalent to the vessel lost or destroyed and that the 
construction, acquisition and/or reconstruction is completed within 2 
years after the close of the taxable year in which the loss or 
destruction occurred. The Secretary may, at his discretion, and for good 
and sufficient cause shown, extend the replacement period, provided that 
the request for extension of time to replace is timely filed with the 
Secretary
    (f) Conditional fishery adoption shall have the following effect on 
all Schedule B objectives (whether for acquisition, construction, or 
reconstruction) which the Secretary deems to significantly increase 
harvesting capacity in that fishery, excluding those circumstances 
specifically exempted by paragraphs (b) through (e) of this section 
(which shall be governed by the provisions of paragraphs (b) through (e) 
of this section).
    (1) The Secretary may nevertheless consent to the qualification of 
withdrawal, but only up to an amount not exceeding the total of eligible 
ceilings actually deposited during tax years other than the taxable year 
in which conditional fishery adoption occurs

[[Page 218]]

plus a pro-rata portion of eligible ceilings generated in the tax year 
in which conditional fishery adoption occurs. Pro-ration shall be 
according to the number of months or any part thereof in a party's tax 
year which elapse before the adoption of the conditional fishery occurs. 
For example, if a party's tax year runs from January 1, 1974, to 
December 31, 1974, and conditional fishery adoption occurs on August 15, 
1974, (i.e., during the 8th month of the party's tax year), then the 
pro-rata portion for that year is eight-twelfths of the total eligible 
ceilings generated during that year.
    (2) Qualified withdrawals in excess of the amount specified in 
paragraph (f)(1) of this section shall not, during the continuance of 
the adopted conditional fishery, be consented to. Parties at this point 
shall have the following option:
    (i) Make, with the Secretary's consent, a nonqualified withdrawal of 
the excess and discontinue the future deposit of eligible ceilings 
(which may effect termination of the Interim CCF Agreement).
    (ii) Reserve the excess, as well as the future deposit of eligible 
ceilings, for a Schedule B objective not then involving an adopted 
conditional fishery. If amendment of an Interim CCF Agreement is 
necessary in order to include a Schedule B objective not then involving 
an adopted conditional fishery, the party may, with the Secretary's 
consent, make the necessary amendment.
    (iii) Reserve the excess, as well as the future deposit of eligible 
ceilings, for a Schedule B objective involving a then adopted 
conditional fishery in anticipation that the then adopted conditional 
fishery will eventually be disadopted, in which case all deposits of 
eligible ceilings will once again be eligible for the Secretary's 
consent as qualified withdrawals. If the adoption of a conditional 
fishery continues for a substantial length of time and there is no 
forseeable prospect of disadoption, then the Secretary, in his 
discretion, may require paragraph (f)(2)(i) or (ii) of this section to 
be effected.
    (g) The Secretary shall neither enter into a new Interim CCF 
Agreement, nor permit amendment of an existing one, which involves a 
Schedule B objective in a then adopted conditional fishery unless 
paragraph (b), (c) or (d) of this Sec. 259.32 applies or unless the 
Schedule B objective is expressly conditioned upon acquisition 
construction, or reconstruction of the type permitted under paragraph 
(e) of this Sec. 259.32. Such an express condition would not survive 
beyond the time at which conditional fishery status is removed.



Sec. 259.33   Constructive deposits and withdrawals; ratification of withdrawals (as qualified) made without first having obtained Secretary's consent; first 
          tax year for which Interim CCF Agreement is effective.

    (a) Periods controlling permissibility. For the purpose of this 
Sec. 259.33, the period between the beginning and the end of a party's 
tax year is designated ``Period (aa)''; the period between the end of a 
party's tax year and the party's tax due date for that tax year is 
designated ``Period (bb)''; the period between the party's tax due date 
and the date on which ends the party's last extension (if any) of that 
tax due date is designated ``Period (cc)''.
    (b) Constructive deposits and withdrawals (before Interim CCF 
Agreement effectiveness date). Constructive deposits and withdrawals 
shall be permissible only during the Period (aa) during which a written 
application for an interim CCF Agreement is submitted to the Secretary 
and so much of the next succeeding Period (aa), if any, which occurs 
before the Secretary executes the Interim CCF Agreement previously 
applied for. All otherwise qualified expenditures of eligible ceilings 
during Period (aa) may be consented to by the Secretary as constructive 
deposits and withdrawals: Provided, The applicant's application for an 
Interim CCF Agreement and for consent to constructive deposit and 
withdrawal qualification (together with sufficient supporting data to 
enable the Secretary's execution or issuance of consent) is submitted to 
the Secretary either before the end of Period (bb) or, if extension was 
requested and received, before the end of Period (cc). If, however, the 
Secretary receives the completed application in proper form so close to 
the latest permissible period that the Interim CCF Agreement cannot be 
executed and/or the consent given before the end of Period (bb) or 
Period (cc), whichever

[[Page 219]]

applies, then the burden is entirely upon the applicant to negotiate 
with the Internal Revenue Service (IRS) for such relief as may be 
available (e.g., filing an amended tax return, if appropriate). The 
Secretary willl nevertheless execute the Interim CCF Agreement and issue 
his consent however long past the applicant's Period (bb) or Period 
(cc), whichever applies, the Secretary's administrative workload 
requires. Should IRS relief be, for any reason, unavailable, the 
Secretary shall regard the same as merely due to the applicant's having 
failed to apply in a more timely fashion.
    (c) Constructive deposits (after Interim CCF Agreement effectiveness 
date). The Secretary shall not permit constructive deposits or 
withdrawals after the effective date of an Interim CCF Agreement. 
Eligible ceilings must, after the effective date of an interim CCF 
Agreement, be physically deposited in money or kind in scheduled 
depositories before the last date eligible ceilings for any Period (aa) 
of any party become ineligible for deposit (the last date being Period 
(bb) or Period (cc), whichever applies).
    (d) Ratification of withdrawals (as qualified) made without first 
having obtained Secretary's consent. The Secretary may ratify as 
qualified any withdrawal made without first having obtained the 
Secretary's consent therefor, provided the withdrawal was such as would 
have resulted in the Secretary's consent had it been requested before 
withdrawal, and provided further that the party's request for consent 
(together with sufficient supporting data to enable issuance of the 
Secretary's consent) is submitted to the Secretary either before the end 
of Period (bb) or, if extension was requested and received, before the 
end of Period (cc).
    (1) If, however, the Secretary receives the request in proper form 
so close to the latest permissible period that the consent cannot be 
given before expiration of Period (bb) or Period (cc), whichever 
applies, then the burden is entirely upon the party to negotiate with 
IRS for such relief as may be available (e.g., filing an amended tax 
return, if appropriate). The Secretary will nevertheless issue his 
consent however long past the party's Period 
(bb) or Period (cc), whichever applies, the Secretary's administrative 
workload requires. Should IRS relief be, for any reason, unavailable, 
the Secretary shall regard the same as merely due to the party's having 
failed to apply in a more timely fashion.
    (2) All parties shall be counseled that it is manifestly in their 
best interest to request the Secretary's consent 45 days in advance of 
the expected date of withdrawal. Withdrawals made without the 
Secretary's consent, in reliance on obtaining the Secretary's consent, 
are made purely at a party's own risk. Should any withdrawal made 
without the Secretary's consent prove, for any reason, to be one to 
which the Secretary will not or cannot consent by ratification, then the 
result will be either, or both, at the Secretary's discretion, an 
unqualified withdrawal or an involuntary termination of the Interim CCF 
Agreement.
    (3) Should the withdrawal made without having first obtained the 
Secretary's consent be made in pursuance of a project not then an 
eligible Schedule B objective, then the Secretary may entertain an 
application to amend the Interim CCF Agreement's Schedule B objectives 
as the prerequisite to consenting by ratification to the withdrawal, all 
under the same time constraints and conditions as otherwise specified 
herein.
    (4) Any withdrawals made, after the effective date of an Interim CCF 
Agreement, without the Secretary's consent are automatically non-
qualified withdrawals unless the Secretary subsequently consents to them 
by ratification as otherwise specified herein.
    (5) Redeposit of that portion of the ceiling withdrawn without the 
Secretary's consent, and for which such consent is not subsequently 
given (either by ratification or otherwise), shall not be permitted. If 
such a non-qualified withdrawal adversely affects the Interim CCF 
Agreement's general status in any wise deemed by the Secretary, at his 
discretion, to be significant and material, the Secretary may 
involuntarily terminate the Interim CCF Agreement.
    (e) First tax year for which Interim CCF Agreement is effective. An 
Agreement, to be effective for any party's Period (aa), 

[[Page 220]]

must be executed and entered into by the party, and submitted to the 
Secretary, before the end of Period (bb) or Period (cc), whichever 
applies, for such Period (aa). If executed and entered into by the 
party, and/or received by the Secretary, after the end of Period (bb) or 
Period (cc), whichever applies, then the Agreement will be first 
effective for the next succeeding Period (aa).
    (1) If, however, the Secretary receives an Agreement executed and 
entered into by the party in proper form so close to the latest 
permissible period that the Secretary cannot execute the Agreement 
before expiration of Period (bb) or Period (cc), whichever applies, then 
the burden is entirely upon the party to negotiate with IRS for such 
relief as may be available (e.g., filing an amended tax return, if 
appropriate). The Secretary will nevertheless execute the Agreement 
however long past the party's Period (bb) or Period (cc), whichever 
applies, the Secretary's administrative workload requires. Should IRS 
relief be, for any reason, unavailable, the Secretary shall regard the 
same as merely due to the party's having failed to apply in a more 
timely manner.
    (2) All parties shall be counseled that it is manifestly in their 
best interest to enter into and execute an Agreement, and submit the 
same to the Secretary, at least 45 days in advance of the Period (bb) or 
Period (cc), whichever applies, for the Period (aa) for which the 
Agreement is first intended to be effective.



Sec. 259.34   Minimum and maximum deposits; maximum time to deposit.

    (a) Minimum annual deposit. The minimum annual (based on each 
party's taxable year) deposit required by the Secretary in order to 
maintain an Interim CCF Agreement shall be an amount equal to 2 percent 
of the total anticipated cost of all Schedule B objectives unless such 2 
percent exceeds during any tax year 50 percent of a party's Schedule A 
taxable income, in which case the minimum deposit for that year shall be 
50 percent of the party's Schedule A taxable income.
    (1) Minimum annual deposit compliance shall be audited at the end of 
each party's taxable year unless any one or more of the Schedule B 
objectives is scheduled for commencement more than 3 taxable years in 
advance of the taxable year in which the agreement is effected, in which 
case minimum annual deposit compliance shall be audited at the end of 
each 3 year taxable period. In any taxable year, a Party may apply any 
eligible amount in excess of the 2 percent minimum annual deposit toward 
meeting the party's minimum annual deposit requirement in past or future 
years: Provided, however, At the end of each 3 year period, the 
aggregate amount in the fund must be in compliance with 2 percent 
minimum annual deposit rule (unless the 50 percent of taxable income 
situation applies).
    (2) The Secretary may, at his discretion and for good and sufficient 
cause shown, consent to minimum annual deposits in any given tax year or 
combination of tax years in an amount lower than prescribed herein: 
Provided, The party demonstrates to the Secretary's satisfaction the 
availability of sufficient funds from any combination of sources to 
accomplish Schedule B objectives at the time they are scheduled for 
accomplishment.
    (b) Maximum deposits. Other than the maximum annual ceilings 
established by the Act, the Secretary shall not establish a maximum 
annual ceiling: Provided, however, That deposits can no longer be made 
once a party has deposited 100 percent of the anticipated cost of all 
Schedule B objectives, unless the Interim CCF Agreement is then amended 
to establish additional Schedule B objectives.
    (c) Maximum time to deposit. Ten years shall ordinarily be the 
maximum time the Secretary shall permit in which to accumulate deposits 
prior to commencement of any given Schedule B objective. A time longer 
than 10 years, either by original scheduling or by subsequent extension 
through amendment, may, however, be permitted at the Secretary's 
discretion and for good and sufficient cause shown.



Sec. 259.35  Annual deposit and withdrawal reports required.

    (a) The Secretary will require from each Interim CCF Agreement 
holder

[[Page 221]]

(Party) the following annual deposit and withdrawal reports. Failure to 
submit such reports may be cause for involuntary termination of CCF 
Agreements.
    (1) A preliminary deposit and withdrawal report at the end of each 
calendar year, which must be submitted not later than 45 days after the 
close of the calendar year. The report must give the amounts withdrawn 
from and deposited into the party's CCF during the subject year, and be 
in letter form showing the agreement holder's name, FVCCF identification 
number, and taxpayer identification number. Each report must bear 
certification that the deposit and withdrawal information given includes 
all deposit and withdrawal activity for the year and the account 
reported. Negative reports must be submitted in those cases where there 
is no deposit and/or withdrawal activity. If the party's tax year is the 
same as the calendar year, and if the final deposit and withdrawal 
report required under paragraph (a)(2) of this section is submitted 
before the due date for this preliminary report, then this report is not 
required.
    (2) A final deposit and withdrawal report at the end of the tax 
year, which shall be submitted not later than 30 days after expiration 
of the due date, with extensions (if any), for filing the party's 
Federal income tax return. The report must be made on a form prescribed 
by the Secretary using a separate form for each FVCCF depository. Each 
report must bear certification that the deposit and withdrawal 
information given includes all deposit and withdrawal activity for the 
year and account reported. Negative reports must be submitted in those 
cases where there is no deposit and/or withdrawal activity.
    (b) Failure to submit the required annual deposit and withdrawal 
reports shall be cause after due notice for either, or both, 
disqualification of withdrawals or involuntary termination of the 
Interim CCF Agreement, at the Secretary's discretion.
    (c) Additionally, the Secretary shall require from each Interim CCF 
Agreement holder, not later than 30 days after expiration of the party's 
tax due date, with extensions (if any), a copy of the party's Federal 
Income Tax Return filed with IRS for the preceding tax year. Failure to 
submit shall after due notice be cause for the same adverse action 
specified in the paragraph above.

[39 FR 33675, Sept. 19, 1974, as amended at 48 FR 57302, Dec. 29, 1983; 
53 FR 35203, Sept. 12, 1988]



Sec. 259.36   CCF accounts.

    (a) General: Each CCF account in each scheduled depository shall 
have an account number, which must be reflected on the reports required 
by Sec. 259.35. All CCF accounts shall be reserved only for CCF 
transactions. There shall be no intermingling of CCF and non-CCF 
transactions and there shall be no pooling of 2 or more CCF accounts 
without prior consent of the Secretary. Safe deposit boxes, safes, or 
the like shall not be eligible CCF depositories without the Secretary's 
consent and then only under such conditions as the Secretary, in his 
discretion, prescribes.
    (b) Assignment: The use of Fund assets for transactions in the 
nature of a countervailing balance, compensating balance, pledge, 
assignment, or similar security arrangement shall constitute a material 
breach of the Agreement unless prior written consent of the Secretary is 
obtained.
    (c) Depositories: (1) Section 607(c) of the Act provides that 
amounts in a CCF must be kept in the depository or depositories 
specified in the Agreements and be subject to such trustee or other 
fiduciary requirements as the Secretary may specify.
    (2) Unless otherwise specified in the Agreement, the party may 
select the type or types of accounts in which the assets of the Fund may 
be deposited.
    (3) Non-cash deposits or investments of the Fund should be placed in 
control of a trustee under the following conditions:
    (i) The trustee should be specified in the Agreement;
    (ii) The trust instrument should provide that all investment 
restrictions stated in section 607(c) of the Act will be observed;

[[Page 222]]

    (iii) The trust instrument should provide that the trustee will give 
consideration to the party's withdrawal requirements under the Agreement 
when investing the Fund;
    (iv) The trustee must agree to be bound by all rules and regulations 
which have been or will be promulgated governing the investment or 
management of the Fund.



Sec. 259.37   Conditional consents to withdrawal qualification.

    The Secretary may conditionally consent to the qualification of 
withdrawal, such consent being conditional upon the timely submission to 
the Secretary of such further proofs, assurances, and advices as the 
Secretary, in his discretion, may require. Failure of a party to comply 
with the conditions of such a consent within a reasonable time and after 
due notice shall, at the Secretary's discretion, be cause for either, or 
both, nonqualification of withdrawal or involuntary Interim CCF 
Agreement termination.



Sec. 259.38   Miscellaneous.

    (a) Wherever the Secretary prescribes time constraints herein for 
the submission of any CCF transactions, the postmark date shall control 
if mailed or, if personally delivered, the actual date of submission. 
All required materials may be submitted to any Financial Assistance 
Division office of the National Marine Fisheries Service.
    (b) All CCF information received by the Secretary shall be held 
strictly confidential, except that it may be published or disclosed in 
statistical form provided such publication does not disclose, directly 
or indirectly, the identity of any fundholder.
    (c) While recognizing that precise regulations are necessary in 
order to treat similarly situated parties similarly, the Secretary also 
realizes that precision in regulations can often cause inequitable 
effects to result from unavoidable, unintended, or minor discrepancies 
between the regulations and the circumstances they attempt to govern. 
The Secretary will, consequently, at his discretion, as a matter of 
privilege and not as a matter of right, attempt to afford relief to 
parties where literal application of the purely procedural, as opposed 
to substantive, aspects of these regulations would otherwise work an 
inequitable hardship. This privilege will be sparingly granted and no 
party should before the fact attempt to act in reliance on its being 
granted after the fact.
    (d) These Secs. 259.30 through 259.38 are applicable absolutely to 
all Interim CCF Agreements first entered into (or the amendment of all 
then existing Interim CCF Agreements, which amendment is first entered 
into) on or after the date these Secs. 259.30 through 259.38 are 
adopted. These Secs. 259.30 through 259.38 are applicable to all Interim 
CCF Agreements entered into before the date these Secs. 259.30 through 
259.38 are adopted, with the following exceptions only:
    (1) The vessel age limitations imposed by Sec. 259.31 shall not 
apply to already scheduled Schedule B objectives.
    (2) The minimum deposits imposed by Sec. 259.34 shall not apply to 
any party's tax year before that party's tax year next following the one 
in which these Secs. 259.30 through 259.38 are adopted.
    (e) These Secs. 259.30 through 259.38 are specifically incorporated 
in all past, present, and future Interim CCF Agreements by reference 
thereto made in Whereas Clause number 2 of all such Interim CCF 
Agreements.

[[Page 223]]



 SUBCHAPTER G--PROCESSED FISHERY PRODUCTS, PROCESSED PRODUCTS THEREOF, AND CERTAIN OTHER PROCESSED FOOD PRODUCTS





PART 260--INSPECTION AND CERTIFICATION--Table of Contents




 Subpart A--Inspection and Certification of Establishments and Fishery 
                     Products for Human Consumption

Sec.
260.1  Administration of regulations.

                               Definitions

260.6  Terms defined.
260.7  Designation of official certificates, memoranda, marks, other 
          identifications, and devices for purposes of the Agricultural 
          Marketing Act.

                           Inspection Service

260.12  Where inspection service is offered.
260.13  Who may obtain inspection service.
260.14  How to make application.
260.15  Information required in connection with application.
260.16  Filing of application.
260.17  Record of filing time.
260.18  When application may be rejected.
260.19  When application may be withdrawn.
260.20  Disposition of inspected sample.
260.21  Basis of inspection and grade or compliance determination.
260.22  Order of inspection service.
260.23  Postponing inspection service.
260.24  Financial interest of inspector.
260.25  Forms of certificates.
260.26  Issuance of certificates.
260.27  Issuance of corrected certificates.
260.28  Issuance of an inspection report in lieu of an inspection 
          certificate.
260.29  Disposition of inspection certificates.
260.30  Report of inspection results prior to issuance of formal report.

                            Appeal Inspection

260.36  When appeal inspection may be requested.
260.37  Where to file for an appeal inspection and information required.
260.38  When an application for an appeal inspection may be withdrawn.
260.39  When appeal inspection may be refused.
260.40  Who shall perform appeal inspection.
260.41  Appeal inspection certificate.

                  Licensing of Samplers and Inspectors

260.47  Who may become licensed sampler.
260.48  Application to become a licensed sampler.
260.49  Inspectors.
260.50  Suspension or revocation of license of licensed sampler or 
          licensed inspector.
260.51  Surrender of license.

                                Sampling

260.57  How samples are drawn by inspectors or licensed samplers.
260.58  Accessibility for sampling.
260.59  How officially drawn samples are to be identified.
260.60  How samples are to be shipped.
260.61  Sampling plans and procedures for determining lot compliance.
260.62  Issuance of certificate of sampling.
260.63  Identification of lots sampled.

                            Fees and Charges

260.69  Payment of fees and charges.
260.70  Schedule of fees.
260.71  [Reserved]
260.72  Fees for inspection service performed under cooperative 
          agreement.
260.73  Disposition of fees for inspections made under cooperative 
          agreement.
260.74  Fee for appeal inspection.
260.76  [Reserved]
260.77  Fees for score sheets.
260.78  Fees for additional copies of inspection certificates.
260.79  Travel and other expenses.
260.80  Charges for inspection service on a contract basis.
260.81  Readjustment and increase in hourly rates of fees.

                              Miscellaneous

260.84  Policies and procedures.
260.86  Approved identification.
260.88  Political activity.
260.90  Compliance with other laws.
260.91  Identification.
260.93  Debarment and suspension.

   Requirements for Plants Operating Under Continuous Inspection on a 
                             Contract Basis

260.96  Application for Fishery Products Inspection Service on a 
          contract basis at official establishments.
260.97  Conditions for providing fishery products inspection service at 
          official establishments.
260.98  Premises.
260.99  Buildings and structures.
260.100  Facilities.
260.101  Lavatory accommodations.
260.102  Equipment.

[[Page 224]]

260.103  Operations and operating procedures shall be in accordance with 
          an effective sanitation program.
260.104  Personnel.

                          Labeling Requirements

260.200-260.201  [Reserved]

    Authority: Sec. 6, 70 Stat. 1122, 16 U.S.C. 742e; secs. 203, 205, 60 
Stat. 1087, 1090 as amended; 7 U.S.C. 1622, 1624; Reorganization Plan 
No. 4 of 1970 (84 Stat. 2090).

    Source: 31 FR 16052, Dec. 15, 1966, unless otherwise noted.



 Subpart A--Inspection and Certification of Establishments and Fishery 
                     Products for Human Consumption



Sec. 260.1   Administration of regulations.

    The Secretary of Commerce is charged with the administration of the 
regulations in this part except that he may delegate any or all of such 
functions to any officer or employee of the National Marine Fisheries 
Service of the Department in his discretion.1
---------------------------------------------------------------------------

    1 All functions of the Department of Agriculture which pertain to 
fish, shellfish, and any products thereof, now performed under the 
authority of title II of the Act of August 14, 1946, popularly known as 
the Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621-1627) 
including but not limited to the development and promulgation of grade 
standards, the inspection and certification, and improvement of 
transportation facilities and rates for fish and shellfish and any 
products thereof, were transferred to the Department of the Interior by 
the Director of the Budget (23 FR 2304) pursuant to section 6(a) of the 
Act of Aug. 8, 1956, popularly known as the Fish and Wildlife Act of 
1956 (16 U.S.C. 742e). Reorganization Plan No. 4 of 1970 (84 Stat. 2090) 
transferred, among other things, such functions from the U.S. Department 
of the Interior to the U.S. Department of Commerce.

[36 FR 21037, Nov. 3, 1971]

                               Definitions



Sec. 260.6   Terms defined.

    Words in the regulations in this part in the singular form shall be 
deemed to import the plural and vice versa, as the case may demand. For 
the purposes of the regulations in this part, unless the context 
otherwise requires, the following terms shall have the following 
meanings:
    Acceptance number. ``Acceptance number'' means the number in a 
sampling plan that indicates the maximum number of deviants permitted in 
a sample of a lot that meets a specific requirement.
    Act. ``Act'' means the applicable provisions of the Agricultural 
Marketing Act of 1946 (60 Stat. 1087 et seq., as amended; 7 U.S.C. 1621 
et seq.).
    Applicant. ``Applicant'' means any interested party who requests 
inspection service under the regulations in this part.
    Case. ``Case'' means the number of containers (cased or uncased) 
which, by the particular industry are ordinarily packed in a shipping 
container.
    Certificate of loading. ``Certificate of loading'' means a 
statement, either written or printed, issued pursuant to the regulations 
in this part, relative to check-loading of a processed product 
subsequent to inspection thereof.
    Certificate of sampling. ``Certificate of sampling'' means a 
statement, either written or printed issued pursuant to the regulations 
in this part, identifying officially drawn samples and may include a 
description of condition of containers and the condition under which the 
processed product is stored.
    Class. ``Class'' means a grade or rank of quality.
    Condition. ``Condition'' means the degree of soundness of the 
product which may affect its merchantability and includes, but is not 
limited to those factors which are subject to change as a result of age, 
improper preparation and processing, improper packaging, improper 
storage, or improper handling.
    Department. ``Department'' means the U.S. Department of Commerce.
    Deviant. ``Deviant'' means a sample unit affected by one or more 
deviations or a sample unit that varies in a specifically defined manner 
from the requirements of a standard, specification, or other inspection 
document.
    Deviation. ``Deviation'' means any specifically defined variation 
from a particular requirement.
    Director. ``Director'' means the Director of the National Marine 
Fisheries Service.

[[Page 225]]

    Establishment. ``Establishment'' means any premises, buildings, 
structures, facilities, and equipment (including vehicles) used in the 
processing, handling, transporting, and storage of fish and fishery 
products.
    Inspection certificate. ``Inspection certificate'' means a 
statement, either written or printed, issued pursuant to the regulations 
in this part, setting forth in addition to appropriate descriptive 
information relative to a processed product, and the container thereof, 
the quality and condition, or any part thereof, of the product and may 
include a description of the conditions under which the product is 
stored.
    Inspection service. ``Inspection service'' means:
    (1) The sampling pursuant to the regulations in this part;
    (2) The determination pursuant to the regulations in this part of:
    (i) Essential characteristics such as style, type, size, or identity 
of any processed product which differentiates between major groups of 
the same kind;
    (ii) The class, quality, and condition of any processed product, 
including the condition of the container thereof by the examination of 
appropriate samples;
    (3) The issuance of any certificate of sampling, inspection 
certificates, or certificates of loading of a processed product, or any 
report relative to any of the foregoing; or
    (4) Performance by an inspector of any related services such as to 
observe the preparation of the product from its raw state through each 
step in the entire process; or observe conditions under which the 
product is being harvested, prepared, handled, stored, processed, 
packed, preserved, transported, or held; or observe sanitation as a 
prerequisite to the inspection of the processed product, either on a 
contract basis or periodic basis; or checkload the inspected processed 
product in connection with the marketing of the product, or any other 
type of service of a consultative or advisory nature related herewith.
    Inspector. ``Inspector'' means any employee of the Department 
authorized by the Secretary or any other person licensed by the 
Secretary to investigate, sample, inspect, and certify in accordance 
with the regulations in this part to any interested party the class, 
quality and condition of processed products covered in this part and to 
perform related duties in connection with the inspection service.
    Interested party. ``Interested party'' means any person who has a 
financial interest in the commodity involved.
    Licensed sampler. ``Licensed sampler'' means any person who is 
authorized by the Secretary to draw samples of processed products for 
inspection service, to inspect for identification and condition of 
containers in a lot, and may, when authorized by the Secretary, perform 
related services under the act and the regulations in this part.
    Lot. ``Lot'' has the following meanings:
    (1) For the purpose of charging fees and issuing certificates, 
``Lot'' means any number of containers of the same size and type which 
contain a processed product of the same type and style located in the 
same or adjacent warehouses and which are available for inspection at 
any one time: Provided, That:
    (i) Processed products in separate piles which differ from each 
other as to grade or other factors may be deemed to be separate lots;
    (ii) Containers in a pile bearing an identification mark different 
from other containers of such processed product in that pile, if 
determined to be of lower grade or deficient in other factors, may be 
deemed to be a separate lot; and
    (iii) If the applicant requests more than one inspection certificate 
covering different portions of such processed product, the quantity of 
the product covered by each certificate shall be deemed to be a separate 
lot.
    (2) For the purpose of sampling and determining the grade or 
compliance with a specification, ``Lot'' means each pile of containers 
of the same size and type containing a processed product of the same 
type and style which is separated from other piles in the same 
warehouse, but containers in the same pile bearing an identification 
mark different from other containers in that

[[Page 226]]

pile may be deemed to be a separate lot.
    Official establishment. ``Official establishment'' means any 
establishment which has been approved by National Marine Fisheries 
Service, and utilizes inspection service on a contract basis.
    Officially drawn sample. ``Officiallydrawn sample'' means any sample 
that has been selected from a particular lot by an inspector, licensed 
sampler, or by any other person authorized by the Secretary pursuant to 
the regulations in this part.
    Person. ``Person'' means any individual, partnership, association, 
business trust, corporation, any organized group of persons (whether 
incorporated or not), the United States (including, but not limited to, 
any corporate agencies thereof), any State, county, or municipal 
government, any common carrier, and any authorized agent of any of the 
foregoing.
    Plant. ``Plant'' means the premises, buildings, structures, and 
equipment (including, but not being limited to, machines, utensils, and 
fixtures) employed or used with respect to the manufacture or production 
of processed products.
    Processed product. ``Processed product'' means any fishery product 
or other food product covered under the regulations in this part which 
has been preserved by any recognized commercial process, including, but 
not limited to, canning, freezing, dehydrating, drying, the addition of 
chemical substances, or by fermentation.
    Quality. ``Quality'' means the inherent properties of any processed 
product which determine the relative degree of excellence of such 
product, and includes the effects of preparation and processing, and may 
or may not include the effects of packing media, or added ingredients.
    Rejection number. ``Rejection number'' means the number in a 
sampling plan that indicates the minimum number of deviants in a sample 
that will cause a lot to fail a specific requirement.
    Sample. ``Sample'' means any number of sample units to be used for 
inspection.
    Sample unit. ``Sample unit'' means a container and/or its entire 
contents, a portion of the contents of a container or other unit of 
commodity, or a composite mixture of a product to be used for 
inspection.
    Sampling. ``Sampling'' means the act of selecting samples of 
processed products for the purpose of inspection under the regulations 
in this part.
    Secretary. ``Secretary'' means the Secretary of the Department or 
any other officer or employee of the Department authorized to exercise 
the powers and to perform the duties of the Secretary in respect to the 
matters covered by the regulations in this part.
    Shipping container. ``Shipping container'' means an individual 
container designed for shipping a number of packages or cans ordinarily 
packed in a container for shipping or designed for packing unpackaged 
processed products for shipping.
    Unofficially drawn sample. ``Unofficially drawn sample'' means any 
sample that has been selected by any person other than an inspector or 
licensed sampler, or by any other person not authorized by the Director 
pursuant to the regulations in this part.
    Wholesome. ``Wholesome'' means the minimum basis of acceptability 
for human food purposes, of any fish or fishery product as defined in 
section 402 of the Federal Food, Drug, and Cosmetic Act, as amended.

[31 FR 16052, Dec. 15, 1966, as amended at 36 FR 21037, Nov. 3, 1971]



Sec. 260.7   Designation of official certificates, memoranda, marks, other identifications, and devices for purposes of the Agricultural Marketing Act.

    Subsection 203(h) of the Agricultural Marketing Act of 1946 provides 
criminal penalties for various specified offenses relating to official 
certificates, memoranda, marks or other identifications and devices for 
making such marks or identifications, issued or authorized under section 
203 of said act, and certain misrepresentations concerning the 
inspection or grading of agricultural products under said section. For 
the purposes of said subsection and the provisions in this part, the 
terms listed below shall have the respective meanings specified:

[[Page 227]]

    Official certificate. ``Official certificate'' means any form of 
certification, either written or printed, including those defined in 
Sec. 260.6, used under this part to certify with respect to the 
inspection, class, grade, quality, size, quantity, or condition of 
products (including the compliance of products with applicable 
specifications).
    Official device. ``Official device'' means a stamping appliance, 
branding device, stencil, printed label, or any other mechanically or 
manually operated tool that is approved by the Director for the purpose 
of applying any official mark or other identification to any product or 
the packaging material thereof.
    Official identification. ``Official identification'' means any 
United States (U.S.) standard designation of class, grade, quality, 
size, quantity, or condition specified in this part or any symbol, 
stamp, label, or seal indicating that the product has been graded or 
inspected and/or indicating the class, grade, quality, size, quantity, 
or condition of the product approved by the Director and authorized to 
be affixed to any product, or affixed to or printed on the packaging 
material of any product.
    Official mark. ``Official mark'' means the grade mark, inspection 
mark, combined form of inspection and grade mark, and any other mark, or 
any variations in such marks, including those prescribed in Sec. 260.86, 
approved by the Secretary and authorized to be affixed to any product, 
or affixed to or printed on the packaging material of any product, 
stating that the product was graded or inspected or both, or indicating 
the appropriate U.S. Grade or condition of the product, or for the 
purpose of maintaining the identity of products graded or inspected or 
both under this part.
    Official memorandum. ``Official memorandum'' means any initial 
record of findings made by an authorized person in the process of 
grading, inspecting, or sampling pursuant to this part, any processing 
or plant-operation report made by an authorized person in connection 
with grading, inspecting, or sampling under this part, and any report 
made by an authorized person of services performed pursuant to this 
part.

                           Inspection Service



Sec. 260.12   Where inspection service is offered.

    Inspection service may be furnished wherever an inspector or 
licensed sampler is available and the facilities and conditions are 
satisfactory for the conduct of such service.



Sec. 260.13   Who may obtain inspection service.

    An application for inspection service may be made by any interested 
party, including, but not limited to, the United States and any 
instrumentality or agency thereof, any State, county, municipality, or 
common carrier, and any authorized agent in behalf of the foregoing.



Sec. 260.14   How to make application.

    An application for inspection service may be made to the officer of 
inspection or to any inspector, at or nearest the place where the 
service is desired. An up-to-date list of the Inspection Field Offices 
of the Department may be obtained upon request to the Director. 
Satisfactory proof that the applicant is an interested party shall be 
furnished.



Sec. 260.15   Information required in connection with application.

    Application for inspection service shall be made in the English 
language and may be made orally (in person or by telephone), in writing, 
or by telegraph. If an application for inspection service is made 
orally, such application shall be confirmed promptly in writing. In 
connection with each application for inspection service, there shall be 
furnished such information as may be necessary to perform an inspection 
on the processed product for which application for inspection is made, 
including but not limited to, the name of the product, name and address 
of the packer or plant where such product was packed, the location of 
the product, its lot or car number, codes or other identification marks, 
the number of containers, the type and size of the containers, the 
interest of the applicant in the product, whether the lot has been 
inspected previously to the application by any Federal agency and the 
purpose for which inspection is desired.

[[Page 228]]



Sec. 260.16   Filing of application.

    An application for inspection service shall be regarded as filed 
only when made in accordance with the regulations in this part.



Sec. 260.17   Record of filing time.

    A record showing the date and hour when each application for 
inspection or for an appeal inspection is received shall be maintained.



Sec. 260.18   When application may be rejected.

    An application for inspection service may be rejected by the 
Secretary (a) for noncompliance by the applicant with the regulations in 
this part, (b) for nonpayment for previous inspection services rendered, 
(c) when the product is not properly identifiable by code or other 
marks, or (d) when it appears that to perform the inspection service 
would not be to the best interests of the Government. Such applicant 
shall be promptly notified of the reason for such rejection.



Sec. 260.19   When application may be withdrawn.

    An application for inspection service may be withdrawn by the 
applicant at any time before the inspection is performed: Provided, 
That, the applicant shall pay at the hourly rate prescribed in 
Sec. 260.70 for the time incurred by the inspector in connection with 
such application, any travel expenses, telephone, telegraph or other 
expenses which have been incurred by the inspection service in 
connection with such application.

[31 FR 16052, Dec. 15, 1966, as amended at 36 FR 18738, Sept. 21, 1971]



Sec. 260.20   Disposition of inspected sample.

    Any sample of a processed product that has been used for inspection 
may be returned to the applicant, at his request and expense; otherwise 
it shall be destroyed, or disposed of to a charitable institution.



Sec. 260.21   Basis of inspection and grade or compliance determination.

    (a) Inspection service shall be performed on the basis of the 
appropriate U.S. standards for grades of processed products, Federal, 
Military, Veterans Administration or other government agency 
specifications, written contract specification, or any written 
specification or instruction which is approved by the Secretary.
    (b) Unless otherwise approved by the Director compliance with such 
grade standards, specifications, or instructions shall be determined by 
evaluating the product, or sample, in accordance with the requirements 
of such standards, specifications, or instructions: Provided, That when 
inspection for quality is based on any U.S. grade standard which 
contains a scoring system the grade to be assigned to a lot is the grade 
indicated by the average of the total scores of the sample units: 
Provided further, That:
    (1) Such sample complies with the applicable standards of quality 
promulgated under the Federal Food, Drug, and Cosmetic Act;
    (2) Such sample complies with the product description;
    (3) Such sample meets the indicated grade with respect to factors of 
quality which are not rated by score points; and
    (4) With respect to those factors of quality which are rated by 
score points, each of the following requirements is met:
    (i) None of the sample units falls more than one grade below the 
indicated grade because of any quality factor to which a limiting rule 
applies;
    (ii) None of the sample units falls more than 4 score points below 
the minimum total score for the indicated grade; and
    (iii) The number of sample units classed as deviants does not exceed 
the applicable acceptance number indicated in the sampling plans 
contained in Sec. 260.61. A ``deviant,'' as used in this paragraph, 
means a sample unit that falls into the next grade below the indicated 
grade but does not score more than 4 points below the minimum total 
score for the indicated grade.
    (5) If any of the provisions contained in paragraphs (b)(3) and (4) 
of this section are not met the grade is determined by considering such 
provisions in connection with succeedingly lower

[[Page 229]]

grades until the grade of the lot, if assignable, is established.



Sec. 260.22   Order of inspection service.

    Inspection service shall be performed, insofar as practicable, in 
the order in which applications therefor are made except that precedence 
may be given to any such applications which are made by the United 
States (including, but not being limited to, any instrumentality or 
agency thereof) and to any application for an appeal inspection.



Sec. 260.23   Postponing inspection service.

    If the inspector determines that it is not possible to accurately 
ascertain the quality or condition of a processed product immediately 
after processing because the product has not reached equilibrium in 
color, or drained weight, or for any other substantial reason, he may 
postpone inspection service for such period as may be necessary.



Sec. 260.24   Financial interest of inspector.

    No inspector shall inspect any processed product in which he is 
directly or indirectly financially interested.



Sec. 260.25   Forms of certificates.

    Inspection certificates, certificates of sampling or loading, and 
other memoranda concerning inspection service shall be issued on forms 
approved by the Secretary.



Sec. 260.26   Issuance of certificates.

    (a) An inspection certificate may be issued only by an inspector: 
Provided, That, another employee of the inspection service may sign any 
such certificate covering any processed product inspected by an 
inspector when given power of attorney by such inspector and authorized 
by the Secretary, to affix the inspector's signature to an inspection 
certificate which has been prepared in accordance with the facts set 
forth in the notes, made by the inspector, in connection with the 
inspection.
    (b) A certificate of loading shall be issued and signed by the 
inspector or licensed sampler authorized to check the loading of a 
specific lot of processed products: Provided, That, another employee of 
the inspection service may sign such certificate of loading covering any 
processed product checkloaded by an inspector or licensed sampler when 
given power of attorney by such inspector or licensed sampler and 
authorized by the Secretary to affix the inspector's or licensed 
sampler's signature to a certificate of loading which has been prepared 
in accordance with the facts set forth in the notes made by the 
inspector or licensed sampler in connection with the checkloading of a 
specific lot of processed products.



Sec. 260.27   Issuance of corrected certificates.

    A corrected inspection certificate may be issued by the inspector 
who issued the original certificate after distribution of a certificate 
if errors, such as incorrect dates, code marks, grade statements, lot or 
car numbers, container sizes, net or drained weights, quantities, or 
errors in any other pertinent information require the issuance of a 
corrected certificate. Whenever a corrected certificate is issued, such 
certificate shall supersede the inspection certificate which was issued 
in error and the superseded certificate shall become null and void after 
the issuance of the corrected certificate.



Sec. 260.28   Issuance of an inspection report in lieu of an inspection certificate.

    A letter report in lieu of an inspection certificate may be issued 
by an inspector when such action appears to be more suitable than an 
inspection certificate: Provided, That, the issuance of such report is 
approved by the Secretary.



Sec. 260.29   Disposition of inspection certificates.

    The original of any inspection certificate, issued under the 
regulations in this part, and not to exceed four copies thereof, if 
requested prior to issuance, shall be delivered or mailed promptly to 
the applicant, or person designated by the applicant. All other copies 
shall be filed in such manner as the Secretary may designate. Additional 
copies of any such certificates may be supplied to any interested party 
as provided in Sec. 260.78.

[[Page 230]]



Sec. 260.30   Report of inspection results prior to issuance of formal report.

    Upon request of any interested party, the results of an inspection 
may be telegraphed or telephoned to him, or to any other person 
designated by him, at his expense.

                            Appeal Inspection



Sec. 260.36   When appeal inspection may be requested.

    An application for an appeal inspection may be made by any 
interested party who is dissatisfied with the results of an inspection 
as stated in an inspection certificate, if the lot of processed products 
can be positively identified by the inspection service as the lot from 
which officially drawn samples were previously inspected. Such 
application shall be made within thirty (30) days following the day on 
which the previous inspection was performed, except upon approval by the 
Secretary the time within which an application for appeal inspection may 
be made, may be extended.



Sec. 260.37   Where to file for an appeal inspection and information required.

    (a) Application for an appeal inspection may be filed with:
    (1) The inspector who issued the inspection certificate on which the 
appeal covering the processed product is requested; or
    (2) The inspector in charge of the office of inspection at or 
nearest the place where the processed product is located.
    (b) The application for appeal inspection shall state the location 
of the lot of processed products and the reasons for the appeal; and 
date and serial number of the certificate covering inspection of the 
processed product on which the appeal is requested, and such application 
may be accompanied by a copy of the previous inspection certificate and 
any other information that may facilitate inspection. Such application 
may be made orally (in person or by telephone), in writing, or by 
telegraph. If made orally, written confirmation shall be made promptly.



Sec. 260.38   When an application for an appeal inspection may be withdrawn.

    An application for appeal inspection may be withdrawn by the 
applicant at any time before the appeal inspection is performed: 
Provided, That the applicant shall pay at the hourly rate prescribed in 
Sec. 260.70, for the time incurred by the inspector in connection with 
such application, any travel expenses, telephone, telegraph, or other 
expenses which have been incurred by the inspection service in 
connection with such application.

[31 FR 16052, Dec. 15, 1966, as amended at 36 FR 18738, Sept. 21, 1971]



Sec. 260.39   When appeal inspection may be refused.

    An application for an appeal inspection may be refused if:
    (a) The reasons for the appeal inspection are frivolous or not 
substantial;
    (b) The quality or condition of the processed product has undergone 
a material change since the inspection covering the processed product on 
which the appeal inspection is requested;
    (c) The lot in question is not, or cannot be made accessible for the 
selection of officially drawn samples;
    (d) The lot relative to which appeal inspection is requested cannot 
be positively identified by the inspector as the lot from which 
officially drawn samples were previously inspected; or
    (e) There is noncompliance with the regulations in this part. Such 
applicant shall be notified promptly of the reason for such refusal.



Sec. 260.40   Who shall perform appeal inspection.

    An appeal inspection shall be performed by an inspector or 
inspectors (other than the one from whose inspection the appeal is 
requested) authorized for this purpose by the Secretary and, whenever 
practical, such appeal inspection shall be conducted jointly by two such 
inspectors: Provided, That the inspector who made the inspection on 
which the appeal is requested may be authorized to draw the samples when 
another inspector or licensed sampler is not available in the area where 
the product is located.

[[Page 231]]



Sec. 260.41   Appeal inspection certificate.

    After an appeal inspection has been completed, an appeal inspection 
certificate shall be issued showing the results of such appeal 
inspection; and such certificate shall supersede the inspection 
certificate previously issued for the processed product involved. Each 
appeal inspection certificate shall clearly identify the number and date 
of the inspection certificate which it supersedes. The superseded 
certificate shall become null and void upon the issuance of the appeal 
inspection certificate and shall no longer represent the quality or 
condition of the processed product described therein. The inspector or 
inspectors issuing an appeal inspection certificate shall forward notice 
of such issuance to such persons as he considers necessary to prevent 
misuse of the superseded certificate if the original and all copies of 
such superseded certificate have not previously been delivered to the 
inspector or inspectors issuing the appeal inspection certificate. The 
provisions in the regulations in this part concerning forms of 
certificates, issuance of certificates, and disposition of certificates 
shall apply to appeal inspection certificates, except that copies of 
such appeal inspection certificates shall be furnished all interested 
parties who received copies of the superseded certificate.

                  Licensing of Samplers and Inspectors



Sec. 260.47   Who may become licensed sampler.

    Any person deemed to have the necessary qualifications may be 
licensed as a licensed sampler to draw samples for the purpose of 
inspection under the regulations in this part. Such a license shall bear 
the printed signature of the Secretary, and shall be countersigned by an 
authorized employee of the Department. Licensed samplers shall have no 
authority to inspect processed products under the regulations in this 
part except as to identification and condition of the containers in a 
lot. A licensed sampler shall perform his duties pursuant to the 
regulations in this part as directed by the Director.



Sec. 260.48   Application to become a licensed sampler.

    Application to become a licensed sampler shall be made to the 
Secretary on forms furnished for that purpose. Each such application 
shall be signed by the applicant in his own handwriting, and the 
information contained therein shall be certified by him to be true, 
complete, and correct to the best of his knowledge and belief, and the 
application shall contain or be accompanied by:
    (a) A statement showing his present and previous occupations, 
together with names of all employers for whom he has worked, with 
periods of service, during the 10 years previous to the date of his 
application;
    (b) A statement that, in his capacity as a licensed sampler, he will 
not draw samples from any lot of processed products with respect to 
which he or his employer is an interested party;
    (c) A statement that he agrees to comply with all terms and 
conditions of the regulations in this part relating to duties of 
licensed samplers; and
    (d) Such other information as may be requested.



Sec. 260.49   Inspectors.

    Inspections will ordinarily be performed by employees under the 
Secretary who are employed as Federal Government employees for that 
purpose. However, any person employed under any joint Federal-State 
inspection service arrangement may be licensed, if otherwise qualified, 
by the Secretary to make inspections in accordance with this part on 
such processed products as may be specified in his license. Such license 
shall be issued only in a case where the Secretary is satisfied that the 
particular person is qualified to perform adequately the inspection 
service for which such person is to be licensed. Each such license shall 
bear the printed signature of the Secretary and shall be countersigned 
by an authorized employee of the Department. An inspector shall perform 
his duties pursuant to the regulations in this part as directed by the 
Director.

[[Page 232]]



Sec. 260.50   Suspension or revocation of license of licensed sampler or licensed inspector.

    Pending final action by the Secretary, the Director may, whenever he 
deems such action necessary, suspend the license of any licensed 
sampler, or licensed inspector, issued pursuant to the regulations in 
this part, by giving notice of such suspension to the respective 
licensee, accompanied by a statement of the reasons therefor. Within 7 
days after the receipt of the aforesaid notice and statement of reasons 
by such licensee, he may file an appeal, in writing, with the Secretary 
supported by any argument or evidence that he may wish to offer as to 
why his license should not be suspended or revoked. After the expiration 
of the aforesaid 7 day period and consideration of such argument and 
evidence, the Secretary shall take such action as he deems appropriate 
with respect to such suspension or revocation.



Sec. 260.51   Surrender of license.

    Upon termination of his services as a licensed sampler or licensed 
inspector, or suspension or revocation of his license, such licensee 
shall surrender his license immediately to the office of inspection 
serving the area in which he is located. These same provisions shall 
apply in a case of an expired license.

                                Sampling



Sec. 260.57   How samples are drawn by inspectors or licensed samplers.

    An inspector or a licensed sampler shall select samples, upon 
request, from designated lots of processed products which are so placed 
as to permit thorough and proper sampling in accordance with the 
regulations in this part. Such person shall, unless otherwise directed 
by the Secretary, select sample units of such products at random, and 
from various locations in each lot in such manner and number, not 
inconsistent with the regulations in this part, as to secure a 
representative sample of the lot. Samples drawn for inspection shall be 
furnished by the applicant at no cost to the Department.



Sec. 260.58   Accessibility for sampling.

    Each applicant shall cause the processed products for which 
inspection is requested to be made accessible for proper sampling. 
Failure to make any lot accessible for proper sampling shall be 
sufficient cause for postponing inspection service until such time as 
such lot is made accessible for proper sampling.



Sec. 260.59   How officially drawn samples are to be identified.

    Officially drawn samples shall be marked by the inspector or 
licensed sampler so such samples can be properly identified for 
inspection.



Sec. 260.60   How samples are to be shipped.

    Unless otherwise directed by the Secretary, samples which are to be 
shipped to any office of inspection shall be forwarded to the office of 
inspection serving the area in which the processed prodcuts from which 
the samples were drawn is located. Such samples shall be shipped in a 
manner to avoid, if possible, any material change in the quality or 
condition of the sample of the processed product. All transportation 
charges in connection with such shipments of samples shall be at the 
expense of the applicant and wherever practicable, such charges shall be 
prepaid by him.



Sec. 260.61   Sampling plans and procedures for determining lot compliance.

    (a) Except as otherwise provided for in this section in connection 
with in-plant inspection and unless otherwise approved by the Secretary, 
samples shall be selected from each lot in the exact number of sample 
units indicated for the lot size in the applicable single sampling plan 
or, at the discretion of the inspection service, any comparable multiple 
sampling plan: Provided, That at the discretion of the inspection 
service the number of sample units selected may be increased to the 
exact number of sample units indicated for any one of the larger sample 
sizes provided for in the appropriate plans.
    (b) Under the single sampling plans with respect to any specified 
requirement:

[[Page 233]]

    (1) If the number of deviants (as defined in connection with the 
specific requirements) in the sample does not exceed the acceptance 
number prescribed for the sample size the lot meets the requirement;
    (2) If the number of deviants (as defined in connection with the 
specific requirement) in the sample exceeds the acceptance number 
prescribed for the sample size the lot fails the requirement.
    (c) Under the multiple sampling plans inspection commences with the 
smallest sample size indicated under the appropriate plan and with 
respect to any specified requirement:
    (1) If the number of deviants (as defined in connection with the 
specific requirement) in the sample being considered does not exceed the 
acceptance number prescribed for that sample size the lot meets the 
requirement;
    (2) If the number of deviants (as defined in connection with the 
specific requirement) in the sample being considered equals or exceeds 
the rejection number prescribed for that sample size the lot fails the 
requirement; or
    (3) If the number of deviants (as defined in connection with the 
specific requirement) in the sample being considered falls between the 
acceptance and rejection numbers of the plan, additional sample units 
are added to the sample so that the sample thus cumulated equals the 
next larger cumulative sample size in the plan. It may then be 
determined that the lot meets or fails the specific requirement by 
considering the cumulative sample and applying the procedures outlined 
in paragraphs (c)(1) and (2) of this section or by considering 
successively larger samples cumulated in the same manner until the lot 
meets or fails the specific requirement.
    (d) If in the conduct of any type of in-plant inspection the sample 
is examined before the lot size is known and the number of sample units 
exceeds the prescribed sample size for such lot but does not equal any 
of the prescribed larger sample sizes the lot may be deemed to meet or 
fail a specific requirement in accordance with the following procedure:
    (1) If the number of deviants (as defined in connection with the 
specific requirement) in the nonprescribed sample does not exceed the 
acceptance number of the next smaller sample size the lot meets the 
requirements;
    (2) If the number of deviants (as defined in connection with the 
specific requirement) in the nonprescribed sample equals the acceptance 
number prescribed for the next larger sample size additional sample 
units shall be selected to increase the sample to the next larger 
prescribed sample size;
    (3) If the number of deviants (as defined in connection with the 
specific requirement) in the nonprescribed sample exceeds the acceptance 
number prescribed for the next larger sample size the lot fails the 
requirement.
    (e) In the event that the lot compliance determination provisions of 
a standard or specification are based on the number of specified 
deviations instead of deviants the procedures set forth in this section 
may be applied by substituting the word ``deviation'' for the word 
``deviant'' wherever it appears.
    (f) Sampling plans referred to in this section are those contained 
in Tables I, II, III, IV, V, and VI which follow or any other plans 
which are applicable. For processed products not included in these 
tables, the minimum sample size shall be the exact number of sample 
units prescribed in the table, container group, and lot size that, as 
determined by the inspector, most closely resembles the product, type, 
container size and amount of product to be samples.

[[Page 234]]



                                 Single Sampling Plans and Acceptance Levels                                    
                                                                                                                


                      Table I--Canned or Similarly Processed Fishery Products, and Products Thereof Containing Units of Such Size and Character as to be Readily Separable                      
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                      Lot size (number of containers)                                                           
           Container size group           ------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                 group 1                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of less volume than                                                                                                                                                       
 that of a No. 300 size can (300 x 407)..   3,600 or less    3,601-14,400   14,401-48,000   48,001-96,000   96,001-156,000   156,001-228,000   228,001-300,000   300,001-420,000    Over 420,000
                                                                                                                                                                                                
                 group 2                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of a volume equal                                                                                                                                                         
 to or exceeding that of a No. 300 size                                                                                                                                                         
 can, but not exceeding that of a No. 3                                                                                                                                                         
 cylinder size can (404 x 700)...........   2,400 or less    2,401-12,000   12,001-24,000   24,001-48,000    48,001-72,000    72,001-108,000   108,001-168,000   168,001-240,000    Over 240,000
                                                                                                                                                                                                
                 group 3                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of a volume                                                                                                                                                               
 exceeding that of a No. 3 cylinder size                                                                                                                                                        
 can, but not exceeding that of a No. 12                                                                                                                                                        
 size can (603 x 812)....................   1,200 or less     1,201-7,200    7,201-15,000   15,001-24,000    24,001-36,000     36,001-60,000     60,001-84,000    84,001-120,000    Over 120,000
                                                                                                                                                                                                
                 group 4                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of a volume                                                                                                                                                               
 exceeding that of a No. 12 size can, but                                                                                                                                                       
 not exceeding that of a 5-gallon                                                                                                                                                               
 container...............................     200 or less         201-800       801-1,600     1,601-2,400      2,401-3,600       3,601-8,000      8,001-16,000     16,001-28,000     Over 28,000
                                                                                                                                                                                                
                 group 5                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of a volume                                                                                                                                                               
 exceeding that of a 5-gallon container..      25 or less           26-80          81-200         201-400          401-800         801-1,200       1,201-2,000       2,001-3,200      Over 3,200
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 235]]


                                            Single sampling plans\1\                                            
  ...........................................................................................................   
                                                                                                                


                                                                                                                                                                                                                                        
                                                                                                                                                                                                                                        
                                                                                                                                                                                                                                        
Sample size                                                                                                                                                                                                                             
 (number of                                                                                                                                                                                                                             
 sample                                                                                                                                                                                                                                 
 units)\2\.....  3.................................................................               6              13              21              29               38                48                60                72              
Acceptance                                                                                                                                                                                                                              
 number........  0.................................................................               1               2               3               4                5                 6                 7  ................              
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table VI of this section.                    
\2\The sample units for the various container size groups are as follows: Groups 1, 2, and 3--1 container and its entire contents. Groups 4 and 5--approximately 2 pounds of product. When determined by the inspector that a 2-pound   
  sample unit is inadequate, a larger sample unit may be substituted.                                                                                                                                                                   


                      Table II--Frozen or Similarly Processed Fishery Products, and Products Thereof Containing Units of Such Size and Character as to be Readily Separable                     
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                      Lot size (number of containers)                                                           
           Container size group           ------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                 group 1                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of 1 pound or less                                                                                                                                                        
 net weight..............................   2,400 or less    2,401-12,000   12,001-24,000   24,001-48,000    48,001-72,000    72,001-108,000   108,001-168,000   168,001-240,000    Over 240,000
                                                                                                                                                                                                
                 group 2                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 1 pound but                                                                                                                                                          
 not over 4 pounds net weight............   1,800 or less     1,801-8,400    8,401-18,000   18,001-36,000    36,001-60,000     60,001-96,000    96,001-132,000   132,001-168,000    Over 168,000
                                                                                                                                                                                                
                 group 3                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 4 pounds but                                                                                                                                                         
 not over 10 pounds net weight...........     900 or less       901-3,600    3,601-10,800   10,801-18,000    18,001-36,000     36,001-60,000     60,001-84,000    84,001-120,000    Over 120,000
                                                                                                                                                                                                
                 group 4                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 10 pounds but                                                                                                                                                        
 not over 100 pounds net weight..........     200 or less         201-800       801-1,600     1,601-2,400      2,401-3,600       3,601-8,000      8,001-16,000     16,001-28,000     Over 28,000
                                                                                                                                                                                                
                 group 5                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 100 pounds net                                                                                                                                                       
 weight..................................      25 or less           26-80          81-200         201-400          401-800         801-1,200       1,201-2,000       2,001-3,200      Over 3,200
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Single sampling plans\1\                                                                                    
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Sample size (number of sample units)\2\..               3               6              13              21               29                38                48                60              72

[[Page 236]]

                                                                                                                                                                                                
Acceptance number........................               0               1               2               3                4                 5                 6                 7               8
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table
  VI of this section.                                                                                                                                                                           
\2\The sample units for the various container size groups are as follows: Groups 1, 2, and 3--1 container and its entire contents. Groups 4 and 5--approximately 3 pounds of product. When      
  determined by the inspector that a 3-pound sample unit is inadequate, a larger sample unit or 1 or more containers and their entire contents may be substituted for 1 or more sample units of 
  3 pounds.                                                                                                                                                                                     


                        Table III--Canned, Frozen, or Otherwise Processed Fishery and Related Products, and Products Thereof of a Comminuted, Fluid, or Homogeneous State                       
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                        Lot size (number of containers)                                                         
           Container size group \1\           --------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                   group 1                                                                                                                                                                      
                                                                                                                                                                                                
Any type of container of 12 ounces or less...      5,400 or                                                                                                                                     
                                                       less  5,401-21,600   21,601-62,400   62,401-112,000   112,001-174,000   174,001-240,000   240,001-360,000   360,001-480,000  Over 480,000
                                                                                                                                                                                                
                   group 2                                                                                                                                                                      
                                                                                                                                                                                                
Any type of container over 12 ounces but not                                                                                                                                                    
 over 60 ounces..............................      3,600 or                                                                                                                                     
                                                       less  3,601-14,400   14,401-48,000    48,001-96,000    96,001-156,000   156,001-228,000   228,001-300,000   300,001-420,000  Over 420,000
                                                                                                                                                                                                
                   group 3                                                                                                                                                                      
                                                                                                                                                                                                
Any type of container over 60 ounces but not                                                                                                                                                    
 over 160 ounces.............................      1,800 or                                                                                                                                     
                                                       less   1,801-8,400    8,401-18,000    18,001-60,000     36,001-60,000     60,001-96,000    96,001-132,000   132,001-168,000  Over 168,000
                                                                                                                                                                                                
                   group 4                                                                                                                                                                      
                                                                                                                                                                                                
Any type of container over 160 ounces but not                                                                                                                                                   
 over 10 gallons or 100 pounds whichever is                                                                                                                                                     
 applicable..................................   200 or less       201-800       801-1,600      1,601-3,200       3,201-8,000      8,001-16,000     16,001-24,000     24,001-32,000   Over 32,000
                                                                                                                                                                                                
                   group 5                                                                                                                                                                      
                                                                                                                                                                                                
Any type of container over 10 gallons or 100                                                                                                                                                    
 pounds whichever is applicable..............    25 or less         26-80          81-200          201-400           401-800         801-1,200       1,201-2,000       2,001-3,200    Over 3,200
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 237]]

                                                                                                                                                                                                
                                                                                    Single sampling plans\2\                                                                                    
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Sample size (number of sample units)\3\......             3             6              13               21                29                38                48                60            72
Acceptance number............................             0             1               2                3                 4                 5                 6                 7             8
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\Ounces pertain to either fluid ounces of volume or avoirdupois ounces of net weight whichever is applicable for the product involved.                                                        
\2\For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table
  VI of this section.                                                                                                                                                                           
\3\The sample units for the various container size groups are as follows: Groups 1, 2, and 3--1 container and its entire contents. A smaller sample unit may be substituted in group 3 at the   
  inspector's discretion. Groups 4, 5, and 6--approximately 16 ounces of product. When determined by the inspector that a 16-ounce sample unit is inadequate, a larger sample unit may be       
  substituted.                                                                                                                                                                                  


                                                                        Table IV--Dehydrated Fishery and Related Products                                                                       
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                      Lot size (number of containers)                                                           
          Container size group           -------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                 group 1                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container of 1 pound or less                                                                                                                                                        
 net weight.............................   1,800 or less     1,801-8,400    8,401-18,000   18,001-36,000     36,001-60,000     60,001-96,000    96,001-132,000   132,001-168,000    Over 168,000
                                                                                                                                                                                                
                 group 2                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 1 pound but                                                                                                                                                          
 not over 6 pounds net weight...........     900 or less       901-3,600    3,601-10,800   10,801-18,000     18,001-36,000     36,001-60,000     60,001-84,000    84,001-120,000    Over 120,000
                                                                                                                                                                                                
                 group 3                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 6 pounds but                                                                                                                                                         
 not over 20 pounds net weight..........     200 or less         201-800       801-1,600     1,601-3,200       3,201-8,000      8,001-16,000     16,001-24,000     24,001-32,000     Over 32,000
                                                                                                                                                                                                
                 group 4                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 20 pounds but                                                                                                                                                        
 not over 100 pounds net weight.........      48 or less          49-400       401-1,200     1,201-2,000       2,001-2,800       2,801-6,000       6,001-9,600      9,601-15,000     Over 15,000
                                                                                                                                                                                                
                 group 5                                                                                                                                                                        
                                                                                                                                                                                                
Any type of container over 100 pounds                                                                                                                                                           
 net weight.............................      16 or less           17-80          81-200         201-400           401-800         801-1,200       1,201-2,000       2,001-3,200      Over 3,200
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Single sampling plans\1\                                                                                    
                                                                                                                                                                                                
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Sample size (number of sample units)\2\.               3               6              13              21                29                38                48                60              72

[[Page 238]]

                                                                                                                                                                                                
Acceptance number.......................               0               1               2               3                 4                 5                 6                 7               8
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table
  VI of this section.                                                                                                                                                                           
\2\The sample units for the various container size groups are as follows: Group 1--1 container and its entire contents. Groups 2, 3, 4, and 5--1 container and its entire contents or a smaller 
  sample unit when determined by the inspector to be adequate.                                                                                                                                  


                                                     Table V--Single Sampling Plans for Use in Increasing Sample Size Beyond 72 Sample Units                                                    
                                                                                                                                                                                                
Sample size, n.....................................................   84   96  108  120  132  144  156  168  180  192  204  216  230  244  258  272  286  300  314  328  342  356  370  384  400
Acceptance numbers, c..............................................    9   10   11   12   13   14   15   16   17   18   19   20   21   22   23   24   25   26   27   28   29   30   31   32   33
                                                                                                                                                                                                


                                                                                   Multiple Sampling Plans \1\                                                                                  
                                                       Table VI--Multiple Sampling Plans Comparable to the Indicated Single Sampling Plans                                                      
                                                                                                                                                                                                
                                                                                                                                                                                                
                                                                                                                                                                                                
Indicated---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
 single                                                                                                                                                                                         
 sampling plan:                                                                                                                                                                                 
  Single sample                                                                                                                                                                                 
   size, n.....    .......................................................    6             13             21             29             38             48             60             72        
                --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
  Acceptance                                                                                                                                                                                    
   numbers, c..    .......................................................    1              2              3              4              5              6              7              8        
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Cumulative                                                                                                                                                                                      
 sample sizes,                                                                                                                                                                                  
 nc, and                                                                                                                                                                                        
 acceptance                                                                                                                                                                                     
 numbers, c,     nc.......................................................    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   
    and                                                                                                                                                                                         
     rejection                                                                                                                                                                                  
     numbers,                                                                                                                                                                                   
     r, for                                                                                                                                                                                     
     multiple                                                                                                                                                                                   
     sampling.   4........................................................    0    2    8    0    3   10    0    3   12    0    4   14    0    4   16    0    4   18    0    5   22    0    5   
                 6........................................................    0    2   10    0    3   14    1    4   16    0    4   20    0    5   24    1    5   28    1    6   32    1    7   
                 8........................................................    1    2   12    1    3   18    1    4   20    1    5   26    1    6   32    2    6   38    2    7   42    2    8   
                   .......................................................             14    2    3   22    2    5   24    2    5   32    2    6   40    3    8   48    3    8   52    3    9   
                   .......................................................                            26    4    5   28    3    6   38    3    7   48    4    8   58    4    8   62    5   10   
                   .......................................................                                           32    3    6   44    6    7   56    7    8   68    8    9   72    6   10   
                   .......................................................                                           36    5    6                                                82    9   10   
\1\These multiple sampling plans may be used in lieu of the single sampling plans listed at the heading of each column.                                                                         


[[Page 239]]





Sec. 260.62   Issuance of certificate of sampling.

    Each inspector and each licensed sampler shall prepare and sign a 
certificate of sampling to cover the samples drawn by the respective 
person, except that an inspector who inspects the samples which he has 
drawn need not prepare a certificate of sampling. One copy of each 
certificate of sampling prepared shall be retained by the inspector or 
licensed sampler (as the case may be) and the original and all other 
copies thereof shall be disposed of in accordance with the instructions 
of the Secretary.



Sec. 260.63   Identification of lots sampled.

    Each lot from which officially drawn samples are selected shall be 
marked in such manner as may be prescribed by the Secretary, if such 
lots do not otherwise possess suitable identification.

                            Fees and Charges



Sec. 260.69   Payment fees and charges.

    Fees and charges for any inspection service shall be paid by the 
interested party making the application for such service, in accordance 
with the applicable provisions of the regulations in this part, and, if 
so required by the person in charge of the office of inspection serving 
the area where the services are to be performed, an advance of funds 
prior to rendering inspection service in an amount suitable to the 
Secretary, or a surety bond suitable to the Secretary, may be required 
as a guarantee of payment for the services rendered. All fees and 
charges for any inspection service, performed pursuant to the 
regulations in this part shall be paid by check, draft, or money order 
made payable to the National Marine Fisheries Service. Such check, 
draft, or money order shall be remitted to the appropriate regional or 
area office serving the geographical area in which the services are 
performed, within ten (10) days from the date of billing, unless 
otherwise specified in a contract between the applicant and the 
Secretary, in which latter event the contract provisions shall apply.

[36 FR 21038, Nov. 3, 1971]



Sec. 260.70  Schedule of fees.

    (a) Unless otherwise provided in a written agreement between the 
applicant and the Secretary, the fees to be charged and collected for 
any inspection service performed under the regulations in this part at 
the request of the United States, or any other agency or instrumentality 
thereof, will be published as a notice in the Federal Register and will 
be in accordance with Sec. 260.81.
    (b) Fees are reviewed annually to ascertain that the hourly fees 
charged are adequate to recover the costs of the services rendered.
    (1) The TYPE I (Contract Inspection) hourly fee is determined by 
dividing the estimated annual costs by the estimated annual billable 
hours.
    (2) The TYPE II (Lot Inspection) hourly fee is determined by adding 
a factor of 50 percent to the TYPE I fee, to cover additional costs 
(down-time, etc.) associated with conducting lot inspection services.
    (3) The TYPE III (Miscellaneous and Consulting) hourly fee is 
determined by adding a factor of 25 percent to the TYPE I fee, to cover 
the additional costs (down-time, etc.) associated with conducting 
miscellaneous inspection services.

[48 FR 24901, June 3, 1983]
Sec. 260.71  [Reserved]



Sec. 260.72   Fees for inspection service performed under cooperative agreement.

    The fees to be charged and collected for any inspection or similar 
service performed under cooperative agreement shall be those provided 
for by such agreement.



Sec. 260.73   Disposition of fees for inspections made under cooperative agreement.

    Fees for inspection under a cooperative agreement with any State or 
person shall be disposed of in accordance with the terms of such 
agreement. Such portion of the fees collected under a cooperative 
agreement as may be due the United States shall be remitted in 
accordance with Sec. 260.69.

[[Page 240]]



Sec. 260.74   Fee for appeal inspection.

    The fee to be charged for an appeal inspection shall be at the rates 
prescribed in this part for other inspection services: Provided, That, 
if the result of any appeal inspection made for any applicant, other 
than the United States or any agency or instrumentality thereof, 
discloses that a material error was made in the inspection on which the 
appeal is made, no inspection fee shall be assessed.
Sec. 260.76   [Reserved]



Sec. 260.77   Fees for score sheets.

    If the applicant for inspection service requests score sheets 
showing in detail the inspection of each container or sample inspected 
and listed thereon, such score sheets may be furnished by the inspector 
in charge of the office of inspection serving the area where the 
inspection was performed; and such applicant shall be changed at the 
rate of $2.75 for each 12 sampled units, or fraction thereof, inspected 
and listed on such score sheets.



Sec. 260.78   Fees for additional copies of inspection certificates.

    Additional copies of any inspection certificate other than those 
provided for in Sec. 260.29, may be supplied to any interested party 
upon payment of a fee of $2.75 for each set of five (5) or fewer copies.



Sec. 260.79   Travel and other expenses.

    Charges may be made to cover the cost of travel and other expenses 
incurred in connection with the performance of any inspection service, 
including appeal inspections: Provided, That, if charges for sampling or 
inspection are based on an hourly rate, an additional hourly charge may 
be made for travel time including time spent waiting for transportation 
as well as time spent traveling, but not to exceed 8 hours of travel 
time for any one person for any one day: And provided further, That, if 
travel is by common carrier, no hourly charge may be made for travel 
time outside the employee's official work hours.



Sec. 260.80   Charges for inspection service on a contract basis.

    Irrespective of fees and charges prescribed in the foregoing 
sections, the Secretary may enter into a written memorandum of 
understanding or contract, whichever may be appropriate, with any 
administrative agency charged with the administration of a marketing 
order effective pursuant to the Agricultural Marketing Agreement Act of 
1937, as revised (16 U.S.C. 661 et seq.) for the making of inspections 
pursuant to said agreement or order on such basis as will reimburse the 
National Marine Fisheries Service of the Department for the full cost of 
rendering such inspection service as may be determined by the Secretary. 
Likewise, the Secretary may enter into a written memorandum of 
understanding or contract, whichever may be appropriate, with an 
administrative agency charged with the administration of a similar 
program operated pursuant to the laws of any State.

[36 FR 21038, Nov. 3, 1971]



Sec. 260.81   Readjustment and increase in hourly rates of fees.

    (a) When Federal Pay Act increases occur, the hourly rates for 
inspection fees will automatically be increased on the effective date of 
the pay act by an amount equal to the increase received by the average 
GS grade level of fishery product inspectors receiving such pay 
increases.
    (b) The hourly rates of fees to be charged for inspection services 
will be subject to review and reevaluation for possible readjustment not 
less than every 3 years: Provided, That, the hourly rates of fees to be 
charged for inspection services will be immediately reevaluated as to 
need for readjustment with each Federal Pay Act increase.

[35 FR 15925, Oct. 9, 1970]

                              Miscellaneous



Sec. 260.84  Policies and procedures.

    The policies and procedures pertaining to any of the inspection 
services are contained within the NMFS Fishery Products Inspection 
Manual. The policies and procedures are available

[[Page 241]]

from the Secretary to any interested party by writing to Document 
Approval and Supply Services Branch, Inspection Services Division, P.O. 
Drawer 1207, 3207 Frederic St., Pascagoula, MS 39568-1207.

[61 FR 9369, Mar. 8, 1996]



Sec. 260.86   Approved identification.

    (a) Grade marks: The approved grade mark or identification may be 
used on containers, labels, or otherwise indicated for any processed 
product that:
    (1) Has been packed under inspection as provided in this part to 
assure compliance with the requirements for wholesomeness established 
for the raw product and of sanitation established for the preparation 
and processing operations, and (2) has been certified by an inspector as 
meeting the requirements of such grade, quality or classification.

The grade marks approved for use shall be similar in form and design to 
the examples of Figures 1 to 5 of this section.

Shield using red, white, and blue background or other colors appropriate 
                               for label.
[GRAPHIC] [TIFF OMITTED] TC01JY91.061

                                Figure 1.

                      Shield with plain background.
[GRAPHIC] [TIFF OMITTED] TC01JY91.062

                                Figure 2.
[GRAPHIC] [TIFF OMITTED] TC01JY91.063

                                Figure 3.

[GRAPHIC] [TIFF OMITTED] TC01JY91.064

                                Figure 4.

[GRAPHIC] [TIFF OMITTED] TC01JY91.065


                                Figure 5.
    (b) Inspection marks: The approved inspection marks may be used on 
containers, labels, or otherwise indicated for any processed product 
that:
    (1) Has been packed under inspection as provided in this part to 
assure compliance with the requirements for wholesomeness established 
for the raw product and of sanitation established for the preparation 
and processing operations, and (2) has been certified by an inspector as 
meeting the requirements of such quality or grade classification as may 
be approved by the Secretary.

[[Page 242]]

The inspection marks approved for use shall be similar in form and 
design to the examples in Figures 6, 7, and 8 of this section.

                   Statement enclosed within a circle.
[GRAPHIC] [TIFF OMITTED] TC01JY91.066

                                Figure 6.

                Statement without the use of the circle.
[GRAPHIC] [TIFF OMITTED] TC01JY91.067

                                Figure 7.

                Statement without the use of the circle.
[GRAPHIC] [TIFF OMITTED] TC01JY91.068

                                Figure 8.

[[Page 243]]

    (c) Combined grade and inspection marks: The grade marks set forth 
in paragraph (a) of this section, and the inspection marks, Figures 7 
and 8, set forth in paragraph (b) of this section, may be combined into 
a consolidated grade and inspection mark for use on processed products 
that have been packed under inspection as provided in this part.
    (d) Products not eligible for approved identification: Processed 
products which have not been packed under inspection as provided in this 
part shall not be identified by approved grade or inspection marks, but 
such products may be inspected on a lot inspection basis as provided in 
this part and identified by an authorized representative of the 
Department by stamping the shipping cases and inspection certificate(s) 
covering such lot(s) as appropriate, with marks similar in form and 
design to the examples in Figures 9 and 10 of this section.
[GRAPHIC] [TIFF OMITTED] TC01JY91.069

  ......................................................................
                               Figure 9. 
[GRAPHIC] [TIFF OMITTED] TC01JY91.070

  ......................................................................
                               Figure 10.

[[Page 244]]

    (e) Removal of labels bearing inspection marks: At the time a lot of 
fishery products is found to be mislabeled and the labels on the 
packages are not removed within ten (10) consecutive calendar days, the 
following procedure shall be applicable:
    (1) The processor, under the supervision of the inspector, shall 
clearly and conspicuously mark all master cases in the lot by means of a 
``rejected by USDC Inspector'' stamp provided by the Department.
    (2) The processor shall be held accountable to the Department for 
all mislabeled products until the products are properly labeled.
    (3) Clearance for the release of the relabeled products shall be 
obtained by the processor from the inspector.
    (f) Users of inspection services having an inventory of labels which 
bear official approved identification marks stating ``U.S. Department of 
the Interior'' or otherwise referencing the Interior Department, will be 
permitted to use such marks until December 31, 1971, except that upon 
written request the Director, National Marine Fisheries Service, may 
extend such period for the use of specific labels.

[36 FR 4609, Mar. 10, 1971]



Sec. 260.88   Political activity.

    All inspectors and licensed samplers are forbidden, during the 
period of their respective appointments or licenses, to take an active 
part in political management or in political campaigns. Political 
activities in city, county, State, or national elections, whether 
primary or regular, or in behalf of any party or candidate, or any 
measure to be voted upon, are prohibited. This applies to all appointees 
or licensees, including, but not limited to, temporary and cooperative 
employees and employees on leave of absence with or without pay. Willful 
violation of this section will constitute grounds for dismissal in the 
case of appointees and revocation of licenses in the case of licensees.



Sec. 260.90   Compliance with other laws.

    None of the requirements in the regulations in this part shall 
excuse failure to comply with any Federal, State, county, or municipal 
laws applicable to the operation of food processing establishments and 
to processed food products.



Sec. 260.91   Identification.

    Each inspector and licensed sampler shall have in his possession at 
all times and present upon request, while on duty, the means of 
identification furnished by the Department to such person.



Sec. 260.93   Debarment and suspension.

    (a) Debarment. Any person may be debarred from using or benefiting 
from the inspection service provided under the regulations of this 
subchapter or under the terms of any inspection contract, and such 
debarment may apply to one or more plants under his control, if such 
person engages in one or more of the following acts or activities:
    (1) Misrepresenting, misstating, or withholding any material or 
relevant facts or information in conjunction with any application or 
request for an inspection contract, inspection service, inspection 
appeal, lot inspection, or other service provided for under the 
regulations of this subchapter.
    (2) Using on a processed product any label which displays any 
official identification, official device, or official mark, when the 
label is not currently approved for use by the Director or his delegate.
    (3) Using on a processed product any label which displays the words 
``Packed Under Federal Inspection, U.S. Department of Commerce'', or 
which displays any official mark, official device, or official 
identification, or which displays a facsimile of the foregoing, when 
such product has not been inspected under the regulations of this 
subchapter.
    (4) Making any statement or reference to the U.S. Grade of any 
processed product or any inspection service provided under the 
regulations of this subchapter on the label or in the advertising of any 
processed product, when such product has not been inspected under the 
regulations of this subchapter.
    (5) Making, using, issuing or attempting to issue or use in 
conjunction with the sale, shipment, transfer or advertisement of a 
processed product any

[[Page 245]]

certificate of loading, certificate of sampling, inspection certificate, 
official device, official identification, official mark, official 
document, or score sheet which has not been issued, approved, or 
authorized for use with such product by an inspector.
    (6) Using any of the terms ``United States'', ``Officially graded'', 
``Officially inspected'', ``Government inspected'', ``Federally 
inspected'', ``Officially sampled'', or words of similar import or 
meanings, or using any official device, official identification, or 
official mark on the label, on the shipping container, or in the 
advertising of any processed product, when such product has not been 
inspected under the regulations of this subchapter.
    (7) Using, attempting to use, altering or reproducing any 
certificate, certificate form, design, insignia, mark, shield, device, 
or figure which simulates in whole or in part any official mark, 
official device, official identification, certificate of loading, 
certificate of sampling, inspection certificate or other official 
certificate issued pursuant to the regulations of this subchapter.
    (8) Assaulting, harassing, interfering, obstructing or attempting to 
interfere or obstruct any inspector or sampler in the performance of his 
duties under the regulations of this subchapter.
    (9) Violating any one or more of the terms of any inspection 
contract or the provisions of the regulations of this subchapter.
    (10) Engaging in acts or activities which destroy or interfere with 
the purposes of the inspection program or which have the effect of 
undermining the integrity of the inspection program.
    (b) Temporary suspension. (1) Whenever the Director has reasonable 
cause to believe that any person has engaged in any act or activity 
described in paragraph (a) of this section, and in such act or activity, 
in the judgment of the Director, would cause serious and irreparable 
injury to the inspection program and services provided under the 
regulations of this subchapter, the Director may, without a hearing, 
temporarily suspend, either before or after the institution of a 
debarment hearing, the inspection service provided under the regulations 
of this subchapter or under any inspection contract for one or more 
plants under the control of such person. Notice of suspension shall be 
served by registered or certified mail, return receipt requested, and 
the notice shall specifically state those acts or activities of such 
person which are the bases for the suspension. The suspension shall 
become effective five (5) days after receipt of the notice.
    (2) Once a person has received a notice of a temporary suspension, a 
debarment hearing will be set for 30 days after the effective date of 
the suspension. Within 60 days after the completion of the debarment 
hearing, the Hearing Examiner shall determine, based upon evidence of 
record, whether the temporary suspension shall be continued or 
terminated. A temporary suspension shall be terminated by the Hearing 
Examiner if he determines that the acts or activities, which were the 
bases for the suspension, did not occur or will not cause serious and 
irreparable injury to the inspection program and services provided under 
the regulations of this subchapter. This determination of the Hearing 
Examiner on the continuation or termination of the temporary suspension 
shall be final and there shall be no appeal of this determination. The 
initial decision by the Hearing Examiner on the debarment shall be made 
in accordance with paragraph (b)(1), Decisions, of this section.
    (3) After a debarment hearing has been instituted against any person 
by a suspension, such suspension will remain in effect until a final 
decision is rendered on the debarment in accordance with the regulations 
of this section or the temporary suspension is terminated by the Hearing 
Examiner.
    (4) When a debarment hearing has been instituted against any person 
not under suspension, the Director may, in accordance with the 
regulations of this paragraph (b) temporarily suspend such person, and 
the suspension will remain in effect until a final decision on the 
debarment is rendered in accordance with the regulations of this section 
or the temporary suspension is terminated by the Hearing Examiner.

[[Page 246]]

    (c) Hearing Examiner. All hearing shall be held before a Hearing 
Examiner appointed by the Secretary or the Director.
    (d) Hearing. If one or more of the acts or activities described in 
paragraph (a) of this section have occurred, the Director may institute 
a hearing to determine the length of time during which the person shall 
be debarred and those plants to which the debarment shall apply. No 
person may be debarred unless there is a hearing, as prescribed in this 
section, and it has been determined by the Hearing Examiner, based on 
evidence of record, that the one or more of the activities described in 
paragraph (a) of this section have occurred. Any debarment or suspension 
must be instituted within two (2) years of the time when such acts or 
activities described in paragraph (a) of this section have occurred.
    (e) Notice of hearing. The Director shall notify such person of the 
debarment hearing by registered or certified mail, return receipt 
requested. The notice shall set forth the time and place of the hearing, 
the specific acts or activities which are the basis for the debarment 
hearing, the time period of debarment being sought, and those plants to 
which the debarment shall apply. Except for the debarment hearing 
provided for in paragraph (b) of this section the hearing will be set 
for a time not longer than 120 days after receipt of the notice of 
hearing.
    (f) Time and place of hearing. The hearing shall be held at a time 
and place fixed by the Director: Provided, however, The Hearing Examiner 
may, upon a proper showing of inconvenience, change the time and place 
of the hearing. Motions for change of time or place of the hearing must 
be mailed to or served upon the Hearing Examiner no later than 10 days 
before the hearing.
    (g) Right to counsel. In all proceedings under this section, all 
persons and the Department of Commerce shall have the right to be 
represented by counsel, in accordance with the rules and regulations set 
forth in title 43, Code of Federal Regulations, part 1.
    (h) Form, execution, and service of documents. (1) All papers to be 
filed under the regulations in this section shall be clear and legible; 
and shall be dated, signed in ink, contain the docket description and 
title of the proceeding, if any, and the address of the signatory. Five 
copies of all papers are required to be filed. Documents filed shall be 
executed by:
    (i) The person or persons filing same,
    (ii) by an authorized officer thereof if it be a corporation or,
    (iii) by an attorney or other person having authority with respect 
thereto.
    (2) All documents, when filed, shall show that service has been made 
upon all parties to the proceeding. Such service shall be made by 
delivering one copy to each party in person or by mailing by first-class 
mail, properly addressed with postage prepaid. When a party has appeared 
by attorney or other representative, service on such attorney or other 
representative will be deemed service upon the party. The date of 
service of document shall be the day when the matter served is deposited 
in the U.S. mail, shown by the postmark thereon, or is delivered in 
person, as the case may be.
    (3) A person is deemed to have appeared in a hearing by the filing 
with the Director a written notice of his appearance or his authority in 
writing to appear on behalf of one of the persons to the hearing.
    (4) The original of every document filed under this section and 
required to be served upon all parties to a proceeding shall be 
accompanied by a certificate of service signed by the party making 
service, stating that such service has been made upon each party to the 
proceeding. Certificates of service may be in substantially the 
following form:

    I hereby certify that I have this day served the foregoing document 
upon all parties of record in this proceeding by: (1) Mailing postage 
prepaid, (2) delivering in person, a copy to each party.
    Dated at -------- this -------- day of ----------, 19--
                                              Signature ----------------

    (i) Procedures and evidence. (1) All parties to a hearing shall be 
entitled to introduce all relevant evidence on the issues as stated in 
the notice for hearing or as determined by the Hearing Examiner at the 
outset of or during the hearing.

[[Page 247]]

    (2) Technical rules of evidence shall not apply to hearings 
conducted pursuant to this section, but rules or principles designed to 
assure production of the most credible evidence available and to subject 
testimony to test by cross-examination shall be applied where reasonably 
necessary.
    (j) Duties of Hearing Examiner. The Hearing Examiner shall have the 
authority and duty to:
    (1) Take or cause depositions to be taken.
    (2) Regulate the course of the hearings.
    (3) Prescribe the order in which evidence shall be presented.
    (4) Dispose of procedural requests or similar matters.
    (5) Hear and initially rule upon all motions and petitions before 
him.
    (6) Administer oaths and affirmations.
    (7) Rule upon offers of proof and receive competent, relevant, 
material, reliable, and probative evidence.
    (8) Control the admission of irrelevant, immaterial, incompetent, 
unreliable, repetitious, or cumulative evidence.
    (9) Hear oral arguments if the Hearing Examiner determined such 
requirement is necessary.
    (10) Fix the time for filing briefs, motions, and other documents to 
be filed in connection with hearings.
    (11) Issue the initial decision and dispose of any other pertinent 
matters that normally and properly arise in the course of proceedings.
    (12) Do all other things necessary for an orderly and impartial 
hearing.
    (k) The record. (1) The Director will designate an official reporter 
for all hearings. The official transcript of testimony taken, together 
with any exhibits and briefs filed therewith, shall be filed with the 
Director. Transcripts of testimony will be available in any proceeding 
under the regulations of this section, at rates fixed by the contract 
between the United States of America and the reporter. If the reporter 
is an employee of the Department of Commerce, the rate will be fixed by 
the Director.
    (2) The transcript of testimony and exhibits, together with all 
briefs,papers, and all rulings by the Hearing Examiner shall constitute 
the record. The initial decision will be predicated on the same record, 
as will be final decision.
    (l) Decisions. (1) The Hearing Examiner shall render the initial 
decision in all debarment proceedings before him. The same Hearing 
Examiner who presides at the hearing shall render the initial decision 
except when such Examiner becomes unavailable to the Department of 
Commerce. In such case, another Hearing Examiner will be designated by 
the Secretary or Director to render the initial decision. Briefs, or 
other documents, to be submitted after the hearing must be received not 
later than twenty (20) days after the hearing, unless otherwise extended 
by the Hearing Examiner upon motion by a party. The initial decision 
shall be made within sixty (60) days after the receipt of all briefs. If 
no appeals from the initial decision is served upon the Director within 
ten (10) days of the date of the initial decision, it will become the 
final decision on the 20th day following the date of the initial 
decision. If an appeal is received, the appeal will be transmitted to 
the Secretary who will render the final decision after considering the 
record and the appeal.
    (2) All initial and final decisions shall include a statement of 
findings and conclusions, as well as the reasons or bases therefore, 
upon the material issues presented. A copy of each decision shall be 
served on the parties to the proceeding, and furnished to interested 
persons upon request.
    (3) It shall be the duty of the Hearing Examiner, and the Secretary 
where there is an appeal, to determine whether the person has engaged in 
one or more of the acts or activities described in paragraph (a) of this 
section, and, if there is a finding that the person has engaged in such 
acts or activities, the length of time the person shall be debarred, and 
the plants to which the debarment shall apply.

[31 FR 16052, Dec. 15, 1966, as amended at 36 FR 18738, Sept. 21, 1971]

[[Page 248]]

   Requirements for Plants Operating Under Continuous Inspection on a 
                          Contract Basis1
---------------------------------------------------------------------------

    1Compliance with the above requirements does not excuse failure to 
comply with all applicable sanitary rules and regulations of city, 
county, State, Federal, or other agencies having jursidiction over such 
establishments and operations.
---------------------------------------------------------------------------



Sec. 260.96   Application for Fishery Products Inspection Service on a contract basis at official establishments.

    Any person desiring to process and pack products in an establishment 
under fishery products inspection service on a contract basis, must 
receive approval of such buildings and facilities as an official 
establishment prior to the inauguration of such service. An application 
for inspection service to be rendered in an establishment shall be 
approved according to the following procedure:
    (a) Initial survey: When application has been filed for inspection 
service as aforesaid, NMFS inspector(s) shall examine the buildings, 
premises, and facilities according to the requirements of the fishery 
products inspection service and shall specify any additional facilities 
required for the service.
    (b) Final survey and establishment approval: Prior to the 
inauguration of the fishery products inspection service, a final survey 
of the buildings, premises, and facilities shall be made to verify that 
the buildings are constructed and facilities are in accordance with the 
approved drawings and the regulations in this part.
    (c) Drawings and specifications of new construction or proposed 
alterations of existing official establishments shall be furnished to 
the Director in advance of actual construction for prior approval with 
regard to compliance with requirements for facilities.

[36 FR 21039, Nov. 3, 1971]



Sec. 260.97   Conditions for providing fishery products inspection service at official establishments.

    (a) The determination as to the inspection effort required to 
adequately provide inspection service at any establishment will be made 
by NMFS. The man-hours required may vary at different official 
establishments due to factors such as, but not limited to, size and 
complexity of operations, volume and variety of products produced, and 
adequacy of control systems and cooperation. The inspection effort 
requirement may be reevaluated when the contracting party or NMFS deems 
there is sufficient change in production, equipment and change of 
quality control input to warrant reevaluation. Inspectors will not be 
available to perform any of employee or management duties, however, they 
will be available for consultation purposes. NMFS reserves the right to 
reassign inspectors as it deems necessary.
    (b) NMFS shall not be held responsible:
    (1) For damages occurring through any act of commission or omission 
on the part of its inspectors when engaged in performing services; or
    (2) For production errors, such as processing temperatures, length 
of process, or misbranding of products; or
    (3) For failure to supply enough inspection effort during any period 
of service.
    (c) The contracting party will:
    (1) Use only wholesome raw material which has been handled or stored 
under sanitary conditions and is suitable for processings; maintain the 
official establishment(s), designated on the contract in such sanitary 
condition and to employ such methods of handling raw materials for 
processing as may be necessary to conform to the sanitary requirements 
precribed or approved by NMFS;
    (2) Adequately code each primary container and master case of 
products sold or otherwise distributed from a manufacturing, processing, 
packing, or repackaging activity to enable positive lot identification 
to facilitate, where necessary, the segregation of specific food lots 
that may have become contaminated or otherwise unfit for their intended 
use;
    (3) Not permit any labels on which reference is made to Federal 
inspection, to be used on any product which is not packed under fishery 
products inspection service nor permit any labels on which reference is 
made to any U.S. Grade to be used on any product

[[Page 249]]

which has not been officially certified as meeting the requirements of 
such grade; nor supply labels bearing reference to Federal inspection to 
another establishment unless the products to which such labels are to be 
applied have been packed under Federal inspection at an official 
establishment;
    (4) Not affix any label on which reference is made to Federal 
inspection to any container of processed foods, produced in any 
designated official establishment, with respect to which the grade of 
such product is not certified because of adulteration due to the 
presence of contaminants in excess of limits established in accordance 
with the regulations or guidelines issued pursuant to the Food, Drug, 
and Cosmetic Act, as amended;
    (5) Not, with respect to any product for which U.S. Grade Standards 
are in effect, affix any label on which reference is made to Federal 
inspection to any container of processed food which is substandard: 
Provided, That such label may be affixed to any container of such 
substandard quality product if such label bears a statement to indicate 
the substandard quality;
    (6) Not, with respect to any product for which U.S. Grade Standard 
are not in effect, affix any label on which reference is made to the 
Federal inspection to containers of processed foods, except with the 
approval of NMFS;
    (7) Furnish such reports of processing, packaging, grading, 
laboratory analyses, and output of products inspected, processed, and 
packaged at the designated official establish-ment(s) as may be 
requested by NMFS, subject to the approval of the Bureau of the Budget 
in accordance with the Federal Reports Act of 1942;
    (8) Make available for use by inspectors, adequate office space in 
the designated official establishment(s) and furnish suitable desks, 
office equipment, and files for the proper care and storage of 
inspection records;
    (9) Make laboratory facilities and necessary equipment available for 
the use of inspectors to inspect samples of processed foods and/or 
components thereof;
    (10) Furnish and provide laundry service, as required by NMFS, for 
coats, trousers, smocks, and towels used by inspectors during 
performance of duty in official establishment(s);
    (11) Furnish stenographic and clerical assistance as may be 
necessary in the typing of certificates and reports and the handling of 
official correspondence, as well as furnish the labor incident to the 
drawing and grading of samples and other work required to facilitate 
adequate inspection procedures whenever necessary;
    (12) Submit to NMFS, three (3) copies of new product specifications 
in a manner prescribed by NMFS, and three (3) end-product samples for 
evaluation and/or laboratory analysis on all products for approval, for 
which U.S. Grade Standards are not available, when inspection is to be 
applied to such products. If requested of NMFS, such new specifications 
and end-product samples shall be considered confidential;
    (13) Submit, as required by NMFS, for approval, proofs prior to 
printing and thereafter four (4) copies of any finished label which may 
or may not bear official identification marks, when such products are 
packed under Federal inspection on a contract basis;
    (14) Not make deceptive, fraudulent, or unauthorized use in 
advertising, or otherwise, of the fishery products inspection service, 
the inspection certificates or reports issued, or the containers on 
which official identification marks are embossed or otherwise 
identified, in connection with the sale of any processed products;
    (15) Submit to NMFS, four (4) copies of each label which may or may 
not bear official identification marks, when such labels are to be 
withdrawn from inspection or when approved labels are disapproved for 
further use under inspection;
    (16) Notify NMFS in advance of the proposed use of any labels which 
require obliteration of any official identification marks, and all 
reference to the inspection service on approved labels which have been 
withdrawn or disapproved for use;

[[Page 250]]

    (17) Accord representatives of NMFS at all reasonable times free and 
immediate access to establishment(s) and official establishment(s) under 
applicant's control for the purpose of checking codes, coded products, 
coding devices, coding procedures, official identification marks 
obliteration, and use of withdrawn or disapproved labels.
    (d) Termination of inspection services:
    (1) The fishery products inspection service, including the issuance 
of inspection reports, shall be rendered from the date of the 
commencement specified in the contract and continue until suspended or 
terminated:
    (i) By mutual consent;
    (ii) by either party giving the other party sixty (60) days' written 
notice specifying the date of suspension or termination;
    (iii) by one (1) day's written notice by NMFS in the event the 
applicant fails to honor any invoice within ten (10) days after date of 
receipt of such invoice covering the full costs of the inspection 
service provided, or in the event the applicant fails to maintain its 
designated plants in a sanitary condition or to use wholesome raw 
materials for processing as required by NMFS, or in the event the 
applicant fails to comply with any provisions of the regulations 
contained in this part;
    (iv) by automatic termination in case of bankruptcy, closing out of 
business, or change in controlling ownership.
    (2) In case the contracting party wishes to terminate the fishery 
products inspection service under the terms of paragraph (d)(1)(i) or 
(ii) of this section, either the service must be continued until all 
unused containers, labels, and advertising material on hand or in 
possession of his supplier bearing official identification marks, or 
reference to fishery products inspection service have been used, or said 
containers, labels, and advertising material must be destroyed, or 
official identification marks, and all other reference to the fishery 
products inspection service on said containers, labels, advertising 
material must be obliterated, or assurance satisfactory to NMFS must be 
furnished that such containers, labels, and advertising material will 
not be used in violation of any of the provisions of the regulations in 
the part.
    (3) In case the fishery products inspection service is terminated 
for cause by NMFS under the terms of paragraph (d)(1)(iii) of this 
section, or in case of automatic termination under terms of paragraph 
(d)(1)(iv) of this section, the contracting party must destroy all 
unused containers, labels, and advertising material on hand bearing 
official identification marks, or reference to fishery products 
inspection service, or must obliterate official identification marks, 
and all reference to the fishery products inspection service on said 
containers, labels and advertising material.

After termination of the fishery products inspection service, NMFS may, 
at such time or times as it may determine to be necessary, during 
regular business hours, enter the establishment(s) or other facilities 
in order to ascertain that the containers, labels, and advertising 
material have been altered or disposed of in the manner provided herein, 
to the satisfaction of NMFS.

[36 FR 21039, Nov. 3, 1971]



Sec. 260.98   Premises.

    The premises about an official establishment shall be free from 
conditions which may result in the contamination of food including, but 
not limited to, the following:
    (a) Strong offensive odors;
    (b) Improperly stored equipment, litter, waste, refuse, and uncut 
weeds or grass within the immediate vicinity of the buildings or 
structures that may constitute an attractant, breeding place, or 
harborage for rodents, insects, and other pests;
    (c) Excessively dusty roads, yards, or parking lots that may 
constitute a source of contamination in areas where food is exposed;
    (d) Inadequately drained areas that may contribute contamination to 
food products through seepage or foot-borne filth and by providing a 
breeding place for insects or micro-organisms;

If the grounds of an official establishment are bordered by grounds not 
under the official establishment operator's control of the kind 
described in

[[Page 251]]

paragraphs (b) through (d) of this section, care must be exercised in 
the official establishment by inspection, extermination, or other means 
to effect exclusion of pests, dirt, and other filth that may be a source 
of food contamination.

[36 FR 21040, Nov. 3, 1971]



Sec. 260.99   Buildings and structures.

    The buildings and structures shall be properly constructed and 
maintained in a sanitary condition, including, but not limited to the 
following requirements:
    (a) Lighting. There shall be sufficient light (1) consistent with 
the use to which the particular portion of the building is devoted, and 
(2) to provide for efficient cleaning. Belts and tables on which 
picking, sorting, or trimming operations are carried on shall be 
provided with sufficient nonglaring light to insure adequacy of the 
respective operation. Light bulbs, fixtures, skylights, or other glass 
suspended over exposed food in any step of preparation shall be of the 
safety type or otherwise protected to prevent food contamination in case 
of breakage.
    (b) Ventilation. There shall be sufficient ventilation in each room 
and compartment thereof to prevent excessive condensation of moisture 
and to insure sanitary and suitable processing and operating conditions. 
If such ventilation does not prevent excessive condensation, the 
Director may require that suitable facilities be provided to prevent the 
condensate from coming in contact with equipment used in processing 
operations and with any ingredient used in the manufacture or production 
of a processed product.
    (c) Drains and gutters. All drains and gutters shall be properly 
installed with approved traps and vents. The drainage and plumbing 
system must permit the quick runoff of all water from official 
establishment buildings, and surface water around buildings and on the 
premises; and all such water shall be disposed of in such a manner as to 
prevent a nuisance or health hazard. Tanks or other equipment whose 
drains are connected to the waste system must have such screens and 
vacuum breaking devices affixed so as to prevent the entrance of waste 
water, material, and the entrance of vermin to the processing tanks or 
equipment.
    (d) Water supply. There shall be ample supply of both hot and cold 
water; and the water shall be of safe and sanitary quality with adequate 
facilities for its (1) distribution throughout buildings, and (2) 
protection against contamination and pollution.

Sea water of safe suitable and sanitary quality may be used in the 
processing of various fishery products when approved by NMFS prior to 
use.
    (e) Construction. Roofs shall be weathertight. The walls, ceilings, 
partitions, posts, doors, and other parts of all buildings and 
structures shall be of such materials, construction, and finish as to 
permit their efficient and thorough cleaning. The floors shall be 
constructed of tile, cement, or other equally impervious material, shall 
have good surface drainage, and shall be free from openings or rough 
surfaces which would interfere with maintaining the floors in a clean 
condition.
    (f) Processing rooms. Each room and each compartment in which any 
processed products are handled, processed, or stored (1) shall be so 
designed and constructed as to insure processing and operating 
conditions of a clean and orderly character; (2) shall be free from 
objectional odors and vapors; and (3) shall be maintained in a clean and 
sanitary condition.
    (g) Prevention of animals and insects in official establishment(s). 
Dogs, cats, birds, and other animals (including, but not being limited 
to rodents and insects) shall be excluded from the rooms from which 
processed products are being prepared, handled, or stored and from any 
rooms from which ingredients (including, but not being limited to salt, 
sugar, spices, flour, batter, breading, and fishery products) are 
handled and stored. Screens, or other devices, adequate to prevent the 
passage of insects shall, where practical, be provided for all outside 
doors and openings. The use of chemical compounds such as cleaning 
agents, insecticides, bactericides, or rodent poisons shall not be 
permitted except under such precautions and restrictions as will prevent 
any possibility of their contamination of the processed product. The use 
of such compounds shall

[[Page 252]]

be limited to those circumstances and conditions as approved by NMFS.
    (h) Inspector's office. Furnished suitable and adequate office 
space, including, but not being limited to, light, heat, and janitor 
service shall be provided rent free in official establishments for use 
for official purposes by the inspector and NMFS representatives. The 
room or rooms designated for this purpose shall meet with the approval 
of NMFS and shall be conveniently located, properly ventilated, and 
provided with lockers or cabinets suitable for the protection and 
storage of inspection equipment and supplies and with facilities 
suitable for inspectors to change clothing.
    (i) Adequate parking space, conveniently located, for private or 
official vehicles used in connection with providing inspection services 
shall be provided.

[36 FR 21040, Nov. 3, 1971]



Sec. 260.100   Facilities.

    Each official establishment shall be equipped with adequate sanitary 
facilities and accommodations, including, but not being limited to, the 
following:
    (a) Containers approved for use as containers for processed products 
shall not be used for any other purpose.
    (b) No product or material not intended for human food or which 
creates an objectionable condition shall be processed, handled, or 
stored in any room, compartment, or place where any fishery product is 
manufactured, processed, handled, or stored.
    (c) Suitable facilities for cleaning and sanitizing equipment (e.g., 
brooms, brushes, mops, clean cloths, hose, nozzles, soaps, detergent, 
sprayers) shall be provided at convenient locations throughout the 
plant.

[36 FR 21040, Nov. 3, 1971]



Sec. 260.101   Lavatory accommodations.

    Modern lavatory accommodations, and properly located facilities for 
cleaning and sanitizing utensils and hands, shall be provided.
    (a) Adequate lavatory and toilet accommodations, including, but not 
being limited to, running hot water (135 deg. F. or more) and cold 
water, soap, and single service towels, shall be provided. Such 
accommodations shall be in or near toilet and locker rooms and also at 
such other places as may be essential to the cleanliness of all 
personnel handling products.
    (b) Sufficient containers with covers shall be provided for used 
towels and other wastes.
    (c) An adequate number of hand washing facilities serving areas 
where edible products are prepared shall be operated by other than hand-
operated controls, or shall be of a continuous flow type which provides 
an adequate flow of water for washing hands.
    (d) Durable signs shall be posted conspicuously in each toilet room 
and locker room directing employees to wash hands before returning to 
work.
    (e) Toilet facilities shall be provided according to the following 
formula:

------------------------------------------------------------------------
                                                                Toilet  
                      Number of persons                          bowls  
                                                               required 
------------------------------------------------------------------------
1 to 15, inclusive..........................................           1
16 to 35, inclusive.........................................           2
36 to 55, inclusive.........................................        \1\3
56 to 80, inclusive.........................................        \1\4
For each additional 30 persons in excess of 80..............        \1\1
------------------------------------------------------------------------
\1\Urinals may be substituted for toilet bowls but only to the extent of
  one-third of the total number of bowls required.                      

All toilet equipment shall be kept operative, in good repair, and in a 
sanitary condition.

[36 FR 21041, Nov. 3, 1971]



Sec. 260.102   Equipment.

    All equipment used for receiving, washing, segregating, picking, 
processing, packaging, or storing any processed products or any 
ingredients used in the manufacture or production thereof, shall be of 
such design, material, and construction as will:
    (a) Enable the examination, segregation, preparation, packaging, and 
other processing operations applicable to processed products, in an 
efficient, clean, and sanitary manner, and
    (b) Permit easy access to all parts to insure thorough cleaning and 
effective bactericidal treatment. Insofar as is practicable, all such 
equipment shall be made of smooth impermeable corrosion-resistant 
material that will not adversely affect the processed product by 
chemical action or physical contact. Such equipment shall be kept in 
good repair and sanitary condition. Such

[[Page 253]]

equipment shall be cleaned and sanitized at a frequency as is necessary 
or required in accordance with Good Manufacturing Practice Regulations, 
21 CFR part 128.

[36 FR 21041, Nov. 3, 1971]



Sec. 260.103   Operations and operating procedures shall be in accordance with an effective sanitation program.

    (a) All operators in the receiving transporting, holdings, 
segregating, preparing, processing, packaging, and storing of processed 
products and ingredients, used as aforesaid, shall be strictly in accord 
with clean and sanitary methods and shall be conducted as rapidly as 
possible and at temperatures that will inhibit and retard the growth of 
bacterial and other micro-organisms and prevent any deterioration or 
contamination of such processed products or ingredients thereof. 
Mechanical adjustments or practices which may cause contamination of 
foods by oil, dust, paint, scale, fumes, grinding materials, decomposed 
food, filth, chemicals, or other foreign materials shall not be 
conducted during any manufacturing or processing operation.
    (b) All processed products, raw materials, ingredients, and 
components thereof shall be subject to inspection during each 
manufacturing or processing operation. To assure a safe, wholesome 
finished product, changes in processing methods and procedures as may be 
required by the Director shall be effectuated as soon as practicable. 
All processed products which are not manufactured or prepared in 
accordance with the requirements contained in Sec. 260.96 to 
Sec. 260.104 or are unwholesome or otherwise not fit for human food 
shall be removed and segregated prior to any further processing 
operation.
    (c) Official establishments operating under Federal inspection 
should have an effective quality control program as appropriate for the 
nature of the products and processing operations.
    (d) All ingredients used in the manufacture or processing of any 
processed product shall be wholesome and fit for human food.
    (e) The methods and procedures employed in the receiving, 
segregating, handling, transporting, and processing of ingredients in 
official estab lishment(s) shall be adequate to result in a satisfactory 
processed product. Such methods and procedures include, but are not 
limited to, the following requirements:
    (1) Containers, utensils, pans, and buckets used for the storage or 
transporting of partially processed food ingredients shall not be nested 
unless rewashed and sanitized before each use;
    (2) Containers which are used for holding partially processed food 
ingredients shall not be stacked in such manner as to permit 
contamination of the partially processed food ingredients;
    (3) Packages or containers for processed products shall be clean 
when being filled with such products; and all reasonable precautions 
shall be taken to avoid soiling or contaminating the surface of any 
package or container liner which is, or will be, in direct contact with 
such products.
    (f) Retention tags: (1) Any equipment such as, but not limited to, 
conveyors, tillers, sorters, choppers, and containers which fail to meet 
appropriate and adequate sanitation requirements will be identified by 
the inspector in an appropriate and conspicuous manner with the word 
``RETAINED.'' Following such identification, the equipment shall not be 
used until the discrepancy has been resolved, the equipment reinspected 
and approved by the inspector and the ``RETAINED'' identification 
removed by the inspector.
    (2) Lot(s) of processed products that may be considered to be 
mislabeled and/or unwholesome by reason of contaminants or which may 
otherwise be in such condition as to require further evaluation or 
testing to determine that the product properly labeled and/or wholesome 
will be identified by the inspector in an appropriate and conspicuous 
manner with the word ``RETAINED.'' Such lot(s) of product shall be held 
for reinspection or testing. Final disposition of the lot(s) shall be 
determined by NMFS and the removal of the ``RETAINED'' identification 
shall be performed by the inspector.

[36 FR 21041, Nov. 3, 1971]

[[Page 254]]



Sec. 260.104   Personnel.

    The establishment management shall be responsible for taking all 
precautions to assure the following:
    (a) Disease control. No person affected by disease in a communicable 
form, or while a carrier of such disease, or while affected with boils, 
sores, infected wounds, or other abnormal sources of microbiological 
contamination, shall work in a food plant in any capacity in which there 
is a reasonable possibility of food ingredients becoming contaminated by 
such person, or of disease being transmitted by such person to other 
individuals.
    (b) Cleanliness. All persons, while working in direct contact with 
food preparation, food ingredients, or surfaces coming into contact 
therewith shall:
    (1) Wear clean outer garments, maintain a high degree of personal 
cleanliness, and conform to hygenic practices while on duty, to the 
extent necessary to prevent contamination of food products.
    (2) Wash and sanitize their hands thoroughly to prevent 
contamination by undesirable microorganisms before starting work, after 
each absence from the work station, and at any other time when the hands 
may have become soiled or contaminated.
    (3) Remove all insecure jewelry and, when food is being manipulated 
by hand, remove from hands any jewelry that cannot be adequately 
sanitized.
    (4) If gloves are used in food handling, maintain them in an intact, 
clean, and sanitary condition. Such gloves shall be of an impermeable 
material except where their usage would be inappropriate or incompatible 
with the work involved.
    (5) Wear hair nets, caps, masks, or other effective hair restraints. 
Other persons that may incidentally enter the processing areas shall 
comply with this requirement.
    (6) Not store clothing or other personal belongings, eat food, drink 
beverages, chew gum, or use tobacco in any form in areas where food or 
food ingredients are exposed or in areas used for washing equipment or 
utensils.
    (7) Take any other necessary precautions to prevent contamination of 
foods with microorganisms or foreign substances including, but not 
limited to perspiration, hair, cosmetics, tobacco, chemicals, and 
medicants.
    (c) Education and training. Personnel responsible for identifying 
sanitation failures or food contamination should have a background of 
education or experience, or a combination thereof, to provide a level of 
competency necessary for production of clean wholesome food. Food 
handlers and supervisors should receive appropriate training in proper 
food-handling techniques and food-protection principles and should be 
cognizant of the danger of poor personal hygiene and unsanitary 
practices, and other vectors of contamination.

[36 FR 21041, Nov. 3, 1971]

                          Labeling Requirements

Secs. 260.200--260.201  [Reserved]



PART 261--UNITED STATES STANDARDS FOR GRADES--Table of Contents




Sec.
261.101  Standard description.
261.102  Publication and removal of U.S. Grade Standards.
261.103  Basis for determination of a U.S. Standard for Grades.

Authority: 7 U.S.C. 1621-1630.

    Source: 61 FR 9369, Mar. 8, 1996, unless otherwise noted.



Sec. 261.101  Standard description.

    A U.S. Standard for Grades authorized under this part is a standard 
for a fish or fishery product that has been developed and adopted by the 
voluntary seafood inspection program pursuant to the Agricultural 
Marketing Act of 1946 (7 U.S.C. 1621 et seq.) and other authorities 
delegated to the U.S. Department of Commerce.



Sec. 261.102  Publication and removal of U.S. Grade Standards.

    (a) The voluntary U.S. Standards for Grades adopted pursuant to this 
part shall be issued as Program policies and contained within the NMFS 
Fishery Products Inspection Manual. Compliance with voluntary standards 
issued as Program policies within the manual shall satisfy the 
requirements of this

[[Page 255]]

part. Compliance with a voluntary standard issued as a Program policy 
does not relieve any party from the responsibility to comply with the 
provisions of the Federal Food, Drug, and Cosmetic Act; or other Federal 
laws and regulations.
    (b) Notification of an application for a new grade standard shall be 
published in the Federal Register. If adopted, the grade standard shall 
be issued as a Program policy and contained in the NMFS Fishery Products 
Inspection Manual.
    (c) Recision and revision of a U.S. Standard for Grades will be made 
a Program policy amendment and contained in the NMFS Fishery Products 
Inspection Manual.
    (d) The NMFS Fishery Products Inspection Manual is available to 
interested parties.


Sec. 261.103  Basis for determination of a U.S. Standard for Grades.

    (a) To address the inherently distinct and dissimilar attributes 
found in the fishery product groups, each standard for grades should 
have a different scope and product description, product forms, sample 
sizes, definition of defects, etc. The Secretary will make the final 
determination regarding the content of a U.S. Standard for Grades.
    (b) A proposal for a new or revised U.S. grade standard may include 
the following:
    (1) Scope and product description, which describes the products that 
are eligible for grading using the standard (e.g., fish portion, fish 
fillet).
    (2) Product forms, which describe the types, styles and market forms 
covered by the standard (e.g., skin-off, tail-on, headless).
    (3) Grade and inspection marks, which describe the grades and 
inspection mark criteria for each grade category (e.g., Grade A 
 15 points).
    (4) Grade determination, which describes the means by which the 
grade is determined (i.e., the factors rated by score points and those 
that are not). Standards may contain defect grouping limiting rules that 
contain additional provisions that must be met.
    (5) Sampling, which describes the method of sampling and sample unit 
sizes (e.g., 10 portions, 8 ounces, etc.).
    (6) Procedures that describe the process used to determine the 
product grade (e.g., label declarations, sensory evaluation).
    (7) Definitions of defects, which outline the defects associated 
with the products covered by the standard, defines them, and describes 
the method of counting or measuring the defects. This section may 
provide associated defect points or reference a defect table (e.g., 
bruises, blood spots, bones, black spots, coating defects, 1-inch 
squares, percent by weight, ratios).
    (8) Defect point assessment, which describes how to assess points 
and provides any special guidance that may be necessary to the 
particular standard (e.g., defect points for certain categories are 
added together and divided by the weight of the sample unit; the number 
of instances are counted to determine if it is slight, moderate, or 
excessive defect).
    (9) Tolerances for lot certification, which provide the sections 
from Title 50 CFR that regulate lot certification.
    (10) Hygiene, which specifies the sections of applicable Federal 
regulations regulating the safe, wholesome production of food for human 
consumption.
    (11) Methods of analysis, which describe the methods of analysis 
that will be used in the evaluation of the products covered by the 
standard for grades (e.g., net weight, deglazing, debreading).
    (12) Defect table, which is the table of defects and associated 
points to be assessed for each defect.

[[Page 256]]



                        SUBCHAPTER H--[RESERVED]





                      SUBCHAPTER I--TUNA FISHERIES





PART 285--ATLANTIC TUNA FISHERIES--Table of Contents




                           Subpart A--General

Sec.
285.1  Purpose and scope.
285.2  Definitions.
285.3  Prohibitions.
285.4  Facilitation of enforcement.
285.5  Civil procedures.
285.6  Civil penalties.
285.7  Experimental fishing exemption.
285.8  At-sea observer coverage.

       Subpart B--Atlantic Bluefin Tuna (Thunnus thynnus thynnus)

285.20  Fishing seasons.
285.21  Vessel permits.
285.22  Quotas.
285.23  Incidental catch.
285.24  Catch limits.
285.25  Purse seine vessel requirements.
285.26  Size classes.
285.27  Tag and release program.
285.28  Dealer permits.
285.29  Dealer recordkeeping and reporting.
285.30  Tags.
285.31  Prohibitions.
285.32  Civil penalties.
285.33  Gear identification.
285.34  Restrictions on sale.

            Subpart C--Atlantic Tunas Other Than Bluefin Tuna

285.50  Species subject to regulation.
285.51  Authorized fishing gear.
285.52  Size limits.
285.53  Vessel permits.
285.54  Commercial vessel recordkeeping and reporting.
285.55  Dealer permits.
285.56  Dealer recordkeeping and reporting.
285.57  Purse Seine vessel requirements.
285.58  Incidental catch.
285.59  Prohibitions.

                 Subpart D--Restrictions on Tuna Imports

285.80  Basis and purpose.
285.81  Species subject to regulation.
285.82  Species under investigation by the Commission.
285.83  Investigation authorized.
285.84  Publication of findings.
285.85  Proof of admissibility.
285.86  Removal of import restrictions.

                Subpart E--International Port Inspection

285.100  Basis and purpose.
285.101  Authorized officer.
285.102  Vessels subject to inspection.
285.103  Reports.

            Subpart F--Bluefin Tuna Statistical Documentation

285.200  Species subject to documentation requirements.
285.201  Documentation requirements.
285.202  Contents of documentation.
285.203  Validation requirements.
285.204  Ports of entry.
285.205  Prohibitions.

Figure 1 to Part 285

    Authority: 16 U.S.C. 971 et seq.

    Source: 50 FR 43398, Oct. 25, 1985, unless otherwise noted.



                           Subpart A--General



Sec. 285.1  Purpose and scope.

    (a) The Atlantic Tunas Convention Act of 1975 (16 U.S.C. 971-971h) 
authorizes the Secretary to implement the recommendations of the 
International Commission for the Conservation of Atlantic Tunas (ICCAT). 
The Secretary's authority under the Act has been delegated to the 
Assistant Administrator.
    (b) This part implements the ICCAT recommendations for persons and 
vessels subject to the jurisdiction of the United States.
    (c) This part does not apply to any person or vessel authorized by 
the Commission, or in writing by the Director, or any state upon written 
authorization by the Director, to engage in fishing for research 
purposes.
    (d) Under section 9(d) of the Act, determinations made by the 
Assistant Administrator that the provisions of this part apply within 
the territorial sea of the United States adjacent to, and within the 
boundaries of, the States of Texas, Louisiana, Alabama, Florida, 
Georgia, South Carolina, North Carolina, Virginia, Maryland, Delaware, 
New Jersey, New York, Rhode Island, Massachusetts, New

[[Page 257]]

Hampshire, and the Commonwealths of Puerto Rico and the Virgin Islands, 
and, with the exceptions of Secs. 285.22 (c) and (d), 285.23 (a) and (b) 
and 285.25 within the territorial sea of the United States adjacent to, 
and within the boundaries of, the State of Maine, continue in effect.

[50 FR 43398, Oct. 25, 1985, as amended at 60 FR 38511, July 27, 1995]



Sec. 285.2  Definitions.

    The terms used in this part have the following meanings (definitions 
in the Act are repeated here to aid understanding of the rules):
    Act means the Atlantic Tunas Convention Act of 1975, 16 U.S.C. 971-
971h.
    Albacore means the fish species Thunnus alalunga.
    Angling means fishing for or catching of, or the attempted fishing 
for or catching of, fish by any person (angler) with a hook attached to 
a line which is hand held or by rod and reel made for this purpose.
    Assistant Administrator means the Assistant Administrator for 
Fisheries, National Oceanic and Atmospheric Administration, Department 
of Commerce, or an individual to whom appropriate authority has been 
delegated.
    Atlantic bluefin tuna means the subspecies of bluefin tuna Thunnus 
thynnus thynnus that is found in the Atlantic Ocean. Size classes for 
Atlantic bluefin tuna are defined in Sec. 285.26.
    Atlantic bonito means the fish species Sarda chiliensis or Sarda 
sarda.
    Authorized officer means:
    (1) Any commissioned, warrant, or petty officer of the U.S. Coast 
Guard; or any U.S. Coast Guard personnel accompanying and acting under 
the direction of a commissioned, warrant, or petty officer of the U.S. 
Coast Guard;
    (2) Any special agent or fisheries enforcement officer of NMFS; or
    (3) Any person designated by the head of any Federal or state agency 
that has entered into an agreement with the Secretary or the Commandant 
of the U.S. Coast Guard to enforce the provisions of the Magnuson Act.
    Bandit gear means vertical hook-and-line gear with rods attached to 
a vessel, with no more than two hooks per line and with line retrieved 
by manual, electric, or hydraulic reels.
    Bigeye tuna means the fish species Thunnus obesus.
    Bluefin tuna means the fish species Thunnus thynnus that is found in 
any ocean area.
    Buy-boat means any vessel or other means of conveyance used by a 
dealer in purchasing or receiving Atlantic bluefin tuna from any person 
or fishing vessel engaged in fishing for any tuna.
    Cargo vessel means any fishing vessel used for transporting fish or 
fish products.
    Charter boat means a vessel less than 100 gross tons (90.8 metric 
tons) that meets the requirements of the Coast Guard to carry six or 
fewer passengers for hire and that carries a passenger for hire at any 
time during the calendar year.
    Commercial activity means any activity, other than fishing, of 
industry, trade, or commerce, including but not limited to the buying or 
selling of a regulated species and activities conducted for the purpose 
of facilitating such buying and selling.
    Commercial fishing means fishing for purposes including sale or 
barter of any or all of the fish harvested.
    Commission means the International Commission for the Conservation 
of Atlantic Tunas established under Article III of the Convention.
    Convention means the International Convention for the Conservation 
of Atlantic Tunas, signed at Rio de Janeiro, Brazil, on May 14, 1966, 20 
U.S.T. 2887, TIAS 6767, including any amendments or protocols thereto, 
which are binding upon the United States.
    Curved fork length means a measurement of the length of Atlantic 
tuna taken in a line tracing the contour of the body from the tip of the 
upper jaw to the fork of the tail, which abuts the ventral side of the 
pectoral fin and the ventral side of the caudal keel.
    Dealer means any person who engages in a commercial activity with 
respect to a regulated species or parts thereof.
    Director means the Director of the Office of Fisheries Conservation 
and Management, 1335 East-West Highway, Silver Spring, MD 20910.
    Downrigger means a rod attached to a vessel and with a weight on a 
cable that is in turn attached to hook-and-line gear to maintain lures 
or bait at

[[Page 258]]

depth while trolling, and that has a release system to retrieve the 
weight by rod and reel or by manual, electric, or hydraulic winch after 
a fish strike on the hook-and-line.
    Dressed weight means the weight of a fish after it has been gilled, 
gutted, beheaded, and definned.
    Drift gillnet, sometimes called a drift entanglement net or drift 
net, means a flat net, unattached to the ocean bottom, whether or not 
attached to a vessel, designed to be suspended vertically in the water 
to entangle the head or other body parts of fish that attempt to pass 
through the meshes.
    Eviscerated means removal of the alimentary organs only.
    Fish or fishing means the catching or fishing for, or the attempted 
catching or fishing for, any species of fish covered by the Convention, 
or any activities in support of fishing.
    Fisheries Science Center Director means:
    (1) For areas south of Virginia, the Science and Research Director, 
Southeast Fisheries Science Center, NMFS, 75 Virginia Beach Drive, 
Miami, FL 33149, telephone 305-361-5761, or a designee; or
    (2) For Virginia and areas to the north, the Science and Research 
Director, Northeast Fisheries Science Center, NMFS, 166 Water Street, 
Woods Hole, MA 02543-1097, telephone 508-548-5123.
    Fishing record means all records of navigation and operations, as 
well as all records of catching, harvesting, transporting, landing, 
purchase or sale.
    Fishing trip means the time period between when a fishing vessel 
departs from port to carry out fishing operations and the time such 
vessel returns to port or offloads any of its catch.
    Fishing vessel means any vessel engaged in fishing, processing, or 
transporting fish loaded on the high seas, or any vessel outfitted for 
such activities.
    Fishing week means a period of time beginning at 0001 hours local 
time on Sunday, and ending at 2400 hours local time on the following 
Saturday.
    Fixed gear means stationary, anchored non-trawl gear.
    Handgear means handline, harpoon, or rod and reel.
    Handline or handline gear means fishing gear which is released by 
hand and consists of one main line of variable length to which is 
attached one or two leaders and hooks. Handlines are retrieved only by 
hand, and not by mechanical means.
    Harpoon or harpoon gear means fishing gear consisting of a pointed 
dart or iron attached to the end of a line several hundred feet in 
length, the other end of which is attached to a floatation device. 
Harpoon gear is attached to a pole or stick which is propelled only by 
hand, and not by mechanical means.
    Headboat (partyboat) means a vessel that holds a valid Certificate 
of Inspection issued by the U.S. Coast Guard to carry passengers for 
hire.
    Intermediate country means a country from which bluefin tuna or 
bluefin tuna products that were previously imported by that nation are 
exported to the United States. Shipments of bluefin tuna or bluefin tuna 
products through a country on a through bill of lading or in another 
manner that does not enter the shipments into that country as an 
importation do not make that country an intermediate country under this 
definition.
    Land means to begin offloading fish, to offload fish, or to arrive 
in port with the intention of offloading fish.
    Length overall means the length listed on the vessel's U.S. Coast 
Guard Certificate of Documentation or Certificate of Number, or if not 
documented, on the vessel's state registration certificate.
    Longline or longline gear means fishing gear which is set 
horizontally, either anchored, floating, or attached to a vessel, which 
consists of a main or groundline with three or more gangions and hooks. 
A longline may be retrieved by hand or mechanical means.
    Metric ton (mt) means 2204.6 pounds (1000 kilograms).
    NMFS means the National Marine Fisheries Services, National Oceanic 
and Atmospheric Administration, Department of Commerce.
    Operator, with respect to any vessel, means the master or other 
individual on board and in charge of that vessel.
    Owner means, with respect to any vessel

[[Page 259]]

    (1) Any person who owns that vessel in whole or part;
    (2) Any charterer of the vessel, whether bareboat, time, or voyage; 
or
    (3) Any person who acts in the capacity of a charterer, including 
but not limited to parties to a management agreement, operating 
agreement, or any similar agreement that bestows control over the 
destination, function, or operation of the vessel.
    Pacific bluefin tuna means the subspecies of bluefin tuna Thunnus 
thynnus orientalis that is found in the Pacific Ocean.
    Person means any individual, partnership, corporation, or 
association subject to the jurisdiction of the United States.
    Plastic tag means the plastic or combination plastic and metal 
marker issued for the tag and release program under Sec. 285.27
    Postmark means independently verifiable evidence of date of mailing, 
such as U.S. Postal Service postmark, United Parcel Service (U.P.S.) or 
other private carrier postmark, certified mail receipt, overnight mail 
receipt or a receipt issued upon hand delivery to an authorized 
representative of NMFS.
    Private boat means any vessel fishing in the Angling category other 
than charter or party boats.
    Purse seining means fishing for or catching a regulated species by 
means of an encircling net and associated gear.
    Recreational fishing means fishing for purposes not including sale 
or barter of any or all of the fish harvested.
    Regional Director means
    (1) For the purposes of Atlantic tuna vessel and dealer permits and 
Atlantic bluefin tuna dealer reports, the Director, Northeast Region, 
National Marine Fisheries Service, One Blackburn Drive, Gloucester, MA 
01930-3799; and for purposes of reporting for Atlantic tunas other than 
bluefin, the Regional Director, Southeast Region, National Marine 
Fisheries Service, 9721 Executive Center Drive, St. Petersburg, FL 
33702-2432.
    (2) For the purposes of Pacific bluefin dealer permits and 
reporting, the Director, Southwest Region, National Marine Fisheries 
Service, 501 W. Ocean Blvd., Suite 4200, Long Beach, CA 90802-4213.
    Regulated species means albacore, Atlantic bluefin tuna, bigeye 
tuna, skipjack tuna, or yellowfin tuna.
    Regulatory area means all waters of the Atlantic Ocean including 
adjacent seas, except the waters over which the individual States 
exercise fishery management jurisdiction unless the Assistant 
Administrator has determined otherwise in accordance with this part, as 
noted in Sec. 285.1(d).
    Reporting week means a period of time beginning at 0001 hours local 
time on Sunday, and ending at 2400 hours local time the following 
Saturday.
    Rod and reel means vertical hook-and-line gear with a hand-held 
(includes rod holder) fishing rod and with a manually operated reel 
attached.
    Round or round weight means a fish or the weight of a fish before 
gilling, gutting, beheading, and definning.
    Secretary means the Secretary of Commerce, or a designee.
    Short ton (st) means 2,000 pounds (907 kilograms).
    Skipjack tuna means the fish species Katsuwonus (Euthynnus) pelamis.
    State means any State of the United States, the District of 
Columbia, the Commonwealths of Puerto Rico and the Virgin Islands, and 
territories and possessions of the United States.
    Straight fork length means a measurement of the length of Atlantic 
tuna taken in a straight line along the middle of the lateral surface 
from a line perpendicular to the tip of the upper jaw to a line 
perpendicular to the fork of the tail.
    Tag means the flexible, self-locking ribbon issued by NMFS for the 
identification of Atlantic bluefin tuna under Sec. 285.30.
    Trap means a pound net, weir or staked gill net that is maintained 
and operated at a fixed location.
    Tuna means albacore, Atlantic bluefin tuna, Atlantic bonito, bigeye 
tuna, skipjack tuna or yellowfin tuna.

[[Page 260]]

    Yellowfin tuna means the fish species Thunnus albacares.

[50 FR 43398, Oct. 25, 1985, as amended at 51 FR 26899, July 28, 1986; 
52 FR 25011, July 2, 1987; 53 FR 24645, June 29, 1988; 57 FR 372, Jan. 
6, 1992; 57 FR 32920, July 24, 1992; 58 FR 45289, Aug. 27, 1993; 59 FR 
17725, Apr. 14, 1994; 60 FR 14386, Mar. 17, 1995; 60 FR 38511, July 27, 
1995; 61 FR 30186, June 14, 1996]



Sec. 285.3  Prohibitions.

    It is unlawful:
    (a) For any person in charge of a fishing vessel or for any fishing 
vessel subject to the jurisdiction of the United States to engage in 
fishing or to land any tuna in violation of these rules.
    (b) For any person to land, transship, ship, transport, purchase, 
sell, offer for sale, import, export, or have in custody, possession, or 
control any fish that the person knows, or should have known, was taken, 
retained, possessed, or landed contrary to this part, without regard to 
the citizenship of the person or registry of the fishing vessel that 
harvested the fish.
    (c) For a dealer or any person in charge of any fishing vessel 
subject to the jurisdiction of the United States to fail to make, keep, 
or furnish reports required by this part.
    (d) For a dealer or any person in charge of any fishing vessel 
subject to the jurisdiction of the United States to obstruct or to 
refuse to allow any authorized officer to enter the dealer's premises or 
to board the fishing vessel to search or inspect its catch, equipment, 
books, documents, records, or other articles, or to question the persons 
in the dealer's premises or aboard the fishing vessel under the 
provisions of this part.
    (e) For any person to import from any country any regulated species 
in any form subject to regulation under a recommendation of the 
Commission, or any fish in any form not under regulation but under 
investigation by the Commission, during the period such fish have been 
denied entry under this part.
    (f) For any person or vessel subject to the jurisdiction of the 
United States to land:
    (1) Any tuna, except bluefin, in forms other than round (fins 
intact), or other than eviscerated with the head, tail, and fins 
removed, except that one pectoral fin must remain attached; and
    (2) Bluefin tuna in forms other than round (fins intact), or other 
than eviscerated with the head and fins removed, except that one 
pectoral fin and tail must remain attached.
    (g) For any person subject to the jurisdiction of the United States 
to land, transship, ship, transport, purchase, sell, offer for sale, 
import, export, or have in custody, possession, or control any regulated 
species that was harvested, retained, or possessed in a manner contrary 
to the regulations of another country.
    (h) For any person to refuse to provide information requested by 
NMFS personnel or anyone collecting information for NMFS, under an 
agreement or contract, relating to the scientific monitoring or 
management of tuna.
    (i) For any person to assault, impede, oppose, intimidate, or 
interfere with, by any means, NMFS personnel or anyone collecting 
information for NMFS, under an agreement or contract, relating to the 
scientific monitoring or management of tuna.
    (j) For any person on board a vessel subject to the jurisdiction of 
the United States to fish for or catch any Atlantic tuna with gear that 
is not authorized under Sec. 285.21(b) or Sec. 285.51, or to retain or 
land Atlantic tunas taken with unauthorized gear.
    (k) For any person to possess any Atlantic tuna on board a vessel 
subject to the jurisdiction of the United States that has gear on board 
that is not authorized under Sec. 285.21(b) or Sec. 285.51, unless 
authorized under Sec. 285.7.
    (l) For any person to violate any conditions specified by the 
Director in any exemption issued under Sec. 285.7.
    (m) For any person to assault, resist, oppose, impede, intimidate, 
interfere with, obstruct, delay, or prevent, by any means, any 
authorized officer in the conduct of any search, inspection, seizure or 
lawful investigation made in connection with enforcement of this part.
    (n) For any person to assault, resist, oppose, impede, harass, 
intimidate, or interfere with a NMFS-approved observer aboard a vessel.
    (o) Interfere with or bar by command, impediment, threat, coercion, 
or

[[Page 261]]

refusal of reasonable assistance, an at-sea observer conducting his or 
her duties aboard a vessel.
    (p) Fail to provide an observer with the required food, 
accommodations, access, and assistance, as specified in Sec. 285.8(c).
    (q) Purchase, receive, or transfer for commercial purposes any 
Atlantic tunas landed by owners or operators of vessels not permitted to 
do so under this part, or purchase, receive, or transfer for commercial 
purposes any Atlantic tunas without a valid dealer permit issued under 
this part.
    (r) Sell, offer for sale, or transfer for commercial purposes any 
Atlantic tunas landed by owners or operators of a vessel not permitted 
to do so under this part or to any person or vessel without a valid 
dealer permit issued under this part.
    (s) Dispose of fish or parts thereof or other matter in any manner, 
after any communication or signal from an authorized officer, or after 
the approach of an authorized officer.

[50 FR 43398, Oct. 25, 1985, as amended at 57 FR 372, Jan. 6, 1992; 58 
FR 45289, Aug. 27, 1993; 60 FR 38511, July 27, 1995]



Sec. 285.4  Facilitation of enforcement.

    (a) The Secretary, the Secretary of the Department in which the U.S. 
Coast Guard is operating, and the U.S. Customs Service will enforce 
jointly this part and the provisions of the Act.
    (b) Enforcement agents of NMFS will enforce provisions of this part 
and the Act on behalf of the Secretary and may take any actions 
authorized with respect to enforcement. By agreement, the Secretary may 
utilize the personnel, services, and facilities of any other Federal 
Agency to enforce these rules and the Act. By agreement, the Secretary 
also may designate personnel of a State to enforce these rules and the 
Act.
    (c) The operator of, or any other person aboard, any fishing vessel 
subject to this part must immediately comply with instructions and 
signals issued by an authorized officer to stop the vessel and with 
instructions to facilitate safe boarding and inspection of the vessel, 
its gear, equipment, fishing record (where applicable), and catch for 
purposes of enforcing the Act and this part.
    (d) Communications. (1) Upon being approached by a U.S. Coast Guard 
vessel or aircraft, or other vessel or aircraft with an authorized 
officer aboard, the operator of a fishing vessel must be alert for 
communications conveying enforcement instructions.
    (2) VHF-FM radiotelephone is the preferred method of communicating 
between vessels. If the size of the vessel and the wind, sea, and 
visibility conditions allow, a loudhailer may be used instead of the 
radio. Hand signals, placards, high frequency radiotelephone, or voice 
may be employed by an authorized officer, and message blocks may be 
dropped from an aircraft.
    (3) If other communications are not practicable, visual signals may 
be transmitted by flashing light directed at the vessel signaled. Coast 
Guard units will normally use the flashing light signal ``L'' as the 
signal to stop. In the International Code of Signals, ``L'' (. -- . .) 
\1\ means ``you should stop your vessel instantly.''
---------------------------------------------------------------------------

    \1\ Period (.) means a short flash of light; dash (--) means a long 
flash of light.
---------------------------------------------------------------------------

    (4) Failure of a vessel's operator promptly to stop the vessel when 
directed to do so by an authorized officer using loudhailer, 
radiotelephone, flashing light signal, or other means constitutes Prima 
facie evidence of the offense of refusal to allow an authorized officer 
to board.
    (5) The operator of a vessel who does not understand a signal from 
an enforcement unit and who is unable to obtain clarification by 
loudhailer or radiotelephone must consider the signal to be a command to 
stop the vessel instantly.
    (e) Boarding. The operator of a vessel directed to stop must
    (1) Guard Channel 16, VHF-FM if so equipped;
    (2) Stop immediately and lay to or maneuver in such a way as to 
allow the authorized officer and his party to come aboard;
    (3) Except for those vessels with a freeboard of four feet or less, 
provide a safe ladder, if needed, for the authorized officer and his 
party to come aboard;

[[Page 262]]

    (4) When necessary to facilitate the boarding or when requested by 
an authorized officer, provide a manrope or safety line, and 
illumination for the ladder; and
    (5) Take such other actions as necessary to facilitate boarding and 
to ensure the safety of the authorized officer and the boarding party.
    (f) Signals. The following signals, extracted from the International 
Code of Signals, may be sent by flashing light by an enforcement unit 
when conditions do not allow communications by loudhailer or 
radiotelephone. Knowledge of these signals by vessel operators is not 
required. However, knowledge of these signals and appropriate action by 
a vessel operator may preclude the necessity of sending the signal ``L'' 
and the necessity for the vessel to stop instantly.
    (1) ``AA'' repeated (.- .-) is the call to an unknown station. The 
operator of the signaled vessel should respond by identifying the vessel 
by radiotelephone or by illuminating the vessel's identification.
    (2) ``RY-CY'' (.-. -.-- -.-. -.--) means ``you should proceed at 
slow speed, a boat is coming to you.'' This signal is normally employed 
when conditions allow an enforcement boarding without the necessity of 
the vessel being boarded coming to a complete stop, or, in some cases, 
without retrieval of fishing gear which may be in the water.
    (3) ``SQ3'' (... --.- ...--) means ``you should stop or heave to; I 
am going to board you.''

[50 FR 43498, Oct. 25, 1985; 50 FR 45828, Nov. 4, 1985, as amended at 53 
FR 24645, June 29, 1988]



Sec. 285.5  Civil procedures.

    (a) The method for assessment of civil penalties for violation of 
these rules or the Act must be in accordance with the procedures set 
forth in 15 CFR part 904.
    (b) In view of the perishable nature of tuna when not processed 
otherwise than by chilling or freezing, authorized officers may cause to 
be sold, for not less than its reasonable market value, unchilled or 
unfrozen tunas that may be seized and forfeited under the Act and this 
part.
    (c) The purchaser must remit the proceeds of any sale made under 
paragraph (b) of this section to the Director. The Director will deposit 
and retain the proceeds in the Suspense Account of NMFS (Account No. DO 
6875--Phase 19) after deducting the reasonable cost of the sale, if any, 
pending judgement of the court or other disposition of the case.

[50 FR 43398, Oct. 25, 1985, as amended at 53 FR 24645, June 29, 1988; 
57 FR 32923, July 24, 1992]



Sec. 285.6  Civil penalities.

    Any person who:
    (a) Violates any provisions of Sec. 285.3 (a), (b), or (f) of this 
part will be assessed a civil penalty of not more than $25,000 for a 
first violation and a civil penalty of not more than $50,000 for any 
subsequent violation;
    (b) Violates any provision of Sec. 285.3 (c) or (d) of this part 
will be assessed a civil penalty of not more than $1,000 for a first 
violation and a civil penalty of not more than $5,000 for any subsequent 
violation; or
    (c) Violates any provision of Sec. 285.3(e) will be assessed a civil 
penalty of not more than $100,000.

[50 FR 43398, Oct. 25, 1985, as amended at 52 FR 25012, July 2, 1987]



Sec. 285.7  Experimental fishing exemption.

    (a) Upon a written request received at least 30 days before the 
desired effective date, the Director, in order to provide for the 
conduct of experimental fishing to gather data needed to make management 
decisions for the Atlantic tuna resources or fisheries, may exempt any 
person or vessel from specific requirements of this part.
    (b) A request for an exemption must be in writing and received by 
the Director at least thirty (30) days before the desired effective 
date. The request must specify any vessel(s) involved, describe the gear 
to be used, the manner in which the gear will be fished, the duration of 
the activity, the area where the activity will be conducted, the species 
of tuna that will be caught, the anticipated bycatch, the port(s) 
involved and the disposition of the catch, both domestic and foreign. 
The request must include any fee specified by the Director pursuant to 
Sec. 285.7(e).

[[Page 263]]

    (c) The Director may not grant such exemption unless it is 
determined that the purpose, design, and administration of the 
experimental fishing is consistent with the objectives of the management 
program, ICCAT recommendations, the provisions of the Atlantic Tunas 
Convention Act, and other applicable law, and that granting the 
exemption will not:
    (1) Have a detrimental effect on the Atlantic tunas resources and 
fisheries; or
    (2) Create significant enforcement problems.
    (d) Each vessel participating in any experimental fishing activity 
is subject to all provisions of this part except those specified in the 
exemption granted that activity by the Director. The conditions, 
duration of the experimental fishing, and the provisions of this part to 
which the exemption applies, will be specified in a letter issued by the 
Director to each vessel or person participating in the exempted 
activity. This letter must be carried aboard the vessel conducting the 
exempted activity. Any exemption authorization that has been altered, 
erased, or mutilated is invalid. A letter of exemption issued under this 
part is not transferable or assignable. Any violation of any condition 
in a letter of exemption shall render it null and void upon receipt of 
written notification from the Director.
    (e) The Director may charge a fee to recover the administrative 
expenses of issuing a letter of exemption. The amount of the fee will be 
calculated, at least annually, in accordance with the procedures of the 
NOAA Finance Handbook for determining administrative costs of each 
special product or service. The fee may not exceed such costs. Persons 
seeking an exemption may contact the Director at (301) 713-2334 to find 
out the applicable fee. Failure to pay the fee will preclude issuance of 
the exemption. Payment by a commercial instrument later determined to be 
insufficiently funded shall invalidate any letter of exemption.

[58 FR 45290, Aug. 27, 1993]



Sec. 285.8  At-sea observer coverage.

    (a) Notwithstanding the selection for placement or the placement of 
on-board fishery observers under the authority of any other Federal 
statute or fisheries regulation, NMFS may require observers for any 
vessel engaged in directed fishing for, or incidentally taking, Atlantic 
tunas at any time.
    (b) Owners of vessels selected for observer coverage are required to 
notify the appropriate Fisheries Science Center Director before 
commencing any fishing trip that may result in the harvest of any 
Atlantic tuna. Notification procedures will be specified in selection 
letters to vessel owners.
    (c) An owner or operator of a vessel on which a NMFS-approved 
observer is embarked must:
    (1) Provide accommodations and food that are equivalent to those 
provided to the crew;
    (2) Allow the observer access to and use of the vessel's 
communications equipment and personnel upon request for the transmission 
and receipt of messages related to the observer's duties;
    (3) Allow the observer access to and use of the vessel's navigation 
equipment and personnel upon request to determine the vessel's position;
    (4) Allow the observer free and unobstructed access to the vessel's 
bridge, working decks, holding bins, weight scales, holds, and any other 
space used to hold, process, weigh, or store fish; and
    (5) Allow the observer to inspect and copy the vessel's log, 
communications logs, and any records associated with the catch and 
distribution of fish for that trip.

[58 FR 45290, Aug. 27, 1993]



       Subpart B--Atlantic Bluefin Tuna (Thunnus thynnus thynnus)

    Source: 50 FR 43400, Oct. 25, 1985, unless otherwise noted.



Sec. 285.20   Fishing seasons.

    (a) Commencement. Fishing in the regulatory area for Atlantic 
bluefin tuna will begin
    (1) On January 1 of each year:
    (i) For anglers fishing for Atlantic bluefin tuna under the quota 
specified in Sec. 285.22(d);

[[Page 264]]

    (ii) For vessels permitted in the Incidental Catch category fishing 
under the quota specified in Sec. 285.22(e); and
    (iii) For anglers participating in the tag and release program under 
Sec. 285.27.
    (2) On June 1 of each year:
    (i) For vessels permitted in the General category fishing under the 
quota specified in Sec. 285.22(a), and
    (ii) For vessels permitted in the Harpoon Boat category fishing 
under the quota specified in Sec. 285.22(b).
    (3) On August 15 of each year:
    (i) For vessels permitted in the Purse Seine category fishing under 
the quota specified in Sec. 285.22(c).
    (ii) [Reserved]
    (4) Consistent with the Convention, the Act and this part, the 
Assistant Administrator may change the commencement date under this 
section for any vessel permit category or person (angler) if the 
Assistant Administrator determines that the changed date will enable 
scientific research on the status of the stock to be conducted more 
effectively and will not prevent the quotas for the affected fishery 
from being caught, based upon historical catch data or other relevant 
information. The Assistant Administrator will publish a notice in the 
Federal Register of any change in the commencement date(s) for fishing 
under this section at least 60 days before commencement of the affected 
fishery.
    (b) Closure. 
    (1) The Assistant Administrator will monitor catch and landing 
statistics, including catch and landing statistics from previous years 
and projections based on those statistics, of Atlantic bluefin tuna by 
vessels other than those permitted in the Purse Seine category. On the 
basis of these statistics, the Assistant Administrator will project a 
date when the catch of Atlantic bluefin tuna will equal any quota under 
Sec. 285.22, and will publish a notice in the Federal Register stating 
that fishing for or retaining Atlantic bluefin tuna under the quota must 
cease on that date at a specified hour.
    (2) Angling for Atlantic bluefin tuna under a tag and release 
program under Sec. 285.27 may continue even after fishing for a quota 
has ceased.
    (3) A vessel permitted in the Purse Seine category may fish under 
the bluefin tuna quota specified in Sec. 285.22(c), or in fisheries for 
Atlantic yellowfin or skipjack tuna or other fisheries where bluefin 
tuna might be taken as bycatch, only until the allocation of bluefin 
tuna assigned or transferred under Sec. 285.25(d) to that vessel is 
reached. Upon reaching its individual vessel allocation of Atlantic 
bluefin tuna, directed purse seine fisheries for Atlantic tunas are 
closed to such vessel and the vessel will be deemed to have been given 
notice to that effect.
    (c) State actions. Nothing in this section may be construed to 
invalidate any more restrictive commencement or closure date established 
by any State in waters under its jurisdiction.

[50 FR 43400, Oct. 25, 1985, as amended at 53 FR 24645, June 29, 1988; 
57 FR 32920, July 24, 1992; 60 FR 38512, July 27, 1995]



Sec. 285.21  Vessel permits.

    (a) Permit requirements. A vessel that fishes for, takes, retains or 
possesses Atlantic bluefin tuna must have on board a valid permit issued 
to the vessel owner under this section.
    (b) Categories of permits. (1) Upon submission of a complete and 
valid application pursuant to paragraph (c) of this section, the 
Regional Director will issue to the owner of each qualifying vessel a 
permit for one of the following permit categories: General, Charter/
Headboat, Angling, Harpoon Boat, Purse Seine, or Incidental Catch. A 
permit will not be issued for more than one category.
    (2) Persons may fish for, retain or possess Atlantic bluefin tuna 
only under the quota, catch limits, and size classes applicable to the 
permit category of the carrying vessel, except that anglers on board 
General and Charter/Headboat category vessels may fish for and retain 
school, large school and small medium bluefin tuna, subject to the 
limits applicable to the Angling category only until such time that a 
large medium or giant bluefin tuna is caught, retained or possessed on 
board the vessel.
    (3) School, large school and small medium bluefin tuna landed by 
anglers on board General and Charter/Headboat category vessels are 
counted against the Angling category quota. When the General category 
fishery is open, large

[[Page 265]]

medium and giant bluefin tuna landed by anglers on board General and 
Charter/Headboat category vessels are counted against the General 
category quota. When the General category fishery is closed, or at any 
time in the Gulf of Mexico, large medium and giant bluefin tuna landed 
by anglers on board Angling and Charter/Headboat category vessels 
pursuant to Sec. 285.24(d)(2) may not be sold and are counted against 
the Angling category quota.
    (4) Persons fishing for Atlantic bluefin tuna must not possess on 
board or use any gear inappropriate to the category for which the 
carrying vessel is permitted:
    (i) General--rod and reel (including downriggers), handline, 
harpoon, bandit gear;
    (ii) Charter/Headboat--rod and reel (including downriggers), 
handline;
    (iii) Angling--rod and reel (including downriggers), handline;
    (iv) Harpoon Boat--harpoon;
    (v) Purse Seine--purse seine nets;
    (vi) Incidental Catch--purse seine nets, fixed gear, traps, 
longlines.
    (5) When fishing for, or possessing, Atlantic bluefin tuna, 
operators of vessels permitted for the Charter/Headboat category must 
have on board a current copy of the operator's merchant marine license 
or the operator's uninspected passenger vessel license.
    (6) Vessels permitted for any category other than the Angling 
category are eligible to conduct commercial fishing for Atlantic bluefin 
tuna.
    (c) Application procedure. Permits issued under this section must be 
renewed upon expiration. A vessel owner applying for an Atlantic bluefin 
tuna permit under this section must submit a completed permit 
application signed by the owner or agent on an appropriate form obtained 
from the Regional Director. The application must be submitted to the 
Regional Director at least 30 days before the date on which the 
applicant desires to have the permit made effective. The application 
must include the name, address and telephone number of the vessel 
owner(s) (for each owner that owns more than a 25 percent interest in 
the vessel); the name of the vessel; the port where the vessel is 
docked; the official U.S. Coast Guard documentation or state 
registration number; the gross tonnage, if known; the length of the 
vessel; the engine horsepower; the year the vessel was built; the type 
of vessel construction; the type of vessel propulsion; the vessel's fish 
hold capacity; the type(s) of fishing gear used; the normal crew size; 
number of party or charter passengers licensed to carry (if applicable); 
and the category of the permit. In addition, applicants must submit a 
copy of the official state registration or U.S. Coast Guard 
documentation, party/charter boat license, and, if a boat is owned by a 
corporation or partnership, the corporate or partnership documents (copy 
of Certificate of Incorporation and Articles of Association or 
Incorporation, including the names and addresses of all shareholders 
owning 25 percent or more of the corporation's shares). Except for purse 
seine vessels, an owner may change the category of the vessel's permit 
by notifying the Regional Director in writing before May 15. After May 
15, the vessel's permit category may not be changed for the remainder of 
the calendar year, regardless of any change in the vessel's ownership, 
unless there is sufficient evidence for the Regional Director to 
determine that an error involving contradictory information was made on 
the application.
    (d) Issuance. (1) Except as provided in subpart D of 15 CFR part 
904, the Regional Director will issue a permit within 30 days of receipt 
of a completed application.
    (2) The Regional Director will notify the applicant of any 
deficiency in the application. If the applicant fails to correct the 
deficiency within 15 days following the date of notification, the 
application will be considered abandoned.
    (e) Duration. A permit issued under this section remains valid until 
it is suspended or revoked, or it expires. A permit issued under this 
section expires when the name of the owner or vessel changes, or upon 
the renewal date specified on the permit by the Regional Director.
    (f) Alteration. A permit issued under this section which is 
substantially altered, erased, or mutilated is invalid.
    (g) Replacement. The Regional Director may issue replacement permits

[[Page 266]]

when requested in writing by the owner or authorized representative, 
stating the need for replacement, the name of the vessel, and the 
fishing permit number assigned. An application for a replacement permit 
will not be considered a new application. An appropriate fee, consistent 
with paragraph (k) of this section, may be charged for issuance of the 
replacement permit.
    (h) Transfer. A permit issued under this section, except in the case 
of a purse seine permit as allowed under paragraph (m) of this section, 
is not transferable or assignable to another vessel or owner; it is 
valid only for the vessel and owner to which it is issued.
    (i) Display. A permit issued under this section must be carried on 
board the vessel at all times. The permit must be displayed for 
inspection upon request of any authorized officer or any employee of 
NMFS designated by the Regional Director for such purpose. Upon sale of 
any large medium or giant Atlantic bluefin tuna, the vessel permit must 
be presented for inspection to the permitted dealer completing the 
landing card.
    (j) Sanctions. The Administrator may suspend, revoke, modify, or 
deny a permit issued or sought under this section. Procedures governing 
permit sanctions and denials are found at subpart D of 15 CFR part 904.
    (k) Fees. The Regional Director may charge a fee to recover the 
administrative expenses of permit issuance. The amount of the fee shall 
be determined, at least annually, in accordance with the procedures of 
the NOAA Finance Handbook for determining administrative costs of each 
special product or service. The fee may not exceed such costs and is 
specified with each application form. The appropriate fee must accompany 
each application. Failure to pay the fee will preclude issuance of the 
permit. Payment by a commercial instrument later determined to be 
insufficiently funded shall invalidate any permit.
    (l) Change in application information. Within 15 days after any 
change in the information contained in an application submitted under 
this section, the vessel owner must report the change in writing to the 
Regional Director. The permit is void if any change in the information 
is not reported within 15 days.
    (m) Closed categories. The Regional Director will issue permits to 
catch and retain Atlantic bluefin tuna under Sec. 285.22(c) only to 
current owners of those purse seine vessels, or their replacements, that 
were granted allocations under this subpart and landed Atlantic bluefin 
tuna in the fishery for Atlantic bluefin tuna during the period 1980 
through 1982. The Regional Director will not issue a permit to take 
Atlantic bluefin tuna under this subpart to the owner of any vessel that 
was replaced or consolidated with another vessel and retired from the 
purse seine fishery during the period 1980 through 1982, unless that 
vessel is replacing another vessel being retired from the fishery.

[50 FR 43400, Oct. 25, 1985, as amended at 58 FR 45290, Aug. 27, 1993; 
60 FR 38512, July 27, 1995]



Sec. 285.22  Quotas.

    The total annual (January 1-December 31) amount of Atlantic bluefin 
tuna that may be caught, retained, possessed or landed by persons and 
vessels subject to U.S. jurisdiction in the regulatory area is 
subdivided as follows:
    (a) General. (1) The total annual amount of large medium and giant 
Atlantic bluefin tuna that may be caught, retained, possessed or landed 
in the regulatory area by vessels permitted in the General category 
under Sec. 285.21(b) is 541 mt, of which 133 mt are available in the 
period beginning June 1 and ending July 31; 186 mt are available in the 
period beginning August 1 and ending August 31; 159 mt are available in 
the period beginning September 1 and ending September 30; and 63 mt are 
available beginning October 1.
    (2) On the basis of the statistics referenced at Sec. 285.20(b)(1), 
the Assistant Administrator will project a date when the catch of 
Atlantic bluefin tuna will equal the available quota in any period, and 
will publish a notification in the Federal Register stating that fishing 
for, retaining, possessing, or landing Atlantic bluefin tuna under the 
quota for that period is prohibited from a specified time on that date 
until the opening of the subsequent quota period, whereupon a quota 
equal to the

[[Page 267]]

initial quota for that period as adjusted for estimated overharvest or 
underharvest prior to that period will become available.
    (3) When the October General category catch is projected to have 
reached a total of 10 mt less than the overall October quota, the 
Director will publish a notification in the Federal Register to set 
aside the remaining quota for an area comprising the waters south and 
west of a straight line originating at a point on the southern shore of 
Long Island at 72 deg.27' W. long. (Shinnecock Inlet) and running SSE 
150 deg. true. The daily catch limit for the set-aside area will be one 
large medium or giant Atlantic bluefin tuna per vessel per day. Upon the 
effective date of the set-aside, fishing for, retaining, or landing 
large medium or giant Atlantic bluefin tuna must cease in all waters 
outside of the set-aside area.
    (b) Harpoon Boat. The total annual amount of large medium and giant 
Atlantic bluefin tuna that may be caught, retained, possessed, or landed 
in the regulatory area by vessels permitted in the Harpoon Boat category 
under Sec. 285.21(b) is 53 mt.
    (c) Purse Seine. The total amount of large medium and giant Atlantic 
bluefin tuna that may be caught, retained, possessed, or landed in the 
regulatory area by vessels permitted in the Purse Seine category under 
Sec. 285.21(b) is 251 mt.
    (d) Angling. The total annual amount of Atlantic bluefin tuna that 
may be caught, retained, possessed, or landed in the regulatory area by 
anglers is 243 mt. No more than 5 mt of this quota may be large medium 
or giant bluefin tuna quota. No more than 138 mt of this quota may be 
school Atlantic bluefin tuna. The quota for school Atlantic bluefin tuna 
is further subdivided as follows:
    (1) 65 mt of school Atlantic bluefin tuna may be caught, retained, 
possessed, or landed south of 38 deg.47' N. lat.
    (2) 73 mt of school Atlantic bluefin tuna may be caught, retained, 
possessed, or landed north of 38 deg.47' N. lat.
    (e) Incidental. The total annual amount of large medium and giant 
Atlantic bluefin tuna that may be caught, retained, possessed, or landed 
in the regulatory area by vessels permitted in the Incidental Catch 
category under Sec. 285.21(b) is 110 mt. This quota is further 
subdivided as follows:
    (1) 109 mt for longline vessels. No more than 86 mt may be caught, 
retained, possessed, or landed in the area south of 34 deg.00' N. lat.
    (2) For vessels fishing under Sec. 285.23 (a) and (b), 1 mt may be 
caught, retained, possessed, or landed in the regulatory area.
    (f) Inseason adjustment amount. The total amount of Atlantic bluefin 
tuna that will be held in reserve for inseason adjustments is 108 mt. 
The Assistant Administrator may allocate any portion (from zero to 100 
percent) of this amount to any category or categories of the fishery, 
including research activities authorized under Sec. 285.1(c). The 
Assistant Administrator will publish a notice of allocation of any 
inseason adjustment amount in the Federal Register before such 
allocation is to become effective. Before making any such allocation, 
the Assistant Administrator will consider the following factors:
    (1) The usefulness of information obtained from catches of the 
particular category of the fishery for biological sampling and 
monitoring the status of the stock;
    (2) The catches of the particular gear segment to date and the 
likelihood of closure of that segment of the fishery if no allocation is 
made;
    (3) The projected ability of the particular gear segment to harvest 
the additional amount of Atlantic bluefin tuna before the anticipated 
end of the fishing season; and
    (4) The estimated amounts by which quotas established for other gear 
segments of the fishery might be exceeded.
    (g) The catching or retention of school, large school or small 
medium Atlantic bluefin tuna is prohibited except as allowed by 
paragraph (d) of this section.
    (h) If the Assistant Administrator determines, based on landing 
statistics and other available information, that an annual quota in any 
category, or as appropriate, subcategory, has been exceeded or has not 
been reached, the Assistant Administrator will subtract the

[[Page 268]]

overharvest from, or add the underharvest to, that quota category for 
the following year; provided that the total of the adjusted quotas and 
the reserve is consistent with a recommendation of the Commission 
regarding country quotas. The Assistant Administrator will publish any 
amounts to be subtracted or added and the basis for the quota reductions 
or increases in the Federal Register.
    (i) Transfers between categories. The Assistant Administrator is 
authorized to make adjustments to quotas involving transfers between 
vessel categories or, as appropriate, subcategories if, during a single 
year quota period or the second year of a biannual quota period as 
defined by ICCAT, the Assistant Administrator determines, based on 
landing statistics, present year catch rates, effort, and other 
available information, that any category, or as appropriate, 
subcategory, is not likely to take its entire quota as previously 
allocated for that year. Given that determination, the Assistant 
Administrator may transfer inseason any portion of the quota of any 
fishing category to any other fishing category or to the reserve after 
considering the four factors indicated at paragraphs (f) (1) through (4) 
of this section, and the probability that any transfers between 
categories will not result in the total single-year quota or the total 
2-year quota being exceeded. The Assistant Administrator shall file a 
notification of transfer of any inseason adjustment amount with the 
Office of the Federal Register before such transfer is to become 
effective.

[57 FR 32920, July 24, 1992, as amended at 58 FR 45291, Aug. 27, 1993; 
59 FR 17725, Apr. 14, 1994; 60 FR 38512, July 27, 1995; 61 FR 30186, 
June 14, 1996]



Sec. 285.23  Incidental catch.

    (a) Herring, mackerel, and menhaden purse seine gear and fixed gear 
other than longlines or traps. Subject to the quotas in Sec. 285.22, 
large medium and giant Atlantic bluefin tuna may be retained during any 
fishing trip, on board a vessel for which an Incidental Catch permit has 
been issued under Sec. 285.21 that is fishing with herring, mackerel, 
and menhaden purse seine gear or fixed gear other than longlines or 
traps principally for species of fish other than tuna, provided that the 
total amount of Atlantic bluefin tuna taken does not exceed 2 percent, 
by weight, of all other fish on board the vessel at the end of each 
fishing trip.
    (b) Traps. Subject to the quotas in Sec. 285.22, large medium and 
giant Atlantic bluefin tuna may be retained during any fishing trip on 
board a vessel for which an Incidental Catch permit under Sec. 285.21 
has been issued that catches Atlantic bluefin tuna incidentally while 
fishing with traps, provided that the total amount of Atlantic bluefin 
tuna taken does not exceed 2 percent, by weight, of all other fish 
landed by the owner of the vessel within the preceding 30-day period.
    (c) Longlines. Subject to the quotas in Sec. 285.22, any person 
operating a vessel using longline gear possessing an Incidental Catch 
permit issued under Sec. 285.21 may retain or land large medium and 
giant Atlantic bluefin tuna as an incidental catch. The amount of 
Atlantic bluefin tuna retained or landed may not exceed:
    (1) One fish per vessel per fishing trip landed south of 34 deg.00' 
N. latitude, provided that for the months of January through April at 
least 1,500 pounds (680 kg), and for the months of May through December 
at least 3,500 pounds (1,588 kg), either dressed or round weight, of 
species other than Atlantic bluefin tuna are legally caught, retained, 
and offloaded from the same trip and are recorded on the dealer weighout 
as sold; and
    (2) Two percent by weight, either dressed or round weight, of all 
other fish legally landed, offloaded and documented on the dealer 
weighout as sold at the end of each fishing trip, north of 34 deg.00' N. 
latitude.
    (d) Purse Seine. When fishing for Atlantic yellowfin or skipjack 
tuna, vessels for which an Atlantic bluefin tuna Purse Seine category 
permit has been issued are allowed a 1 percent per trip (by weight) 
incidental take of bluefin less than the large medium size class. Any 
landings of these incidental catches may not be sold and will be

[[Page 269]]

counted against the Purse Seine category quota allocation for bluefin 
tuna.

[57 FR 32921, July 24, 1992, as amended at 58 FR 45292, Aug. 27, 1993; 
59 FR 17726, Apr. 14, 1994; 60 FR 38513, July 27, 1995]



Sec. 285.24  Catch limits.

    (a) General category. (1) From the start of each fishing year, 
except on designated restricted fishing days, only one large medium or 
giant Atlantic bluefin tuna may be possessed or landed per day from a 
vessel for which a General category permit has been issued under 
Sec. 285.21. On designated restricted fishing days, persons aboard such 
vessels may not possess, retain or land any large medium or giant 
Atlantic bluefin tuna. For calendar year 1996, designated restricted 
fishing days are: July 14, 15, 16, 21, 22, 23, 28, 29, and 30; August 4, 
5, 6, 9, 10, 11, 12, 18, 19, 20, 25, 26, and 27; and September 3, 8, 9, 
10, 15.
    (2) The Assistant Administrator may increase or reduce the catch 
limit over a range from zero (restricted fishing days) to a maximum of 
three large medium or giant Atlantic bluefin tuna per day per vessel 
based on a review of dealer reports, daily landing trends, availability 
of the species on the fishing grounds, and any other relevant factors, 
to provide for maximum utilization of the quota. The Assistant 
Administrator will publish a document in the Federal Register of any 
adjustment in the allowable daily catch limit made under this paragraph. 
Other than fishery closures pursuant to attainment of quotas in any 
period, such notice of catch limit adjustment shall be filed at the 
Office of the Federal Register at least 3 calendar days prior to the 
change becoming effective.
    (3) Large medium and giant Atlantic bluefin tuna may be possessed or 
retained on board a vessel for which a General category permit has been 
issued if the amount does not exceed a single day's catch, regardless of 
the length of the trip, as allowed by the daily catch limit in effect on 
that day.
    (4) Anglers on board vessels permitted in the General category may 
possess school, large school, and small medium Atlantic bluefin tuna in 
an amount not to exceed a single day's catch, regardless of the length 
of the trip, as allowed by the daily catch limit for the Angling 
category in effect on that day. However, on allowable fishing days, once 
the applicable catch limit for large medium or giant bluefin tuna is 
possessed or retained, fishing by persons on board the vessel must cease 
and the vessel must proceed to port.
    (b) Harpoon Boat category. Vessels permitted in the Harpoon Boat 
category may catch multiple giant bluefin tuna but only one large medium 
bluefin tuna per day per vessel may be caught.
    (c) Purse Seine category. Large medium bluefin tuna may be caught 
from a vessel for which a Purse Seine category permit has been issued 
provided that the total amount of large medium bluefin landed per trip 
does not exceed 15 percent by weight of the total amount of giant 
Atlantic bluefin tuna landed on that trip, and the total annual amount 
of large medium bluefin landed does not exceed 10 percent by weight of 
the total amount of giant Atlantic bluefin tuna allocated to that vessel 
for that fishing season.
    (d) Angling category. (1) Each angler on board a vessel permitted in 
the Angling category may catch and retain each day no more than two 
Atlantic bluefin tuna which may be from the school or large school size 
class. In addition to the per angler limits, one small medium size class 
bluefin tuna may be retained each day, per angling category vessel. 
Anglers may not retain young school Atlantic bluefin tuna.
    (2) In addition to the daily catch limit for school, large school 
and small medium bluefin tuna, a vessel for which an Angling category 
permit has been issued may catch and retain annually one large medium or 
giant Atlantic bluefin tuna, to be counted against the Angling category 
quota specified in Sec. 285.22. The owner or operator of the vessel must 
report to the nearest NMFS enforcement office within 24 hours of landing 
any large medium or giant bluefin, and must make the tuna available for 
inspection and attachment of a tag. No such large medium or giant 
Atlantic bluefin tuna may be sold or transferred to any person for a 
commercial purpose except for taxidermic

[[Page 270]]

purposes. A list of local NMFS enforcement offices may be obtained from 
the Regional Director.
    (3) The Assistant Administrator may increase or reduce the per 
angler catch limit for any size class bluefin tuna or may change the per 
angler limit to a per boat limit or a per boat limit to a per angler 
limit based on a review of daily landing trends, availability of the 
species on the fishing grounds, and any other relevant factors, to 
provide for maximum utilization of the quota spread over the longest 
possible period of time. The Assistant Administrator will publish a 
document in the Federal Register of any adjustment in the allowable 
daily catch limit made under this paragraph. Other than fishery closures 
pursuant to attainment of quotas in any period, such notice of catch 
limit adjustment shall be filed at the Office of the Federal Register at 
least 3 calendar days prior to the change becoming effective.
    (4) Anglers on board vessels for which an Angling category permit 
has been issued may possess school, large school, and small medium 
Atlantic bluefin tuna in an amount not to exceed a single day's catch, 
regardless of the length of the trip, as allowed by the daily catch 
limit for the Angling category in effect on that day.
    (e) Charter/Headboat category. (1) Anglers on board vessels for 
which a Charter/Headboat category permit has been issued are subject to 
the daily catch limits for school, large school, and small medium 
Atlantic bluefin tuna applicable to the Angling category.
    (2) When the General category fishery is closed, or at any time when 
operating in the Gulf of Mexico, operators of Charter/Headboat vessels 
are subject to the annual vessel limit and reporting requirement for 
non-commercial take of large medium or giant Atlantic bluefin tuna as 
specified in paragraph (d) of this section.
    (3) When the General category fishery is open, except when operating 
in the Gulf of Mexico, operators of vessels for which a Charter/Headboat 
category permit has been issued are subject to the daily catch limit in 
effect for the General category for large medium or giant Atlantic 
bluefin tuna as specified in paragraph (a) of this section. Once the 
applicable catch limit for large medium or giant bluefin tuna is 
possessed or retained, fishing by persons on board the vessel must cease 
and the vessel must proceed to port. Large medium or giant bluefin tuna 
landed by Charter/Headboat vessels may be sold and are counted against 
the quota for the General category.
    (4) Anglers on board vessels for which a Charter/Headboat category 
permit has been issued may possess school, large school, and small 
medium Atlantic bluefin tuna in an amount not to exceed a single day's 
catch, regardless of the length of the trip, as allowed by the daily 
catch limit for the Angling category in effect on that day. Vessels for 
which a Charter/Headboat category permit has been issued may possess 
large medium and giant Atlantic bluefin tuna in an amount not to exceed 
a single day's catch, regardless of the length of the trip, as allowed 
by the daily catch limit in effect on that day.

[57 FR 32921, July 24, 1992, as amended at 59 FR 17726, Apr. 14, 1994; 
60 FR 38513, July 27, 1995; 61 FR 30187, June 14, 1996]



Sec. 285.25  Purse seine vessel requirements.

    (a) Mesh size. Any owner or operator of a vessel with a permit 
issued under Sec. 285.21(b) conducting a directed fishery for Atlantic 
bluefin tuna with nets, other than a trap net, must use a purse seine 
net with a mesh size equal to or smaller than 4.5 inches in the main 
body (stretched when wet) and which has at least 24-count thread 
throughout the net.
    (b) Exemption. The Director may exempt any person from the mesh 
restrictions in paragraph (a) of this section if it is determined that 
the net sought to be exempted will not result in significant injury or 
mortality to Atlantic bluefin tuna which are encircled by the net but 
manage to escape.
    (c) Inspection. Any owner of a purse seine vessel with a permit 
issued under Sec. 285.21(b) must request an inspection of the vessel and 
fishing gear by an enforcement agent of NMFS before commencing any 
fishing trip that may result in the harvest of any regulated species and 
before offloading any Atlantic bluefin tuna. The vessel owner

[[Page 271]]

must request such inspection at least 24 hours before commencement of a 
fishing trip and offloading by calling 508-563-5721 or 508-281-9261. 
Purse seine vessel owners must have each large medium and giant bluefin 
tuna in their catch weighed, measured, and the information recorded on 
the landing card required under Sec. 285.28(a) at the time of offloading 
and prior to transporting said tuna from the area of offloading.
    (d) Vessel allocations. (1) Owners or operators of vessels for which 
a Purse seine permit has been issued under Sec. 285.21(b) must apply for 
an allocation of Atlantic bluefin tuna from the quotas specified in 
Sec. 285.22. The owner or operator must apply for this allocation in 
writing to the Regional Director by April 15 and must specify the 
particular size class or classes of Atlantic bluefin tuna for which the 
vessel will fish. The owner or operator must supply documentation of the 
vessel's stockholders, owners, partners, or association structure.
    (2) The Regional Director will review applications for allocations 
of Atlantic bluefin tuna on or about May 1, and will make equal 
allocations of the available size classes of Atlantic bluefin tuna among 
vessel owners so requesting. Such allocations are freely transferable, 
in whole or in part, among purse seine vessel permit holders. Any purse 
seine vessel permit holder intending to land bluefin tuna under an 
allocation transferred from another purse seine vessel permit holder 
must provide written notice of such intent to the Regional Director 3 
days before landing any such bluefin tuna. Such notification must 
include the transfer date, amount (mt) transferred, and the permit 
numbers of vessels involved in the transfer. Trip or seasonal catch 
limits otherwise applicable under Sec. 285.24(c) are not altered by 
transfers of bluefin tuna allocation. Purse seine vessel permit holders 
who, through landing and/or transfer, have no remaining bluefin tuna 
allocation may not use their permitted vessels in any fishery in which 
Atlantic bluefin tuna might be caught.
    (3) Purse seine vessel owners may apply to the Regional Director to 
permanently consolidate vessel permits issued under Sec. 285.21(b). Upon 
approval of consolidation by the Regional Director, the Atlantic tuna 
permit(s) of the transferring vessel(s) will be cancelled, and the 
holder of the consolidated permit is authorized to apply for allocations 
of Atlantic bluefin tuna commensurate with the number of consolidated 
permits. Purse seine vessel owners who cancel their permit by means of 
consolidation must not fish their vessel in any fishery in which 
Atlantic bluefin tuna might be caught.
    (e) Transfer at sea. Purse seine vessel owners or operators may 
transfer large medium and giant Atlantic bluefin tuna at sea from the 
net of the catching vessel to another permitted purse seine vessel 
provided the amount transferred does not cause the receiving vessel to 
exceed its annual vessel allocation as modified by authorized transfers. 
Such at-sea transfers are authorized only between purse seine vessels 
permitted under Sec. 285.21 and not to buy boats permitted under 
Sec. 285.28.

[50 FR 43400, Oct. 25, 1985, as amended at 57 FR 32923, July 24, 1992; 
58 FR 45292, Aug. 27, 1993; 60 FR 38514, July 27, 1995; 61 FR 30187, 
June 14, 1996]



Sec. 285.26  Size classes.

    Total curved fork length will be the sole criterion for determining 
the size class of whole (head on) Atlantic bluefin tuna. For this 
purpose, all measurements must be taken in a line tracing the contour of 
the body from the tip of the upper jaw to the fork of the tail, which 
abuts the ventral side of the pectoral fin and the ventral side of the 
caudal keel. For any Atlantic bluefin tuna found with the head removed, 
it is deemed, for purposes of this subpart, that the tuna, when caught, 
fell into a size class in accordance with the following formula: Total 
curved fork length equals pectoral fin curved fork length multiplied by 
a factor of 1.35. The pectoral fin curved fork length will be the sole 
criterion for determining the size class of a beheaded Atlantic bluefin 
tuna. For this purpose, all measurements must be taken in a line tracing 
the contour of the body from the ventral side of the pectoral fin to the 
fork of the tail, which abuts the ventral side of the caudal keel.

[[Page 272]]



--------------------------------------------------------------------------------------------------------------------------------------------------------
          Size category                   Total curved fork length             Pectoral fin curved fork length              Approx. round weight        
--------------------------------------------------------------------------------------------------------------------------------------------------------
Young School.....................  Less than 27 inches...................  Less than 20 inches...................  Less than 14 lb.                     
                                   Less than 69 cm.......................  Less than 51 cm.......................  less than 6.4 kg.                    
School...........................  27 to <47 inches......................  20 to <35 inches......................  14 to <66 lb.                        
                                   69 to <119 cm.........................  51 to <89 cm..........................  6.4 to <30 kg.                       
Large School.....................  47 to <59 inches......................  35 to <44 inches......................  66 to <135 lb.                       
                                   119 to <150 cm........................  89 to <112 cm.........................  30 to <61 kg.                        
Small Medium.....................  59 to <73 inches......................  44 to <54 inches......................  135 to <235 lb.                      
                                   150 to <185 cm........................  112 to <137 cm........................  61 to <107 kg.                       
Large Medium.....................  73 to <81 inches......................  54 to <60 inches......................  235 to <310 lb.                      
                                   185 to <206 cm........................  137 to <152 cm........................  107 to <141 kg.                      
Giant............................  81 inches or greater..................  60 inches or greater..................  310 lb or greater.                   
                                   206 cm or greater.....................  152 cm or greater.....................  141 kg or greater.                   
--------------------------------------------------------------------------------------------------------------------------------------------------------



[[Page 273]]

[60 FR 14387, Mar. 17, 1995, as amended at 60 FR 38514, July 27, 1995; 
61 FR 30187, June 14, 1996]



Sec. 285.27  Tag and release program.

    (a) Notwithstanding other provisions of this part, an angler may 
fish for Atlantic bluefin tuna under a tag and release program, provided 
the angler tags all Atlantic bluefin tuna so caught with tags issued 
under this section, and releases and returns such fish to the sea 
immediately after tagging and with a minimum of injury. To participate 
in this program, an angler must obtain tags, reporting cards, and 
detailed instructions for their use from the Cooperative Tagging Center, 
Southeast Fisheries Center, NMFS, 75 Virginia Beach Drive, Miami, FL 
33149-1099 or by calling (800)437-3936.
    (b) Tags obtained from sources other than NMFS may be used to fish 
for Atlantic bluefin tuna provided the angler has registered each year 
with the Cooperative Tagging Center and the NMFS program manager has 
approved the use of tags from that source. Anglers using an alternative 
source of tags wishing to tag bluefin tuna can call (800) 437-3936 or 
write NMFS at the address given above.
    (c) Anglers registering for the Atlantic bluefin tagging program are 
required to provide their name, address, phone number, and, if 
applicable, identify the alternate source of tags.
    (d) If NMFS-issued or NMFS-approved tags are not on board a vessel, 
all anglers on board that vessel are deemed to be ineligible to fish 
under this section.

[60 FR 38514, July 27, 1995]



Sec. 285.28  Dealer permits.

    (a) General. A dealer purchasing, receiving, possessing, importing 
or exporting Atlantic bluefin tuna must have a valid permit required 
under this section. If such purchase or receipt is made from a buy-boat, 
the buy-boat must have a valid permit under paragraph (l) of this 
section.
    (b) Application. Applications for a dealer permit must be in writing 
on an appropriate form obtained from the Regional Director. The 
application must be signed by the applicant, and be submitted to the 
Regional Director at least 30 days before the date upon which the 
applicant desires the permit to be effective. The application must 
contain the following information: Company name; principal place of 
business; owner or owners' names; applicant's name (if different from 
owner or owners) and mailing address and telephone number; and any other 
information required by the Regional Director.
    (c) Issuance. (1) Except as provided in subpart D of 15 CFR part 
904, the Regional Director will issue a permit within 30 days of receipt 
of a completed application.
    (2) The Regional Director will notify the applicant of any 
deficiency in the application. If the applicant fails to correct the 
deficiency within 15 days following the date of notification, the 
application will be considered abandoned.
    (d) Duration. Any permit issued under this section remains valid 
until December 31 of the year for which it is issued, unless suspended 
or revoked.
    (e) Alteration. Any permit which is substantially altered, erased, 
or mutilated is invalid.
    (f) Replacement. The Regional Director may issue replacement 
permits. An application for a replacement permit is not considered a new 
application.
    (g) Transfer. A permit issued under this section is not transferable 
or assignable; it is valid only for the dealer to whom it is issued.
    (h) Inspection. The dealer must keep the permit issued under this 
section at his/her principal place of business. The permit must be 
displayed for inspection upon request of any authorized officer, or any 
employee of NMFS designated by the Regional Director for such purpose.
    (i) Sanctions. The Administrator may suspend, revoke, modify, or 
deny a permit issued or sought under this section. Procedures governing 
permit sanctions and denials are found at subpart D of 15 CFR part 904.
    (j) Fees. The Regional Director may charge a fee to recover the 
administrative expenses of permit issuance. The amount of the fee is 
calculated, at least annually, in accordance with the procedures of the 
NOAA Finance Handbook for determining administrative costs of each 
special product or service.

[[Page 274]]

The fee may not exceed such costs and is specified on each application 
form. The appropriate fee must accompany each application. Failure to 
pay the fee will preclude issuance of the permit. Payment by a 
commercial instrument later determined to be insufficiently funded shall 
invalidate any permit.
    (k) Change in application information. Within 15 days after any 
change in the information contained in an application submitted under 
this section, the dealer issued a permit will report the change in 
writing to the Regional Director.
    (l) Buy-boats. Each buy-boat must have a dealer permit issued under 
this section. The Regional Director will not issue a dealer permit under 
this section for a buy-boat operation to any vessel which has a valid 
fishing permit issued under Sec. 285.21. The Regional Director will not 
issue a dealer permit to a buy-boat unless the owner or operator of the 
buy-boat agrees in writing to allow an individual authorized by the 
Regional Director to accompany the buy-boat on any trip to observe 
operations. The Regional Director will provide reasonable notice to the 
owner or operator of any buy-boat that an individual will be placed 
aboard. Failure to allow an authorized individual to be placed aboard 
following reasonable notice voids the permit. The Regional Director will 
reimburse the owner of any buy-boat for any expenses which the Regional 
Director determines to be reasonable and which are related directly to 
the placement of an individual aboard that buy-boat.

[50 FR 43400, Oct. 25, 1985, as amended at 53 FR 24645, June 29, 1988; 
57 FR 373, Jan. 6, 1992; 58 FR 45293, Aug. 27, 1993]



Sec. 285.29  Dealer recordkeeping and reporting.

    Any person issued a dealer permit under Sec. 285.28:
    (a) Must report via electronic facsimile (fax) or an Interactive 
Voice Response System (IVRS) as instructed by the Regional Director 
within 24 hours of the purchase or receipt of each Atlantic bluefin tuna 
from the person or vessel that harvested the fish. Said report via fax 
or the IVRS must include the tag number affixed to the fish by the 
dealer, the date landed, the round and/or dressed weight (indicating 
which weight(s) measured), the total or pectoral fin curved fork length 
(indicating which length(s) measured), and the permit category of the 
landing vessel. In addition, dealers must submit to the Regional 
Director a daily report on a reporting card provided by NMFS. Said card 
must be postmarked and mailed at the dealer's expense within 24 hours of 
the purchase or receipt of each Atlantic bluefin tuna. Each vessel 
permit holder or vessel operator must sign each reporting card 
immediately upon transfer of the fish to verify the name of the vessel 
that landed the fish and the vessel permit number, and each card must 
indicate the tag number affixed to the fish by the dealer or assigned by 
an authorized officer, the date landed, the port where landed, the round 
and/or dressed weight (indicating which weight(s) measured), the total 
and/or pectoral fin curved fork length (indicating which length(s) 
measured), gear used, and area where the fish was caught. The dealer 
purchasing or receiving the Atlantic bluefin tuna must inspect the 
vessel permit and verify that the required vessel name and vessel permit 
information is correctly recorded on the reporting card.
    (b) Must submit to the Regional Director a bi-weekly report on forms 
supplied by NMFS.
    (1) Said report must be postmarked and mailed, at the dealer's 
expense, within 10 days after the end of each 2-week reporting period in 
which Atlantic bluefin tuna were purchased, received, or imported. The 
biweekly reporting periods are defined as the first day through the 14th 
day of each month and the 15th day through the last day of the month. 
Each report must specify accurately and completely for each tuna 
purchased or received: Date of landing or import, vessel Atlantic 
Bluefin Tuna permit number (if applicable), tail tag number, weight in 
pounds or kilograms (specify if round or dressed), nature of the sale 
(dockside or consignment), price per pound or kilogram (round or dressed 
weight), and destination of the fish (domestic or export). In addition, 
dealers may indicate the quality rating of their bluefin tuna: (A, B, or 
C) for four

[[Page 275]]

attributes (freshness, fat, color, and shape).
    (2) At the top of each form, the dealer must indicate the company 
name, license number, and the name of the person filling out the report. 
In addition, the beginning and ending dates of the 2-week reporting week 
period must be specified by the dealer and noted at the top of the form.
    (c) Must allow an authorized officer, or any employee of NMFS 
designated by the Regional Director for this purpose, to inspect and 
copy any records of transfers, purchases, or receipts of Atlantic 
bluefin tuna;
    (d) Must retain at his/her place of business a copy of each landing 
card (including proof of fax or IVRS transmission) and a copy of each 
bi-weekly report for a period of 2 years from the date on which each was 
required to be submitted to the Regional Director.
    (e) Each operator of a buy-boat, in addition to the above, must 
notify the Regional Director of any intended offloading, and must 
request a vessel inspection at least 6 hours before such offloading, by 
calling 508-281-9261 between the hours of 8 a.m. and 4:30 p.m., Monday 
through Friday, local time, or at all other times during the day and 
weekends, by calling 508-992-7711. In making the request for inspection, 
the owner or operator of the buy-boat or a designated representative 
must provide his/her name, the buy-boat's name and permit number, the 
number of tuna received, and the location and anticipated time of 
landing in port.

(Approved by the Office of Management and Budget under OMB control 
number 0648-0239)

[50 FR 43400, Oct. 25, 1985, as amended at 53 FR 24645, June 29, 1988; 
57 FR 373, Jan. 6, 1992; 58 FR 45293, Aug. 27, 1993; 60 FR 14387, Mar. 
17, 1995; 60 FR 38515, July 27, 1995]



Sec. 285.30  Tags.

    (a) Issuance of tags. The Regional Director will issue numbered tail 
tags to each person receiving a dealer's permit under Sec. 285.28.
    (b) Transfer of tags. Tail tags issued under this section are not 
transferable and are usable only by the permitted dealer to whom they 
are issued.
    (c) Affixing tags. (1) A dealer or agent must affix a tail tag to 
each Atlantic bluefin tuna purchased or received, immediately upon its 
offloading from a vessel. The tail tag must be affixed to the tuna 
between the fifth dorsal finlet and the keel.
    (2) Any person who catches a large medium or giant Atlantic bluefin 
tuna and does not transfer it to a permitted dealer must contact the 
nearest NMFS enforcement office at the time of landing said Atlantic 
bluefin tuna and make the tuna available so that a NMFS enforcement 
agent may inspect the fish and attach a tail tag to it. A list of local 
NMFS enforcement offices can be obtained by contacting regional offices 
in Gloucester, MA (508-281-9261) and St. Petersburg, FL (813-570-5344). 
The Regional Director may designate a person other than a NMFS agent to 
inspect and tag the fish. Such designation will be made in writing.
    (d) Removal of tags. A tag affixed to any Atlantic bluefin tuna 
under paragraph (c)(1) of this section or under Sec. 285.202(a)(6)(v) 
must remain on the tuna until the tuna is cut into portions. If the tuna 
or tuna parts subsequently are packaged for transport for domestic 
commercial use or for export, the tag number must be written legibly and 
indelibly on the outside of any package or container. Tag numbers must 
be recorded on any document accompanying shipment of bluefin tuna for 
commercial use or export.
    (e) Reuse of tags. Tags issued under this section are separately 
numbered and may be used only once, one tail tag per fish, to 
distinguish the purchase of one Atlantic bluefin tuna. Once affixed to a 
tuna or recorded on any package, container or report, a tail tag and 
associated number may not be reused.

[60 FR 14387, Mar. 17, 1995]



Sec. 285.31  Prohibitions.

    (a) It is unlawful for any person or vessel subject to the 
jurisdiction of the United States to do any of the following:
    (1) Fish for, catch, possess, or land Atlantic bluefin tuna without 
a valid permit required under Sec. 285.21 and carried onboard the 
vessel;
    (2) Fish for, catch, possess, or land Atlantic bluefin tuna after 
fishing has been closed or before fishing has commenced under 
Sec. 285.20, except under the provisions of Sec. 285.27;

[[Page 276]]

    (3) Fish for, catch, possess or retain Atlantic bluefin tuna in 
excess of the quotas specified in Sec. 285.22 except that fish may be 
caught and released under the provisions of Sec. 285.27.
    (4) Fish for, catch, possess or retain Atlantic bluefin tuna in 
excess of the catch limits specified in Sec. 285.24, or to possess or 
retain large medium or giant ABT on designated restricted fishing days, 
except that fish may be caught and released under the provisions of 
Sec. 285.27.
    (5) Fish for, catch, possess, or land Atlantic bluefin tuna in 
excess of any allocation made under Sec. 285.25(d);
    (6) Fish for or catch Atlantic bluefin tuna in a directed fishery 
with purse seine nets without an allocation made under Sec. 285.25(d);
    (7) Fish for or catch Atlantic bluefin tuna in a directed fishery 
with nets other than those specified in Sec. 285.25;
    (8) For any vessel other than a vessel holding a purse seine permit 
issued under Sec. 285.21(b), to approach to within 100 yd (91.5 meters) 
of the cork line of any purse seine net used by any vessel fishing for 
Atlantic bluefin tuna, or for any such purse seine vessel to approach to 
within 100 yd (91.5 meters) of any vessel, other than a purse seine 
vessel, actively fishing for Atlantic bluefin tuna;
    (9) Retain or land Atlantic bluefin tuna in excess of the incidental 
catch provisions under Sec. 285.23;
    (10) Land any Atlantic bluefin tuna in forms other than round (fins 
intact), or other than eviscerated with the head and fins removed, 
except that one pectoral fin and the tail must remain attached;
    (11) Retain any Atlantic bluefin tuna caught under the tag and 
release program allowed under Sec. 285.27;
    (12) Purchase, receive, or transfer Atlantic bluefin tuna from any 
person or vessel without a valid dealer permit issued under 
Sec. 285.28(a);
    (13) Purchase, receive, or transfer any Atlantic bluefin tuna at sea 
from a person or vessel engaged in fishing for such tuna without a valid 
dealer permit for buy-boat operations issued under Sec. 285.28 unless 
between permitted purse seine vessels as authorized under 
Sec. 285.25(e);
    (14) Sell, offer for sale, or transfer any Atlantic bluefin tuna to 
any person or vessel other than to a person or vessel with a permit 
issued under Sec. 285.28;
    (15) Sell, offer for sale, or transfer to any person for a 
commercial purpose any large medium or giant Atlantic bluefin tuna 
caught with rod and reel gear under Sec. 285.24(d)(2) or 
Sec. 285.24(e)(2);
    (16) Engage in fishing with a vessel issued a permit under 
Sec. 285.21 unless the vessel travels to and from the area where it will 
be fishing under its own power and the person operating that vessel 
brings any Atlantic bluefin tuna under control (secured to the catching 
vessel or aboard) with no assistance from other vessels, except in 
circumstances where the safety of the vessel or its crew is jeopardized 
or due to other circumstances beyond the control of the operator;
    (17) Fail to release immediately with a minimum of injury any 
Atlantic bluefin tuna that will not be retained;
    (18) Fail to inspect any vessel's permit or fail to affix 
immediately to any large medium or giant Atlantic bluefin tuna, between 
the fifth dorsal finlet and the keel, an individually numbered tail tag 
when the tuna has been received for a commercial purpose or purchased by 
that dealer from any person or vessel having caught such tuna;
    (19) Remove any tag affixed to an Atlantic bluefin tuna under 
Sec. 285.30(c)(1) or under Sec. 285.202(a)(6)(v), before removal is 
allowed under Sec. 285.30(d), or fail to write the tag number on the 
shipping package or container as prescribed by that section;
    (20) Purchase or transport with a buy-boat any Atlantic bluefin tuna 
captured incidentally by longlines;
    (21) Begin fishing or offloading from any purse seine vessel to 
which a permit has been issued under Sec. 285.21 any Atlantic bluefin 
tuna without first requesting an inspection of the vessel in accordance 
with Sec. 285.25;
    (22) Fail to report the catching of any Atlantic bluefin tuna to 
which a plastic tag has been affixed under a tag and release program 
conducted by NMFS or any other scientific organization;
    (23) Falsify or fail to make, keep, maintain, or submit any reports, 
or other record required by this subpart;

[[Page 277]]

    (24) Refuse to allow an authorized officer to make inspections for 
the purpose of checking any records relating to the catching, 
harvesting, landing, purchase, or sale of any Atlantic bluefin tuna 
required by this subpart;
    (25) Make any false statement, oral or writtten, to an authorized 
officer concerning the catching, harvesting, landing, purchase, sale, or 
transfer of any Atlantic bluefin tuna;
    (26) Fish for, catch, retain, possess or land Atlantic bluefin tuna 
with longline gear except as provided in Sec. 285.23(c);
    (27) Fish for or catch Atlantic bluefin tuna with longline gear, or 
while having longline gear on board, if the vessel is permitted in the 
General or Harpoon Boat category under Sec. 285.21;
    (28) Fish for or catch school, large school or small medium Atlantic 
bluefin tuna with gear other than hook and line, which is held by hand 
or rod and reel made for this purpose, or to possess such fish taken 
with unauthorized gear;
    (29) Use or possess handline or harpoon flotation gear which is not 
marked in accordance with Sec. 285.33, or is marked with the Atlantic 
bluefin tuna permit number of another vessel;
    (30) Fish for, catch, possess, or retain Atlantic bluefin tuna from 
the Gulf of Mexico except as specified under Sec. 285.23(c) or 
Sec. 285.24(e)(2), or if taken incidental to recreational fishing for 
other species and retained in accordance with Sec. 285.24(d)(2);
    (31) Fish for, catch, possess or retain Atlantic bluefin tuna with a 
gear type or in a manner other than specified in Secs. 285.21, 285.22, 
285.23, 285.24 and 285.25, or other than authorized under an 
experimental fishing exemption issued pursuant to the requirements of 
Sec. 285.7;
    (32) Interfere with, delay, or prevent by any means, the 
apprehension of another person, knowing that such person has committed 
any act prohibited by this part;
    (33) Retain young school Atlantic bluefin tuna for any purpose;
    (34) Sell, offer for sale, purchase, receive for a commercial 
purpose, trade, or barter, or if a seafood dealer or processor, retain 
or possess, any Atlantic bluefin tuna other than a large medium or 
giant, except with documentation as specified in Sec. 285.34;
    (35) Refuse to permit access of NMFS personnel to inspect any 
records relating to, or area of custody of, Atlantic bluefin tuna;
    (36) Reuse any tail tag previously affixed to an Atlantic bluefin 
tuna under Sec. 285.30 or reuse any tail tag number previously written 
on a shipping package or container as prescribed by that section; or
    (37) Fish for, catch, possess or retain any Atlantic bluefin tuna 
less than the large medium size class from a vessel other than one 
issued a permit for the Angling, General or Charter/Headboat categories 
under Sec. 285.21, or a Purse Seine category permit operating under 
Sec. 285.23(d);
    (38) Fail to cease fishing and return to port once the catch limit 
for large medium and giant bluefin is retained or possessed on board 
vessels permitted in the General and Charter/Headboat categories.
    (b) It is unlawful for any person subject to the jurisdiction of the 
United States to violate any other provision of this subpart, the Act, 
or any other rules promulgated under the Act.

[50 FR 43400, Oct. 25, 1985, as amended at 52 FR 25012, July 2, 1987; 53 
FR 24645, June 29, 1988; 57 FR 374, Jan. 6, 1992; 57 FR 32922, July 24, 
1992; 58 FR 45293, Aug. 27, 1993; 59 FR 17726, Apr. 14, 1994; 60 FR 
14388, Mar. 17, 1995; 60 FR 38515, July 27, 1995; 61 FR 30187, June 14, 
1996]



Sec. 285.32  Civil penalties.

    (a) Any person who violates Sec. 285.31(a)(1) through (a)(21) 
inclusive, or (a)(25) through (a)(31) inclusive, or (a)(33) and (a)(34) 
or (a)(36) through (a)(38) inclusive, will be assessed a civil penalty 
of not more than $25,000 for a first violation and a civil penalty of 
not more than $50,000 for a subsequent violation.
    (b) Any person who violates Sec. 285.31(a)(22) through (24) 
inclusive, or (a)(32), or (a)(35) will be assessed a civil penalty of 
not more than $1,000, and a civil penalty of not more than $5,000 for a 
subsequent violation.

[[Page 278]]

    (c) Any person who violates Sec. 285.31(b) will be assessed a civil 
penalty in accordance with the criteria set forth in 16 U.S.C. 971e.

[50 FR 43400, Oct. 25, 1985, as amended at 60 FR 38515, July 27, 1995]



Sec. 285.33  Gear identification.

    Any flotation device attached to handline or harpoon gear must be 
marked with the Atlantic bluefin tuna permit number of the vessel from 
which it is used. The required markings must be permanently affixed and 
at least one inch in height in block Arabic numerals of a color that 
contrasts with the background color of the flotation device.



Sec. 285.34  Restrictions on sale.

    (a) Any Atlantic bluefin tuna less than the large medium size class 
may not be, or attempted to be, purchased, bartered, traded, sold, or 
offered for sale, or retained or possessed by a dealer or seafood 
processor in any state unless it is lawfully imported and is accompanied 
by the Commission's Bluefin Tuna Statistical Document.
    (b) Except for a bluefin tuna landed in a Pacific state and 
remaining in the state of landing, a bluefin tuna that is possessed by a 
dealer or seafood processor is deemed to be a bluefin tuna harvested 
from the Atlantic Ocean by a United States vessel unless it is 
accompanied by the Commission's Bluefin Tuna Statistical Document.

[60 FR 38515, July 27, 1995]



            Subpart C--Atlantic Tunas Other Than Bluefin Tuna

    Source: 60 FR 38516, July 27, 1995, unless otherwise noted.



Sec. 285.50  Species subject to regulation.

    Regulations contained in this subpart pertain to yellowfin tuna, 
bigeye tuna, albacore tuna, skipjack tuna and Atlantic bonito.



Sec. 285.51  Authorized fishing gear.

    Fishing for, catching, retention or possession of Atlantic 
yellowfin, bigeye, albacore, and skipjack tunas and Atlantic bonito in 
the regulatory area by persons on board fishing vessels subject to the 
jurisdiction of the United States is authorized only for handline, rod 
and reel (including downriggers), harpoon, purse seine, longline, drift 
gillnet and bandit gear unless the gear is authorized under an 
experimental fishing exemption issued pursuant to the requirements of 
Sec. 285.7.



Sec. 285.52  Size limits.

    (a) Fishing for, catching, retaining, or possessing of Atlantic 
yellowfin and bigeye tunas in the regulatory area by persons aboard 
fishing vessels subject to the jurisdiction of the United States is 
authorized only for yellowfin or bigeye tuna measuring 27 inches (69 cm) 
or more in total curved fork length.
    (b) Total curved fork length is the sole criterion for determining 
the size class of whole (head on) Atlantic yellowfin and bigeye tuna. 
For this purpose, all measurements must be taken in a line tracing the 
contour of the body from the tip of the upper jaw to the fork of the 
tail, which abuts the ventral side of the pectoral fin and the ventral 
side of the caudal keel.

[61 FR 30187, June 14, 1996]



Sec. 285.53  Vessel permits.

    (a) Permit requirements. The operator of each vessel that fishes 
for, or takes, Atlantic yellowfin, bigeye, albacore, and skipjack tunas 
and Atlantic bonito must have on board a valid permit issued under this 
section.
    (b) Commercial vessel permits. Effective November 15, 1995, as a 
prerequisite to selling Atlantic yellowfin, bigeye, albacore, and 
skipjack tunas and Atlantic bonito and to be eligible for exemption from 
applicable bag limits, if any, specified in this subpart, an owner or 
operator of a vessel that fishes for or takes Atlantic yellowfin, 
bigeye, albacore, and skipjack tunas and Atlantic bonito must be issued 
by the Regional Director a vessel permit in the commercial category 
appropriate for the gear type or method of fishing.
    (c) Charter/Headboat vessel permits. Effective November 15, 1995, 
owners or operators of charter vessels and headboats must be issued by 
the Regional Director a charter/headboat vessel permit to lawfully fish 
for, catch,

[[Page 279]]

retain or land Atlantic yellowfin, bigeye, albacore, and skipjack tunas 
and Atlantic bonito. Anglers on board charter vessels and headboats must 
adhere to applicable catch limits for the recreational fisheries.
    (d) Recreational vessel permits. Effective January 1, 1996, owners 
or operators of private recreational vessels are required to obtain 
vessel permits in order to fish for, catch, retain, or land Atlantic 
yellowfin, bigeye, albacore, and skipjack tunas. Anglers aboard private 
recreational vessels must adhere to applicable daily catch limits. 
Atlantic tunas taken on board private recreational vessels may not be 
sold.
    (e) Purse seine. Directed purse seine fishing for Atlantic 
yellowfin, bigeye, albacore, and skipjack tunas and Atlantic bonito is 
restricted to owners of those purse seine vessels that have current 
Atlantic bluefin tuna purse seine permits under Sec. 285.21(b) and that 
have reported, or replaced vessels that have reported, Atlantic 
yellowfin, skipjack, albacore or bigeye tuna landings to NMFS over the 
period 1989 through 1993. The owner or operator of such purse seine 
vessel must apply for authorization to fish for Atlantic yellowfin, 
bigeye, albacore, and skipjack tunas and Atlantic bonito in writing to 
the Regional Director by April 15. The owner must supply documentation 
of the vessel's stockholders, owners, partners, or association structure 
and records of landings to verify that the vessel meets the qualifying 
criteria. The Regional Director will review these applications for 
authorization on or about May 1 and issue authorizations as appropriate.
    (f) Exemptions. In lieu of a permit issued under this section, 
persons on board a vessel for which a valid permit for the Atlantic 
bluefin tuna fishery has been issued under Sec. 285.21 of this part are 
eligible to fish for and take Atlantic yellowfin, bigeye, albacore, and 
skipjack tunas and Atlantic bonito using the authorized gear and subject 
to the commercial fishing restrictions applicable to the category of 
permit issued for the vessel. In lieu of a permit issued under this 
section, owners or operators of vessels for which valid permits for the 
Atlantic shark fishery (50 CFR part 678) or the Atlantic swordfish 
fishery (50 CFR part 630) have been issued are eligible to fish for and 
take Atlantic yellowfin, bigeye, albacore, and skipjack tunas and 
Atlantic bonito using the authorized gear and subject to fishing 
restrictions applicable to the permit issued to the vessel. Owners or 
operators of vessels fishing for Atlantic yellowfin, bigeye, albacore, 
and skipjack tunas and Atlantic bonito shoreward of the outer boundary 
of the EEZ around Puerto Rico and the Virgin Islands with only handgear 
on board are exempt from the permit requirements of this section. Q04
[60 FR 38516, July 27, 1995, as amended at 60 FR 57685, Nov. 17, 1995]



Sec. 285.54  Commercial vessel recordkeeping and reporting.

    (a) The master or other person in charge of a fishing vessel that 
engages in commercial fishing for Atlantic yellowfin, bigeye, albacore, 
and skipjack tunas and Atlantic bonito or any person as may be 
authorized in writing to serve as the agent of such master or person, 
must:
    (1) Keep an accurate log of all operations conducted from the 
vessel, entering therein for each day the date, noon position (stated in 
latitude and longitude or in relation to known physical features), and 
the tonnage of tuna on board by species. The record and bridge log shall 
be sufficient to comply with this paragraph, provided however, that the 
items of information specified herein are fully and accurately entered 
in such log; and,
    (2) Furnish on a form obtainable from the Regional Director, 
following the sale or delivery of a catch of tuna made by such vessel, a 
report, certified to be correct as to facts within the knowledge of the 
reporting individual, giving the name and official number of the fishing 
vessel, the dates of beginning and ending of the fishing voyage, the 
port of departure, and a listing separately by species of the round 
weight quantities (pounds or short tons) of tuna sold or delivered. At 
the option of the vessel master or other person in charge, a copy of the 
fish ticket, weighout slip, settlement sheet, or similar record issued 
by the dealer or

[[Page 280]]

his agent may, however, be used for reporting purposes in lieu of the 
form obtainable from the Regional Director, if such alternate record is 
similarly certified and contains all items of information required by 
this paragraph. Such sale and delivery reports must be delivered or post 
marked and mailed to the Regional Director within 72 hours after 
weighout has been completed.
    (b) The master or other person in charge of a fishing vessel, 
subject to the jurisdiction of the United States, except vessels 
proceeding directly to Puerto Rico or to any other U.S. port for 
unloading, must report to the Regional Director not less than 48 hours 
prior to entering the regulatory area via the Panama Canal. In addition, 
the master or other person in charge of a vessel, subject to the 
jurisdiction of the United States except a vessel without fish on board, 
must notify the Regional Director not less than 48 hours prior to 
leaving the regulatory area via the Panama Canal. Each report must 
include the name of the reporting vessel, the tonnage by species on 
board, and whether the fish were caught in Pacific or Atlantic waters.
    (c) All such fishing vessels entering or leaving the regulatory area 
via the Panama Canal are subject to inspection. Official seals will be 
affixed to wells containing fish taken within or outside the regulatory 
area, as appropriate and the same will be noted on the vessel log. The 
official seals may be removed only by a designated agent of NMFS upon 
arrival at point of sale or delivery.
    (d) The master or other person in charge of a fishing vessel subject 
to the jurisdiction of the United States, must notify the Regional 
Director not less than 48 hours prior to any transfer of Atlantic tuna 
taken in the regulatory area to another vessel for the purpose of 
transshipment. Such reports must include the date and place of 
unloading, name and destination of the oncarrying vessel, and the 
tonnage by species of tuna transferred.
    (e) The failure to file the reports or to follow the procedures 
required by this section, the tampering with or the removal of an 
official seal, or the alteration of a fishing vessel's log by any person 
or fishing vessel subject to the jurisdiction of the United States is a 
prohibited act within the meaning of Sec. 285.3.
    (f) Any person authorized to carry out enforcement activities under 
the Act or these regulations has power, without warrant or other 
process, to inspect, at any reasonable time, catch on board the vessel, 
log books, catch reports, statistical records, or other reports as 
required by the regulations in this part to be made, kept or furnished.
    (g) Owners and operators of vessels fishing for Atlantic yellowfin, 
bigeye, albacore, and skipjack tunas and Atlantic bonito shoreward of 
the outer boundary of the EEZ around Puerto Rico and the Virgin Islands 
with only handgear on board are exempt from the reporting requirements 
of this section.



Sec. 285.55  Dealer permits.

    (a) General. Effective November 15, 1995, a dealer purchasing or 
attempting to purchase, receiving, possessing, importing or exporting 
Atlantic yellowfin, bigeye, albacore, and skipjack tunas and Atlantic 
bonito must have a valid permit required under this section.
    (b) Application. Applications for a dealer permit must be in writing 
on an appropriate form obtained from the Regional Director. The 
application must be signed by the applicant, and be submitted to the 
Regional Director at least 30 days before the date upon which the 
applicant desires the permit to be effective. The application must 
contain the following information: Company name; principal place of 
business; owner or owners' names; applicant's name (if different from 
owner or owners) and mailing address and telephone number; and any other 
information required by the Regional Director.
    (c) Issuance. (1) Except as provided in subpart D of 15 CFR part 
904, the Regional Director will issue a permit within 30 days of receipt 
of a completed application.
    (2) The Regional Director will notify the applicant of any 
deficiency in the application. If the applicant fails to correct the 
deficiency within 15 days following the date of notification, the 
application will be considered abandoned.

[[Page 281]]

    (d) Duration. Any permit issued under this section remains valid 
until December 31 of the year for which it is issued, unless suspended 
or revoked.
    (e) Alteration. Any permit which is substantially altered, erased, 
or mutilated is invalid.
    (f) Replacement. The Regional Director may issue replacement 
permits. An application for a replacement permit is not considered a new 
application.
    (g) Transfer. A permit issued under this section is not transferable 
or assignable; it is valid only for the dealer to whom it is issued.
    (h) Inspection. The dealer must keep the permit issued under this 
section at his/her principal place of business. The permit must be 
displayed for inspection upon request of any authorized officer, or any 
employee of NMFS designated by the Regional Director for such purpose.
    (i) Sanctions. The Administrator may suspend, revoke, modify, or 
deny a permit issued or sought under this section. Procedures governing 
permit sanctions and denials are found at subpart D of 15 CFR part 904.
    (j) Fees. The Regional Director may charge a fee to recover the 
administrative expenses of permit issuance. The amount of the fee is 
calculated, at least annually, in accordance with the procedures of the 
NOAA Finance Handbook for determining administrative costs of each 
special product or service. The fee may not exceed such costs and is 
specified on each application form. The appropriate fee must accompany 
each application. Failure to pay the fee will preclude issuance of the 
permit. Payment by a commercial instrument later determined to be 
insufficiently funded shall invalidate any permit.
    (k) Change in application information. Within 15 days after any 
change in the information contained in an application submitted under 
this section, the dealer issued a permit will report the change in 
writing to the Regional Director.
    (l) Exemptions. Dealers issued valid permits for the Atlantic 
bluefin tuna fishery under Sec. 285.28 of this part, dealers issued 
valid permits for the Atlantic shark fishery (50 CFR part 678) or the 
Atlantic swordfish fishery (50 CFR part 630), and dealers located in 
Puerto Rico and the Virgin Islands who purchase, sell, or re-sell only 
Atlantic yellowfin, bigeye, albacore, and skipjack tunas and Atlantic 
bonito taken shoreward of the outer boundary of the EEZ around Puerto 
Rico and the Virgin Islands by handgear are exempt from the permit 
requirements of this section.



Sec. 285.56  Dealer recordkeeping and reporting.

    (a) A dealer who has been issued a dealer permit pursuant to 
Sec. 285.55 must submit reports to the Fisheries Science Center Director 
as specified in paragraph (b) of this section. A report form is 
available from the Science and Research Director. The following 
information must be included in each report:
    (1) Name, address, and permit number of the dealer.
    (2) Names and official numbers of fishing vessels from which 
Atlantic yellowfin, bigeye, albacore, and skipjack tunas and Atlantic 
bonito were received.
    (3) Dates of receipt of Atlantic yellowfin, bigeye, albacore, and 
skipjack tunas and Atlantic bonito.
    (4) Listed by each port and county where Atlantic yellowfin, bigeye, 
albacore, and skipjack tunas and Atlantic bonito were offloaded from 
fishing vessels:
    (i) Total weight (pounds) for Atlantic yellowfin, bigeye, albacore, 
and skipjack tunas and Atlantic bonito by market category, if 
applicable, and for other species received with the tuna, including, but 
not limited to, shark, swordfish, dolphin, and wahoo; and
    (ii) Price per pound or total value paid by market category for tuna 
and other species, to the extent that such price information is known at 
the time of reporting.
    (b) A report of tuna and other applicable species received by a 
dealer on the first through the 15th days of each month must be 
submitted to the Science and Research Director postmarked not later than 
the 20th day of that month. A report of tuna and other applicable 
species received by the dealer on the 16th through the last day of each 
month must be submitted to the Science and Research Director postmarked 
not later than the 5th day of

[[Page 282]]

the following month. If no tuna was received during the reporting 
period, a report so stating must be submitted postmarked as specified 
for that respective reporting period.
    (c) The reporting requirement of paragraph (a) of this section may 
be satisfied by providing a copy of each appropriate weigh-out sheet 
and/or sales record, provided such weigh-out sheet and/or sales record, 
by itself or combined with the form available from the Science and 
Research Director, includes all of the required information.
    (d) In lieu of providing a required report to the Science and 
Research Director by mail, as specified in paragraph (a) of this 
section, a dealer may provide a report to a state or Federal fishery 
port agent designated by the Science and Research Director. Reports so 
provided must be delivered to such port agent not later than the 
prescribed postmark date for submitting each such report.
    (e) Additional data and inspection. Additional data may be collected 
by authorized statistical reporting agents, as designees of the Science 
and Research Director, and by authorized officers. Dealers are required 
to make tuna available for inspection by the Science and Research 
Director or an authorized officer and must allow an authorized officer, 
or any employee of NMFS designated by the Regional Director for this 
purpose, to inspect and copy any records of transfers, purchases, or 
receipts of Atlantic yellowfin, bigeye, albacore, and skipjack tunas and 
Atlantic bonito;
    (f) Recordkeeping. Dealers must retain at their place of business a 
copy of each bi-weekly report for a period of 2 years from the date on 
which each was required to be submitted to the Regional Director.
    (g) Exemptions. Dealers located in Puerto Rico and the Virgin 
Islands who purchase, sell, or re-sell only Atlantic yellowfin, bigeye, 
albacore, and skipjack tunas and Atlantic bonito taken shoreward of the 
outer boundary of the EEZ around Puerto Rico and the Virgin Islands by 
handgear are exempt from the reporting and recordkeeping requirements of 
this section.



Sec. 285.57  Purse Seine vessel requirements.

    (a) Mesh size. Any owner or operator of a purse seine vessel 
conducting a directed fishery for Atlantic yellowfin, bigeye, albacore, 
and skipjack tunas and Atlantic bonito must use a purse seine net with a 
mesh size as specified under Sec. 285.25(a).
    (b) Inspection. The owner or operator of a purse seine vessel 
conducting a directed fishery for Atlantic yellowfin, bigeye, albacore, 
and skipjack tunas and Atlantic bonito must request an inspection of the 
vessel and fishing gear by an enforcement agent of NMFS prior to 
commencing fishing for the season in any fishery that may result in the 
harvest of any regulated species. The owner or operator must request 
such inspection at least 48 hours before commencement of the first 
fishing trip of the season. In addition, at least 48 hours before 
commencement of offloading any Atlantic yellowfin, bigeye, albacore, and 
skipjack tunas and Atlantic bonito after a fishing trip, the owner or 
operator must request an inspection of vessel and catch by calling 508-
563-5721 or 508-281-9261. The inability to provide for an inspection 
within 48 hours of notification shall constitute a waiver of this 
requirement. The owner or operator of a purse seine vessel must have the 
vessel's catch information recorded on the appropriate forms at the time 
of offloading and prior to transporting said tuna from the area of 
offloading.



Sec. 285.58  Incidental catch.

    Persons or fishing vessels subject to the jurisdiction of the United 
States must release, in a manner to promote survival, any yellowfin tuna 
or bigeye tuna less than the minimum size specified in Sec. 285.52 taken 
incidental to authorized fishing in the regulatory area.



Sec. 285.59  Prohibitions.

    (a) It is unlawful for any person or vessel subject to the 
jurisdiction of the United States to do any of the following:
    (1) Fish for, catch, possess, retain or land Atlantic yellowfin, 
bigeye, albacore, and skipjack tunas and Atlantic bonito without a valid 
permit required

[[Page 283]]

under Sec. 285.53 and carried on board the vessel;
    (2) Fish for, catch, land, retain or possess, Atlantic yellowfin or 
bigeye tuna below the minimum size specified in Sec. 285.52;
    (3) Fail to release immediately with a minimum of injury any 
Atlantic yellowfin or bigeye tuna that will not be retained;
    (4) Fish for or catch Atlantic yellowfin, bigeye, albacore, and 
skipjack tunas and Atlantic bonito in a directed fishery with purse 
seine nets if without any remaining bluefin tuna allocation made under 
Sec. 285.25(d);
    (5) For any vessel other than a vessel holding a purse seine permit 
issued under Sec. 285.53(d), to approach to within 100 yds (91.5 meters) 
of the cork line of any purse seine net used by any vessel fishing for 
Atlantic yellowfin, bigeye, albacore, and skipjack tunas and Atlantic 
bonito, or for any such purse seine vessel to approach to within 100 yds 
(91.5 meters) of any vessel, other than a purse seine vessel, actively 
fishing for Atlantic yellowfin, bigeye, albacore, and skipjack tunas and 
Atlantic bonito;
    (6) Begin fishing or offloading from any purse seine vessel to which 
a permit has been issued under Sec. 285.21 any Atlantic tuna without 
first requesting an inspection of the vessel in accordance with 
Sec. 285.57(b);
    (7) Fail to report the catching of any Atlantic tuna to which a 
plastic tag has been affixed under a tag and release program conducted 
by NMFS or any other scientific organization;
    (8) Falsify or fail to make, keep, maintain, or submit any reports, 
or other record required by this subpart;
    (9) Refuse to allow an authorized officer to make inspections for 
the purpose of checking any records relating to the catching, 
harvesting, landing, purchase, or sale of any Atlantic tuna required by 
this subpart;
    (10) Make any false statement, oral or written, to an authorized 
officer concerning the catching, harvesting, landing, purchase, sale, or 
transfer of any Atlantic tuna;
    (11) Interfere with, delay, or prevent by any means, the 
apprehension of another person, knowing that such person has committed 
any act prohibited by this part;
    (12) Refuse to permit access of NMFS personnel to inspect any 
records relating to, or area of custody of, Atlantic yellowfin, bigeye, 
albacore, and skipjack tunas and Atlantic bonito;
    (b) It is unlawful for any person subject to the jurisdiction of the 
United States to violate any other provision of this subpart, the Act, 
or any other rules implemented under the Act.



                 Subpart D--Restrictions on Tuna Imports



Sec. 285.80   Basis and purpose.

    (a) The stocks of Atlantic tunas under investigation and regulation 
by the Commission represent the concern of a number of countries 
interested in the conservation of such stocks. In order to assure that 
the achievement of the conservation objectives of the Commission are 
fulfilled the Act provides for certain restrictions on the importation 
of Atlantic tunas. Pursuant to section 6(c) of the Act, the Secretary, 
with the concurrence of the Secretary of State, is directed to 
promulgate regulations to prohibit:
    (1) The entry into the United States of fish in any form of those 
species which are subject to regulation pursuant to a recommendation of 
the Commission and which were taken from the regulatory area in such 
manner or in such circumstances as would tend to diminish the 
effectiveness of the conservation recommendations of the Commission; and
    (2) The entry into the United States, from any country when vessels 
of such country are being used in the conduct of fishing operations in 
the regulatory area in such manner or in such circumstances as would 
tend to diminish the effectiveness of the conservation recommendations 
of the Commission, of fish in any form of those species which are 
subject to regulation pursuant to a recommendation of the Commission and 
which were taken from the regulatory area;
    (3) The entry into the United States, from any country when vessels 
of such country engage in repeated and flagrant fishery operations in 
the regulatory area which seriously threaten

[[Page 284]]

the achievement of the objectives of the Commission's recommendations, 
of fish in any form of these species which are under investigation by 
the Commission and which were taken from the regulatory area.
    (b) By letter of February 18, 1976, the Secretary of State concurred 
in the promulgation of the regulations in this part. Such regulations 
are designed to implement the provisions of section 6(c) of the Act with 
respect to import controls and to proscribe procedures for the 
establishment of restrictions on imports of tuna and tuna-like fish 
whenever such action shall be deemed warranted.

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978]



Sec. 285.81  Species subject to regulation.

    The species of tuna currently subject to regulation by 
recommendation of the Commission within the meaning of section 6(c) are 
yellowfin tuna, bigeye tuna, and Atlantic bluefin tuna.

[46 FR 3026, Jan. 13, 1981]



Sec. 285.82   Species under investigation by the Commission.

    Those species of tuna currently under investigation by the 
Commission within the meaning of section 6(c) of the Act are yellowfin, 
Atlantic bluefin, skipjack, albacore, bigeye and Atlantic bonito, and 
billfishes.

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978]



Sec. 285.83   Investigations authorized.

    (a) The Assistant Administrator will make, from time to time, such 
inquiries and investigations as may be necessary to keep himself and 
other interested persons currently informed regarding the nature and 
effectiveness of the measures for the implementation of the Commission's 
recommendations concerning those activities which are being carried out 
by foreign countries whose vessels engage in fishing within the 
regulatory area. In making a finding, as to:
    (1) Whether or not fish in any form of those species which are 
subject to regulation by the Commission are being taken from the 
regulatory area in a manner or under such circumstances as would tend to 
diminish effectiveness of the conservation recommendations of the 
Commission; or
    (2) Whether or not a country is condoning the use of vessels in the 
conduct of fishing operations in the regulatory area in such a manner or 
under such circumstances that would tend to diminish the effectiveness 
of the conservation recommendations of the Commission; or
    (3) Whether or not a country is condoning the use of vessels in 
repeated and flagrant fishing operations which seriously threaten the 
achievement of the objectives of the commissions recommendations, the 
Assistant Administrator will take into account, among such other 
considerations as may appear to be pertinent in a particular case, the 
following factors:
    (i) Whether or not the country provides or causes to be provided to 
the Commission pertinent statistics on a timely basis;
    (ii) Whether or not the country has in force conservation measures 
applicable to its own fishermen adequate for the implementation of the 
Commission's recommendations;
    (iii) Whether or not the country has in force measures for the 
control of landings in its ports of species subject to regulations which 
are taken in the regulatory area by fishermen of other countries 
contrary to the Commission's conservation recommendations;
    (iv) Whether or not the country, having put conservation measures 
into effect, takes reasonable action to enforce such measures;
    (v) The number of vessels of the country which conduct fishing 
operations in the regulatory area;
    (vi) The quantity of species subject to regulation taken from the 
regulatory area by the Country's vessels contrary to the Commission's 
conservation recommendations and its relationship to (A) the total 
quantity permitted to be taken by the vessels of all countries 
participating in the fishery and (B) the quantity of such species sought 
to be restored to the stocks of fish pursuant to the Commission's 
conservation recommendations.
    (b) Any person who has reason to believe that the vessels of any 
country are being used in the conduct of fishing

[[Page 285]]

operations in the regulatory area in such manner or in such 
circumstances as would tend to diminish the effectiveness of the 
conservation recommendations of the Commission or that other acts within 
the purview of the import control provisions of section 6(c) of the Act, 
are occurring or are likely to occur, may communicate his belief to the 
Assistant Administrator. Every such communication must contain or be 
accompanied by a full statement of the reasons for the belief, including 
a detailed description of such specific acts or events as may indicate a 
need for instituting an investigation as authorized in this part.
    (c) Upon receipt by the Assistant Administrator of any communication 
submitted pursuant to paragraph (b) of this section and upon a finding 
that the communication complies with the requirements of that paragraph, 
the Assistant Administrator will promptly conduct an investigation to be 
made as appears to be warranted by the circumstances of the case. In 
conducting such investigations the Assistant Administrator or his 
designated representative will consider any representations offered by 
foreign interests, importers, brokers, domestic producers, or other 
interested persons. Unless good cause to the contrary exists every such 
investigation will be completed within 60 days following receipt of the 
communication.

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978, 
and amended at 44 FR 36045, June 20, 1979; 53 FR 24645, June 29, 1988]



Sec. 285.84   Publication of findings.

    If it is determined on the basis of Sec. 285.83 that species of fish 
subject to regulation or under investigation by the Commission, as the 
case may be, are ineligible for entry into the United States under 
section 6(c) of the Act, the Assistant Administrator with the approval 
of the Secretary of the Commerce and with the concurrence of the 
Secretary of State, will publish a finding to that effect in the Federal 
Register. Effective upon the date of publication of such finding in the 
Federal Register every shipment of fish in any form of the species found 
to be ineligible will be denied entry unless it is established by 
satisfactory proof pursuant to Sec. 285.85 that a particular shipment of 
such fish is not ineligible for entry: Provided, That entry will not be 
denied and no such proof will be required for any such shipment which, 
on the date of such publication, was in transit to the United States on 
board a vessel operating as a common carrier.

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978, 
and amended at 44 FR 36045, June 20, 1979; 53 FR 24645, June 29, 1988; 
53 FR 27798, July 22, 1988]



Sec. 285.85   Proof of admissibility.

    (a) For the purposes of Sec. 285.83 of this part and section 6(c) of 
the Act a shipment of fish in any form of the species under regulation 
or under investigation by the Commission offered for entry, directly or 
indirectly, from a country named in a finding published under 
Sec. 285.84 is eligible for entry if the shipment is accompanied by a 
certificate of eligibility certifying as may be appropriate, that the 
fish in the shipment:
    (1) Are not of the species specified in the published finding;
    (2) Are of the species named in the published finding but were not 
taken in the regulatory area; or
    (3) Are of the species named in the published finding but are 
products of an American fishery lawfully taken in conformity with 
applicable conservation laws and regulations and landed in the country 
named in the published finding solely for transshipment. The certificate 
shall be attached to the invoice and be in the following form:

                       Certificate of Eligibility

    I, ----------, an authorized officer of the Government of ----------
, certify that the shipment of tuna accompanied by this certificate, 
consisting of ---------- (quantity) of ---------- (Species) in --------
---------------- (Number and kind of packages or containers bearing the 
following marks and numbers.)
     {time}  (a) Contains no tuna of the species prohibited entry into 
the United States by virtue of a finding of ineligibility published 
under regulations issued pursuant to section 6(c) of the Atlantic Tunas 
Convention Act of 1975. (A certificate of authentication executed by a 
consular officer or a consular agent of the United States must be 
attached.)
 {time}  (b) Contains tuna of the species prohibited entry into the 
United States by virtue of a finding of ineligibility published under

[[Page 286]]

regulations issued pursuant to section 6(c) of the Atlantic Tunas 
Convention Act of 1975, but that such tuna were caught in the waters of_
(Identify area or areas in which tuna were taken) by vessels subject to 
the jurisdiction of ---------------------------------- and that none of 
the tuna were taken in the Atlantic Ocean or its adjacent seas. (A 
certificate of authentication executed by a consular officer or consular 
agent of the United States must be attached.)
     {time}  (c) Contains tuna of the species prohibited entry into the 
United States by virtue of a finding of ineligibility published under 
regulations issued pursuant to section 6(c) of the Atlantic Tunas 
Convention Act of 1975, but that such tuna, as shown in the attached 
declaration, were taken in strict conformity with applicable 
conservation laws and regulations in a fishing enterprise conducted 
under the American flag by vessels of the United States, are products of 
an American fishery within the meaning of Schedule 1, Part 15A, Tariff 
Schedules of the United States, were landed in a foreign country solely 
for transshipment without change in condition and are eligible for free 
entry under such Schedule and 19 CFR 10.78-10.79. (Where an entry is to 
be made pursuant to this paragraph, this certificate must be executed by 
a consular officer or consular agent of the United States and the 
declaration(s) required by 19 CFR 10.79 and must be attached.)

              __________________________________________________________
                                                               Signature
              __________________________________________________________
                                                                   Title
              __________________________________________________________
                                                                 Address

    (b) If the tuna are offered for entry under paragraph (a) or (b) of 
the Certificate of Eligibility, the certificate must be executed by a 
duly authorized official of the country named in the published finding 
and the certificate must be authenticated with respect to the signature 
and official position of the person executing the same by a consular 
officer or consular agent of the United States. Such certificate of 
authentication shall be attached to the Certificate of Eligibility and 
be substantially in the following form:
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________

    I, -------------------------------- (Name of the consular officer or 
consular agent) -------------------- (Title) of the United States of 
America at -------------------- (Place), duly commissioned and 
qualified, do hereby certify that -------------------- (Name of foreign 
official), whose true signature and official seal are, respectively 
subscribed and affixed to the annexed certificate, was, on the ------ 
day of ------, 19--, the date thereof, -------------------- (Title of 
foreign official), duly commissioned and qualified, to whose official 
acts faith and credit are due.
    In witness whereof I have hereunto set my hand and affixed the seal 
of the ---------------------------- this day of --------------19--,
              __________________________________________________________
                                                               Signature
_______________________________________________________________________
 (Name and full title of officer)

    (c) If the tuna are offered for entry under paragraph (c) of the 
Certificate of Eligibility, the certificate must be executed by a 
consular officer or consular agent of the United States and be 
accompanied by the declaration(s) required by 19 CFR 10.79. The 
``Declaration of Master and Two Members of Crew on Entry of Products of 
American Fisheries'', required by 19 CFR 10.79 must contain a further 
statement as follows: ``We further declare that the said tuna were 
caught by us in full compliance with part 285, title 50, Code of Federal 
Regulations, and such other conservation laws and regulations as were 
applicable at the time the fishing operation was in progress.''

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978; 
and amended at 53 FR 24645, June 29, 1988]



Sec. 285.86   Removal of import restrictions.

    Upon a determination by the Assistant Administrator that the 
conditions no longer exist which warranted the imposition of import 
restrictions in the finding published pursuant to Sec. 285.84 the 
Assistant Administrator, with the approval of the Secretary and the 
concurrence of the Secretary of State, will publish a finding to such 
effect in the Federal Register. Effective upon the date of publication 
of such finding, the prior existing import restrictions against the 
country designated therein will terminate: Provided, That for a period 
of 1 year from such date of publication every shipment of fish in any 
form that was subject to the finding published pursuant to Sec. 285.84 
will continue to be denied entry unless the

[[Page 287]]

shipment is accompanied by a certification executed by an authorized 
official of the country of export and authenticated by a consular 
officer or consular agent of the United States, certifying that no 
portion of the shipment is comprised of fish taken prior to or during 
the import restriction.

[41 FR 8352, Feb. 26, 1976. Redesignated at 43 FR 8554, Mar. 2, 1978, 
and amended at 44 FR 36045, June 20, 1979; 53 FR 24645, June 29, 1988]



                Subpart E--International Port Inspection

    Source: 48 FR 53564, Nov. 28, 1983, unless otherwise noted.



Sec. 285.100  Basis and purpose.

    At its sixth regular meeting, the International Commission for the 
Conservation of Atlantic Tunas (Commission) adopted an international 
port inspection scheme to assist in the enforcement of the Commission's 
recommendations. The following regulations have been adopted by the 
United States to implement the port inspection scheme.



Sec. 285.101  Authorized officer.

    For the purposes of this subpart, an authorized officer is a person 
appointed by a contracting party (the United States and the countries 
listed in Sec. 285.102(a)) as an authorized inspector for the 
Commission, who possesses an identification card so stating.



Sec. 285.102  Vessels subject to inspection.

    (a) All United States tuna vessels or vessels carrying tuna and 
their catch, gear, and records are subject to inspection under this 
subpart by an authorized officer when landing or transshipping tuna or 
when making a port call at a port of the following countries, which are 
defined as the contracting parties. The names of any subsequent 
additional contracting parties may be added to the list by Federal 
Register notice. United States tuna vessels or vessels carrying tuna are 
also subject to the requirements of subparts A through C as appropriate.

    (1) Brazil
    (2) Cuba
    (3) France
    (4) Gabon
    (5) Ivory Coast
    (6) Portugal
    (7) Senegal
    (8) South Africa
    (9) Spain

    (b) All tuna vessels or vessels carrying tuna, and registered by any 
of the above countries, and their catch, gear and records are subject to 
inspection under this subpart when landing or transshipping tuna or when 
making a port call in the United States.
    (c) A vessel entering a port of the above countries because of force 
majeure shall be exempt from inspection by an authorized officer.



Sec. 285.103  Reports.

    (a) Inspections must be reported on a standardized Commission form 
and signed by the authorized officer. The master is entitled to add or 
have added to the report, any observation which the master thinks 
suitable. If the master adds information to the report, he also must 
sign the report. The authorized officer will note in the vessel's log 
that the inspection has been made. A copy of the report will be given to 
the vessel master and a copy sent to the authorized officer's national 
authority.
    (b) The master must allow the authorized officer to examine any 
portion of the catch and gear and provide any relevant documents as the 
authorized officer deems necessary to verify compliance with these 
regulations.

[48 FR 53564, Nov. 28, 1983, as amended at 53 FR 24645, June 29, 1988]



            Subpart F--Bluefin Tuna Statistical Documentation

    Source: 60 FR 14388, Mar. 17, 1995, unless otherwise noted.



Sec. 285.200  Species subject to documentation requirements.

    Imports into the United States and exports or re-exports from the 
United States of all bluefin tuna or bluefin tuna products regardless of 
ocean area of catch are subject to the documentation requirements of 
this subpart.
    (a) Documentation is required for bluefin tuna identified by the 
following

[[Page 288]]

item numbers from the Harmonized Tariff Schedule:
    (1) Fresh or chilled bluefin tuna, excluding fillets and other fish 
meat, No. 0302.39.00.20.
    (2) Frozen bluefin tuna, excluding fillets, No. 0303.49.00.20.
    (b) In addition, bluefin tuna products in other forms (e.g., chunks, 
fillets, canned) listed under any other item numbers from the Harmonized 
Tariff Schedule are subject to the documentation requirements of this 
subpart, except that fish parts other than meat (i.e., heads, eyes, roe, 
guts, tails) may be allowed entry without said statistical 
documentation.



Sec. 285.201  Documentation requirements.

    (a) Bluefin imports. (1) Imports of all bluefin tuna products into 
the United States must be accompanied at the time of entry by an 
original completed approved Bluefin Tuna Statistical Document with the 
information and exporter's certification specified in Sec. 285.202(a)(1) 
through (7). Such information must be validated as specified in 
Sec. 285.202(a)(8) by a responsible government official of the country 
whose flag vessel caught the tuna (regardless of where the fish are 
first landed), unless the Assistant Administrator has waived validation 
requirements for the country pursuant to Sec. 285.203.
    (2) Bluefin tuna imported into the United States from a country 
requiring a tag on all such tuna available for sale must be accompanied 
by the appropriate tag issued by that country, and said tag must remain 
on any tuna until it reaches its final import destination. If the final 
import destination is the United States, the tag must remain on the tuna 
until it is cut into portions. If the tuna portions are subsequently 
packaged for domestic commercial use or export, the tag number and the 
issuing country must be written legibly and indelibly on the outside of 
the package.
    (3) Dealers selling bluefin tuna that was previously imported into 
the United States for domestic commercial use must provide on the 
original Bluefin Tuna Statistical Document that accompanied the import 
shipment the correct information and importer's certification specified 
in Sec. 285.202(a)(9). The original of the completed Bluefin Tuna 
Statistical Document must be postmarked and mailed by said dealer to the 
Regional Director within 24 hours of the time the tuna was imported into 
the United States.
    (b) Bluefin exports. (1) Dealers exporting bluefin tuna that was 
harvested by U.S. vessels and first landed in the United States must 
complete an original numbered Bluefin Tuna Statistical Document issued 
to that dealer by the Regional Director. Such an individually numbered 
document is not transferable or reusable and may be used only once by 
the dealer to which it was issued to report on a specific export 
shipment. Dealers must provide on the Bluefin Tuna Statistical Document 
the correct information and exporter certification specified in 
Sec. 285.202(a)(1) through (7). As required under Sec. 285.203, the 
Bluefin Tuna Statistical Document must be validated as specified in 
Sec. 285.202(a)(8) by an official of the U.S. Government or, if 
authorized by NMFS, an official of an accredited institution. A list of 
such officials may be obtained by contacting the Office of Fisheries 
Conservation and Management, NMFS, Silver Spring, MD (301-713-2347), or 
the nearest NMFS Enforcement Office. A list of local NMFS enforcement 
offices can be obtained by contacting regional offices in Gloucester, MA 
(508-281-9261), St. Petersburg, FL (813-570-5344) and Long Beach, CA 
(310-980-4050). Dealers requesting government validation for exports 
should notify NMFS as soon as possible after arrival of the vessel to 
avoid delays in inspection and validation of the export shipment.
    (2) Dealers re-exporting bluefin tuna that was previously imported 
into the United States must provide on the original Bluefin Tuna 
Statistical Document that accompanied the import shipment the correct 
information and intermediate importer's certification specified in 
Sec. 285.202(a)(9).
    (3) Dealers must submit the original of the completed Bluefin Tuna 
Statistical Document to accompany the shipment of bluefin tuna to its 
export or re-export destination. A copy of the Bluefin Tuna Statistical 
Document completed as specified under paragraph

[[Page 289]]

(b)(1) or (2) of this section must be postmarked and mailed by said 
dealer to the Regional Director within 24 hours of the time the tuna was 
exported or re-exported from the United States.
    (c) Recordkeeping. Dealers must retain at their principal place of 
business a copy of each Bluefin Tuna Statistical Document required to be 
submitted to the Regional Director pursuant to this section for a period 
of 2 years from the date on which it was submitted to the Regional 
Director.



Sec. 285.202  Contents of documentation.

    (a) A Bluefin Tuna Statistical Document, to be deemed complete, 
must:
    (1) Have a document number assigned as prescribed by the country 
issuing the document;
    (2) State the name of the country issuing the document, which is the 
country whose flag vessel harvested the bluefin tuna, regardless of 
where the tuna is first landed;
    (3) State the name of the vessel that caught the fish and the 
vessel's registration number, if applicable;
    (4) State the name of the owner of the trap that caught the fish, if 
applicable;
    (5) State the point of export, which is the city, state or province, 
and country from which the bluefin tuna is first exported;
    (6) State the following specified information about the shipment:
    (i) The product type (fresh or frozen) and product form (round, 
gilled and gutted, dressed, fillet or other);
    (ii) The method of fishing used to harvest the fish (purse seine, 
trap, rod and reel, etc.);
    (iii) The ocean area from which the fish was harvested (western 
Atlantic, eastern Atlantic, Mediterranean, or Pacific);
    (iv) The weight of each fish (in kilograms for the same product form 
previously specified);
    (v) The identifying tag number, if landed by vessels from countries 
with tagging programs;
    (7) State the name and license number of, and be signed and dated in 
the exporter's certification block by, the exporter;
    (8) If applicable, state the name and title of, and be signed and 
dated in the validation block by, a responsible government official of 
the country whose flag vessel caught the tuna (regardless of where the 
tuna are first landed) or by an official of an institution accredited by 
said government, with official government or accredited institution seal 
affixed, thus validating the information on the Bluefin Tuna Statistical 
Document; and
    (9) As applicable, state the name(s) and address(es), including the 
name of the city and state or province of import, and the name(s) of the 
intermediate country(ies) or the name of the country of final 
destination, and license number(s) of, and be signed and dated in the 
importer's certification block by, each intermediate and the final 
importer.
    (b) An approved Bluefin Tuna Statistical Document may be obtained 
from the Regional Director to accompany exports of bluefin tuna from the 
United States. Bluefin tuna dealers in countries that do not provide an 
approved Bluefin Tuna Statistical Document to exporters may obtain an 
approved Bluefin Tuna Statistical Document from the Regional Director to 
accompany exports to the United States.
    (c) Dealers from a country exporting bluefin tuna to the United 
States may use the approved Bluefin Tuna Statistical Document obtainable 
from the Regional Director or documents developed by the dealer's 
country, if that country submits a copy, through the ICCAT Executive 
Secretariat, to the Assistant Administrator, and the Assistant 
Administrator concurs with the ICCAT Secretariat's determination that 
the document meets the information requirements of the ICCAT 
recommendation. In such case, the Assistant Administrator shall provide 
a list of countries for which Bluefin Tuna Statistical Documents are 
approved, together with examples of such documents to the appropriate 
official of the U.S. Customs Service. Effective upon the date indicated 
in such notice to the U.S. Customs Service, shipments of bluefin tuna or 
bluefin tuna products offered for importation from said country(ies) may 
be accompanied by either that country's approved Bluefin Tuna

[[Page 290]]

Statistical Document or by the Bluefin Tuna Statistical Document 
provided to the foreign country exporter by the Regional Director.



Sec. 285.203  Validation requirements.

    (a) Imports. The approved Bluefin Tuna Statistical Document 
accompanying any import of bluefin tuna, whether or not the issuing 
country is a member of ICCAT, must be validated by a government official 
from the issuing country, unless the Assistant Administrator waives the 
government validation requirement for that country following a 
recommendation to do so by the Executive Secretary of ICCAT. The 
Assistant Administrator shall furnish a list of countries for which 
government validation requirements are waived to the appropriate 
official of the U.S. Customs Service. Said list shall indicate the 
circumstances of exemption for each issuing country and the non-
government institutions, if any, accredited to validate Bluefin 
Statistical Documents for that country.
    (b) Exports. The approved Bluefin Tuna Statistical Document 
accompanying any export of bluefin tuna from the United States must be 
validated by a U.S. government official, except under circumstances of 
waiver, if any, specified on the form and accompanying instructions, or 
in a letter to permitted dealers from the Regional Director. Such 
circumstances of waiver of government validation shall be consistent 
with ICCAT recommendations concerning validation of Bluefin Tuna 
Statistical Documents. If authorized, such waiver of government 
validation may include:
    (1) Exemptions from government validation for fish with individual 
tags affixed pursuant to Sec. 280.52 or Sec. 285.30 of this chapter, or;
    (2) Validation by non-government officials authorized to do so by 
the Regional Director under paragraph (c) of this section.
    (c) Authorization for non-government validation. Institutions, or 
associations seeking authorization to validate Bluefin Tuna Statistical 
Documents accompanying exports from the United States, must apply in 
writing to the Regional Director. A letter of application must indicate 
the procedures to be used for verification of information to be 
validated, must list the names, addresses, and telephone/fax numbers of 
individuals to perform validation, and must provide an example of the 
stamp or seal to be applied to the Bluefin Tuna Statistical Document. 
Upon finding the institution or association capable of verifying the 
information required on the Bluefin Tuna Statistical Document, the 
Regional Director will issue, within 30 days, a letter specifying the 
duration of effectiveness and conditions of authority to validate 
Bluefin Tuna Statistical Documents accompanying exports from the United 
States. The effectiveness of such authorization will be delayed as 
necessary for the Assistant Administrator to notify the ICCAT 
Secretariat of non-government institutions and associations authorized 
to validate Bluefin Tuna Statistical Documents.



Sec. 285.204  Ports of entry.

    The Assistant Administrator shall monitor the importation of bluefin 
tuna into the United States. If the Assistant Administrator determines 
that the diversity of handling practices at certain ports at which 
bluefin tuna is being imported into the United States allow for 
circumvention of the Bluefin Tuna Statistical Document requirement, he/
she may designate, after consultation with the U.S. Customs Service, 
those ports at which Pacific or Atlantic bluefin tuna may be imported 
into the United States. The Assistant Administrator shall announce in 
the Federal Register the names of ports so designated and the effective 
dates of entry restrictions.



Sec. 285.205  Prohibitions.

    It is unlawful for any person to do any of the following:
    (a) Import or attempt to import any bluefin tuna into the United 
States without an accompanying original form of an approved Bluefin Tuna 
Statistical Document correctly completed with the appropriate 
certification and government validation.
    (b) Import any bluefin tuna into the United States from a country 
that requires all such tuna to be tagged, without said tag accompanying 
the bluefin tuna.

[[Page 291]]

    (c) Remove a tag from any bluefin tuna imported into the United 
States accompanied by a tag, prior to its being cut into portions for a 
destination in the United States or for export.
    (d) Fail to write legibly and indelibly the tag number and the 
issuing country on the outside of any package containing a part or parts 
of a bluefin tuna that was imported into the United States accompanied 
by said tag.
    (e) Export or re-export from the United States any bluefin tuna 
without an accompanying original approved Bluefin Tuna Statistical 
Document correctly completed with the appropriate certification and, if 
applicable, validated by a designated official of the United States 
government or an official of an institution authorized by the Regional 
Director pursuant to Sec. 285.203(c) to validate such documents.
    (f) Fail to provide in a timely manner any originals or copies of 
Bluefin Tuna Statistical Documents required to be submitted to the 
Regional Director pursuant to Sec. 285.201.
    (g) Write false information on or modify any information previously 
written on any Bluefin Tuna Statistical Document required by this 
subpart or to validate such document if not authorized to do so by the 
Regional Director.
    (h) Fail to maintain copies of completed Bluefin Tuna Statistical 
Documents as required under Sec. 285.201.
    (i) Import any bluefin tuna in a manner inconsistent with any ports 
of entry designated by the Assistant Administrator pursuant to 
Sec. 285.204.
    (j) Reuse, or transfer to another dealer, any numbered Bluefin Tuna 
Statistical Document issued to a dealer under this subpart.
[GRAPHIC] [TIFF OMITTED] TC01JY91.071


[57 FR 374, Jan. 6, 1992]

[[Page 292]]



                        SUBCHAPTER J  [RESERVED]





                     SUBCHAPTER K--CONTINENTAL SHELF





PART 296--FISHERMEN'S CONTINGENCY FUND--Table of Contents




Sec.
296.1  Purpose.
296.2  Definitions.
296.3  Fishermen's contingency fund.
296.4  Claims eligible for compensation.
296.5  Instructions for filing claims.
296.6  NMFS processing of claims.
296.7  Burden of proof and presumption of causation.
296.8  Amount of award.
296.9  Initial determination.
296.10  Agency review.
296.11  Final determination.
296.12  Payment of costs.
296.13  Payment of award for claim.
296.14  Subrogation.
296.15  Judicial review.

    Authority: Pub. L. 97-212 (43 U.S.C. 1841 et seq.).

    Source: 47 FR 49600, Nov. 1, 1982, unless otherwise noted.



Sec. 296.1  Purpose.

    These regulations implement title IV of the Outer Continental Shelf 
Lands Act Amendments of 1978, as amended (title IV). Title IV 
establishes a Fishermen's Contingency Fund to compensate commercial 
fishermen for damage or loss caused by obstructions associated with oil 
and gas activities on the Outer Continental Shelf.



Sec. 296.2  Definitions.

    Area affected by Outer Continental Shelf activities means the area 
within a 3-mile radius of any casualty site which:
    (1) Includes any portion of a leased block, pipeline, easement, 
right of way, or other OCS oil and gas exploration, development, or 
production activity; or
    (2) Is otherwise associated (as determined by the Chief, Financial 
Services Division) with OCS oil and gas activities, such as, for 
example, expired lease areas, relinquished rights-of-way or easements, 
and areas used extensively by surface vessels supporting OCS oil and gas 
activities (areas landward of the OCS are included when such areas meet 
this criterion).
    Chief, FSD means Chief, Financial Services Division, National Marine 
Fisheries Service, 1315 East-West Highway, Silver Spring, MD 20910; 
telephone: (301) 713-2396.
    Citizen of the United States means any person who is a United States 
citizen, any State, or any corporation, partnership, or association 
organized under the laws of any state which meets the requirements for 
documenting vessels in the U.S. coastwise trade.
    Commercial fisherman means any citizen of the United States who 
owns, operates, or is employed on a commercial fishing vessel.
    Commercial fishing vessel means any marine craft which is documented 
under the laws of the United States or, if under five net tons, 
registered under the laws of any State, and used for commercial fishing 
or activities directly related to commercial fishing.
    Easement means a right of use or easement granted under 30 CFR 
250.18.
    Fish means all forms of marine animal and plant life other than 
marine mammals, birds, and highly migratory species.
    Fishing gear means any commercial fishing vessel, and any equipment 
of such vessel.
    Fund means the Fishermen's Contingency Fund established by title IV 
of the Outer Continental Shelf Lands Act Amendments of 1978.
    Holder means the owner of record of each lease, prelease exploratory 
drilling permit, easement, or right-of-way or any agent or assignee of 
an owner.
    Lease means any authority under section 8 or section 6 of the OCS 
Lands Act to develop and produce or explore for oil or gas.
    Negligence or fault includes, but is not limited to, failure to:
    (1) Remain outside of any navigation safety zone established around 
oil and gas rigs and platforms by any responsible Federal agency;
    (2) Avoid obstructions recorded on nautical charts or in the Notice 
to Mariners or marked by a buoy or other surface marker (casualties 
occurring

[[Page 293]]

within a one-quarter mile radius of obstructions so recorded or marked 
are presumed to involve negligence or fault of the claimant);
    (3) Abide by established rules of the road;
    (4) Use proper care; or
    (5) Use due care and diligence to mitigate the damage or loss.
    Outer Continental Shelf means all submerged lands lying seaward and 
outside of the area of lands beneath navigable waters as defined in 43 
U.S.C. section 1301, and of which the subsoil and seabed appertain to 
the United States and are subject to its jurisdiction and control. 
Generally, but not in all cases, this includes all submerged lands lying 
seaward of the territorial sea (3 miles from a State's coastline, or 9 
miles from the coast of Texas or Florida).
    Person means an individual, partnership, corporation, association, 
public or private organization, government, or other entity.
    Resulting Economic Loss means the gross income, as estimated by the 
Chief, FSD, that a claimant will lose because of not being able to fish, 
or having to reduce fishing effort, during the period before the damaged 
or lost fishing gear concerned is repaired or replaced and available for 
use. This period must be reasonable. This period begins on the date of 
the casualty and stops on the date the damage could reasonably have been 
remedied by repair or replacement.
    Right-of-way means any right-of-way granted under section 5(e) of 
the OCS Lands Act or under 43 CFR 3340.0-5.
    Secretary means the Secretary of Commerce or his designee.

[47 FR 49600, Nov. 1, 1982, as amended at 61 FR 6322, Feb. 20, 1996]



Sec. 296.3  Fishermen's contingency fund.

    (a) General. There is established in the Treasury of the United 
States the Fishermen's Contingency Fund. The Fund is available without 
fiscal year limitation as a revolving fund to carry out the purposes of 
title IV of the Outer Continental Shelf Lands Act Amendments of 1978, as 
amended.
    (b) Payments into the fund. Each Holder of an exploration permit, 
lease, easement, or rights-of-way for the construction of a pipeline, or 
a prelease exploration drilling permit issued or maintained under the 
Outer Continental Shelf Lands Act, in effect on or after June 30, 1982, 
shall pay assessments to the Fund. All pipeline right-of-way and 
easements are to be included for assessment except those constructed and 
operated lines within the confines of a single lease or group of 
contiguous leases under unitized operation or single operator. Payments 
will not be required for geological or geophysical permits, other than 
prelease exploratory drilling permits issued under section 11 of the 
Outer Continental Shelf Lands Act (43 U.S.C. 1340).
    (1) Assessments to maintain the fund. When the total amount in the 
Fund is less than the Chief, FSD, determines is needed to pay Fund 
claims and expenses, the Chief, FSD, will notify the Secretary of the 
Interior that additional assessments are needed.
    (2) Billing and collections. The Secretary of the Interior will 
calculate the amounts to be paid by each Holder and shall notify each 
Holder of the dollar amount and the time and place for all payments. 
Each assessment shall be paid to the Secretary of the Interior no later 
than 45 days after the Secretary of the Interior sends notice of the 
assessment.
    (3) Annual assessment limits. No Holder shall be required to pay in 
excess of $5,000 for any lease, permit, easement or right-of-way in any 
calendar year.
    (c) Moneys recovered through subrogation. Any moneys recovered by 
the Secretary through the subrogation of a claimant's rights shall be 
deposited into the Fund.
    (d) Investments of the fund. Excess sums in the Fund will be 
invested in obligations of, or guaranteed by, the United States. Revenue 
from such investments shall be deposited in the Fund.
    (e) Litigation. The Fund may sue and be sued in its own name.



Sec. 296.4  Claims eligible for compensation.

    (a) Claimants. Damage or loss eligible for Fund compensation must be 
suffered by a commercial fisherman.
    (b) Damage or loss of fishing gear. Damage or loss is eligible for 
Fund

[[Page 294]]

compensation if it was caused by materials, equipment, tools, 
containers, or other items associated with OCS oil and gas exploration, 
development, or production activities. Damage or loss may be eligible 
for compensation even though it did not occur in OCS waters if the item 
causing the damage or loss was associated with oil and gas exploration, 
development, or production activities in OCS waters.
    (c) Exceptions. Damage or loss is not eligible for Fund 
compensation:
    (1) If the damage or loss was caused by the negligence or fault of 
the claimant;
    (2) If the damage or loss occurred prior to September 18, 1978;
    (3) To the extent that damage or loss exceeds the replacement value 
of the fishing gear involved;
    (4) For any portion of the damage or loss which can be compensated 
by insurance;
    (5) If the claim is not filed within 90 calendar days of the date 
the claimant or the claimant's agent first became aware of the damage or 
loss (or such longer period as the Secretary may allow under unusual and 
extenuating circumstances); or
    (6) If the damage or loss was caused by an obstruction unrelated to 
OCS oil and gas exploration, development, or production activities.

[47 FR 49600, Nov. 1, 1982, as amended at 50 FR 13796, Apr. 8, 1985; 61 
FR 6322, Feb. 20, 1996]



Sec. 296.5  Instructions for filing claims.

    (a) Fifteen-day report required to gain presumption of causation--
(1) General. Damages or losses are presumed to be qualified for 
compensation if certain requirements are satisfied. One requirement is 
that a report must be made to NMFS within fifteen (15) days after the 
date on which the vessel first returns to a port after discovering the 
damage or loss. Filing of a fifteen-day report must be followed up by 
filing a detailed claim.
    (2) When and how to file a fifteen-day report. To qualify for the 
presumption of causation, a fifteen-day report must be made to NMFS 
within fifteen days after the date on which the vessel first returns to 
a port after discovering the damage or loss. Satisfaction of the 
fifteen-day requirement is determined by the postmark, if the report is 
mailed; by the date of a call, if the report is telephoned or 
radiotelephoned; or, by the date of appearance, if the report is made in 
person. The fifteen-day report must be made to the Chief, Financial 
Services Division, National Marine Fisheries Service, 1315 East-West 
Highway, Silver Spring, MD 20910; telephone: (301) 713-2396.
    (3) Contents of fifteen-day report. Each fifteen-day report must 
include the following information:
    (i) The claimant's name and address;
    (ii) The name of the commercial fishing vessel involved;
    (iii) The location of the obstruction which caused the damage or 
loss;
    (iv) A description of the nature of the damage or loss;
    (v) The date such damage or loss was discovered;
    (vi) If the fifteen-day report is made after the vessel returns to 
port, the date on which the vessel first returned to port after 
discovering the damage.
    (b) Form of claim. Claims must be in writing. Claims may be 
submitted on NOAA form 88-164. This form may be obtained from any NMFS 
regional office or from the Chief, FSD. Although claimants are not 
required to use this claim form, it will probably be to their benefit to 
do so.
    (c) Who must file and when and where to file claims. All claimants 
(including those who filed 15-day reports to gain the presumption of 
causation) must submit a claim application to the Chief, Financial 
Services Division, within 90 calendar days of the date the claimant or 
the claimant's agent first became aware of the damage or loss. The 
Chief, FSD, may allow a longer period for filing claims if, in his 
discretion, unusual and extenuating circumstances justify a longer 
period. The term ``filed'' means delivered in person, or mailed (as 
determined by the date of the postmark) to the Chief, Financial Services 
Division, National Marine Fisheries Service, 1825 Connecticut Avenue, 
NW., Washington, DC 20235. The Chief, FSD, suggests that mailed claims 
be sent by registered or certified mail, return receipt requested, so 
the claimant will have a record that

[[Page 295]]

the claim was received by the Chief, FSD.
    (d) Aggregating claims. If more than one commercial fisherman 
suffers loss or damage from the same incident (for example, when several 
members of the crew lost income due to loss of fishing time), all claims 
should be submitted on their behalf by the owner or operator of the 
commercial fishing vessel involved.
    (e) Contents of claim. Each claim must be signed by the claimant and 
must accurately and completely provide the following information:
    (1) The name, mailing address, telephone number, citizenship, and 
occupational status (for example, vessel owner, operator, or crew 
member) of each claimant;
    (2) The name and Coast Guard documentation number or State 
registration number of the commercial fishing vessel involved in the 
damage or loss;
    (3) The home port, type, and size of the vessel involved in the 
casualty;
    (4) A full statement of the circumstances of the damage or loss 
including:
    (i) The date when the casualty was first discovered by the claimant,
    (ii) The water depth (if known) and visibility at the time and 
location where the casualty occurred,
    (iii) The direction, speed, and activities of the claimant's vessel 
immediately before, during, and after the casualty (including a full 
description of both the deployment of any fishing gear which is the 
subject of the claim and all attempts at retrieval of the gear),
    (iv) The names and addresses of all witnesses to the casualty,
    (v) The location where the casualty occurred in Loran C coordinates 
or the next most accurate method of position fixing available to the 
claimant,
    (vi) A description of the item or obstruction (if sighted or 
recovered) which caused the casualty, and whether or not any surface 
markers were attached to or near the obstruction. Submit any available 
photographs of the item or obstruction. State reasons for believing the 
obstruction is associated with OCS oil and gas activities.
    (5) The amount claimed for property damage or loss and a full 
statement of the type and extent of damage or loss including:
    (i) An inventory of all components of fishing gear damaged or lost,
    (ii) The date, place, and cost of acquisition of all fishing gear 
damaged or lost and proof of its purchase (sales receipts, affidavits, 
or other evidence),
    (iii) One estimate from a commercial fishing gear repair or supply 
company of the present replacement or repair (whichever applies) cost of 
the damaged or lost fishing gear. If the gear will be repaired by the 
claimant himself, a detailed estimate by the claimant identifying the 
repair cost.
    (6) The amount claimed for economic loss and the basis for that 
amount with supporting documentation, as follows:
    (i) Trip tickets for the three vessel trips immediately before the 
trip during which the casualty was discovered and for the vessel trip 
immediately following the trip during which the casualty occurred.
    (ii) A statement of the amount of time involved on each of the 
vessel trips above (or if the casualty involves fixed gear, a statement 
of the number of gear units deployed on each of these trips).
    (iii) A statement of the amount of time lost from fishing because of 
the damage or loss and a full explanation of why this time period is 
reasonable.
    (iv) Documentation of the date replacement gear was ordered and 
received or the date gear repair began and ended. This documentation may 
consist of purchase orders, bills of lading, or statements from sellers 
or repairers.
    (7) The amount claimed for other consequential loss or costs 
(including fees for claim preparation, etc.) with suitable documentation 
of the amounts claimed (such as invoices, receipts, etc.).

[47 FR 49600, Nov. 1, 1982, as amended at 50 FR 13796, Apr. 8, 1985; 53 
FR 24645, June 29, 1988; 61 FR 6322, Feb. 20, 1996]



Sec. 296.6  NMFS processing of claims.

    (a) Action by NMFS. Upon receipt of a claim, the Chief, FSD, will:
    (1) Send an abstract of the claim to the Secretary of the Interior;
    (2) Send the reported location of any obstruction which was not 
recovered

[[Page 296]]

and retained to the National Ocean Survey, which will inform the Defense 
Mapping Agency Hydrographic/Topographic Center.
    (b) Actions by the Interior Department. Upon receipt of an abstract 
of a claim, the Interior Department will immediately:
    (1) Plot the casualty site, and advise NMFS whether the site is in 
an area affected by OCS activities;
    (2) make reasonable efforts to notify all persons known to have 
engaged in activities associated with OCS energy activity in the 
vicinity where the damage or loss occurred.
    (c) Responses to notice of claim. (1) Each person notified by the 
Interior Department will, within thirty days after receipt of the 
notice, advise the Chief, FSD, and the Interior Department whether he 
admits or denies responsibility for the damages claimed.
    (2) Each person notified by the Interior Department who fails to 
give timely and proper advice of admission or denial of responsibility 
shall be presumed to deny responsibility for the damages claimed.
    (3) If any person admits responsibility, the Chief, FSD, will 
initiate action to recover from that party any sums paid or to be paid 
for the claimed damages.
    (4) Any person referred to in this section, including lessees or 
permittees or their contractors or subcontractors, may submit evidence 
about any claim to the Chief, FSD.
    (d) Failure to meet filing requirements. The Chief, FSD, may reject 
any claim that does not meet the filing requirements. The Chief, FSD, 
will give a claimant whose claim is rejected written notice of the 
reasons for rejection within 30 days after the date on which the claim 
was filed. If the claimant does not refile an acceptable claim within 30 
days after the date of this written notice, the claimant is not eligible 
for Fund compensation unless there are extenuating circumstances.
    (e) Proceedings--(1) Location. Any required proceeding will be 
conducted within such United States judicial district as may be mutually 
agreeable to the claimant and the Assistant Administrator, NMFS, or his 
designee, or if no agreement can be reached, within the United States 
judicial district in which the claimant's home port is located.
    (2) Powers. For purposes of any proceeding, the Assistant 
Administrator, NMFS, or his designee, shall have the power to administer 
oaths and subpoena witnesses and the production of books, records, and 
other evidence relative to the issues involved.
    (3) Amendments to claims. A claimant may amend the claim at any time 
before the Chief, FSD, issues an initial determination.
    (4) Criminal penalty for fraudulent claims. Any person who files a 
fraudulent claim is subject to prosecution under 18 U.S.C. sections 287 
and 1001, each of which, upon conviction, imposes a penalty of not more 
than a $10,000 fine and 5 years' imprisonment, or both.

[47 FR 49600, Nov. 1, 1982, as amended at 61 FR 6322, Feb. 20, 1996]



Sec. 296.7  Burden of proof and presumption of causation.

    (a) Burden of proof. The claimant has the burden to establish, by a 
preponderance of the evidence, all facts necessary to qualify his claim, 
including:
    (1) The identity or nature of the item which caused the damage or 
loss; and
    (2) That the item is associated with oil and gas exploration, 
development, or production activities on the Outer Continental Shelf.
    (b) Presumption of causation. Notwithstanding the above, damages or 
losses are presumed to be caused by items associated with oil and gas 
exploration, development, or production activities on the OCS if the 
claimant establishes that:
    (1) The claimant's commercial fishing vessel was being used for 
commercial fishing and was located in an area affected by OCS oil and 
gas exploration, development, or production activities;
    (2) A report on the location of the obstruction which caused such 
damage or loss, and the nature of such damage or loss, was made within 
fifteen days after the date on which the vessel first returned to a port 
after discovering such damage;
    (3) There was no record on the most recent nautical charts issued by 
the

[[Page 297]]

National Ocean Survey, NOAA, or in any weekly Notice to Mariners issued 
by the Defense Mapping Agency Hydrographic/Topographic Center, in effect 
at least 15 days before the date the damage or loss occurred, then an 
obstruction existed in the immediate vicinity where the damage or loss 
occurred. In the case of damages caused by a pipeline, the presumption 
will be available regardless of whether the pipeline was recorded on 
charts or in the Notice to Mariners; and
    (4) There was no proper surface marker or lighted buoy attached, or 
closely anchored, to such obstruction.
    (c) Geographic exclusion from presumption of causation. Damage or 
loss occurring within a one-quarter mile radius of obstructions recorded 
on charts or in a Notice to Mariners, or properly marked, is presumed to 
involve the recorded or marked obstruction.



Sec. 296.8  Amount of award.

    (a) Actual damages. The award for damaged fishing gear will be the 
lesser of the gear's repair cost or replacement cost. The award for lost 
fishing gear will be the gear's replacement cost.
    (b) Consequential damages. An award may also include compensation 
for any damage or loss (except personal injury) that is incurred as a 
consequence of the fishing gear damage or loss.
    (c) Resulting economic loss. An award may also include 50 percent of 
the resulting economic loss from damage to or loss of fishing vessels 
and gear.
    (d) Attorney, CPA, consultant fees. An award may also include 
compensation for reasonable fees paid by the claimant to an attorney, 
CPA, or other consultant for the preparation or prosecution of a claim.
    (e) Negligence of claimant. (1) An award will be reduced to the 
extent that the loss or damage was caused by the negligence or fault of 
the claimant. (For example, a claimant who sustained $10,000 in damages 
and whose negligence or fault was found to be responsible for 40% of the 
damage would receive $6,000 in compensation. If the same claimant were 
responsible for 99% of the negligence or fault that caused the damage, 
the claimant would receive $100 in compensation).
    (2) Negligence of the owner or operator of the fishing vessel or 
gear will reduce crewmember awards to the same extent that it reduces an 
award to the vessel's owner or operator.
    (f) Insurance proceeds. An award will be reduced by the amount the 
claimant has, or reasonably would have, received under a commercial 
policy of full hull and machinery and protection and indemnity 
insurance, whether or not such insurance was in effect at the time the 
casualty occurred.

[47 FR 49600, Nov. 1, 1982, as amended at 50 FR 13796, Apr. 8, 1985]



Sec. 296.9  Initial determination.

    The Chief, FSD will make an initial determination on a claim within 
60 days after the day on which the claim is accepted for filing. The 
initial determination will state:
    (a) If the claim is disapproved, the reason for disapproval, or
    (b) If the claim is approved, the amount of compensation and the 
basis on which the amount was determined.



Sec. 296.10  Agency review.

    (a) Within 30 days after the Chief, FDS, issues an initial 
determination, the claimant, or any other interested person who 
submitted evidence relating to the initial determination, may ask the 
Assistant Administrator, NMFS, or his designee, for a review of the 
initial determination.
    (b) The petitioner may submit written or oral evidence within 30 
days of filing the petition for review.



Sec. 296.11  Final determination.

    (a) If a petition for review of an initial determination is filed 
within 30 days after the date the Chief, FSD, issues an initial 
determination, the Assistant Administrator, NMFS, or his designee will 
conduct a review of the initial determination, and will issue a final 
determination no later than 60 days after receipt of the request for 
review of the initial determination.
    (b) If a petition for review of an initial determination is not 
filed within 30 days after the day on which the Chief, FSD, issues an 
initial determination, the initial determination will become a final 
determination.

[[Page 298]]



Sec. 296.12  Payment of costs.

    (a) By person denying responsibility for damage. Any person who is 
notified by the Interior Department and fails to respond or denies 
responsibility for the damages claimed will pay the costs of the 
proceedings if such person is subsequently found to be responsible for 
the damage claimed.
    (b) By the claimant. Any claimant who files a claim will pay the 
cost of the proceedings if such person is subsequently found to be 
responsible for the damage claimed.
    (c) By person denying responsibility for damage and the claimant. If 
more than one party is found to have responsibility for the damage 
claimed, then the cost of the proceedings will be apportioned between 
them.



Sec. 296.13  Payment of award for claim.

    (a) Upon an initial determination, the Chief, Financial Services 
Division, shall immediately disburse the claim awarded if the claimant 
signed as part of his/her application a statement agreeing to repay all 
or any part of the award if the award should for any reason be 
subsequently reduced.
    (b) [Reserved]

[61 FR 6322, Feb. 20, 1996]



Sec. 296.14  Subrogation.

    (a) The claim application will contain a subrogation statement 
signed by the claimant as a condition of payment of the claim which:
    (1) Assigns to the Fund the claimant's rights against third parties; 
and
    (2) Provides that the claimant will assist the Fund in any 
reasonable way to pursue those rights.
    (b) Collection of subrogated rights. If a reasonable chance of 
successful collection exists, NMFS will refer any subrogated rights to 
the Justice Department for collection.
    (c) Any moneys recovered through subrogation shall be deposited into 
the Fund.

[47 FR 49600, Nov. 1, 1982, as amended at 61 FR 6323, Feb. 20, 1996]



Sec. 296.15  Judicial review.

    Any claimant or other person who is aggrieved by a final 
determination may, no later than 30 days after the determination, seek 
judicial review of the determination in the United States District Court 
for such judicial district as may be mutually agreeable to the parties 
concerned or, if no agreement can be reached, in the United States 
District Court for the judicial district in which the claimant's home 
port is located.

[[Page 299]]



        CHAPTER III--INTERNATIONAL FISHING AND RELATED ACTIVITIES




  --------------------------------------------------------------------

Part                                                                Page
300             International fisheries regulations.........         300

[[Page 300]]



PART 300--INTERNATIONAL FISHERIES REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
300.1  Purpose and scope.
300.2  Definitions.
300.3  Relation to other laws.
300.4  General prohibitions.
300.5  Facilitation of enforcement.

                     Subpart B--High Seas Fisheries

300.10  Purpose.
300.11  Definitions.
300.12  Issuing offices.
300.13  Vessel permits.
300.14  Vessel and gear identification. [Reserved]
300.15  Prohibitions.
300.16  Penalties.
300.17  Reporting and recordkeeping. [Reserved]

                    Subpart C--Pacific Tuna Fisheries

300.20  Purpose and scope.
300.21  Definitions.
300.22  Yellowfin tuna--Recordkeeping and written reports.
300.23  Yellowfin tuna--Persons and vessels exempted.
300.24  Pacific bluefin tuna--Dealer permits.
300.25  Pacific bluefin tuna--Dealer recordkeeping and reporting.
300.26  Pacific bluefin tuna--Tags.
300.27  Pacific bluefin tuna--Documentation requirements.
300.28  Pacific bluefin tuna--Prohibitions.

                 Subpart D--South Pacific Tuna Fisheries

300.30  Purpose and scope.
300.31  Definitions.
300.32  Vessel licenses.
300.33  Compliance with applicable national laws.
300.34  Reporting requirements.
300.35  Vessel and gear identification.
300.36  Closed area stowage requirements.
300.37  Radio monitoring.
300.38  Prohibitions.
300.39  Exceptions.
300.40  Civil penalties.
300.41  Investigation notification.
300.42  Findings leading to removal from fishing area.
300.43  Observers.
300.44  Other inspections.

                  Subpart E--Pacific Halibut Fisheries

300.60  Purpose and scope.
300.61  Definitions.
300.62  Annual management measures.
300.63  Catch sharing plans and domestic management measures.
300.64  Fishing by U.S. treaty Indian tribes.
300.65  Prohibitions.

        Subpart F--Fraser River Sockeye and Pink Salmon Fisheries

300.90  Purpose and scope.
300.91  Definitions.
300.92  Relation to other laws.
300.93  Reporting requirements.
300.94  Prohibitions and restrictions.
300.95  Treaty Indian fisheries.
300.96  Penalties.
300.97  Inseason orders.

              Subpart G--Antarctic Marine Living Resources

300.100  Purpose and scope.
300.101  Definitions.
300.102  Relationship to other treaties, conventions, laws, and 
          regulations.
300.103  Procedure for according protection to CCAMLR Ecosystem 
          Monitoring Program Sites.
300.104  Scientific research.
300.105  Initiating a new fishery.
300.106  Exploratory fisheries.
300.107  Reporting and recordkeeping requirements.
300.108  Vessel and gear identification.
300.109  Gear disposal.
300.110  Mesh size.
300.111  Framework for annual management measures.
300.112  Harvesting permits.
300.113  Import permits.
300.114  Appointment of a designated representative.
300.115  Prohibitions.
300.116  Facilitation of enforcement and inspection.
300.117  Penalties.
Figure 1 to Subpart G--Boundaries of the Statistical Reporting Area in 
          the Southern Ocean
Figure 2 to Subpart G--The Use of Streamer Lines to Minimize the 
          Incidental Mortality of Seabirds in the Course of Longline 
          Fishing or Longline Fishing Research Operations in the 
          Convention Area

  Subpart H--Vessels of the United States Fishing in Colombian Treaty 
                                 Waters

300.120  Purpose.
300.121  Definitions.
300.122  Relation to other laws.
300.123  Certificates and permits.
300.124  Recordkeeping and reporting.
300.125  Vessel identification.
300.126  Prohibitions.
300.127  Facilitation of enforcement.
300.128  Penalties.
300.129  Fishing year.

[[Page 301]]

300.130  Vessel and gear restrictions.
300.131  Conch harvest limitations.
300.132  Lobster harvest limitations.

          Subpart I--United States-Canada Fisheries Enforcement

300.140  Purpose and scope.
300.141  Definitions.
300.142  Prohibitions.
300.143  Facilitation of enforcement.
300.144  Penalties and sanctions.

         Subpart J--U.S. Nationals Fishing in Russian Fisheries

300.150  Purpose.
300.151  Definitions.
300.152  Procedures.
300.153  Permit issuance.
300.154  Recordkeeping and reporting.
300.155  Requirements.
300.156  Prohibited acts.
300.157  Penalties.

       Subpart K--Transportation and Labeling of Fish or Wildlife

300.160  Requirement for marking of containers or packages.
300.161  Alternatives and exceptions.

    Source: 61 FR 35550, July 5, 1996, unless otherwise noted.



                           Subpart A--General

    Authority: 16 U.S.C. 773 et seq.; 16 U.S.C. 951-961 and 971 et seq.; 
16 U.S.C. 973-973r; 16 U.S.C. 2431 et seq.; 16 U.S.C. 3371-3378; 16 
U.S.C. 3636(b); 16 U.S.C. 5501 et seq.; and 16 U.S.C. 1801 et seq.



Sec. 300.1  Purpose and scope.

    The purpose of this part is to implement the fishery conservation 
and management measures provided for in the international treaties, 
conventions, or agreements specified in each subpart, as well as certain 
provisions of the Lacey Act Amendments of 1981. The regulations in this 
part apply, except where otherwise specified in this part, to all 
persons and all places subject to the jurisdiction of the United States 
under the acts implemented under each subpart.



Sec. 300.2  Definitions.

    In addition to the definitions in each act, agreement, convention, 
or treaty specified in subparts B through K of this part, the terms used 
in this part have the following meanings:
    Assistant Administrator means the Assistant Administrator for 
Fisheries, National Oceanic and Atmospheric Administration, Department 
of Commerce, or a designee. Address: Room 14555, 1315 East-West Highway, 
Silver Spring, MD 20910.
    Authorized officer means:
    (1) Any commissioned, warrant, or petty officer of the U.S. Coast 
Guard; or any U.S. Coast Guard personnel accompanying and acting under 
the direction of a commissioned, warrant, or petty officer of the U.S. 
Coast Guard;
    (2) Any special agent or fisheries enforcement officer of NMFS; or
    (3) Any person designated by the head of any Federal or state agency 
that has entered into an agreement with the Secretary of Commerce or the 
Commandant of the U.S. Coast Guard to enforce the provisions of any 
statute administered by the Secretary.
    CCAMLR inspector means a person designated by a member of the 
Commission for the Conservation of Antarctic Marine Living Resources as 
an inspector under Article XXIV of the Convention on the Conservation of 
Antarctic Marine Living Resources to verify compliance with measures in 
effect under the Convention.
    Director, Alaska Region, means Director, Alaska Region, NMFS, 709 
West Ninth Street, Suite 401, P.O. Box 21668, Juneau, AK 99802, or a 
designee.
    Director, Northeast Region, means Director, Northeast Region, NMFS, 
One Blackburn Drive, Gloucester, MA 01930-2298, or a designee.
    Director, Northwest Region, means Director, Northwest Region, NMFS, 
7600 Sand Point Way, N.E., BIN C15700, Bldg. 1, Seattle, WA 98115, or a 
designee.
    Director, Southeast Fisheries Science Center, means Director, 
Science and Research, Southeast Fisheries Science Center, NMFS, 75 
Virginia Beach Drive, Miami, FL 33149, or a designee.
    Director, Southeast Region, means Director, Southeast Region, NMFS, 
9721 Executive Center Drive, N., St. Petersburg, FL 33702, or a 
designee.
    Director, Southwest Region, means Director, Southwest Region, NMFS, 
501 West Ocean Boulevard, Suite 4200, Long Beach, CA 90802-4213, or a 
designee.

[[Page 302]]

    Exclusive Economic Zone or EEZ means the zone established by 
Presidential Proclamation 5030, dated March 10, 1983, as defined in 16 
U.S.C. 1802(6).
    Fishing or to fish means:
    (1) The catching or taking of fish;
    (2) The attempted catching or taking of fish;
    (3) Any other activity that can reasonably be expected to result in 
the catching or taking of fish; or
    (4) Any operations at sea in support of, or in preparation for, any 
activity described in paragraphs (1) through (3) of this definition.
    Fishing vessel means any vessel, boat, ship, or other craft that is 
used for, equipped to be used for, or of a type normally used for 
fishing.
    IATTC means the Inter-American Tropical Tuna Commission, established 
pursuant to the Convention for the Establishment of an Inter-American 
Tropical Tuna Commission.
    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, constitutes an importation within the meaning 
of the customs laws of the United States.
    IRCS means International Radio Call Sign.
    Magnuson Act means the Magnuson Fishery Conservation and Management 
Act, 16 U.S.C. 1801 et seq.
    National of the United States or U.S. national means any person 
subject to the jurisdiction of the United States, including, but not 
limited to, a citizen or resident of the United States, or a person 
employed on a vessel of the United States. In the case of a corporation, 
partnership or other non- natural person, this includes, but is not 
limited to, any entity that is the owner of a vessel of the United 
States.
    NMFS means the National Marine Fisheries Service, NOAA, Department 
of Commerce.
    NMFS Headquarters means NMFS, 1315 East-West Highway, Silver Spring, 
MD 20910. Attention: Office of Fisheries Conservation and Management.
    Official number means the documentation number issued by the USCG or 
the certificate number issued by a state or the USCG for an undocumented 
vessel, or any equivalent number if the vessel is registered in a 
foreign nation.
    Operator means, with respect to any vessel, the master or other 
individual aboard and in charge of that vessel.
    Owner means, with respect to any vessel:
    (1) Any person who owns that vessel in whole or part (whether or not 
the vessel is leased or chartered);
    (2) Any charterer of the vessel, whether bareboat, time, or voyage;
    (3) Any person who acts in the capacity of a charterer, including 
but not limited to parties to a management agreement, operating 
agreement, or any similar agreement that bestows control over the 
destination, function, or operation of the vessel; or
    (4) Any agent designated as such by a person described in this 
definition.
    Person means any individual (whether or not a citizen or national of 
the United States), any corporation, partnership, association, or other 
entity (whether or not organized, or existing under the laws of any 
state), and any Federal, state, local, or foreign government or any 
entity of any such government.
    Secretary means the Secretary of Commerce or a designee.
    USCG means the United States Coast Guard.
    Yellowfin tuna means any fish of the species Thunnus albacares 
(synonomy: Neothunnus macropterus).



Sec. 300.3  Relation to other laws.

    Other laws that may apply to fishing activities addressed herein are 
set forth in Sec. 600.705 of chapter VI of this title.



Sec. 300.4  General prohibitions.

    It is unlawful for any person subject to the jurisdiction of the 
United States to:
    (a) Violate the conditions or restrictions of a permit issued under 
this part.
    (b) Fail to submit information, fail to submit information in a 
timely manner, or submit false or inaccurate

[[Page 303]]

information, with respect to any information required to be submitted, 
reported, communicated, or recorded pursuant to this part.
    (c) Make any false statement, oral or written, to an authorized 
officer concerning the catching, taking, harvesting, possession, 
landing, purchase, sale, or transfer of fish, or concerning any other 
matter subject to investigation by that officer under this part.
    (d) Conceal any material fact (including by omission), concerning 
any matter subject to investigation by an authorized officer under this 
part.
    (e) Refuse to allow an authorized officer to inspect any report or 
record required to be made or kept under this part.
    (f) Falsify, cover, or otherwise obscure, the name, home port, 
official number (if any), or any other similar marking or identification 
of any fishing vessel subject to this part such that the vessel cannot 
be readily identified from an enforcement vessel or aircraft.
    (g) Fail to comply immediately with any of the enforcement and 
boarding procedures specified in this part.
    (h) Refuse to allow an authorized officer to board a fishing vessel, 
or enter any other area of custody (i.e., any vessel, building, vehicle, 
live car, pound, pier, or dock facility where fish might be found) 
subject to such person's control, for the purpose of conducting any 
inspection, search, seizure, investigation, or arrest in connection with 
the enforcement of this part or any other applicable law.
    (i) Destroy, stave, or dispose of in any manner, any fish, gear, 
cargo, or other matter, upon any communication or signal from an 
authorized officer of the United States, or upon the approach of such an 
officer, enforcement vessel, or aircraft, before the officer has had the 
opportunity to inspect same, or in contravention of directions from such 
an officer.
    (j) Intentionally destroy evidence that could be used to determine 
if a violation of this part has occurred.
    (k) Assault, resist, oppose, impede, intimidate, threaten, obstruct, 
delay, prevent, or interfere, in any manner, with an authorized officer 
in the conduct of any boarding, inspection, search, seizure, 
investigation, or arrest in connection with enforcement of this part.
    (l) Resist a lawful arrest or detention for any act prohibited by 
this part.
    (m) Interfere with, delay, or prevent, by any means, the 
apprehension, arrest, or detection of another person, knowing that such 
person has committed any act prohibited by this part.
    (n) Interfere with, obstruct, delay, or prevent, by any means, an 
investigation, search, seizure, or disposition of seized property in 
connection with enforcement of this part.
    (o) Ship, transport, offer for sale, sell, purchase, import, export, 
or have custody, control, or possession of, any living marine resource 
taken or retained in violation of this part.
    (p) Violate any provision of any statute implemented by this part.
    (q) Attempt to do any of the foregoing.



Sec. 300.5  Facilitation of enforcement.

    (a) Compliance. The operator of, or any other person aboard, any 
fishing vessel subject to this part must immediately comply with 
instructions and signals issued by an authorized officer or CCAMLR 
inspector to stop the vessel, and with instructions to facilitate safe 
boarding and inspection of the vessel, its gear, equipment, fishing 
record (where applicable), and catch for purposes of enforcing this 
part.
    (b) Communications. (1) Upon being approached by a USCG vessel or 
aircraft, or other vessel or aircraft with an authorized officer or 
CCAMLR inspector aboard, the operator of a fishing vessel must be alert 
for communications conveying enforcement instructions.
    (2) VHF-FM radiotelephone is the preferred method of communicating 
between vessels. If the size of the vessel and the wind, sea, and 
visibility conditions allow, a loudhailer may be used instead of the 
radio. Hand signals, placards, high frequency radiotelephone, voice, 
flags, whistle or horn may be employed by an authorized officer or 
CCAMLR inspector, and message blocks may be dropped from an aircraft.
    (3) If other communications are not practicable, visual signals may 
be

[[Page 304]]

transmitted by flashing light directed at the vessel signaled. USCG 
units will normally use the flashing light signal ``L'' which, in the 
International Code of Signals, means ``you should stop your vessel 
instantly.''
    (4) Failure of a vessel's operator promptly to stop the vessel when 
directed to do so by an authorized officer or CCAMLR inspector, or by an 
enforcement vessel or aircraft, using loudhailer, radiotelephone, 
flashing light, flags, whistle, horn or other means constitutes prima 
facie evidence of the offense of refusal to allow an authorized officer 
or CCAMLR inspector to board.
    (5) A person aboard a vessel who does not understand a signal from 
an enforcement unit and who is unable to obtain clarification by 
loudhailer or radiotelephone must consider the signal to be a command to 
stop the vessel immediately.
    (c) Boarding. The operator of a vessel directed to stop must:
    (1) Monitor Channel 16, VHF-FM, if so equipped.
    (2) Stop immediately and lay to or, if appropriate and/or directed 
to do so by the authorized officer or CCAMLR inspector, maneuver in such 
a way as to allow the safe boarding of the vessel by the authorized 
officer or CCAMLR inspector and the boarding party.
    (3) Except for those vessels with a freeboard of 4 ft (1.25 m) or 
less, provide a safe ladder, if needed, for the authorized officer or 
CCAMLR inspector and boarding party to come aboard.
    (4) When necessary to facilitate the boarding or when requested by 
an authorized officer or CCAMLR inspector, provide a manrope or safety 
line, and illumination for the ladder.
    (5) Take such other actions as necessary to facilitate boarding and 
to ensure the safety of the authorized officer or CCAMLR inspector and 
the boarding party.
    (d) Signals. The following signals, extracted from the International 
Code of Signals, may be sent by flashing light by an enforcement unit 
when conditions do not allow communications by loudhailer or 
radiotelephone. Knowledge of these signals by vessel operators is not 
required. However, knowledge of these signals and appropriate action by 
a vessel operator may preclude the necessity of sending the signal ``L'' 
and the necessity for the vessel to stop instantly.
    (1) ``AA'' repeated (.- .-) is the call to an unknown station. The 
operator of the signaled vessel should respond by identifying the vessel 
by radiotelephone or by illuminating the vessel's identification.
    (2) ``RY-CY'' (.-. -.-- -.-. -.--) means ``you should proceed at 
slow speed, a boat is coming to you.'' This signal is normally employed 
when conditions allow an enforcement boarding without the necessity of 
the vessel being boarded coming to a complete stop, or, in some cases, 
without retrieval of fishing gear that may be in the water.
    (3) ``SQ3'' (... --.- ...--) means ``you should stop or heave to; I 
am going to board you.''



                     Subpart B--High Seas Fisheries

    Authority: 16 U.S.C. 5501 et seq.



Sec. 300.10  Purpose.

    This subpart implements the High Seas Fishing Compliance Act of 1995 
(Act), which requires the Secretary to license U.S. vessels fishing on 
the high seas.



Sec. 300.11  Definitions.

    In addition to the terms defined in section 300.2 and those in the 
Act and the Agreement to Promote Compliance with International 
Conservation and Management Measures by Fishing Vessels on the High 
Seas, adopted by the Conference of the Food and Agriculture Organization 
of the United Nations on November 24, 1993 (Agreement), the terms used 
in this subpart have the following meanings. If a term is defined 
differently in Sec. 300.2, the Act, or the Agreement, the definition in 
this section shall apply.
    High seas means the waters beyond the territorial sea or exclusive 
economic zone (or the equivalent) of any Nation, to the extent that such 
territorial sea or exclusive economic zone (or the equivalent) is 
recognized by the United States.
    High seas fishing vessel means any vessel of the United States used 
or intended for use on the high seas for the

[[Page 305]]

purpose of the commercial exploitation of living marine resources as a 
harvesting vessel, mothership, or any other support vessel directly 
engaged in a fishing operation.
    International conservation and management measures means measures to 
conserve or manage one or more species of living marine resources that 
are adopted and applied in accordance with the relevant rules of 
international law, as reflected in the 1982 United Nations Convention on 
the Law of the Sea, and that are recognized by the United States.
    Regional Director means any one of the Directors of the five NMFS 
regional offices, defined under Sec. 300.2, serving as the issuing 
office.



Sec. 300.12  Issuing offices.

    Any Regional Director may issue permits required under this subpart. 
While applicants for permits may submit an application to any Regional 
Director, applicants are encouraged to submit their applications (with 
envelopes marked ``Attn: HSFCA Permits'') to the Regional Director with 
whom they normally interact on fisheries matters.



Sec. 300.13  Vessel permits.

    (a) Eligibility. (1) Except for vessels having unpaid or overdue 
civil penalties, criminal fines, or other liabilities incurred in a 
judicial proceeding under any statute administered by NOAA, any high 
seas fishing vessel of the United States is eligible to receive a permit 
under this subpart, unless the vessel was previously authorized to be 
used for fishing on the high seas by a foreign nation, and--
    (i) The foreign nation suspended such authorization, because the 
vessel undermined the effectiveness of international conservation and 
management measures, and the suspension has not expired; or
    (ii) The foreign nation, within the 3 years preceding application 
for a permit under this section, withdrew such authorization, because 
the vessel undermined the effectiveness of international conservation 
and management measures.
    (2) The restrictions in paragraphs (a)(1) (i) and (ii) of this 
section do not apply if ownership of the vessel has changed since the 
vessel undermined the effectiveness of international conservation and 
management measures, and the new owner has provided sufficient evidence 
to the Regional Director demonstrating that the owner and operator at 
the time the vessel undermined the effectiveness of such measures has no 
further legal, beneficial, or financial interest in, or control of, the 
vessel.
    (3) The restrictions in paragraphs (a)(1) (i) and (ii) of this 
section do not apply if it is determined by the Regional Director that 
issuing a permit would not subvert the purposes of the Agreement.
    (b) Application forms. The owner or operator of a high seas fishing 
vessel may apply for a permit under this subpart by completing an 
application form. Applicants may obtain an application form from a 
Regional Director.
    (c) Application information. An applicant must submit a complete and 
accurate permit application, signed by the owner or operator, to the 
appropriate Regional Director.
    (d) Fees. NMFS will charge a fee to recover the administrative 
expenses of permit issuance. The amount of the fee will be determined in 
accordance with the procedures of the NOAA Finance Handbook, available 
from a Regional Director, for determining administrative costs of each 
special product or service. The fee is specified with the application 
form. The appropriate fee must accompany each application. Failure to 
pay the fee will preclude issuance of the permit. Payment by a 
commercial instrument later determined to be insufficiently funded will 
invalidate any permit.
    (e) Issuance. (1) Except as provided in subpart D of 15 CFR part 
904, the Regional Director will issue a permit, which will include 
appropriate conditions or restrictions, within 30 days of receipt of a 
completed application and payment of the appropriate fee.
    (2) The Regional Director will notify the applicant of any 
deficiency in the application.
    (f) Validity. Permits issued under this subpart are valid for 5 
years from the date of issuance. Renewal of a permit

[[Page 306]]

prior to its expiration is the responsibility of the permit holder. For 
a permit to remain valid to its expiration date, the vessel's USCG 
documentation or state registration must be kept current. A permit 
issued under this subpart is void when the name of the owner or vessel 
changes, or in the event the vessel is no longer eligible for U.S. 
documentation, such documentation is revoked or denied, or the vessel is 
removed from such documentation.
    (g) Change in application information. Any changes in vessel 
documentation status or other permit application information must be 
reported to the Regional Director in writing within 15 days of such 
changes.
    (h) Transfer. A permit issued under this subpart is not transferable 
or assignable to another vessel or owner; it is valid only for the 
vessel and owner to which it is issued.
    (i) Display. A valid permit, or a copy thereof, issued under this 
subpart must be on board the vessel while operating on the high seas and 
available for inspection by an authorized officer. Faxed copies of 
permits are acceptable.
Sec. 300.14  Vessel and gear identification. [Reserved]



Sec. 300.15  Prohibitions.

    In addition to the prohibitions in section 300.4, it is unlawful for 
any person to:
    (a) Use a high seas fishing vessel on the high seas in contravention 
of international conservation and management measures.
    (b) Use a high seas fishing vessel on the high seas, unless the 
vessel has on board a valid permit issued under section 300.13.



Sec. 300.16  Penalties.

    Any person or high seas fishing vessel found to be in violation of 
the Act, this subpart, or any permit issued under this subpart will be 
subject to the civil and criminal penalty provisions, permit sanctions, 
and forfeiture provisions prescribed in the Act, 15 CFR part 904 (Civil 
Procedures), and other applicable laws.
Sec. 300.17  Reporting and recordkeeping. [Reserved]



                    Subpart C--Pacific Tuna Fisheries

    Authority: 16 U.S.C. 951-961 and 971 et seq.



Sec. 300.20  Purpose and scope.

    The regulations in this subpart implement the Tuna Conventions Act 
of 1950 (Act), the Atlantic Tunas Convention Act of 1975, and the IATTC 
recommendations for the conservation of yellowfin tuna and the 
recommendations of the International Commission for the Conservation of 
Atlantic Tunas for the conservation of bluefin tuna, so far as they 
affect vessels and persons subject to the jurisdiction of the United 
States.



Sec. 300.21  Definitions.

    In addition to the terms defined in Sec. 300.2, in the Act, the 
Convention for the Establishment of an Inter-American Tropical Tuna 
Commission, and the International Convention for the Conservation of 
Atlantic Tunas, the terms used in this subpart have the following 
meanings. If a term is defined differently in Sec. 300.2, the Act, or 
the Conventions, the definition in this section shall apply.
    Bluefin tuna means the fish species Thunnus thynnus that is found in 
any ocean area.
    Fishing vessel means any vessel, boat, ship, or other craft that is 
used for, equipped to be used for, or of a type that is normally used 
for fishing or for assisting or supporting a vessel engaged in fishing, 
except purse seine skiffs.
    Pacific bluefin tuna means the subspecies of bluefin tuna Thunnus 
thynnus orientalis that is found in the Pacific Ocean.
    Regional Director means the Director, Southwest Region.
    Tag means the flexible, self-locking ribbon issued by the NMFS for 
the identification of bluefin tuna under Sec. 300.26 or 285.30 of 
chapter II of this title.

[[Page 307]]



Sec. 300.22  Yellowfin tuna--Recordkeeping and written reports.

    The master or other person in charge of a fishing vessel, or a 
person authorized in writing to serve as the agent for either person, 
must keep an accurate log of all operations conducted from the fishing 
vessel, entering for each day the date, noon position (stated in 
latitude and longitude or in relation to known physical features), and 
the tonnage of fish on board, by species. The record and bridge log 
maintained at the request of the IATTC shall be sufficient to comply 
with this paragraph, provided the items of information specified are 
accurately entered in the log.



Sec. 300.23  Yellowfin tuna--Persons and vessels exempted.

    This subpart does not apply to:
    (a) Any person or vessel authorized by the IATTC, the Assistant 
Administrator, or any state of the United States to engage in fishing 
for research purposes.
    (b) Any person or vessel engaged in sport fishing for personal use.



Sec. 300.24  Pacific bluefin tuna--Dealer permits.

    (a) General. A dealer importing Pacific bluefin tuna, or purchasing 
or receiving for export Pacific bluefin tuna first landed in the United 
States, must have a valid permit issued under this section.
    (b) Application. A dealer must apply for a permit in writing on an 
appropriate form obtained from the Regional Director. The application 
must be signed by the dealer and be submitted to the Regional Director 
at least 30 days before the date upon which the dealer desires to have 
the permit made effective. The application must contain the following 
information: Company name, principal place of business, owner's or 
owners' names, applicant's name (if different from owner or owners) and 
mailing address and telephone number, and any other information required 
by the Regional Director.
    (c) Issuance. (1) Except as provided in subpart D of 15 CFR part 
904, the Regional Director will issue a permit within 30 days of receipt 
of a completed application.
    (2) The Regional Director will notify the applicant of any 
deficiency in the application. If the applicant fails to correct the 
deficiency within 15 days following the date of notification, the 
application will be considered abandoned.
    (d) Duration. Any permit issued under this section is valid until 
December 31 of the year for which it is issued, unless suspended or 
revoked.
    (e) Alteration. Any permit that is substantially altered, erased, or 
mutilated is invalid.
    (f) Replacement. The Regional Director may issue replacement 
permits. An application for a replacement permit is not considered a new 
application.
    (g) Transfer. A permit issued under this section is not transferable 
or assignable; it is valid only for the dealer to whom it is issued.
    (h) Inspection. The dealer must keep the permit issued under this 
section at his/her principal place of business. The permit must be 
displayed for inspection upon request of any authorized officer, or any 
employee of NMFS designated by the Regional Director for such purpose.
    (i) Sanctions. The Assistant Administrator may suspend, revoke, 
modify, or deny a permit issued or sought under this section. Procedures 
governing permit sanctions and denials are found at subpart D of 15 CFR 
part 904.
    (j) Fees. The Regional Director may charge a fee to recover the 
administrative expenses of permit issuance. The amount of the fee is 
calculated, at least annually, in accordance with the procedures of the 
NOAA Finance Handbook, available from the Regional Director, for 
determining administrative costs of each special product or service. The 
fee may not exceed such costs and is specified on each application form. 
The appropriate fee must accompany each application. Failure to pay the 
fee will preclude issuance of the permit. Payment by a commercial 
instrument later determined to be insufficiently funded shall invalidate 
any permit.
    (k) Change in application information. Within 15 days after any 
change in the information contained in an application submitted under 
this section, the dealer issued a permit must report the change to the 
Regional Director in

[[Page 308]]

writing. The permit is void if any change in information is not reported 
within 15 days.



Sec. 300.25  Pacific bluefin tuna--Dealer recordkeeping and reporting.

    Any person issued a dealer permit under Sec. 300.24:
    (a) Must submit to the Regional Director a biweekly report on 
bluefin imports and exports on forms supplied by NMFS.
    (1) The report required by this paragraph (a) must be postmarked and 
mailed at the dealer's expense within 10 days after the end of each 2-
week reporting period in which Pacific bluefin tuna were exported. The 
biweekly reporting periods are defined as the first day to the 14th day 
of each month and the 15th day to the last day of the month.
    (2) Each report must specify accurately and completely for each tuna 
or each shipment of bulk-frozen tuna exported: Date of landing or 
import; any tag number (if so tagged); weight in kilograms (specify if 
round or dressed); and any other information required by the Regional 
Director. At the top of each form, the company's name, license number, 
and the name of the person filling out the report must be specified. In 
addition, the beginning and ending dates of the 2-week reporting period 
must be specified by the dealer and noted at the top of the form.
    (b) Must allow an authorized officer, or any employee of NMFS 
designated by the Regional Director for this purpose, to inspect and 
copy any records of transfers, purchases, or receipts of Pacific bluefin 
tuna.
    (c) Must retain at his/her principal place of business a copy of 
each biweekly report for a period of 2 years from the date on which it 
was submitted to the Regional Director.



Sec. 300.26  Pacific bluefin tuna--Tags.

    (a) Issuance. The Regional Director will issue numbered tags to each 
person receiving a dealer's permit under Sec. 300.24.
    (b) Transfer. Tail tags issued under this section are not 
transferable and are usable only by the permitted dealer to whom they 
are issued.
    (c) Affixing tags. At the discretion of dealers permitted under 
Sec. 300.24, a tag issued under paragraph (a) of this section may be 
affixed to each Pacific bluefin tuna purchased or received by the 
dealer. If so tagged, the tag must be affixed to the tuna between the 
fifth dorsal finlet and the keel and tag numbers must be recorded on 
NMFS reports required by Sec. 300.25(a) and any documents accompanying 
the shipment of Pacific bluefin tuna for domestic commercial use or 
export.
    (d) Removal. A NMFS-issued tag affixed to any Pacific bluefin tuna 
at the option of any permitted dealer under paragraph (c) of this 
section or any tag affixed to any Pacific bluefin tuna to meet the 
requirements of Sec. 285.202(a)(6)(v) of this chapter must remain on the 
tuna until the tuna is cut into portions. If the tuna or tuna parts 
subsequently are packaged for transport for domestic commercial use or 
for export, the tag number must be written legibly and indelibly on the 
outside of any package or container.
    (e) Reuse. Tags issued under this section are separately numbered 
and may be used only once, one tail tag per fish, to distinguish the 
purchase of one Pacific bluefin tuna. Once affixed to a tuna or recorded 
on any package, container or report, a tail tag and associated number 
may not be reused.



Sec. 300.27  Pacific bluefin tuna--Documentation requirements.

    Bluefin tuna imported into, or exported or re-exported from the 
customs territory of the United States is subject to the documentation 
requirements specified in part 285 of this chapter (Secs. 285.200-
285.203).



Sec. 300.28  Pacific bluefin tuna--Prohibitions.

    In addition to the prohibitions in Sec. 300.4, it is unlawful for 
any person or vessel subject to the jurisdiction of the United States 
to:
    (a) Import Pacific bluefin tuna or purchase or receive for export 
Pacific bluefin tuna first landed in the United States without a valid 
dealer permit issued under Sec. 300.24.
    (b) Remove any NMFS-issued tag affixed to any Pacific bluefin tuna 
at the option of any permitted dealer or any

[[Page 309]]

tag affixed to a Pacific bluefin tuna to meet the requirements of 
Sec. 285.202(a)(6)(v) of this chapter, before removal is allowed under 
Sec. 300.26, or fail to write the tag number on the shipping package or 
container as specified in Sec. 300.26.
    (c) Reuse any NMFS-issued tag affixed to a Pacific bluefin tuna at 
the option of a permitted dealer or any tag affixed to a Pacific bluefin 
tuna to meet the requirements of Sec. 285.202(a)(6)(v) of this chapter 
or reuse any tag number previously written on a shipping package or 
container as prescribed by Sec. 300.26.



                 Subpart D--South Pacific Tuna Fisheries

    Authority: 16 U.S.C. 973-973r.



Sec. 300.30  Purpose and scope.

    This subpart implements the South Pacific Tuna Act of 1988 (Act) and 
the Treaty on Fisheries Between the Governments of Certain Pacific 
Island States and the Government of the United States of America 
(Treaty) and applies to persons and vessels subject to the jurisdiction 
of the United States.



Sec. 300.31  Definitions.

    In addition to the terms defined in Sec. 300.2, in the Act, and in 
the Treaty, and unless the context requires otherwise, the terms used in 
this subpart have the following meanings. If a term is defined 
differently in Sec. 300.2, the Act, or the Treaty, the definition in 
this section shall apply.
    Administrator means the individual or organization designated by the 
Pacific Island Parties to act on their behalf under the Treaty and 
notified to the United States.
    Applicable national law means any provision of law of a Pacific 
Island Party that is described in paragraph 1(a) of Annex I of the 
Treaty.
    Authorized inspector means any individual authorized by a Pacific 
Island Party or the Secretary to conduct inspections, to remove samples 
of fish, and to gather any other information relating to fisheries in 
the Licensing Area.
    Authorized officer means any officer who is authorized by the 
Secretary, or the Secretary of Transportation, or the head of any 
Federal or state agency that has entered into an enforcement agreement 
with the Secretary under section 10(a) of the Act.
    Authorized party officer means any officer authorized by a Pacific 
Island Party to enforce the provisions of the Treaty.
    Closed area means any of the closed areas identified in Schedule 2 
of Annex I of the Treaty.
    Fishing means searching for, catching, taking, or harvesting fish; 
attempting to search for, catch, take, or harvest fish; engaging in any 
other activity that can reasonably be expected to result in the 
locating, catching, taking, or harvesting of fish; placing, searching 
for, or recovering fish aggregating devices or associated electronic 
equipment such as radio beacons; any operations at sea directly in 
support of, or in preparation for, any activity described in this 
paragraph; or aircraft use, relating to the activities described in this 
definition, except for flights in emergencies involving the health or 
safety of crew members or the safety of a vessel.
    Fishing arrangement means an arrangement between a Pacific Island 
Party and the owner of a U.S. fishing vessel that complies with section 
6(b) of the Act.
    Fishing vessel or vessel means any boat, ship, or other craft that 
is used for, equipped to be used for, or of a type normally used for 
commercial fishing, and that is documented under the laws of the United 
States.
    Licensing Area means all waters in the Treaty Area except for:
    (1) Those waters subject to the jurisdiction of the United States in 
accordance with international law.
    (2) Those waters within closed areas.
    (3) Those waters within limited areas closed to fishing.
    Licensing period means the period of validity of licenses issued in 
accordance with the Treaty.
    Limited area(s) means those areas so identified in Schedule 3 of 
Annex I of the Treaty.
    Operator means any person who is in charge of, directs or controls a 
vessel,

[[Page 310]]

including the owner, charterer and master.
    Pacific Island Party means a Pacific island nation that is a party 
to the Treaty.
    Regional Director means the Director, Southwest Region, or a 
designee.
    Transship means to unload any or all of the fish on board a licensed 
vessel either ashore or onto another vessel.
    Treaty Area means the area described in paragraph 1(k) of Article I 
of the Treaty.



Sec. 300.32  Vessel licenses.

    (a) Each vessel fishing in the Licensing Area must have a license 
issued by the Administrator for the licensing period being fished, 
unless excepted by Sec. 300.39. Each licensing period begins on June 15 
and ends on June 14 of the following year.
    (b) Upon receipt, the license or a duly certified copy, facsimile or 
telex confirmation must be carried on board the vessel when in the 
Licensing Area or Closed Areas and must be produced at the request of 
authorized officers, authorized party officers, or authorized 
inspectors. Prior to receipt of the license, but after issuance, a 
vessel may be used to fish, provided the number of the issued license is 
available on board.
    (c) Application forms for licenses to use a vessel to fish in the 
Licensing Area may be requested from, and upon completion, must be 
returned to, the Regional Director. All of the information requested on 
the form and the following must be supplied before the application will 
be considered complete:
    (1) The licensing period for which the license is requested.
    (2) The name of an agent, located in Port Moresby, Papua New Guinea, 
who, on behalf of the license holder, will receive and respond to any 
legal process issued in accordance with the Treaty.
    (3) Documentation from an insurance company showing that the vessel 
will be fully insured for the licensing period against all risks and 
liabilities normally covered by maritime liability insurance.
    (4) If the owner or charterer is the subject of proceedings under 
the bankruptcy laws of the United States, reasonable assurances that the 
owner of charterer will be financially able to fulfill any and all 
responsibilities under the Treaty, Act, and regulations, including the 
payment of any penalties or fines.
    (5) A copy of the vessel's USCG Certificate of Documentation.
    (d) The number of available licenses are set forth in Schedule 2 of 
Annex II of the Treaty.
    (e) Applications for vessels may be submitted at any time; complete 
applications will be forwarded to the Secretary of State for transmittal 
to the Administrator.
    (f) The Secretary, in consultation with the Secretary of State, may 
determine that a license application for a vessel should not be 
forwarded to the Administrator if:
    (1) The application is not in accord with the Treaty, Act, or 
regulations;
    (2) The owner or charterer is the subject of proceedings under the 
bankruptcy laws of the United States, and reasonable financial 
assurances have not been provided to the Secretary that the owner or 
charterer will be financially able to fulfill any and all 
responsibilities under the Treaty, Act, and regulations, including the 
payment of any penalties or fines;
    (3) The owner or charterer has not established to the satisfaction 
of the Secretary that the vessel will be fully insured for the licensing 
period against all risks and liabilities normally covered by maritime 
liability insurance; or
    (4) The owner or charterer has not paid any final penalty assessed 
by the Secretary in accordance with the Act.
    (g) An applicant will be promptly notified if that applicant's 
license application will not be forwarded to the Administrator, and of 
the reasons therefor. Within 15 days of notification by the Regional 
Director that the application will not be forwarded, an applicant may 
request reconsideration by providing a petition for reconsideration 
accompanied by new or additional information.



Sec. 300.33  Compliance with applicable national laws.

    The operator of the vessel shall comply with each of the applicable 
national laws, and the operator of the

[[Page 311]]

vessel shall be responsible for the compliance by the vessel and its 
crew with each of the applicable national laws, and the vessel shall be 
operated in accordance with those laws.



Sec. 300.34  Reporting requirements.

    (a) License holders shall comply with the reporting requirements of 
parts 4 and 5 of Annex I to the Treaty.
    (b) Information provided by license holders under Schedule 5 of 
Annex I of the Treaty shall be provided on the designated Forum 
Fisheries Agency form(s) to the Regional Director within 2 days of 
reaching port.
    (c) Information provided by license holders under Schedule 6 of 
Annex I of the Treaty shall be provided on the designated Forum 
Fisheries Agency form(s) to the Regional Director within 2 days of 
completing unloading.
    (d) Any information required to be recorded, or to be notified, 
communicated or reported pursuant to a requirement of these regulations, 
the Act, or the Treaty shall be true, complete and correct. Any change 
in circumstances that has the effect of rendering any of the information 
provided false, incomplete or misleading shall be communicated 
immediately to the Regional Director.



Sec. 300.35  Vessel and gear identification.

    While a vessel is in the Licensing Area, a Limited Area closed to 
fishing, or a Closed Area, a recent and up-to-date copy of the 
International Code of Signals (INTERCO) shall be on board and accessible 
at all times. The operator shall comply with the 1989 Food and 
Agricultural Organization standard specifications for the marking and 
identification of fishing vessels. The international radio call sign of 
the vessel shall be painted in white on a black background, or in black 
on a white background, and be clear, distinct, and uncovered, in the 
following manner:
    (a) On both sides of the vessel's hull or superstructure, with each 
letter and number being at least 1 m high and having a stroke width of 
16.7 cm, with the background extending to provide a border around the 
mark of not less than 16.7 cm.
    (b) On the vessel's deck, on the body of any helicopter and on the 
hull of any skiff, with each letter and number being at least 30 cm 
high, and having a stroke width of 5 cm with the background extending to 
provide a border around the mark of not less than 5 cm.
    (c) On any other equipment being carried by and intended to be 
separated from the vessel during normal fishing operations, with each 
letter and number being at least 10 cm high and having a stroke width of 
1.7 cm, with the background extending to provide a border around the 
mark of not less than 1.7 cm.



Sec. 300.36  Closed area stowage requirements.

    At all times while a vessel is in a Closed Area, the fishing gear of 
the vessel shall be stowed in a manner as not to be readily available 
for fishing. In particular, the boom shall be lowered as far as possible 
so that the vessel cannot be used for fishing, but so that the skiff is 
accessible for use in emergency situations; the helicopter, if any shall 
be tied down; and launches shall be secured.



Sec. 300.37  Radio monitoring.

    The international distress frequency, 2.182 mHz, and 156.8 mHz 
(Channel 16, VHF) shall be monitored continuously from the vessel for 
the purpose of facilitating communication with the fisheries management, 
surveillance and enforcement authorities of the Parties.



Sec. 300.38  Prohibitions.

    (a) Except as provided for in Sec. 300.39, in addition to the 
prohibitions in Sec. 300.4, it is unlawful for any person subject to the 
jurisdiction of the United States to do any of the following:
     (1) To violate the Act or any provision of any regulation or order 
issued pursuant to Act.
    (2) To use a vessel for fishing in violation of an applicable 
national law.
    (3) To violate the terms and conditions of any fishing arrangement 
to which that person is a party.
    (4) To use a vessel for fishing in a Limited Area in violation of 
the requirements set forth in Schedule 3 of Annex I of the Treaty on 
``Limited Areas''.
    (5) To use a vessel for fishing in any Closed Area.

[[Page 312]]

    (6) To refuse to permit any authorized officer or authorized party 
officer to board a fishing vessel for purpose of conducting a search or 
inspection in connection with the enforcement of the Act or the Treaty.
    (7) To refuse to comply with the instructions of an authorized 
officer or authorized party officer relating to fishing activities under 
the Treaty.
    (8) To refuse to permit an authorized inspector full access to any 
place where fish taken in the Licensing Area is unloaded.
    (9) To refuse to allow an authorized inspector to remove samples of 
fish from a vessel that fished in the Licensing Area.
    (10) To forcibly assault, resist, oppose, impede, intimidate, or 
interfere with:
    (i) Any authorized officer, authorized party officer or authorized 
inspector in the conduct of a search or inspection in connection with 
the enforcement of these regulations, the Act or the Treaty; or
    (ii) An observer in the conduct of observer duties under the Treaty.
    (11) To transship fish on board a vessel that fished in the 
Licensing Area, except in accordance with the conditions set out in 
parts 3 and 4 of Annex I to the Treaty.
    (b) Except as provided for in Sec. 300.39, it is unlawful for any 
person subject to the jurisdiction of the United States when in the 
Licensing Area:
    (1) To use a vessel to fish unless validly licensed as required by 
the Administrator.
    (2) To use a vessel for directed fishing for southern bluefin tuna 
or for fishing for any kinds of fish other than tunas, except that fish 
may be caught as a incidental bycatch.
    (3) To use a vessel for fishing by any method, except the purse-
seine method.
    (4) To use any vessel to engage in fishing after the revocation of 
its license, or during the period of suspension of an applicable 
license.
    (5) To operate a vessel in such a way as to disrupt or in any other 
way adversely affect the activities of traditional and locally based 
fishermen and fishing vessels.
    (6) To use a vessel to fish in a manner inconsistent with an order 
issued by the Secretary under Sec. 300.42 (section 11 of the Act).
    (7) Except for circumstances involving force majeure and other 
emergencies involving the health or safety of crew members or the safety 
of the vessel, to use aircraft in association with fishing activities of 
a vessel, unless it is identified on the license application for the 
vessel, or any amendment thereto.



Sec. 300.39  Exceptions.

    (a) The prohibitions of Sec. 300.38 and the licensing requirements 
of Sec. 300.32 do not apply to fishing for albacore tuna by vessels 
using the trolling method outside of the 200 nautical mile fisheries 
zones of the Pacific Island Parties.
    (b) The prohibitions of Sec. 300.38(a)(4), (a)(5), and (b)(3) do not 
apply to fishing under the terms and conditions of a fishing 
arrangement.



Sec. 300.40  Civil penalties.

    The procedures of 15 CFR part 904 apply to the assessment of civil 
penalties, except as modified by the requirements of section 8 of the 
Act.



Sec. 300.41  Investigation notification.

    Upon commencement of an investigation under section 10(b)(1) of the 
Act, the operator of any vessel concerned shall have 30 days after 
receipt of notification of the investigation and the operator's rights 
under section 10(b)(1) to submit comments, information, or evidence 
bearing on the investigation, and to request in writing that the 
Secretary provide the operator an opportunity to present the comments, 
information, or evidence orally to the Secretary or the Secretary's 
representative.



Sec. 300.42  Findings leading to removal from fishing area.

    (a) Following an investigation conducted under section 10(b) of the 
Act, the Secretary, with the concurrence of the Secretary of State, and 
upon the request of the Pacific Island Party concerned, may order a 
fishing vessel that has not submitted to the jurisdiction of that 
Pacific Island Party to leave immediately the Licensing Area, all 
Limited Areas, and all Closed Areas upon making a finding that:

[[Page 313]]

    (1) The fishing vessel--
    (i) While fishing in the Licensing Area did not have a license under 
the Treaty to fish in the Licensing Area, and that under paragraph 2 of 
Article 3 of the Treaty, the fishing is not authorized to be conducted 
in the Licensing Area without a license;
    (ii) Was involved in any incident in which an authorized officer, 
authorized party officer, or observer was allegedly assaulted with 
resultant bodily harm, physically threatened, forcibly resisted, refused 
boarding or subjected to physical intimidation or physical interference 
in the performance of duties as authorized by the Act or the Treaty;
    (iii) Has not made full payment within 60 days of any amount due as 
a result of a final judgement or other final determination deriving from 
a violation in waters within the Treaty Area of a Pacific Island Party; 
or
    (iv) Was not represented by an agent for service of process in 
accordance with the Treaty; or
    (2) There is probable cause to believe that the fishing vessel--
    (i) Was used in violation of section 5(a)(4), (a)(5), (b)(2), or 
(b)(3) of the Act;
    (ii) Used an aircraft in violation of section 5(b)(7) of the Act; or
    (iii) Was involved in an incident in which section 5(a)(7) of the 
Act was violated.
    (b) Upon being advised by the Secretary of State that proper 
notification to Parties has been made under paragraph 7 of Article 5 of 
the Treaty that a Pacific Island Party is investigating an alleged 
infringement of the Treaty by a vessel in waters under the jurisdiction 
of that Pacific Island Party, the Secretary shall order the vessel to 
leave those waters until the Secretary of State notifies the Secretary 
that the order is no longer necessary.
    (c) The Secretary shall rescind any order issued on the basis of a 
finding under paragraphs (a)(1) (iii) or (iv) of this section 
(subsections 11(a)(1) (C) or (D) of the Act) as soon as the Secretary 
determines that the facts underlying the finding do not apply.
    (d) An order issued in accordance with this section is not subject 
to judicial review.



Sec. 300.43  Observers.

    (a) The operator and each member of the crew of a vessel shall allow 
and assist any person identified as an observer under the Treaty by the 
Pacific Island Parties:
    (1) To board the vessel for scientific, compliance, monitoring and 
other functions at the point and time notified by the Pacific Island 
Parties to the Secretary.
    (2) Without interfering unduly with the lawful operation of the 
vessel, to have full access to and use of facilities and equipment on 
board the vessel that the observer may determine are necessary to carry 
out observer duties; have full access to the bridge, fish on board, and 
areas that may be used to hold, process, weigh and store fish; remove 
samples; have full access to vessel's records, including its log and 
documentation for the purpose of inspection and copying; have reasonable 
access to navigation equipment, charts, and radios, and gather any other 
information relating to fisheries in the Licensing Area.
    (3) To disembark at the point and time notified by the Pacific 
Island Parties to the Secretary.
    (4) To carry out observer duties safely.
    (b) The operator shall provide the observer, while on board the 
vessel, at no expense to the Pacific Island Parties, with food, 
accommodation and medical facilities of reasonable standard as may be 
acceptable to the Pacific Island Party whose representative is serving 
as the observer.



Sec. 300.44  Other inspections.

    The operator and each member of the crew of any vessel from which 
any fish taken in the Licensing Area is unloaded or transshipped shall 
allow, or arrange for, and assist any authorized inspector, authorized 
party officer, or authorized officer to have full access to any place 
where the fish is unloaded or transshipped, to remove samples, to have 
full access to the vessel's records, including its log and documentation 
for the purpose of inspection and photocopying, and to gather any other 
information relating to fisheries in the

[[Page 314]]

Licensing Area without interfering unduly with the lawful operation of 
the vessel.



                  Subpart E--Pacific Halibut Fisheries

    Authority: 16 U.S.C. 773-773k.



Sec. 300.60  Purpose and scope.

    This subpart implements the North Pacific Halibut Act of 1982 (Act) 
and is intended to supplement, not conflict with, the annual fishery 
management measures adopted by the International Pacific Halibut 
Commission (Commission) under the Convention between the United States 
and Canada for the Preservation of the Halibut Fishery of the Northern 
Pacific Ocean and Bering Sea (Convention).



Sec. 300.61  Definitions.

    In addition to the terms defined in Sec. 300.2 and those in the Act 
and the Convention, the terms used in this subpart have the following 
meanings. If a term is defined differently in Sec. 300.2, the Act, or 
the Convention, the definition in this section shall apply.
    Area 2A includes all waters off the States of California, Oregon, 
and Washington.
    Commercial fishing means fishing, the resulting catch of which 
either is, or is intended to be, sold or bartered.
    Person includes an individual, corporation, firm, or association.
    Subarea 2A-1 includes all U.S. waters off the coast of Washington 
that are north of 46 deg.53'18'' N. lat. and east of 125 deg.44'00'' W. 
long., and all inland marine waters of Washington.
    Treaty Indian tribes means the Hoh, Jamestown S'Klallam, Lower Elwha 
S'Klallam, Lummi, Makah, Port Gamble S'Klallam, Quileute, Quinault, 
Skokomish, Suquamish, Swinomish, and Tulalip tribes.



Sec. 300.62  Annual management measures.

    Annual management measures may be added and modified through 
adoption by the Commission and publication in the Federal Register by 
the Assistant Administrator, with immediate regulatory effect. Such 
measures may include, inter alia, provisions governing: Licensing of 
vessels, inseason actions, regulatory areas, fishing periods, closed 
periods, closed areas, catch limits (quotas), fishing period limits, 
size limits, careful release of halibut, vessel clearances, logs, 
receipt and possession of halibut, fishing gear, retention of tagged 
halibut, supervision of unloading and weighing, and sport fishing for 
halibut. The Assistant Administrator will publish the Commission's 
regulations setting forth annual management measures in the Federal 
Register by March 15 each year. Annual management measures may be 
adjusted inseason by the Commission.



Sec. 300.63  Catch sharing plans and domestic management measures.

    Catch sharing plans (CSP) may be developed by the appropriate 
regional fishery management council, and approved by NMFS, for portions 
of the fishery. Any approved catch sharing plan may be obtained from the 
Director, Northwest Region, or the Director, Alaska Region.
    (a) The catch sharing plan for area 2A provides a framework that 
shall be applied to the annual Area 2A total allowable catch (TAC) 
adopted by the Commission, and shall be implemented through domestic and 
Commission regulations, which will be published in the Federal Register 
each year before March 15. The Area 2A CSP allocates halibut among the 
treaty Indian fishery, segments of the non-Indian commercial fishery, 
and segments of the recreational fishery.
    (1) Each year, before January 1, NMFS will publish a proposal to 
govern the recreational fishery under the CSP for the following year and 
will seek public comment. The comment period will extend until after the 
Commission's annual meeting, so the public will have the opportunity to 
consider the final area 2A total allowable catch (TAC) before submitting 
comments. After the Commission's annual meeting and review of public 
comments, NMFS will publish in the Federal Register the final rule 
governing sport fishing in area 2A. Annual management measures may be 
adjusted inseason by NMFS.
    (2) A portion of the commercial TAC is allocated as incidental catch 
in the

[[Page 315]]

salmon troll fishery in Area 2A. Each year the landing restrictions 
necessary to keep the fishery within its allocation will be recommended 
by the Pacific Fishery Management Council at its spring meetings, and 
will be published in the Federal Register along with the annual salmon 
management measures.
    (3) The commercial longline fishery in area 2A is governed by the 
annual management measures published pursuant to Secs. 300.62 and 
300.63.
    (4) The treaty Indian fishery is governed by Sec. 300.64 and tribal 
regulations. The annual quota for the fishery will be announced with the 
Commission regulations under Sec. 300.62
    (b) The catch sharing plan for area 4 allocates the annual TAC among 
area 4 subarea, and will be implemented by the Commission in management 
measures published pursuant to Sec. 300.62.



Sec. 300.64  Fishing by U.S. treaty Indian tribes.

    (a) Halibut fishing in subarea 2A-1 by members of U.S. treaty Indian 
tribes located in the State of Washington is governed by this section.
    (b) Commercial fishing for halibut by treaty Indians is permitted 
only in subarea 2A-1 with hook-and-line gear in conformance with the 
season and quota established annually by the Commission.
    (c) Commercial fishing periods and management measures to implement 
paragraph (b) of this section will be established by treaty Indian 
tribal regulations.
    (d) Commercial fishing for halibut by treaty Indians shall comply 
with the Commission's management measures governing size limits, careful 
release of halibut, logs, and fishing gear (published pursuant to 
Sec. 300.62), except that the 72-hour fishing restriction preceding the 
opening of a halibut fishing period shall not apply to treaty Indian 
fishing.
    (e) Ceremonial and subsistence fishing for halibut by treaty Indians 
in subarea 2A-1 is permitted with hook-and-line gear from January 1 to 
December 31.
    (f) No size or bag limits shall apply to the ceremonial and 
subsistence fishery, except that when commercial halibut fishing is 
prohibited pursuant to paragraph (b) of this section, treaty Indians may 
take and retain not more than two halibut per person per day.
    (g) Halibut taken for ceremonial and subsistence purposes shall not 
be offered for sale or sold.
    (h) Any member of a U.S. treaty Indian tribe who is engaged in 
commercial or ceremonial and subsistence fishing under this section must 
have on his or her person a valid treaty Indian identification card 
issued pursuant to 25 CFR part 249, subpart A, and must comply with the 
treaty Indian vessel and gear identification requirements of Final 
Decision No. 1 and subsequent orders in United States v. Washington 384 
F. Supp. 312 (W.D. Wash., 1974).
    (i) The following table sets forth the fishing areas of each of the 
12 treaty Indian tribes fishing pursuant to this section. Within subarea 
2A-1, boundaries of a tribe's fishing area may be revised as ordered by 
a Federal Court.

------------------------------------------------------------------------
                   Tribe                             Boundaries         
------------------------------------------------------------------------
HOH.......................................  Between 47 deg.54'18'' N.   
                                             lat. (Quillayute River) and
                                             47 deg.21'00'' N. lat.     
                                             (Quinault River), and east 
                                             of 125 deg.44'00'' W. long.
JAMESTOWN S'KLALLAM.......................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             626 F. Supp. 1486, to be   
                                             places at which the        
                                             Jamestown S'Klallam Tribe  
                                             may fish under rights      
                                             secured by treaties with   
                                             the United States.         
LOWER ELWHA S'KLALLAM.....................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             459 F. Supp. 1049 and 1066 
                                             and 626 F. Supp. 1443, to  
                                             be places at which the     
                                             Lower Elwha S'Klallam Tribe
                                             may fish under rights      
                                             secured by treaties with   
                                             the United States.         
LUMMI.....................................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             384 F. Supp. 360, as       
                                             modified in Subproceeding  
                                             No. 89-08 (W.D. Wash.,     
                                             February 13, 1990)         
                                             (decision and order re:    
                                             cross-motions for summary  
                                             judgement), to be places at
                                             which the Lummi Tribe may  
                                             fish under rights secured  
                                             by treaties with the United
                                             States.                    

[[Page 316]]

                                                                        
MAKAH.....................................  North of 48 deg.02'15'' N.  
                                             lat. (Norwegian Memorial), 
                                             west of 123 deg.42'30'' W. 
                                             long., and east of 125     
                                             deg.44'00'' W. long.       
PORT GAMBLE S'KLALLAM.....................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             626 F. Supp. 1442, to be   
                                             places at which the Port   
                                             Gamble S'Klallam Tribe may 
                                             fish under rights secured  
                                             by treaties with the United
                                             States.                    
QUILEUTE..................................  Between 48 deg.07'36'' N.   
                                             lat. (Sand Point) and 47   
                                             deg.31'42'' N. lat. (Queets
                                             River), and east of 125    
                                             deg.44'00'' W. long.       
QUINAULT..................................  Between 47 deg.40'06'' N.   
                                             lat. (Destruction Island)  
                                             and 46 deg.53'18'' N. lat. 
                                             (Point Chehalis), and east 
                                             of 125 deg.44'00'' W. long.
SKOKOMISH.................................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             384 F. Supp. 377, to be    
                                             places at which the        
                                             Skokomish Tribe may fish   
                                             under rights secured by    
                                             treaties with the United   
                                             States.                    
SUQUAMISH.................................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             459 F. Supp. 1049, to be   
                                             places at which the        
                                             Suquamish Tribe may fish   
                                             under rights secured by    
                                             treaties with the United   
                                             States.                    
SWINOMISH.................................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             459 F. Supp. 1049, to be   
                                             places at which the        
                                             Swinomish Tribe may fish   
                                             under rights secured by    
                                             treaties with the United   
                                             States.                    
TULALIP...................................  Those locations in the      
                                             Strait of Juan de Fuca and 
                                             Puget Sound as determined  
                                             in or in accordance with   
                                             Final Decision No. 1 and   
                                             subsequent orders in United
                                             States v. Washington, 384  
                                             F. Supp. 312 (W.D. Wash.,  
                                             1974), and particularly at 
                                             626 F. Supp. 1531-1532, to 
                                             be places at which the     
                                             Tulalip Tribe may fish     
                                             under rights secured by    
                                             treaties with the United   
                                             States.                    
------------------------------------------------------------------------



Sec. 300.65  Prohibitions.

    In addition to the prohibitions in Sec. 300.4, the following 
prohibitions apply within this subpart. It is unlawful for any person to 
fish for halibut except in accordance with:
    (a) The management measures published under Sec. 300.62.
    (b) The catch sharing plans and management measures implemented 
under Sec. 300.63.



        Subpart F--Fraser River Sockeye and Pink Salmon Fisheries

    Authority: Pacific Salmon Treaty Act, 16 U.S.C. 3636(b).



Sec. 300.90  Purpose and scope.

    This subpart implements the Pacific Salmon Treaty Act of 1985 (16 
U.S.C. 3631-3644) (Act) and is intended to supplement, not conflict 
with, the fishery regimes and Fraser River Panel regulations adopted 
under the Treaty between the Government of the United States of America 
and the Government of Canada Concerning Pacific Salmon, signed at 
Ottawa, January 28, 1985 (Treaty).



Sec. 300.91  Definitions.

    In addition to the terms defined in Sec. 300.2 and those in the Act 
and the Treaty, the terms used in this subpart have the following 
meanings. If a term is defined differently in Sec. 300.2, the Act, or 
the Treaty, the definition in this section shall apply.
    All-citizen means any person who is not a treaty Indian fishing in 
that treaty Indian's tribal treaty fishing places pursuant to treaty 
Indian tribal fishing regulations (whether in compliance with such 
regulations or not).
    Authorized officer means, in addition to those individuals 
identified under authorized officer at Sec. 300.2, any state, Federal, 
or other officer as may be authorized by the Secretary in writing, 
including any treaty Indian tribal enforcement officer authorized to 
enforce tribal fishing regulations.
    Commission means the Pacific Salmon Commission established by the 
Pacific Salmon Treaty.
    Consistent regulation or consistent order means any Federal, state, 
or treaty Indian tribal regulation or order that is in addition to and 
not in conflict with (at least as restrictive as)

[[Page 317]]

any regime of the Commission, Fraser River Panel regulation, inseason 
order of the Secretary, or these regulations.
    Fishing gear--
    (1) Gill net means a fishing net of single web construction, not 
anchored, tied, staked, placed, or weighted in such a manner that it 
cannot drift.
    (2) Purse seine means all types of fishing gear consisting of a lead 
line, cork line, auxiliary lines, purse line and purse rings and of mesh 
net webbing fashioned in such a manner that it is used to encircle fish, 
and in addition prevent their escape under the bottom or lead line of 
the net by drawing in the bottom of the net by means of the purse line 
so that it forms a closed bag.
    (3) Reef net means a non-self-fishing open bunt square or 
rectangular section of mesh netting suspended between two anchored boats 
fashioned in such a manner that to impound salmon passing over the net, 
the net must be raised to the surface.
    (4) Troll fishing gear means one or more lines that drag hooks with 
bait or lures behind a moving fishing vessel.
    (5) Treaty Indian fishing gear means fishing gear defined 
authorized, and identified under treaty Indian tribal laws and 
regulations in accordance with the requirements of Final Decision No. 1 
and subsequent orders in United States v. Washington, 384 F. Supp. 312 
(W.D. Wash., 1974).
    Fraser River Panel means the Fraser River Panel established by the 
Pacific Salmon Treaty.
    Fraser River Panel Area (U.S.) means the United States' portion of 
the Fraser River Panel Area specified in Annex II of the Treaty as 
follows:
    (1) The territorial water and the high seas westward from the 
western coast of Canada and the United States of America and from a 
direct line drawn from Bonilla Point, Vancouver Island, to the 
lighthouse of Tatoosh Island, Washington--which line marks the entrance 
of Juan de Fuca Strait--and embraced between 48 deg. and 49 deg. N. 
lat., excepting therefrom, however, all the waters of Barkley Sound, 
eastward of a straight line drawn from Amphitrite Point to Cape Beale 
and all the waters of Nitinat Lake and the entrance thereto.
    (2) The waters included within the following boundaries: Beginning 
at Bonilla Point, Vancouver Island, thence along the aforesaid direct 
line drawn from Bonilla Point to Tatoosh Lighthouse, Washington, 
described in paragraph (1) of this definition, thence to the nearest 
point of Cape Flattery, thence following the southerly shore of Juan de 
Fuca Strait to Point Wilson, on Whidbey Island, thence following the 
western shore of the said Whidbey Island, to the entrance to Deception 
Pass, thence across said entrance to the southern side of Reservation 
Bay, on Fidalgo Island, thence following the western and northern shore 
line of the said Fidalgo Island to Swinomish Slough, crossing the said 
Swinomish Slough, in line with the track of the Great Northern Railway 
(Burlington Northern Railroad), thence northerly following the shoreline 
of the mainland to Atkinson Point at the northerly entrance to Burrard 
Inlet, British Columbia, thence in a straight line to the southern end 
of Bowen Island, then westerly following the southern shore of Bowen 
Island to Cape Roger Curtis, thence in a straight line to Gower Point, 
thence westerly following the shoreline to Welcome Point on Sechelt 
Peninsula, thence in a straight line to Point Young on Lasqueti Island, 
thence in a straight line to Dorcas Point on Vancouver Island, thence 
following the eastern and southern shores of the said Vancouver Island, 
to the starting point at Bonilla Point, as shown on the British 
Admiralty Chart Number 579, and on the U.S. Coast and Geodetic Survey 
Chart Number 6300, as corrected to March 14, 1930, copies of which are 
annexed to the 1930 Convention between Canada and the United States of 
America for Protection, Preservation, and Extension of the Sockeye 
Salmon Fishery in the Fraser River System as amended, signed May 26, 
1930. [Note: U.S. Coast and Geodetic Survey Chart Number 6300 has been 
replaced and updated by NOAA Chart Number 18400.]
    (3) The Fraser River and the streams and lakes tributary thereto.
    (4) The Fraser River Panel Area (U.S.) includes Puget Sound 
Management and Catch Reporting Areas 4B, 5, 6, 6A, 6B, 6C, 6D, 7, 7A, 
7B, 7C, 7D, and

[[Page 318]]

7E as defined in the Washington State Administrative Code at Chapter 
220-22 as of June 27, 1986.
    Fraser River Panel regulations means regulations applicable to the 
Fraser River Panel Area that are recommended by the Commission (on the 
basis of proposals made by the Fraser River Panel) and approved by the 
Secretary of State.
    Mesh size means the distance between the inside of one knot to the 
outside of the opposite (vertical) knot in one mesh of a net.
    Pink salmon means Oncorhynchus gorbuscha.
    Sockeye salmon means the anadromous form of Oncorhynchus nerka.
    Treaty fishing places (of an Indian tribe) means locations within 
the Fraser River Panel Area (U.S.) as determined in or in accordance 
with Final Decision No. 1 and subsequent orders in United States v. 
Washington, 384 F. Supp. 312 (W.D. Wash. 1974), to be places at which 
that treaty Indian tribe may take fish under rights secured by treaty 
with the United States.
    Treaty Indian means any member of a treaty Indian tribe whose treaty 
fishing place is in the Fraser River Panel Area (U.S.) or any assistant 
to a treaty Indian authorized to assist in accordance with 
Sec. 300.95(d).
    Treaty Indian tribe means any of the federally recognized Indian 
tribes of the State of Washington having fishing rights secured by 
treaty with the United States to fish for salmon stocks subject to the 
Pacific Salmon Treaty in treaty fishing places within the Fraser River 
Panel Area (U.S.). Currently these tribes are the Makah, Tribe, Lower 
Elwha Klallam Tribe, Port Gamble Klallam Tribe, Jamestown Klallam Tribe, 
Suquamish Tribe, Lummi Tribe, Nooksack Tribe, the Swinomish Indian 
Tribal Community, and the Tulalip Tribe.



Sec. 300.92  Relation to other laws.

    (a) Insofar as they are consistent with this part, any other 
applicable Federal law or regulation, or any applicable law and 
regulations of the State of Washington or of a treaty Indian tribe with 
treaty fishing rights in the Fraser River Panel Area (U.S.) will 
continue to have force and effect in the Fraser River Panel Area (U.S.) 
with respect to fishing activities addressed herein.
    (b) Any person fishing subject to this subpart is bound by the 
international boundaries now recognized by the United States within the 
Fraser River Panel Area (U.S.) described in Sec. 300.91, notwithstanding 
any dispute or negotiation between the United States and Canada 
regarding their respective jurisdictions, until such time as different 
boundaries are published by the United States.
    (c) Any person fishing in the Fraser River Panel Area (U.S.) who 
also fishes for groundfish in the EEZ should consult Federal regulations 
at part 663 of this title for applicable requirements, including the 
requirement that vessels engaged in commercial fishing for groundfish 
(except commercial passenger vessels) have vessel identification in 
accordance with Sec. 663.6. Federal regulations governing salmon fishing 
in the EEZ, which includes a portion of the Fraser River Panel Area 
(U.S.), are at part 661 of this title. Annual regulatory modifications 
are published in the Federal Register.
    (d) Except as otherwise provided in this subpart, general provisions 
governing off-reservation fishing by treaty Indians are found at 25 CFR 
part 249, subpart A. Additional general and specific provisions 
governing treaty Indian fisheries are found in regulations and laws 
promulgated by each treaty Indian tribe for fishermen fishing pursuant 
to tribal authorization.
    (e) Nothing in this subpart relieves a person from any other 
applicable requirements lawfully imposed by the United States, the State 
of Washington, or a treaty Indian tribe.



Sec. 300.93  Reporting requirements.

    Any person fishing for sockeye or pink salmon within the Fraser 
River Panel Area (U.S.) and any person receiving or purchasing fish 
caught by such persons are subject to State of Washington reporting 
requirements at Washington Administrative Code, Chapter 220-69. Treaty 
Indian fishermen are subject also to tribal reporting requirements. No 
separate Federal reports are required.

[[Page 319]]



Sec. 300.94  Prohibitions and restrictions.

    In addition to the prohibitions in Sec. 300.4, the following 
prohibitions and restrictions apply.
    (a) In addition to the prohibited acts set forth in the Act at 16 
U.S.C. 3637(a), the following restrictions apply to sockeye and pink 
salmon fishing in the Fraser River Panel Area (U.S.):
    (1) The Fraser River Panel Area (U.S.) is closed to sockeye and pink 
salmon fishing, unless opened by Fraser River Panel regulations or by 
inseason orders of the Secretary issued under Sec. 300.97 that give 
effect to orders of the Fraser River Panel, unless such orders are 
determined not to be consistent with domestic legal obligations. Such 
regulations and inseason orders may be further implemented by 
regulations promulgated by the United States, the State of Washington, 
or any treaty Indian tribe, which are also consistent with domestic 
legal obligations.
    (2) It is unlawful for any person or fishing vessel subject to the 
jurisdiction of the United States to fish for, or take and retain, any 
sockeye or pink salmon:
    (i) Except during times or in areas that are opened by Fraser River 
Panel regulations or by inseason order, except that this provision will 
not prohibit the direct transport of legally caught sockeye or pink 
salmon to offloading areas.
    (ii) By means of gear or methods not authorized by Fraser River 
Panel regulations, inseason orders, or other applicable Federal, state, 
or treaty Indian tribal law.
    (iii) In violation of any applicable area, season, species, zone, 
gear, or mesh size restriction.
    (b) It is unlawful for any person or fishing vessel subject to the 
jurisdiction of the United States to--
    (1) Remove the head of any sockeye or pink salmon caught in the 
Fraser River Panel Area (U.S.), or possess a salmon with the head 
removed, if that salmon has been marked by removal of the adipose fin to 
indicate that a coded wire tag has been implanted in the head of the 
fish.
    (2) Fail to permit an authorized officer to inspect a record or 
report required by the State of Washington or treaty Indian tribal 
authority.
    (c) Notwithstanding paragraph (a) of this section, nothing in this 
subpart will be construed to prohibit the retention of sockeye or pink 
salmon caught by any person while lawfully engaged in a fishery for 
subsistence or ceremonial purposes pursuant to treaty Indian tribal 
regulations, for recreational purposes pursuant to recreational fishing 
regulations promulgated by the State of Washington, or as otherwise 
authorized by treaty Indian tribal or State of Washington law or 
regulation, provided that such treaty Indian tribal or State regulation 
is consistent with U.S.-approved Commission fishery regimes, Fraser 
River Panel regulations, or inseason orders of the Secretary applicable 
to fishing in the Fraser River Panel Area (U.S.).
    (d) The following types of fishing gear are authorized, subject to 
the restrictions set forth in this subpart and according to the times 
and areas established by Fraser River Panel regulations or inseason 
orders of the Secretary:
    (1) All citizens: Gill net, purse seine, reef net, and troll fishing 
gear. Specific restrictions on all citizens gear are contained in the 
Washington State Administrative Code of Chapter 220-47.
    (2) Treaty Indians: Treaty Indian fishing gear.
    (e) Geographic descriptions of Puget Sound Salmon Management and 
Catch Reporting Areas, which are referenced in the Commission's regimes, 
Fraser River Panel regulations, and in inseason orders of the Secretary, 
are found in the Washington State Administrative Code at Chapter 220-22.



Sec. 300.95  Treaty Indian fisheries.

    (a) Any treaty Indian must comply with this section when fishing for 
sockeye and pink salmon at the treaty Indian tribe's treaty fishing 
places in the Fraser River Panel Area (U.S.) during the time the 
Commission or the Secretary exercises jurisdiction over these fisheries. 
Fishing by a treaty Indian outside the applicable Indian tribe's treaty 
fishing places will be subject to the Fraser River Panel regulations and

[[Page 320]]

inseason orders applicable to all citizens, as well as to the 
restrictions set forth in this section.
    (b) Nothing in this section will relieve a treaty Indian from any 
applicable law or regulation imposed by a treaty Indian tribe, or from 
requirements lawfully imposed by the United States or the State of 
Washington in accordance with the requirements of Final Decision No. 1 
and subsequent orders in United States v. Washington, 384 F. Supp. 312 
(W.D. Wash., 1974).
    (c) Identification. (1) Any treaty Indian fishing under the 
authority of this subpart must have in his or her possession at all 
times while fishing or engaged in any activity related to fishing the 
treaty Indian identification required by 25 CFR 249.3 or by applicable 
tribal law.
    (2) Any person assisting a treaty Indian under the authority of 
paragraph (d) of this section must have in his or her possession at all 
such times a valid identification card issued by the Bureau of Indian 
Affairs or by a treaty Indian tribe, identifying the holder as a person 
qualified to assist a treaty Indian. The identification card must 
include the name of the issuing tribe, the name, address, date of birth, 
and photograph of the assistant, and the name and identification number 
of the treaty Indian whom the assistant is authorized to assist.
    (3) Identification described in paragraph (c) (1) or (2) of this 
section must be shown on demand to an authorized officer by the treaty 
Indian or authorized assistant.
    (4) Any treaty Indian fishing under this subpart must comply with 
the treaty Indian vessel and gear identification requirements of Final 
Decision No. 1 and subsequent orders in United States v. Washington, 384 
F. Supp. 312 (W.D. Wash., 1974).
    (d) Fishing assistance. (1) Any member of a treaty Indian tribe 
fishing under this subpart may, if authorized by the treaty Indian's 
tribe, receive fishing assistance from, and only from, the treaty Indian 
tribal member's spouse, forebears, children, grandchildren, and 
siblings, as authorized by the U.S. District Court for the Western 
District of Washington in United States v. Washington, 384 F. Supp. 312 
(W.D. Wash., 1974). For purposes of this section, the treaty Indian 
tribal member whom the assistant is authorized to assist must be present 
aboard the fishing vessel at all times while engaged in the exercise of 
treaty Indian fishing rights subject to this subpart.
    (2) No treaty Indian may, while fishing at a treaty fishing place in 
accordance with treaty-secured fishing rights, permit any person 16 
years of age or older other than the authorized holder of a currently 
valid identification card issued in accordance with the requirements of 
paragraphs (c) (1) and (2) of this section to fish for said treaty 
Indian, assist said treaty Indian in fishing, or use any gear or fishing 
location identified as said treaty Indian's gear or location.
    (3) Treaty Indians are prohibited from participating in a treaty 
Indian fishery under this section at any time persons who are not treaty 
Indians are aboard the fishing vessel or in contact with fishing gear 
operated from the fishing vessel, unless such persons are authorized 
employees or officers of a treaty Indian tribe or tribal fisheries 
management organization, the Northwest Indian Fisheries Commission, the 
Commission, or a fisheries management agency of the United States or the 
State of Washington.



Sec. 300.96  Penalties.

    Any treaty Indian who commits any act that is unlawful under this 
subpart normally will be referred to the applicable tribe for 
prosecution and punishment. If such tribe fails to prosecute such 
persons in a diligent manner for the offense(s) referred to the tribe, 
or if other good cause exists, such treaty Indian may be subject to the 
penalties and procedures described in the Magnuson Act.



Sec. 300.97  Inseason orders.

    (a) During the fishing season, the Secretary may issue orders that 
establish fishing times and areas consistent with the annual Commission 
regime and inseason orders of the Fraser River Panel. Inseason orders 
will be consistent with domestic legal obligations. Violation of such 
inseason orders is violation of this subpart.

[[Page 321]]

    (b) Notice of inseason orders. (1) Official notice of such inseason 
orders is available from NMFS (for orders applicable to all-citizen 
fisheries) and from the Northwest Indian Fisheries Commission (for 
orders applicable to treaty Indian fisheries) through the following Area 
Code 206 toll-free telephone hotlines: All-citizen fisheries: 1-800-562-
6513; Treaty Indian fisheries: 1-800-562-6142.
    (2) Notice of inseason orders of the Secretary and other applicable 
tribal regulations may be published and released according to tribal 
procedures in accordance with Final Decision No. 1 and subsequent orders 
in United States v. Washington, 384 F. Supp. 312 (W.D. Wash., 1974).
    (3) Inseason orders may also be communicated through news releases 
to radio and television stations and newspapers in the Fraser River 
Panel Area (U.S.).
    (4) Inseason orders of the Secretary will also be published in the 
Federal Register as soon as practicable after they are issued.



              Subpart G--Antarctic Marine Living Resources

    Authority: 16 U.S.C. 2431 et seq.



Sec. 300.100  Purpose and scope.

    (a) This subpart implements the Antarctic Marine Living Resources 
Convention Act of 1984 (Act).
    (b) This subpart regulates--
    (1) The harvesting of Antarctic marine living resources or other 
associated activities by any person subject to the jurisdiction of the 
United States or by any vessel of the United States.
    (2) The importation into the United States of any Antarctic marine 
living resource.



Sec. 300.101  Definitions.

    In addition to the terms defined in Sec. 300.2, in the Act, and in 
the Convention on the Conservation of Antarctic Marine Living Resources, 
done at Canberra, Australia, May 7, 1980 (Convention). Convention, the 
terms used in this subpart have the following meanings. If a term is 
defined differently in Sec. 300.2, such Act, or such Convention, the 
definition in this section shall apply.
    ACA means the Antarctic Conservation Act of 1978 (16 U.S.C. 2401 et 
seq.).
    Antarctic convergence means a line joining the following points 
along the parallels of latitude and meridians of longitude:

Lat.                              Long.                                 
50 deg. S.                        0.                                    
50 deg. S.                        30 deg. E.                            
45 deg. S.                        30 deg. E.                            
45 deg. S.                        80 deg. E.                            
55 deg. S.                        80 deg. E.                            
55 deg. S.                        150 deg. E.                           
60 deg. S.                        150 deg. E.                           
60 deg. S.                        50 deg. W.                            
50 deg. S.                        50 deg. W.                            
50 deg. S.                        0.                                    
                                                                        

    Antarctic finfishes include the following:

------------------------------------------------------------------------
              Scientific name                        Common name        
------------------------------------------------------------------------
Gobionotothen gibberifrons................  Humped rockcod.             
Notothenia rossii.........................  Marbled rockcod.            
Lepidorhirus squamifrons..................  Grey rockcod.               
Dissostichus eleginoides..................  Patagonian toothfish.       
Patagonothen brevicauda guntheri..........  Patagonian rockcod.         
Pleuragramma antarcticum..................  Antarctic silverfish.       
Trematomus spp............................  Antarctic cods.             
Chaenocephalus aceratus...................  Blackfin icefish.           
Chaenodraco wilsoni.......................  Spiny icefish.              
Champsocephalus gunnari...................  Mackerel icefish.           
Chionodraco rastrospinosus................  Ocellated icefish.          
Pseudochaenichthys georgianus.............  South Georgia icefish.      
------------------------------------------------------------------------

    Antarctic marine living resources or AMLR(s) means the populations 
of finfish, mollusks, crustaceans, and all other species of living 
organisms, including birds, found south of the Antarctic Convergence, 
and their parts or products.
    Commission means the Commission for the Conservation of Antarctic 
Marine Living Resources established under Article VII of the Convention.
    Convention waters means all waters south of the Antarctic 
Convergence.
    Directed fishing, with respect to any species or stock of fish, 
means any fishing that results in such fish comprising more than 1 
percent by weight, at any time, of the catch on board the vessel.
    Fish means finfish, mollusks, and crustaceans.
    Fishery means:
    (1) One or more stocks of fish that can be treated as a unit for 
purposes of conservation and management and

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that are identified on the basis of geographical, scientific, technical, 
recreational, and economic characteristics.
    (2) Any fishing for such stocks.
    Harvesting vessel means any vessel of the United States (this 
includes any boat, ship, or other craft), that is used for, equipped to 
be used for, or of a type that is normally used for harvesting.
    Individual permit means an NSF permit issued under 45 CFR part 670; 
or an NSF award letter (demonstrating that the individual has received 
an award from NSF to do research in the Antarctic); or a marine mammal 
permit issued under Sec. 216.31 of this chapter; or an endangered 
species permit issued under Sec. 222.21 of this chapter.
    Inspection vessel means a vessel carrying a CCAMLR inspector and 
displaying the pennant approved by the Commission to identify such 
vessel.
    Land or landing means to begin offloading any fish, to arrive in 
port with the intention of offloading any fish, or to cause any fish to 
be offloaded.
    NSF means National Science Foundation, 4201 Wilson Boulevard, 
Arlington, VA 22230.
    Recreational fishing means fishing with hook and line for personal 
use and not for sale.
    Scientific research activity means any activity for which a person 
has a permit from NMFS under Sec. 216.31 of this title or an award 
letter from NSF or a permit from the NSF under 45 CFR part 670. 
Scientific research activities may also include harvesting or other 
associated activities if such activities are designated as scientific 
research activities by the Assistant Administrator.



Sec. 300.102  Relationship to other treaties, conventions, laws, and regulations.

    (a) Other conventions and treaties to which the United States is a 
party and other Federal statutes and implementing regulations may impose 
additional restrictions on the harvesting and importation into the 
United States of AMLRs.
    (b) The ACA implements the Antarctic Treaty Agreed Measures for the 
Conservation of Antarctic Fauna and Flora (12 U.S.T. 794). The ACA and 
its implementing regulations (45 CFR part 670) apply to certain defined 
activities of U.S. citizens south of 60 deg. S. lat.
    (c) The Marine Mammal Protection Act of 1972 (16 U.S.C. 1361 et 
seq.), the Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.), the 
Migratory Bird Treaty Act (16 U.S.C. 701 et seq.), and their 
implementing regulations also apply to the harvesting and importation of 
AMLRs.



Sec. 300.103  Procedure for according protection to CCAMLR Ecosystem Monitoring Program Sites.

    (a) General. (1) Any person subject to the jurisdiction of the 
United States must apply for and be granted an entry permit authorizing 
specific activities prior to entering a CCAMLR Ecosystem Monitoring 
Program (CEMP) Protected Site designated in accordance with the CCAMLR 
Conservation Measure describing the Procedures for According Protection 
for CEMP Sites.
    (2) If a CEMP Protected Site is also a site specially protected 
under the Antarctic Treaty (or the Protocol on Environmental Protection 
to the Antarctic Treaty and its Annexes, when it enters into force), an 
applicant seeking to enter such a Protected Site must apply to the 
Director of the NSF for a permit under applicable provisions of the ACA 
or any superseding legislation. The permit granted by NSF shall 
constitute a joint CEMP/ACA Protected Site permit and any person holding 
such a permit must comply with the appropriate CEMP Protected Site 
Management Plan. In all other cases, an applicant seeking a permit to 
enter a CEMP Protected Site must apply to the Assistant Administrator 
for a CEMP permit in accordance with the provisions of this section.
    (b) Responsibility of CEMP permit holders and persons designated as 
agents under a CEMP permit. (1) The CEMP permit holder and person 
designated as agents under a CEMP permit are jointly and severally 
responsible for compliance with the Act, this subpart, and any permit 
issued under this subpart.
    (2) The CEMP permit holder and agents designated under a CEMP permit 
are responsible for the acts of their

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employees and agents constituting violations, regardless of whether the 
specific acts were authorized or forbidden by the CEMP permit holder or 
agents, and regardless of knowledge concerning their occurrence.
    (c) Prohibitions regarding the Antarctic Treaty System and other 
applicable treaties and statutes. Holders of permits to enter CEMP 
Protected Sites are not permitted to undertake any activities within a 
CEMP Protected Site that are not in compliance with the provisions of:
    (1) The Antarctic Treaty, including the Agreed Measures for the 
Conservation of Antarctic Fauna and Flora (including the Protocol on the 
Environmental Protection to the Antarctic Treaty and its Annexes when it 
enters into force), as implemented under by the ACA and any superseding 
legislation. (Persons interested in conducting activities subject to the 
Antarctic Treaty or the Protocol should contact the Office of Polar 
Programs, NSF).
    (2) The Convention for the Conservation of Antarctic Seals.
    (3) The Convention and its Conservation Measures in force, 
implemented under the Act.
    (d) Prohibitions on takings. Permits issued under this section do 
not authorize any takings as defined in the applicable statutes and 
implementing regulations governing the activities of persons in 
Antarctica.
    (e) Issuance criteria. Permits designated in this section may be 
issued by the Assistant Administrator upon a determination that:
    (1) The specific activities meet the requirements of the Act.
    (2) There is sufficient reason, established in the permit 
application, that the scientific purpose for the intended entry cannot 
be served elsewhere.
    (3) The actions permitted will not violate any provisions or 
prohibitions of the Protected Site's Management Plan submitted in 
compliance with the CCAMLR Conservation Measure describing the 
Procedures for According Protection to CEMP Sites.
    (f) Application process. An applicant seeking a CEMP permit from the 
Assistant Administrator to enter a CEMP Protected Site shall include the 
following in the application.
    (1) A detailed justification that the scientific objectives of the 
applicant cannot be accomplished elsewhere and a description of how said 
objectives will be accomplished within the terms of the Protected Site's 
Management Plan.
    (2) A statement signed by the applicant that the applicant has read 
and fully understands the provisions and prohibitions of the Protected 
Site's Management Plan. Prospective applicants may obtain copies of the 
relevant Management Plans and the CCAMLR Conservation Measure describing 
the Procedures for According Protection to CEMP Sites by requesting them 
from the Assistant Administrator.
    (g) Conditions. CEMP permits issued under this section will contain 
special and general conditions including a condition that the permit 
holder shall submit a report describing the activities conducted under 
the permit within 30 days of the expiration of the CEMP permit.
    (h) Duration. Permits issued under this section are valid for a 
period of 1 year. Applicants requesting a permit to reenter a Protected 
Site must include the report required by the general condition in the 
previously issued CEMP permit describing the activities conducted under 
authority of that permit.
    (i) Transfer. CEMP permits are not transferable or assignable. A 
CEMP permit is valid only for the person to whom it is issued.
    (j) Modification. (1) CEMP permits can be modified by submitting a 
request to the Assistant Administrator. Such requests shall specify:
    (i) The action proposed to be taken along with a summary of the 
reasons therefore.
    (ii) The steps that the permit holder may take to demonstrate or 
achieve compliance with all lawful requirements.
    (2) If a requested modification is not in compliance with the terms 
of the Protected Site's Management Plan, the Assistant Administrator 
will treat the requested modification as an application for a new CEMP 
permit and so notify the holder. Modifications will be acted upon within 
30 days of receipt. The CEMP permit holder must report to the Assistant 
Administrator any

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change in previously submitted information within 10 days of the change.
    (3) Additional conditions and restrictions. The Assistant 
Administrator may revise the CEMP permit effective upon notification of 
the permit holder, to impose additional conditions and restrictions as 
necessary to achieve the purposes of the Convention, the Act and the 
CEMP Management Plan. The CEMP permit holder must, as soon as possible, 
notify any and all agents operating under the permit of any and all 
revisions or modifications to the permit.
    (k) Revocation or suspension. CEMP permits may be revoked or 
suspended based upon information received by the Assistant Administrator 
and such revocation or suspension shall be effective upon notification 
to the permit holder.
    (1) A CEMP permit may be revoked or suspended based on a violation 
of the permit, the Act, or this subpart.
    (2) Failure to report a change in the information submitted in a 
CEMP permit application within 10 days of the change is a violation of 
this subpart and voids the application or permit, as applicable. Title 
15 CFR part 904 governs permit sanctions under this subpart.
    (l) Exceptions. Entry into a Protected Site described in this 
section is lawful if committed under emergency conditions to prevent the 
loss of human life, compromise human safety, prevent the loss of vessels 
or aircraft, or to prevent environmental damage.
    (m) Protected sites. (1) Sites protected by the Antarctic Treaty and 
regulated under the ACA are listed at 45 CFR part 670 subparts G and H.
    (2) The following sites have been identified as CEMP Protected Sites 
subject to the regulatory authority of the Act:
    (i) Seal Islands, South Shetland Islands--The Seal Islands are 
composed of islands and skerries located approximately 7 km north of the 
northwest corner of Elephant Island, South Shetland Islands. The Seal 
Islands CEMP Protected Site includes the entire Seal Islands group, 
which is defined as Seal Island plus any land or rocks exposed at mean 
low tide within a distance of 5.5 km of the point of highest elevation 
on Seal Island. Seal Island is situated at 60 deg.59'14'' S. lat., 
55 deg.23'04'' W. long.
    (ii) Cape Shirreff and the San Telmo Islands. This designation takes 
effect on May 1, 1995. Cape Shirreff is a low, ice-free peninsula 
towards the western end of the north coast of Livingston Island, South 
Shetland Islands, situated at 62 deg.29' S. lat., 60 deg.47' W. long., 
between Barclay Bay and Hero Bay. San Telmo Island is the largest of a 
small group of ice-free rock islets, approximately 2 km west of Cape 
Shirreff. The boundaries of the Cape Shirreff CEMP Protected Site are 
identical to the boundaries of the Site of Special Scientific Interest 
No. 32, as specified by ATCM Recommendation XV-7. No manmade boundary 
markers indicate the limits of the SSSI or protected site. The 
boundaries are defined by natural features and include the entire area 
of the Cape Shirreff peninsula north of the glacier ice tongue margin, 
and most of the San Telmo Island group. For the purposes of the 
protected site, the entire area of Cape Shirreff and the San Telmo 
Island group is defined as any land or rocks exposed at mean low tide 
within the area delimited by the map of SSSI No. 32 and available from 
the Assistant Administrator.



Sec. 300.104  Scientific research.

    (a) The management measures issued pursuant to the procedures at 
Sec. 300.111 do not apply to catches of less than 5 tons taken by any 
vessel for research purposes, unless otherwise indicated.
    (b) Catches taken by any vessel for research purposes will be 
considered as part of any catch limit.
    (c) The catch reporting procedure identified in management measures 
issued pursuant to the procedures at Sec. 300.111 applies whenever the 
catch within any 5-day reporting period exceeds 5 tons, unless more 
specific reporting requirements apply to the species being fished.
    (d) Any person, organization or institution planning to use a vessel 
for research purposes, when the estimated catch is expected to be less 
than 50 tons, must provide the following vessel and research 
notification to the Assistant Administrator at least 2 months in advance 
of the planned research:

[[Page 325]]

    (1) Name and registration number of vessel.
    (2) Division and subarea in which research is to be carried out.
    (3) Estimated dates of entering and leaving CCAMLR Convention Area.
    (4) Purposes of research.
    (5) Fishing equipment to be used (bottom trawl, midwater trawl, 
longline, crab pots, other).
    (e) The following measures apply to any person planning to use any 
vessel for research purposes, when the estimated catch is expected to be 
more than 50 tons:
    (1) The person must use the CCAMLR Format for Reporting Plans for 
Finfish Surveys in the Convention Area when the Total Catch is Expected 
to be More Than 50 Tons to report the details of the research plan to 
the Assistant Administrator at least 7 months in advance of the planned 
starting date for the research. A copy of the format is available from 
the Assistant Administrator.
    (2) The format requires:
    (i) The name of the CCAMLR Member.
    (ii) Survey details.
    (iii) Description of the vessel.
    (iv) Description of the fishing gear to be used.
    (v) Description of acoustic gear to be used.
    (vi) Survey design and methods of data analyses.
    (vii) Data to be collected.
    (3) A summary of the results of any research fishing subject to 
these provisions must be provided to the Assistant Administrator within 
150 days of the completion of the research fishing and a full report 
must be provided within 11 months.
    (4) Catch and effort data resulting from the research fishing must 
be reported to the Assistant Administrator using the CCAMLR C4 haul-by-
haul reporting format for research vessels.



Sec. 300.105  Initiating a new fishery.

    (a) A new fishery, for purposes of this section, is a fishery on a 
species using a particular method in a statistical subarea for which:
    (1) Information on distribution, abundance, demography, potential 
yield and stock identity from comprehensive research/surveys or 
exploratory fishing has not been submitted to CCAMLR;
    (2) Catch and effort data have never been submitted to CCAMLR; or
    (3) Catch and effort data from the two most recent seasons in which 
fishing occurred have not been submitted to CCAMLR.
    (b) An individual subject to these regulations intending to develop 
a new fishery shall notify the Assistant Administrator no later than 
July 1 of the year in which he or she intends to initiate the fishery 
and shall not initiate the fishery pending CCAMLR review.
    (c) The notification shall be accompanied by information on:
    (1) The nature of the proposed fishery, including target species, 
methods of fishing, proposed region and any minimum level of catches 
that would be required to develop a viable fishery.
    (2) Biological information from comprehensive research/survey 
cruises, such as distribution, abundance, demographic data and 
information on stock identity.
    (3) Details of dependent and associated species and the likelihood 
of them being affected by the proposed fishery.
    (4) Information from other fisheries in the region or similar 
fisheries elsewhere that may assist in the valuation of potential yield.



Sec. 300.106  Exploratory fisheries.

    (a) An exploratory fishery, for purposes of this section, is a 
fishery that was previously defined as a new fishery under Sec. 300.105.
    (b) A fishery will continue to be classified as an exploratory 
fishery until sufficient information is available to:
    (1) Evaluate the distribution, abundance, and demography of the 
target species, leading to an estimate of the fishery's potential yield.
    (2) Review the fishery's potential impacts on dependent and related 
species.
    (3) Allow the CCAMLR Scientific Committee to formulate and provide 
advice to the Commission on appropriate harvest catch levels and fishing 
gear.
    (c) Each vessel participating in an exploratory fishery must carry a 
scientific observer.

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    (d) The operator of any vessel engaging in an exploratory fishery 
must submit, by the date specified in the operator's harvesting permit, 
catch, effort, and related biological, ecological, and environmental 
data as required by a data collection plan for the fishery formulated by 
the CCAMLR Scientific Committee.
    (e) In addition to the requirements in Sec. 300.112, any individual 
planning to enter an exploratory fishery must notify the Assistant 
Administrator no later than 4 months in advance of the annual meeting of 
CCAMLR. The Assistant Administrator will not issue a permit to enter an 
exploratory fishery until after the requirements of Sec. 300.112 have 
been met and the meeting of CCAMLR, which receives and considers the 
notice made to the Assistant Administrator, has been concluded.



Sec. 300.107  Reporting and recordkeeping requirements.

    The operator of any vessel required to have a permit under this 
subpart must:
    (a) Accurately maintain on board the vessel a fishing logbook and 
all other reports and records required by its permit.
    (b) Make such reports and records available for inspection upon the 
request of an authorized officer or CCAMLR inspector.
    (c) Within the time specified in the permit, submit a copy of such 
reports and records to the Assistant Administrator.



Sec. 300.108  Vessel and gear identification.

    (a) Vessel identification. (1) The operator of each harvesting 
vessel assigned an IRCS must display that call sign amidships on both 
the port and starboard sides of the deckhouse or hull, so that it is 
visible from an enforcement or inspection vessel, and on an appropriate 
weather deck so that it is visible from the air.
    (2) The operator of each harvesting vessel not assigned an IRCS, 
such as a small trawler associated with a mothership or one of a pair of 
trawlers, must display the IRCS of the associated vessel, followed by a 
numerical suffix specific for the non-assigned vessel.
    (3) The vessel identification must be in a color in contrast to the 
background and must be permanently affixed to the harvesting vessel in 
block roman alphabet letters and arabic numerals at least 1 m in height 
for harvesting vessels over 20 m in length, and at least 0.5 m in height 
for all other harvesting vessels.
    (b) Navigational lights and shapes. Each harvesting vessel must 
display the lights and shapes prescribed by the International 
Regulations for Preventing Collisions at Sea, 1972 (TIAS 8587, and 1981 
amendment TIAS 10672), for the activity in which the harvesting vessel 
is engaged (as described at 33 CFR part 81).
    (c) Gear identification. (1) The operator of each harvesting vessel 
must ensure that all deployed fishing gear that is not physically and 
continuously attached to a harvesting vessel is clearly marked at the 
surface with a buoy displaying the vessel identification of the 
harvesting vessel (see paragraph (a) of this section) to which the gear 
belongs, a light visible for 2 miles at night in good visibility, and a 
radio buoy. Trawl codends passed from one vessel to another are 
considered continuously attached gear and do not have to be marked.
    (2) The operator of each harvesting vessel must ensure that deployed 
longlines, strings of traps or pots, and gillnets are marked at the 
surface at each terminal end with a buoy displaying the vessel 
identification of the harvesting vessel to which the gear belongs (see 
paragraph (a) of this section), a light visible for 2 miles at night in 
good visibility, and a radio buoy.
    (3) Unmarked or incorrectly identified fishing gear may be 
considered abandoned and may be disposed of in accordance with 
applicable Federal regulations by any authorized officer or CCAMLR 
inspector.
    (d) Maintenance. The operator of each harvesting vessel must:
    (1) Keep the vessel and gear identification clearly legible and in 
good repair.
    (2) Ensure that nothing on the harvesting vessel obstructs the view 
of the

[[Page 327]]

markings from an enforcement or inspection vessel or aircraft.
    (3) Ensure that the proper navigational lights and shapes are 
displayed for the harvesting vessel's activity and are properly 
functioning.



Sec. 300.109  Gear disposal.

    (a) The operator of a harvesting vessel may not dump overboard, 
jettison or otherwise discard any article or substance that may 
interfere with other fishing vessels or gear, or that may catch fish or 
cause damage to any marine resource, including marine mammals and birds, 
except in cases of emergency involving the safety of the ship or crew, 
or as specifically authorized by communication from the appropriate USCG 
commander or authorized officer. These articles and substances include, 
but are not limited to, fishing gear, net scraps, bale straps, plastic 
bags, oil drums, petroleum containers, oil, toxic chemicals or any 
manmade items retrieved in a harvesting vessel's gear.
    (b) The operator of a harvesting vessel may not abandon fishing gear 
in Convention waters.
    (c) The operator of a harvesting vessel must provide a copy of the 
CCAMLR information brochure ``Marine Debris--A Potential Threat to 
Antarctic Marine Mammals'' to each member of the crew of the harvesting 
vessel and must display copies of the CCAMLR placard ``Avoidance of 
Incidental Mortality of Antarctic Marine Mammals'' in the wheelhouse and 
crew quarters of the harvesting vessels. Copies of the brochure and 
placard will be provided to each holder of a harvesting permit by NMFS 
when issuing the permit.



Sec. 300.110  Mesh size.

    (a) The use of pelagic and bottom trawls having the mesh size in any 
part of a trawl less than indicated is prohibited for any directed 
fishing for the following Antarctic finfishes:
    (1) Notothenia rossii and Dissostichus eleginoides--120 mm.
    (2) Champsocephalus gunnari--90 mm.
    (3) Gobionotothen gibberifrons, Notothenia kempi and Lepidorhirus 
squamifrons--80 mm.
    (b) Any means or device that would reduce the size or obstruct the 
opening of the meshes is prohibited.
    (c) The following procedure will be used for determining compliance 
with mesh size requirements.
    (1) Description of gauges. (i) Gauges for determining mesh sizes 
will be 2 mm thick, flat, of durable material and capable of retaining 
their shape. They may have either a series of parallel-edged sides 
connected by intermediate tapering edges with a taper of one to eight on 
each side, or only tapering edges with the taper defined above. They 
will have a hole at the narrowest extremity.
    (ii) Each gauge will be inscribed on its face with the width in 
millimeters both on the parallel-sided section, if any, and on the 
tapering section. In the case of the latter, the width will be inscribed 
every 1 mm interval, but the indication of the width may appear at 
regular intervals other than 1 mm.
    (2) Use of the gauge. (i) The net will be stretched in the direction 
of the long diagonal of the meshes.
    (ii) A gauge as described in paragraph (c)(1) of this section will 
be inserted by its narrowest extremity into the mesh opening in a 
direction perpendicular to the plane of the net.
    (iii) The gauge may be inserted into the mesh opening either with a 
manual force or using a weight or dynamometer, until it is stopped at 
the tapering edges by the resistance of the mesh.
    (3) Selection of meshes to be measured. (i) Meshes to be measured 
will form a series of 20 consecutive meshes chosen in the direction of 
the long axis of the net, except that the meshes to be measured need not 
be consecutive if the application of paragraph (c)(3)(ii) of this 
section prevents it.
    (ii) Meshes less than 50 cm from lacings, ropes, or codline will not 
be measured. This distance will be measured perpendicular to the 
lacings, ropes or codline with the net stretched in the direction of 
that measurement. No mesh will be measured which has been mended or 
broken or has attachments to the net fixed at that mesh.
    (iii) Nets will be measured only when wet and unfrozen.
    (4) The measurement of each mesh will be the width of the gauge at 
the

[[Page 328]]

point where the gauge is stopped, when using this gauge in accordance 
with paragraph (c)(2) of this section.
    (5) Determination of the mesh size of the net will be the 
arithmetical mean in millimeters of the measurements of the total number 
of meshes selected and measured as provided for in paragraphs (c) (3) 
and (4) of this section, the arithmetical mean being rounded up to the 
next millimeter.
    (6) Inspection procedure. (i) One series of 20 meshes, selected in 
accordance with paragraph (c)(3) of this section, will be measured by 
inserting the gauge manually without using a weight or dynamometer. The 
mesh size of the net will then be determined in accordance with 
paragraph (c)(5) of this section. If the calculation of the mesh size 
shows that the mesh size does not appear to comply with the rules in 
force, then two additional series of 20 meshes selected in accordance 
with paragraph (c)(3) of this section will be measured. The mesh size 
will then be recalculated in accordance with paragraph (c)(5) of this 
section, taking into account the 60 meshes already measured; this 
recalculation will be the mesh size of the net.
    (ii) If the captain of the vessel contests the mesh size determined 
in accordance with paragraph (c)(6)(i) of this section, such measurement 
will not be considered for the determination of the mesh size and the 
net will be remeasured.
    (A) A weight or dynamometer attached to the gauge will be used for 
remeasurement. The choice of weight or dynamometer is at the discretion 
of the inspectors. The weight will be fixed to the hole in the narrowest 
extremity of the gauge using a hook. The dynamometer may either be fixed 
to the hole in the narrowest extremity of the gauge or be applied at the 
largest extremity of the gauge.
    (B) The accuracy of the weight or dynamometer must be certified by 
the appropriate national authority.
    (C) For nets of a mesh size of 35 mm or less as determined in 
accordance with paragraph (c)(6)(i) of this section, a force of 19.61 
newtons (equivalent to a mass of 2 kg) will be applied, and for other 
nets, a force of 49.03 newtons (equivalent to a mass of 5 kg).
    (D) For the purposes of determining the mesh size in accordance with 
paragraph (c)(5) of this section, when using a weight or dynamometer, 
one series of 20 meshes only will be measured.



Sec. 300.111  Framework for annual management measures.

    (a) Introduction. New management measures may be added and others 
modified through publication of a regulatory action in the Federal 
Register. The following framework process authorizes the implementation 
of measures that may affect the operation of the commercial or 
exploratory fisheries, gear, area restrictions, or changes in catch and/
or effort.
    (b) Preliminary notice. The Secretary of State shall publish 
preliminary notice in the Federal Register of the management measures 
adopted by the parties to the Convention.
    (c) Procedure. At its annual meeting, usually in October or 
November, the Commission may recommend new measures and that established 
measures be modified, removed, or re-instituted. After public notice of 
those recommendations by the Secretary of State and opportunity for 
public comment, and after considering the impact of instituting the 
measures and any public comment received by the Secretary of State, the 
Assistant Administrator may implement the management measures by notice 
in the Federal Register, with immediate force and effect. The 
notification in the Federal Register will summarize new management 
measures, and respond to any public comments received by the Secretary 
of State on the preliminary notice.
    (d) Types of management measures to be frameworked. Management 
measures that may be implemented by regulatory notice rather than by 
codified regulation are those that generally will not remain in effect 
for more than 12 months and include catch restrictions, time and area 
closures, and gear restrictions.



Sec. 300.112  Harvesting permits.

    (a) General. (1) Every vessel subject to the jurisdiction of the 
United States that attempts to reduce or reduces any

[[Page 329]]

AMLR to possession must have a harvesting permit authorizing the attempt 
or reduction, unless the attempt or reduction occurs during recreational 
fishing or is covered by an individual permit. Boats launched from a 
vessel issued a harvesting permit do not require a separate permit, but 
are covered by the permit issued the launching vessel. Any enforcement 
action that results from the activities of a launched boat will be taken 
against the launching vessel.
    (2) Permits issued under this section do not authorize vessels or 
persons subject to the jurisdiction of the United States to harass, 
capture, harm, kill, harvest, or import marine mammals. No marine 
mammals may be taken in the course of commercial fishing operations 
unless the taking is allowed under the Marine Mammal Protection Act and/
or the Endangered Species Act pursuant to an exemption or permit granted 
by the appropriate agency.
    (b) Responsibility of owners and operators. (1) The owners and 
operators of each harvesting vessel are jointly and severally 
responsible for compliance with the Act, this subpart, and any permit 
issued under the Act and this subpart.
    (2) The owners and operators of each such vessel are responsible for 
the acts of their employees and agents constituting violations, 
regardless of whether the specific acts were authorized or forbidden by 
the owners or operators, and regardless of knowledge concerning their 
occurrence.
    (3) The owner of such vessel must report any sale, change in 
ownership, or other disposition of the vessel to the Assistant 
Administrator within 15 days of the occurrence.
    (c) Application. Application forms for harvesting permits are 
available from the Assistant Administrator (Attn: CCAMLR permits). A 
separate fully completed and accurate application must be submitted for 
each vessel for which a harvesting permit is requested at least 90 days 
before the date anticipated for the beginning of harvesting.
    (d) Issuance. The Assistant Administrator may issue a harvesting 
permit to a vessel if the Assistant Administrator determines that the 
harvesting described in the application will meet the requirements of 
the Act and will not:
    (1) Decrease the size of any harvested population to levels below 
those that ensure its stable recruitment. For this purpose, the 
Convention recommends that its size not be allowed to fall below a level 
close to that which ensures the greatest net annual increment.
    (2) Upset the ecological relationships between harvested, dependent, 
and related populations of AMLRs and the restoration of depleted 
populations to levels that will ensure stable recruitment.
    (3) Cause changes or increase the risk of changes in the marine 
ecosystem that are not potentially reversible over 2 or 3 decades, 
taking into account the state of available knowledge of the direct and 
indirect impact of harvesting, the effect of the introduction of alien 
species, the effects of associated activities on the marine ecosystem 
and of the effects of environmental changes, with the aim of making 
possible the sustained conservation of AMLRs.
    (4) Violate the management measures issued pursuant to Sec. 300.111 
of this subpart.
    (5) Violate any other conservation measures in force with respect to 
the United States under the Convention or the Act.
    (e) Duration. A harvesting permit is valid from its date of issuance 
to its date of expiration unless it is revoked or suspended.
    (f) Transfer. Permits are not transferable or assignable. A permit 
is valid only for the vessel to which it is issued.
    (g) Display. Each harvesting vessel when engaged in harvesting must 
either have on board an up-to-date copy of its harvesting permit or a 
fully completed and up-to-date harvesting vessel certificate and the 
vessel operator must produce it for inspection upon the request of an 
authorized officer or CCAMLR inspector. In order for the certificate to 
be considered complete, the vessel owner or operator must enter on it 
the name and IRCS of the vessel issued the harvesting permit, the number 
of the harvesting permit and its date of issuance and expiration, the 
harvesting authorized by the permit, and all conditions and restrictions

[[Page 330]]

contained in the permit. Blank certificates are available from the 
Assistant Administrator.
    (h) Changes in information submitted by permit applicants or 
holders--(1) Changes in pending applications. Applicants for a 
harvesting permit must report to the Assistant Administrator in writing 
any change in the information contained in the application. The 
processing period for the application will be extended as necessary to 
review the change.
    (2) Changes occurring after permit issuance--(i) Changes other than 
in the manner and amount of harvesting. The owner or operator of a 
vessel that has been issued a harvesting permit must report to the 
Assistant Administrator in writing any change in previously submitted 
information other than a proposed change in the location, manner, or 
amount of harvesting within 15 days of the change. Based on such 
reported information, the Assistant Administrator may revise the permit 
effective upon notification to the permit holder. As soon as possible, 
the vessel owner or operator must revise any harvesting vessel 
certificate evidencing the permit, accordingly.
    (ii) Requested changes in the location, manner, or amount of 
harvesting. Any changes in the manner or amount of harvesting must be 
proposed in writing to the Assistant Administrator and may not be 
undertaken unless authorized by the Assistant Administrator through a 
permit revision or issuance of a new permit. If a requested change in 
the location, manner, or amount of harvesting could significantly affect 
the status of any Antarctic marine living resource, the Assistant 
Administrator will treat the requested change as an application for a 
new permit and so notify the holder.
    (i) Additional conditions and restrictions. The Assistant 
Administrator may revise the harvesting permit, effective upon 
notification to the permit holder, to impose additional conditions and 
restrictions on the harvesting vessel as necessary to achieve the 
purposes of the Convention or the Act. The permit holder must, as soon 
as possible, direct the vessel operator to revise the harvesting vessel 
certificate, if any, accordingly.
    (j) Revision, suspension, or revocation for violations. A harvesting 
permit may be revised, suspended, or revoked if the harvesting vessel is 
involved in the commission of any violation of its permit, the Act, or 
this subpart. Failure to report a change in the information contained in 
an application within 15 days of the change is a violation of this 
subpart and voids the application or permit, as applicable. If a change 
in vessel ownership is not reported, the violation is chargeable to the 
previous owner. Title 15 CFR part 904 governs permit sanctions under 
this subpart.



Sec. 300.113  Import permits.

    (a) General. (1) Any AMLR may be imported into the United States if 
its harvest is authorized by an individual permit or a harvesting 
permit. The harvesting permit, the harvesting vessel certificate, or the 
individual permit, or a copy of any thereof, must accompany the import. 
AMLRs harvested by entities not subject to U.S. jurisdiction and, thus, 
not harvested under a U.S. issued permit (i.e., a harvesting permit or 
an individual permit), also may be imported into the United States if 
such harvesting will meet or met the requirements of the Act and will 
not or did not violate any conservation measure in force with respect to 
the United States under the Convention or the Act or violate any of the 
regulations in this subpart, including resource management measures 
contained therein. A NMFS issued import permit or copy thereof must 
accompany such an import as proof that the foreign harvested resources 
met such requirements. Further, the importer is required to complete and 
return to the Assistant Administrator, no later than 10 days after the 
date of the importation, an import ticket reporting the importation. 
However, in no event may a marine mammal be imported into the United 
States unless authorized and accompanied by an import permit issued 
under the Marine Mammal Protection Act and/or the Endangered Species 
Act.
    (2) A permit issued under this section does not authorize the 
harvest of any AMLRs.
    (b) Application. Application forms for import permits are available 
from the

[[Page 331]]

Assistant Administrator (Attn: CCAMLR permits). A fully completed and 
accurate application must be submitted for each import permit requested 
at least 30 days before the anticipated date of the importation.
    (c) Issuance. The Assistant Administrator may issue an import permit 
if the Assistant Administrator determines that the importation meets the 
requirements of the Act and that the resources were not or will not be 
harvested in violation of any conservation measure in force with respect 
to the United States or in violation of any regulation in this subpart. 
Blank import tickets will be attached to the permit. Additional blank 
import tickets are available from the Assistant Administrator.
    (d) Duration. An import permit is valid from its date of issuance to 
its date of expiration unless it is revoked or suspended.
    (e) Transfer. An import permit is not transferable or assignable.
    (f) Changes in information submitted by permit applicants or 
holders--(1) Changes in pending applications. Applicants for an import 
permit must report in writing to the Assistant Administrator any change 
in the information submitted in their import permit application. The 
processing period for the application will be extended as necessary to 
review the change.
    (2) Changes occurring after permit issuance. Any entity issued an 
import permit must report in writing to the Assistant Administrator any 
changes in previously submitted information. Any changes that would not 
result in a change in the importation authorized by the permit must be 
reported on the import ticket required to be submitted to the Assistant 
Administrator no later than 10 days after the date of importation. Any 
changes that would result in a change in the importation authorized by 
the permit, such as country of origin, type and quantity of the resource 
to be imported, and Convention statistical subarea from which the 
resource was harvested, must be proposed in writing to the Assistant 
Administrator and may not be undertaken unless authorized by the 
Assistant Administrator by a permit revision or new permit.
    (g) Revision, suspension, or revocation. An import permit may be 
revised, suspended, or revoked based upon information subsequently 
reported, effective upon notification to the permit holder. An import 
permit may be revised, suspended, or revoked, based upon a violation of 
the permit, the Act, or this subpart. Failure to report a change in the 
information contained in an import permit application is a violation of 
this subpart and voids the application or permit, as applicable. Title 
15 CFR part 904 governs permit sanctions under this subpart.
    (h) Disposition of resources not accompanied by required 
documentation. (1) When AMLRs are imported into the United States 
unaccompanied by a permit authorizing import, the importer must either:
    (i) Abandon the resources;
    (ii) Waive claim to the resources; or
    (iii) Place the resources into a bonded warehouse and attempt to 
obtain a permit authorizing their importation.
    (2) If, within 60 days of such resources being placed into a bonded 
warehouse, the District Director of the U.S. Customs Service receives 
documentation that import of the resources into the United States is 
authorized by a permit, the resources will be allowed entry. If 
documentation of a permit is not presented within 60 days, the 
importer's claim to the resources will be deemed waived.
    (3) When resources are abandoned or claim to them waived, the 
resources will be delivered to the Administrator of NOAA, or a designee, 
for storage or disposal as authorized by law.



Sec. 300.114  Appointment of a designated representative.

    (a) All holders of permits authorizing fishing in subarea 48.3 must 
appoint a designated representative in the United States.
    (b) The designated representative will be notified of closures under 
Sec. 300.111 and must transmit this information to the vessel on the 
grounds.
    (c) The designated representative may receive catch reports from the 
vessel and transmit the reports to NMFS in writing.

[[Page 332]]



Sec. 300.115  Prohibitions.

    In addition to the prohibitions in Sec. 300.4, it is unlawful for 
any person to:
    (a) Reduce to possession or attempt to reduce to possession any 
AMLRs without a permit for such activity as required by Sec. 300.112.
    (b) Import into the United States any AMLRs without either a permit 
to import those resources as required by Sec. 300.113 or a permit to 
harvest those resources as required by Sec. 300.112.
    (c) Engage in harvesting or other associated activities in violation 
of the provisions of the Convention or in violation of a conservation 
measure in force with respect to the United States under Article IX of 
the Convention.
    (d) Ship, transport, offer for sale, sell, purchase, import, export 
or have custody, control or possession of, any AMLR that he or she 
knows, or reasonably should have known, was harvested in violation of a 
conservation measure in force with respect to the United States under 
article IX of the Convention or in violation of any regulation 
promulgated under this subpart, without regard to the citizenship of the 
person that harvested, or vessel that was used in the harvesting of, the 
AMLR.
    (e) Refuse to allow any CCAMLR inspector to board a vessel of the 
United States or a vessel subject to the jurisdiction of the United 
States for the purpose of conducting an inspection authorized by the 
Act, this subpart, or any permit issued under the Act.
    (f) Refuse to provide appropriate assistance, including access as 
necessary to communications equipment, to CCAMLR inspectors.
    (g) Refuse to sign a written notification of alleged violations of 
Commission measures in effect prepared by a CCAMLR inspector.
    (h) Assault, resist, oppose, impede, intimidate, or interfere with a 
CCAMLR inspector in the conduct of any boarding or inspection authorized 
by the Act, this subpart, or any permit issued under the Act.
    (i) Use any vessel to engage in harvesting after the revocation, or 
during the period of suspension, of an applicable permit issued under 
the Act.
    (j) Fail to identify, falsely identify, fail to properly maintain, 
or obscure the identification of a harvesting vessel or its gear as 
required by this subpart.
    (k) Fish in a closed area.
    (l) Trawl with a mesh size in any part of the trawl net smaller than 
that allowed for any directed fishing for Antarctic finfishes as 
specified in management measures issued pursuant to Sec. 300.111.
    (m) Use any means or device that would reduce the size or obstruct 
the opening of the trawl meshes specified in management measures issued 
pursuant to Sec. 300.111.
    (n) Possess fish in violation of the catch limit specified in 
management measures issued pursuant to Sec. 300.111.
    (o) Discard netting or other substances in the Convention Area in 
violation of Sec. 300.109.
    (p) Violate or attempt to violate any provision of this subpart, the 
Act, any other regulation promulgated under the Act or any permit issued 
under the Act.



Sec. 300.116  Facilitation of enforcement and inspection.

    In addition to the facilitation of enforcement provisions of 
Sec. 300.5, the following requirements apply to this subpart.
    (a) Access and records. (1) The owners and operator of each 
harvesting vessel must provide authorized officers and CCAMLR inspectors 
access to all spaces where work is conducted or business papers and 
records are prepared or stored, including but not limited to personal 
quarters and areas within personal quarters. If inspection of a 
particular area would interfere with specific on-going scientific 
research, and if the operator of the harvesting vessel makes such 
assertion and produces an individual permit that covers that specific 
research, the authorized officer or CCAMLR inspector will not disturb 
the area, but will record the information pertaining to the denial of 
access.
    (2) The owner and operator of each harvesting vessel must provide to 
authorized officers and CCAMLR inspectors all records and documents 
pertaining to the harvesting activities of the vessel, including but not 
limited to production records, fishing logs, navigation logs, transfer 
records, product

[[Page 333]]

receipts, cargo stowage plans or records, draft or displacement 
calculations, customs documents or records, and an accurate hold plan 
reflecting the current structure of the vessel's storage and factory 
spaces.
    (3) Before leaving vessels that have been inspected, the CCAMLR 
inspector will give the master of the vessel a Certificate of Inspection 
and a written notification of any alleged violations of Commission 
measures in effect and will afford the master the opportunity to comment 
on it. The ship's master must sign the notification to acknowledge 
receipt and the opportunity to comment on it.
    (b) Reports by non-inspectors. All scientists, fishermen, and other 
non-inspectors present in the Convention area and subject to the 
jurisdiction of the United States are encouraged to report any violation 
of Commission conservation and management measures observed in the 
Convention area to the Office of Ocean Affairs (CCAMLR Violations), 
Department of State, Room 5801, Washington, DC 20520.
    (c) Storage of AMLRs. The operator of each harvesting vessel storing 
AMLRs in a storage space on board the vessel must ensure that non-
resource items are neither stowed beneath nor covered by resource items, 
unless required to maintain the stability and safety of the vessel. Non-
resource items include, but are not limited to, portable conveyors, 
exhaust fans, ladders, nets, fuel bladders, extra bin boards, or other 
moveable non-resource items. These non-resource items may be in a 
resource storage space when necessary for the safety of the vessel or 
crew or for the storage of the items. Lumber, bin boards, or other 
dunnage may be used for shoring or bracing of product to ensure the 
safety of crew and to prevent shifting of cargo within the space.



Sec. 300.117  Penalties.

    Any person or harvesting vessel found to be in violation of the Act, 
this subpart, or any permit issued under this subpart will be subject to 
the civil and criminal penalty provisions and forfeiture provisions 
prescribed in the Act, 15 CFR part 904, and other applicable laws.

[[Page 334]]

 Figure 1 to Subpart G--Boundaries of the Statistical Reporting Area in 
                           the Southern Ocean
[GRAPHIC] [TIFF OMITTED] TC01JY91.072


[[Page 335]]


    Figure 2 to Subpart G--The Use of Streamer Lines to Minimize the 
 Incidental Mortality of Seabirds in the Course of Longline Fishing or 
       Longline Fishing Research Operations in the Convention Area
[GRAPHIC] [TIFF OMITTED] TC01JY91.073


[[Page 336]]





  Subpart H--Vessels of the United States Fishing in Colombian Treaty 
                                 Waters

    Authority: 16 U.S.C. 1801 et seq.



Sec. 300.120  Purpose.

    This subpart implements fishery conservation and management measures 
as provided in fishery agreements pursuant to the Treaty Between the 
Government of the United States of America and the Government of the 
Republic of Colombia Concerning the Status of Quita Sueno, Roncador and 
Serrana (TIAS 10120) (Treaty).



Sec. 300.121  Definitions.

    In addition to the terms defined in Sec. 300.2, the Magnuson Act, 
and Sec. 600.10 of this title, and in the Treaty, the terms used in this 
subpart have the following meanings. If a term is defined differently in 
Sec. 300.2, the Magnuson Act, or the Treaty, the definition in this 
section shall apply.
    Conch means Strombus gigas.
    Factory vessel means a vessel that processes, transforms, or 
packages aquatic biological resources on board.
    Lobster means one or both of the following:
    (1) Smoothtail lobster, Panulirus laevicauda.
    (2) Spiny lobster, Panulirus argus.
    Regional Director means the Director, Southeast Region, or a 
designee.
    Science and Research Director means the Director, Southeast 
Fisheries Science Center.
    Treaty waters means the waters of one or more of the following:
    (1) Quita Sueno, enclosed by latitudes 13 deg.55'N. and 14 deg.43'N. 
between longitudes 80 deg.55'W. and 81 deg.28'W.
    (2) Serrana, enclosed by arcs 12 nautical miles from the low water 
line of the cays and islands in the general area of 14 deg.22'N. lat., 
80 deg.20'W. long.
    (3) Roncador, enclosed by arcs 12 nautical miles from the low water 
line of Roncador Cay, in approximate position 13 deg.35'N. lat., 
80 deg.05'W. long.



Sec. 300.122  Relation to other laws.

    (a) The relation of this subpart to other laws is set forth in 
Sec. 600.705 of this title and paragraph (b) of this section. Particular 
note should be made to the reference in Sec. 600.705 to the 
applicability of title 46 U.S.C., under which a Certificate of 
Documentation is invalid when the vessel is placed under the command of 
a person who is not a citizen of the United States.
    (b) Minimum size limitations for certain species, such as reef fish 
in the Gulf of Mexico, may apply to vessels transiting the EEZ with such 
species aboard.



Sec. 300.123  Certificates and permits.

    (a) Applicability. An owner of a vessel of the United States that 
fishes in treaty waters is required to obtain an annual certificate 
issued by the Republic of Colombia and an annual vessel permit issued by 
the Regional Director.
    (b) Application for certificate/permit. (1) An application for a 
permit must be submitted and signed by the vessel's owner. An 
application may be submitted at any time, but should be submitted to the 
Regional Director not less than 90 days in advance of its need. 
Applications for the ensuing calendar year should be submitted to the 
Regional Director by October 1.
    (2) An applicant must provide the following:
    (i) A copy of the vessel's valid USCG certificate of documentation 
or, if not documented, a copy of its valid state registration 
certificate.
    (ii) Vessel name and official number.
    (iii) Name, address, telephone number, and other identifying 
information of the vessel owner or, if the owner is a corporation or 
partnership, of the responsible corporate officer or general partner.
    (iv) Principal port of landing of fish taken from treaty waters.
    (v) Type of fishing to be conducted in treaty waters.
    (vi) Any other information concerning the vessel, gear 
characteristics, principal fisheries engaged in, or fishing areas, as 
specified on the application form.
    (vii) Any other information that may be necessary for the issuance 
or administration of the permit, as specified on the application form.
    (c) Issuance. (1) The Regional Director will request a certificate 
from the Republic of Colombia if:
    (i) The application is complete.

[[Page 337]]

    (ii) The applicant has complied with all applicable reporting 
requirements of Sec. 300.124 during the year immediately preceding the 
application.
    (2) Upon receipt of an incomplete application, or an application 
from a person who has not complied with all applicable reporting 
requirements of Sec. 300.124 during the year immediately preceding the 
application, the Regional Director will notify the applicant of the 
deficiency. If the applicant fails to correct the deficiency within 30 
days of the Regional Director's notification, the application will be 
considered abandoned.
    (3) The Regional Director will issue a permit as soon as the 
certificate is received from the Republic of Colombia.
    (d) Duration. A certificate and permit are valid for the calendar 
year for which they are issued, unless the permit is revoked, suspended, 
or modified under subpart D of 15 CFR part 904.
    (e) Transfer. A certificate and permit issued under this section are 
not transferable or assignable. They are valid only for the fishing 
vessel and owner for which they are issued.
    (f) Display. A certificate and permit issued under this section must 
be carried aboard the fishing vessel while it is in treaty waters. The 
operator of a fishing vessel must present the certificate and permit for 
inspection upon request of an authorized officer or an enforcement 
officer of the Republic of Colombia.
    (g) Sanctions and denials. Procedures governing enforcement-related 
permit sanctions and denials are found at subpart D of 15 CFR part 904.
    (h) Alteration. A certificate or permit that is altered, erased, or 
mutilated is invalid.
    (i) Replacement. A replacement certificate or permit may be issued 
upon request. Such request must clearly state the reason for a 
replacement certificate or permit.
    (j) Change in application information. The owner of a vessel with a 
permit must notify the Regional Director within 30 days after any change 
in the application information required by paragraph (b)(2) of this 
section. The permit is void if any change in the information is not 
reported within 30 days.



Sec. 300.124  Recordkeeping and reporting.

    (a) Arrival and departure reports. The operator of each vessel of 
the United States for which a certificate and permit have been issued 
under Sec. 300.123 must report by radio to the Port Captain, San Andres 
Island, voice radio call sign ``Capitania de San Andres,'' the vessel's 
arrival in and departure from treaty waters. Radio reports must be made 
on 8222.0 kHz or 8276.5 kHz between 8:00 a.m. and 12 noon, local time 
(1300-1700, Greenwich mean time) Monday through Friday.
    (b) Catch and effort reports. Each vessel of the United States must 
report its catch and effort on each trip into treaty waters to the 
Science and Research Director on a form available from the Science and 
Research Director. These forms must be submitted to the Science and 
Research Director so as to be received no later than 7 days after the 
end of each fishing trip.



Sec. 300.125  Vessel identification.

    (a) Official number. A vessel with a permit issued pursuant to 
Sec. 300.123, when in treaty waters, must display its official number on 
the port and starboard sides of the deckhouse or hull, and on an 
appropriate weather deck, so as to be clearly visible from an 
enforcement vessel or aircraft. The official number must be permanently 
affixed to or painted on the vessel and must be in block arabic numerals 
in contrasting color to the background at least 18 inches (45.7 cm) in 
height for fishing vessels over 65 ft (19.8 m) in length, and at least 
10 inches (25.4 cm) in height for all other vessel.
    (b) Duties of operator. The operator of each fishing vessel must--
    (1) Keep the official number clearly legible and in good repair.
    (2) Ensure that no part of the fishing vessel, its rigging, fishing 
gear, or any other material aboard obstructs the view of the official 
number from an enforcement vessel or aircraft.



Sec. 300.126  Prohibitions.

    In addition to the general prohibitions specified in Sec. 600.725 of 
this title and the prohibited acts specified in Sec. 300.4, it is 
unlawful for any person to do any of the following:

[[Page 338]]

    (a) Fish in treaty waters without the certificate and permit aboard, 
or fail to display the certificate and permit, as specified in 
Sec. 300.123(a) and (f).
    (b) Fail to notify the Regional Director of a change in application 
information, as specified in Sec. 300.123(j).
    (c) Fail to report a vessel's arrival in and departure from treaty 
waters, as required by Sec. 300.124(a).
    (d) Falsify or fail to display and maintain vessel identification, 
as required by Sec. 300.125.
    (e) Fail to comply immediately with instructions and signals issued 
by an enforcement officer of the Republic of Colombia, as specified in 
Sec. 300.127.
    (f) Operate a factory vessel in treaty waters, as specified in 
Sec. 300.130(a).
    (g) Use a monofilament gillnet in treaty waters, as specified in 
Sec. 300.130(b).
    (h) Use autonomous or semi-autonomous diving equipment in treaty 
waters, as specified in Sec. 300.130(c).
    (i) Use or possess in treaty waters a lobster trap or fish trap 
without a degradable panel, as specified in Sec. 300.130(d).
    (j) Possess conch smaller than the minimum size limit, as specified 
in Sec. 300.131(a).
    (k) Fish for or possess conch in the closed area or during the 
closed season, as specified in Sec. 300.131(b) and (c).
    (l) Retain on board a berried lobster or strip eggs from or 
otherwise molest a berried lobster, as specified in Sec. 300.132(a).
    (m) Possess a lobster smaller than the minimum size, as specified in 
Sec. 300.132(b).
    (n) Fail to return immediately to the water unharmed a berried or 
undersized lobster, as specified in Sec. 300.132(a) and (b).



Sec. 300.127  Facilitation of enforcement.

    (a) The provisions of Sec. 600.730 of this title and paragraph (b) 
of this section apply to vessels of the United States fishing in treaty 
waters.
    (b) The operator of, or any other person aboard, any vessel of the 
United States fishing in treaty waters must immediately comply with 
instructions and signals issued by an enforcement officer of the 
Republic of Colombia to stop the vessel and with instructions to 
facilitate safe boarding and inspection of the vessel, its gear, 
equipment, fishing record, and catch for purposes of enforcing this 
subpart.



Sec. 300.128  Penalties.

    Any person committing or fishing vessel used in the commission of a 
violation of the Magnuson Act or any regulation issued under the 
Magnuson Act, is subject to the civil and criminal penalty provisions 
and civil forfeiture provisions of the Magnuson Act, to part 600 of this 
title, to 15 CFR part 904, and to other applicable law. In addition, 
Colombian authorities may require a vessel involved in a violation of 
this subpart to leave treaty waters.



Sec. 300.129  Fishing year.

    The fishing year for fishing in treaty waters begins on January 1 
and ends on December 31.



Sec. 300.130  Vessel and gear restrictions.

    (a) Factory vessels. Factory vessels are prohibited from operating 
in treaty waters.
    (b) Monofilament gillnets. A monofilament gillnet made from nylon or 
similar synthetic material are prohibited from being used in treaty 
waters.
    (c) Tanks and air hoses. Autonomous or semiautonomous diving 
equipment (tanks or air hoses) are prohibited from being used to take 
aquatic biological resources in treaty waters.
    (d) Trap requirements. A lobster trap or fish trap used or possessed 
in treaty waters that is constructed of material other than wood must 
have an escape panel located in the upper half of the sides or on top of 
the trap that, when removed, will leave an opening no smaller than the 
throat or entrance of the trap. Such escape panel must be constructed of 
or attached to the trap with wood, cotton, or other degradable material.
    (e) Poisons and explosives. [Reserved]



Sec. 300.131  Conch harvest limitations.

    (a) Size limit. The minimum size limit for possession of conch in or 
from treaty waters is 7.94 oz (225 g) for an uncleaned meat and 3.53 oz 
(100 g) for a cleaned meat.

[[Page 339]]

    (b) Closed area. The treaty waters of Quita Sueno are closed to the 
harvest or possession of conch.
    (c) Closed season. During the period July 1 through September 30 of 
each year, the treaty waters of Serrana and Roncador are closed to the 
harvest or possession of conch.



Sec. 300.132  Lobster harvest limitations.

    (a) Berried lobsters. A berried (egg-bearing) lobster in treaty 
waters may not be retained on board. A berried lobster must be returned 
immediately to the water unharmed. A berried lobster may not be 
stripped, scraped, shaved, clipped, or in any other manner molested to 
remove the eggs.
    (b) Size limit. The minimum size limit for possession of lobster in 
or from treaty waters is 5.5 inches (13.97 cm), tail length. Tail length 
means the measurement, with the tail in a straight, flat position, from 
the anterior upper edge of the first abdominal (tail) segment to the tip 
of the closed tail. A lobster smaller than the minimum size limit must 
be returned immediately to the water unharmed.



          Subpart I--United States-Canada Fisheries Enforcement

    Authority: 16 U.S.C. 1801 et seq.



Sec. 300.140  Purpose and scope.

    This subpart implements the Agreement Between the Government of the 
United States of America and the Government of Canada on Fisheries 
Enforcement executed at Ottawa, Canada, on September 26, 1990 
(Agreement), allowing each party to the Agreement to take appropriate 
measures, consistent with international law, to prevent its nationals, 
residents and vessels from violating those national fisheries laws and 
regulations of the other party. This subpart applies, except where 
otherwise specified in this subpart, to all persons and all places (on 
water and on land) subject to the jurisdiction of the United States 
under the Magnuson Act. This includes, but is not limited to, activities 
of nationals, residents and vessels of the United States (including the 
owners and operators of such vessels) within waters subject to the 
fisheries jurisdiction of Canada as defined in this subpart, as well as 
on the high seas and in waters subject to the fisheries jurisdiction of 
the United States.



Sec. 300.141  Definitions.

    In addition to the terms defined in Sec. 300.2 and those in the 
Magnuson Act and the Agreement, the terms used in this subpart have the 
following meanings. If a term is defined differently in Sec. 300.2, the 
Magnuson Act, or the Agreement, the definition in this section applies.
    Applicable Canadian fisheries law means any Canadian law, regulation 
or similar provision relating in any manner to fishing by any fishing 
vessel other than a Canadian fishing vessel in waters subject to the 
fisheries jurisdiction of Canada, including, but not limited to, any 
provision relating to stowage of fishing gear by vessels passing through 
such waters, and to obstruction or interference with enforcement of any 
such law or regulation.
    Authorized officer of Canada means any fishery officer, protection 
officer, officer of the Royal Canadian Mounted Police, or other employee 
authorized by the appropriate authority of any national or provincial 
agency of Canada to enforce any applicable Canadian fisheries law.
    Canadian fishing vessel means a fishing vessel:
    (1) That is registered or licensed in Canada under the Canada 
Shipping Act and is owned by one or more persons each of whom is a 
Canadian citizen, a person resident and domiciled in Canada, or a 
corporation incorporated under the laws of Canada or of a province, 
having its principal place of business in Canada; or
    (2) That is not required by the Canada Shipping Act to be registered 
or licensed in Canada and is not registered or licensed elsewhere but is 
owned as described in paragraph (1) of this definition.
    Waters subject to the fisheries jurisdiction of Canada means the 
internal waters, territorial sea, and the zone that Canada has 
established, extending 200 nautical miles from its coasts, in which it 
exercises sovereign rights for the purpose of exploration, exploitation, 
conservation and management of living

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marine resources, to the extent recognized by the United States.



Sec. 300.142  Prohibitions.

    The prohibitions in this section apply within waters subject to the 
fisheries jurisdiction of Canada and during hot pursuit therefrom by an 
authorized officer of Canada. It is unlawful for any national or 
resident of the United States, or any person on board a vessel of the 
United States, or the owner or operator of any such vessel, to do any of 
the following:
    (a) Engage in fishing in waters subject to the fisheries 
jurisdiction of Canada without the express authorization of the 
Government of Canada.
    (b) Take or retain fish in waters subject to the fisheries 
jurisdiction of Canada without the express authorization of the 
Government of Canada.
    (c) Be on board a fishing vessel in waters subject to the fisheries 
jurisdiction of Canada, without stowing all fishing gear on board 
either:
    (1) Below deck, or in an area where it is not normally used, such 
that the gear is not readily available for fishing; or
    (2) If the gear cannot readily be moved, in a secured and covered 
manner, detached from all towing lines, so that it is rendered unusable 
for fishing; unless the vessel has been authorized by the Government of 
Canada to fish in the particular location within waters subject to the 
fisheries jurisdiction of Canada in which it is operating.
    (d) While on board a fishing vessel in waters subject to the 
fisheries jurisdiction of Canada, fail to respond to any inquiry from an 
authorized officer of Canada regarding the vessel's name, flag state, 
location, route or destination, and/or the circumstances under which the 
vessel entered such waters.
    (e) Violate the Agreement, any applicable Canadian fisheries law, or 
the terms or conditions of any permit, license or any other 
authorization granted by Canada under any such law.
    (f) Fail to comply immediately with any of the enforcement and 
boarding procedures specified in Sec. 300.143.
    (g) Destroy, stave, or dispose of in any manner, any fish, gear, 
cargo or other matter, upon any communication or signal from an 
authorized officer of Canada, or upon the approach of such an officer, 
enforcement vessel or aircraft, before the officer has had the 
opportunity to inspect same, or in contravention of directions from such 
an officer.
    (h) Refuse to allow an authorized officer of Canada to board a 
vessel for the purpose of conducting any inspection, search, seizure, 
investigation or arrest in connection with the enforcement of any 
applicable Canadian fisheries law.
    (i) Assault, resist, oppose, impede, intimidate, threaten, obstruct, 
delay, prevent, or interfere, in any manner, with an authorized officer 
of Canada in the conduct of any boarding, inspection, search, seizure, 
investigation or arrest in connection with the enforcement of any 
applicable Canadian fisheries law.
    (j) Make any false statement, oral or written, to an authorized 
officer of Canada in response to any inquiry by that officer in 
connection with enforcement of any applicable Canadian fisheries law.
    (k) Falsify, cover, or otherwise obscure, the name, home port, 
official number (if any), or any other similar marking or identification 
of any fishing vessel subject to this subpart such that the vessel 
cannot be readily identified from an enforcement vessel or aircraft.
    (l) Attempt to do any of the foregoing.



Sec. 300.143  Facilitation of enforcement.

    (a) General. Persons aboard fishing vessels subject to this subpart 
must immediately comply with instructions and/or signals issued by an 
authorized officer of the United States or Canada, or by an enforcement 
vessel or aircraft, to stop the vessel, and with instructions to 
facilitate safe boarding and inspection for the purpose of enforcing any 
applicable Canadian fisheries law, the Agreement, or this subpart. All 
of the provisions of Sec. 300.5 regarding communications, boarding, and 
signals apply to this subpart. For purposes of this subpart, authorized 
officer in Sec. 305 means an authorized officer of the United States or 
Canada. (See paragraph (b) of this section for specific requirements for 
complying with signals

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and instructions issued by an authorized officer of Canada.)
    (b) Canadian signals. In addition to signals set forth in 
Sec. 300.5, persons aboard fishing vessels subject to this subpart must 
immediately comply with the following signals by an authorized officer 
of Canada.
    (1) Authorized officers of Canada use the following signals to 
require fishing vessels to stop or heave to:
    (i) The hoisting of a rectangular flag, known as the International 
Code Flag ``L'', which is divided vertically and horizontally into 
quarters and colored so that:
    (A) The upper quarter next to the staff and the lower quarter next 
to the fly are yellow; and
    (B) The lower quarter next to the staff and the upper quarter next 
to the fly are black;
    (ii) The flashing of a light to indicate the International Morse 
Code letter ``L'', consisting of one short flash, followed by one long 
flash, followed by two short flashes (. -- . .); or
    (iii) The sounding of a horn or whistle to indicate the 
International Morse Code letter ``L'', consisting of one short blast, 
followed by one long blast, followed by two short blasts (. -- . .).
    (2) Authorized officers of Canada use the following signals to 
require a fishing vessel to prepare to be boarded:
    (i) The hoisting of flags representing the International Code Flag 
``SQ3''; or
    (ii) The flashing of a light, or the sounding of a horn or whistle, 
to indicate the International Morse Code Signal ``SQ3'' (. . . -- -- . 
-- . . . -- --).



Sec. 300.144  Penalties and sanctions.

    Any person, any fishing vessel, or the owner or operator of any such 
vessel, who violates any provision of the Agreement or this subpart, is 
subject to the civil and criminal fines, penalties, forfeitures, permit 
sanctions, or other sanctions provided in the Magnuson Act, part 600 of 
this title, 15 CFR part 904 (Civil Procedures), and any other applicable 
law or regulation.



         Subpart J--U.S. Nationals Fishing in Russian Fisheries

    Authority: 16 U.S.C. 1801 et seq.



Sec. 300.150  Purpose.

    This subpart regulates U.S. nationals fishing in the Russian 
fisheries and implements the Agreement between the Government of the 
United States of America and the Government of the Union of Soviet 
Socialist Republics on Mutual Fisheries Relations, signed May 31, 1988.



Sec. 300.151  Definitions.

    In addition to the terms defined in Sec. 300.2 and those in the 
Magnuson Act, the terms used in this subpart have the following 
meanings. If a term is defined differently in Sec. 300.2 or the Magnuson 
Act, the definition in this section shall apply.
    Affiliates means two persons (including individuals and entities) 
related in such a way that--
    (1) One indirectly or directly controls or has power to control the 
other; or
    (2) A third party controls or has power to control both. Indicia of 
control include, but are not limited to, interlocking management or 
ownership, identity of interests among family members, shared facilities 
and equipment, common use of employees, or a reorganized entity having 
the same or similar management, ownership, or employees as a former 
entity.
    Agreement means the Agreement Between the Government of the United 
States of America and the Government of the Union of Soviet Socialist 
Republics on Mutual Fisheries Relations, signed May 31, 1988.
    Embassy of the Russian Federation means the Fisheries Attache of the 
embassy located in Washington, D.C.
    Fishery resource means any fish, any stock of fish, any species of 
fish, and any habitat of fish.
    Fishing or to fish means any activity that does, is intended to, or 
can reasonably be expected to result in catching or removing from the 
water fishery resources. Fishing also includes the acts of scouting, 
processing, and support.
    Operator, with respect to any vessel, means the master or other 
individual on board and in charge of either the vessel, the vessel's 
fishing operation, or both.
    Owner, with respect to any vessel, means any person who owns that 
vessel in whole or in part, whether or not it is

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leased or chartered to or managed by another person, or any charterer, 
whether bareboat, time, or voyage, and any person who acts in the 
capacity of a charterer, or manager, including but not limited to 
parties to a management agreement, operating agreement, or any similar 
agreement that bestows control over the destination, function, or 
operation of the vessel, any officer, director, manager, controlling 
shareholder of any entity described in this definition, any agent 
designated as such by any person described in this definition, and any 
affiliate of any person described in this definition.
    Processing means any operation by a vessel to receive fish from a 
fishing vessel and/or the preparation of fish, including but not limited 
to cleaning, cooking, canning, smoking, salting, drying, or freezing, 
either on the vessel's behalf or to assist another vessel.
    Regional Director means Director, Alaska Region, or a designee.
    Relevant laws and regulations of the Russian Federation means those 
Russian laws and regulations that concern fishing for fishery resources 
over which Russia exercises sovereign rights or fishery management 
authority.
    Russian and Federation mean the Russian Federation, its government, 
or any organ or entity of its government.
    Russian continental shelf or continental shelf of Russia means the 
seabed and subsoil of the submarine areas over which, consistent with 
international law, Russia exercises sovereign rights.
    Russian Economic Zone or Russian EZ means a zone of waters off the 
coast of Russia beyond and adjacent to the Russian territorial sea 
extending a distance of up to 200 nautical miles from the baseline from 
which the territorial sea is measured, within which, consistent with 
international law, Russia has sovereign rights over the fishery 
resources.
    Russian Federation or Russia means the governing entity that 
succeeded the Union of Soviet Socialist Republics, and that is the 
successor party to the Agreement of May 31, 1988.
    Russian fisheries, Russian fishery resources, or fishery resources 
over which Russia exercises sovereign rights or fishery management 
authority means fishery resources within the Russian EZ, fishery 
resources of the Russian continental shelf, and anadromous species that 
originate in the waters of Russia, whether found in the Russian EZ or 
beyond any exclusive economic zone or its equivalent.
    Scouting means any operation by a vessel exploring (on behalf of the 
vessel or another vessel) for the presence of fish by any means that do 
not involve the catching of fish.
    Support means any operation by a vessel assisting fishing by another 
vessel, including--
    (1) Transferring or transporting fish or fish products; or
    (2) Supplying a fishing vessel with water, fuel, provisions, fishing 
equipment, fish processing equipment, or other supplies.



Sec. 300.152  Procedures.

    (a) Application for annual permits. U.S. vessel owners and operators 
must have a valid permit issued by the Russian Federation obtained 
pursuant to a complete application submitted through NMFS before fishing 
in the Russian EZ or for Russian fishery resources. Application forms 
and copies of applicable laws and regulations of the Russian Federation 
may be obtained from NMFS Headquarters.
    (b) Other application information. Applications for motherships, 
processing or transport vessels must identify the type of fishing gear 
to be employed or the fishing quotas if the vessel has received or is 
requesting a quota. To facilitate processing, NMFS requests that permit 
applications for more than 10 vessels be grouped by type and fishing 
area, and provide the name, address, telephone, and FAX number(s) of an 
individual who will be the official point of contact for an application.
    (c) Review of Applications. NMFS will review each application, and, 
if it is complete, forward it to the Department of State for submission 
to the competent authorities of the Russian Federation. NMFS will notify 
the permit applicant when the permit is submitted to the Russian 
Federation. NMFS will return incomplete applications to the applicant.
    (d) Direct Communication. U.S. applicants may communicate directly 
with the Russian Federation with regard to

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the status of their applications or permits and are encouraged to do so. 
Owners and operators should make direct contact and work with Russian 
industry and government authorities.



Sec. 300.153  Permit issuance.

    (a) Acceptance. Once the Department of State has accepted the 
conditions and restrictions proposed by the Russian Federation and all 
fees have been paid, the competent authorities of the Russian Federation 
will approve the application. The Russian Federation will issue a permit 
to the vessel owner for each fishing vessel for which it has approved an 
application. That vessel will thereupon be authorized by the Russian 
Federation to fish in accordance with the Agreement and the terms and 
conditions set forth in the permit. The vessel owner is prohibited from 
transferring the permit to any other vessel or person. Any such 
transfer, or the sale or other transfer of the vessel, will immediately 
invalidate the permit. The vessel owner must notify NMFS of any change 
in the permit application information submitted to NMFS Headquarters 
under Sec. 300.152 within 7 calendar days of the change.
    (b) Copies. The vessel owner and operator must mail a copy of each 
permit and any conditions and restrictions issued for that vessel by the 
Russian Federation within 7 calendar days of its receipt to NMFS 
Headquarters.
    (c) Validity. Any permit issued by the Russian Federation with 
respect to a vessel subject to this subpart will be deemed to be a valid 
permit only if:
    (1) A completed permit application has been forwarded to the 
competent authorities of the Russian Federation as provided in 
Sec. 300.152(b)(1).
    (2) Such application has been approved and a permit issued by the 
competent authorities of the Russian Federation as provided in paragraph 
(a) of this section.
    (3) The U.S. Department of State has notified the competent 
authorities of the Russian Federation that it has accepted the 
conditions and restrictions as provided in paragraph (a) of this 
section. The permit will be rendered invalid by: The transfer or sale of 
the permit specified in paragraph (a) of this section; the failure to 
submit to NMFS any changes in permit application information as required 
by paragraph (a) of this section; failure to submit to NMFS any permit 
copy required by paragraph (b) of this section or any other information 
or report required by any other provision of this subpart; or the 
failure to pay required permit fees.
    (d) Russian-imposed sanctions. (1) The Russian Federation will 
impose appropriate fines, penalties, or forfeitures in accordance with 
its laws, for violations of its relevant laws or regulations.
    (2) In the case of arrest and seizure of a U.S. vessel by Russian 
authorities, notification will be given promptly through diplomatic 
channels informing the United States of the facts and actions taken.
    (3) The Russian Federation will release U.S. vessels and their crews 
promptly, subject to the posting of reasonable bond or other security.
    (4) The sanctions for violations of limitations or restrictions on 
fishing operations will be appropriate fines, penalties, forfeitures, or 
revocations or suspensions of fishing privileges.



Sec. 300.154  Recordkeeping and reporting.

    (a) General. The owner and operator of a vessel subject to this 
subpart are responsible for complying with all recordkeeping and 
reporting requirements in this part in a timely and accurate manner. 
Reports and records required by this subpart must be in English, in the 
formats specified, and unless otherwise specified, based on Greenwich 
mean time (GMT).
    (b) Vessel permit abstract report. (1) The owner and operator of a 
vessel subject to this subpart must submit to NMFS Headquarters a permit 
abstract report containing the following information:
    (i) Vessel name.
    (ii) Russian Federation permit number.
    (iii) Duration of permit (e.g., 1/1/91-12/31/91).
    (iv) Authorized areas of fishing operations in geographic 
coordinates.
    (v) Authorized catch quota in tons.
    (vi) Authorized fishing gear.
    (vii) Type of permit (e.g., catcher).

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    (2) The report must be telefaxed to (301) 713-0596 within 5 calendar 
days of receipt of the Russian permit.
    (c) Activity reports. The owner and operator of a vessel subject to 
this subpart must submit to the Regional Director by telefax to (907) 
586-7313, the following reports:
    (1) Depart Report (Action code DEPART). At least 24 hours before the 
vessel departs from the EEZ for the Russian EZ, NMFS must receive the 
following information:
    (i) The date (month and day), and time (hour and minute GMT), and 
position (latitude and longitude to the nearest degree and minute), at 
which the vessel will depart the EEZ for the Russian EZ.
    (ii) The weight in metric tons (to the nearest hundredth of a metric 
ton) of all fish and fish product (listed by species and product codes) 
on board the vessel at the time it will depart the EEZ.
    (2) Return Report (Action code RETURN). At least 24 hours before a 
vessel that has been in the Russian EZ enters the EEZ, NMFS must receive 
the following information:
    (i) The date (month and day), time (hour and minute GMT), and 
position (latitude and longitude to the nearest degree and minute), at 
which the vessel will enter the EEZ.
    (ii) The weight in metric tons (to the nearest hundredth of a metric 
ton) of all fish and fish products (listed by species and product codes) 
on board the vessel at the time it will enter the EEZ, and the areas 
(Russian EZ, U.S. EEZ, or other) in which such fish products were 
harvested or received.
    (3) All reports must specify: The appropriate action code 
(``DEPART'' or ``RETURN''); the vessel's name and international radio 
call sign (IRCS); the sender's name and telephone number, and FAX, 
TELEX, and COMSAT numbers; the date (month and day) and time (hour and 
minute GMT) that the report is submitted to NMFS; and the intended date 
and U.S. port of landing. A list of species and product codes may be 
obtained from the Regional Director.
    (d) Recordkeeping. The owner and operator of a vessel subject to 
this subpart must retain all copies of all reports required by this 
subpart on board the vessel for 1 year after the end of the calendar 
year in which the report was generated. The owner and operator must 
retain and make such records available for inspection upon the request 
of an authorized officer at any time for 3 years after the end of the 
calendar year in which the report was generated, whether or not such 
records on board the vessel.



Sec. 300.155  Requirements.

    (a) Compliance with permit requirements. (1) U.S. nationals and 
vessels subject to this subpart must have a valid permit, as specified 
in Sec. 300.153(c) in order to fish for Russian fishery resources.
    (2) U.S. nationals and vessels subject to this subpart that are 
fishing for Russian fishery resources must comply with all provisions, 
conditions, and restrictions of any applicable permit.
    (b) Compliance with Russian law. U.S. nationals and vessels fishing 
for Russian fishery resources must comply with the relevant laws and 
regulations of the Russian Federation.
    (c) Protection of marine mammals. U.S. nationals and vessels fishing 
for Russian fishery resources may not harass, hunt, capture, or kill any 
marine mammal within the Russian EZ, attempt to do so, except as may be 
provided for by an international agreement to which both the United 
States and Russia are parties, or in accordance with specific 
authorization and controls established by the Russian Federation. The 
provisions of the Marine Mammal Protection Act (MMPA), 16 U.S.C. 1361 et 
seq. also apply to any person or vessel subject to the jurisdiction of 
the United States while in the Russian EZ, and it shall not be a defense 
to any violation of the MMPA that the person or vessel was acting in 
accordance with any permit or authorization issued by the Russian 
Federation.
    (d) Cooperation with enforcement procedures. (1) The operator of, or 
any person aboard, any U.S. vessel subject to this subpart must 
immediately comply with instructions and signals issued by an authorized 
officer of the Russian Federation to stop the vessel and with 
instructions to facilitate safe boarding and inspection of the vessel, 
its gear,

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equipment, fishing record, and catch for purposes of enforcing the 
relevant laws and regulations of Russia.
    (2) The operator of, and any person aboard, any U.S. vessel subject 
to this subpart, must comply with directions issued by authorized 
officers of the Russian Federation in connection with the seizure of the 
vessel for violation of the relevant laws or regulations of the Russian 
Federation.
    (3) U.S. nationals and vessels subject to this subpart must pay all 
fines and penalties and comply with forfeiture sanctions imposed by the 
Russian Federation for violations of its relevant laws and regulations.
    (4) The operator of, and any person aboard, any U.S. vessel subject 
to this subpart must immediately comply with instructions and signals 
issued by an authorized officer of the United States to stop the vessel 
and with instructions to facilitate safe boarding and inspection of the 
vessel, its gear, equipment, fishing records, and catch for purposes of 
enforcing the Magnuson Act, the Agreement, and this subpart.
    (e) Compliance with observer requirements. The owner of, operator 
of, and any person aboard, any U.S. vessel fishing in the Russian EZ or 
for Russian fishery resources to which a Russian observer is assigned 
must--
    (1) Allow and facilitate, on request, boarding of a U.S. vessel by 
the observer.
    (2) Provide to the observer, at no cost to the observer or the 
Russian Federation, the courtesies and accommodations provided to ship's 
officers.
    (3) Cooperate with the observer in the conduct of his or her 
official duties.
    (4) Reimburse the Russian Federation for the costs of providing an 
observer aboard the vessel.



Sec. 300.156  Prohibited acts.

    In addition to the prohibited acts specified at Sec. 300.4, it shall 
be unlawful for any U.S. national or vessel, or the owner or operator of 
any such vessel:
    (a) To fish for Russian fishery resources without a valid permit 
issued by the competent authorities of the Russian Federation.
    (b) To violate the provisions, conditions, and restrictions of an 
applicable permit.
    (c) To violate the relevant laws and regulations of Russia.
    (d) To harass, hunt, capture, or kill any marine mammal within the 
Russian EZ, or while fishing for Russian fishery resources, except as 
provided in Sec. 300.155 (c).
    (e) To fail to comply immediately with enforcement and boarding 
procedures specified in Sec. 300.155 (d).
    (f) To refuse to allow an authorized officer of the Russian 
Federation to board and inspect a vessel subject to this subpart for 
purposes of conducting any search, inspection, arrest, or seizure in 
connection with the enforcement of the relevant laws and regulations of 
the Russian Federation.
    (g) To assault, resist, oppose, impede, intimidate, threaten, or 
interfere with, in any manner, any authorized officer of the Russian 
Federation in the conduct of any search, inspection, seizure, or arrest 
in connection with enforcement of the relevant laws and regulations of 
the Russian Federation.
    (h) To fail to pay fines or penalties or comply with forfeitures 
imposed for a violation of the relevant laws and regulations of the 
Russian Federation.
    (i) To refuse or fail to allow a Russian observer to board a vessel 
subject to this subpart while fishing in the Russian EZ, or for Russian 
fishery resources.
    (j) To fail to provide to a Russian observer aboard a vessel fishing 
in the Russian EZ or for Russian fishery resources, the courtesies and 
accommodations provided to ship's officers.
    (k) To assault, resist, oppose, impede, intimidate, threaten, 
interfere with, harass, or fail to cooperate, in any manner, with a 
Russian observer placed aboard a vessel subject to this subpart.
    (l) To fail to reimburse the Russian Federation for the costs 
incurred in the utilization of Russian observers placed aboard such 
vessel.
    (m) To possess, have custody or control of, ship, transport, offer 
for sale, sell, purchase, transship, import, export, or traffic in any 
manner, any fish or parts thereof taken or retained, landed, purchased, 
sold, traded, acquired, or possessed, in any manner, in

[[Page 346]]

violation of the relevant laws and regulations of the Russian 
Federation, the Magnuson Act, or this subpart.
    (n) To enter the Russian EZ to fish unless a permit application has 
been submitted through NMFS to the competent authorities of the Russian 
Federation by the U.S. Department of State for such vessel as provided 
in this subpart.
    (o) To fish for Russian fisheries or to possess fish taken in 
Russian fisheries on board a vessel subject to this subpart without a 
valid permit or other valid form of authorization issued by the 
competent authorities of the Russian Federation on board the vessel.
    (p) To falsify, or fail to report to NMFS, any change in the 
information contained in a permit application subject to this subpart 
within 7 calendar days of such change.
    (q) To attempt to do, cause to be done, or aid and abet in doing, 
any of the foregoing.
    (r) To violate any other provision of this subpart.



Sec. 300.157  Penalties.

    In addition to any fine, penalty, or forfeiture imposed by the 
Russian Federation, nationals and vessels of the United States violating 
the prohibitions of Sec. 300.156 are subject to the fines, penalties, 
and forfeitures and the adjudicative procedures provided in the Magnuson 
Act, 16 U.S.C. 1858, 1860, 1861, and any other applicable laws and 
regulations of the United States.



       Subpart K--Transportation and Labeling of Fish or Wildlife

    Authority: 16 U.S.C. 3371-3378.



Sec. 300.160  Requirement for marking of containers or packages.

    Except as otherwise provided in this subpart, all persons are 
prohibited from importing, exporting, or transporting in interstate 
commerce any container or package containing any fish or wildlife 
(including shellfish) unless each container or package is conspicuously 
marked on the outside with both the name and address of the shipper and 
consignee and an accurate list of its contents by species and number of 
each species.



Sec. 300.161  Alternatives and exceptions.

    (a) The requirements of Sec. 300.160 may be met by complying with 
one of the following alternatives to the marking requirement:
    (1)(i) Conspicuously marking the outside of each container or 
package containing 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
    (ii) Including an invoice, packing list, bill of lading, or similar 
document to accompany the shipment that accurately 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: The common name that identifies the species 
(examples include: chinook (or king) salmon; bluefin tuna; and whitetail 
deer); and 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 securely attached to the 
outside of one container or package in the shipment or otherwise 
physically accompany the shipment in a manner that makes it readily 
accessible for inspection; or
    (2) Affixing the shipper's wildlife import/export license number 
preceded by ``FWS'' on the outside of each container or package 
containing fish or wildlife if the shipper has a valid wildlife import/
export license issued under authority of part 14 of this title. For each 
shipment marked in accordance with this paragraph (a)(2), the records 
maintained under Sec. 14.93(d) of this title must include a copy of the 
invoice, packing list, bill of lading, or other similar document that 
accurately states the information required by paragraph (a)(1)(ii) of 
this section.
    (3) In the case of subcontainers or packages within a larger packing 
container, only the outermost container must be marked in accordance 
with this section, provided, that for live fish or wildlife that are 
packed in subcontainers within a larger packing container, if the 
subcontainers are numbered or labeled, the packing list, invoice, bill 
of lading, or other similar document, must reflect that number or label.

[[Page 347]]

    (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 conveyance is carried loosely or 
is readily identifiable, and is accompanied by the document required by 
paragraph (a)(1)(ii) of this section; or
    (ii) The fish or wildlife is otherwise packaged and marked in 
accordance with this subpart.
    (b) The requirements of Sec. 300.160 of chapter III of this title do 
not apply to containers or packages containing--
    (1) Fox, nutria, rabbit, mink, chinchilla, marten, fisher, muskrat, 
and karakul that have been bred and born in captivity, or their 
products, if a signed statement certifying that the animals were bred 
and born in captivity accompanies the shipping documents;
    (2) Fish or shellfish contained in retail consumer packages labeled 
pursuant to the Food, Drug and Cosmetic Act, 21 U.S.C. 301 et seq.; or
    (3) Fish or shellfish that are landed by, and offloaded from, a 
fishing vessel (whether or not the catch has been carried by the fishing 
vessel interstate), as long as the fish or shellfish remain at the place 
where first offloaded.

[[Page 349]]



CHAPTER IV--JOINT REGULATIONS (UNITED STATES FISH AND WILDLIFE SERVICE, DEPARTMENT OF THE INTERIOR AND NATIONAL MARINE FISHERIES SERVICE, NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION, DEPARTMENT OF COMMERCE); ENDANGERED SPECIES COMMITTEE REGULATIONS




  --------------------------------------------------------------------

                              SUBCHAPTER A
Part                                                                Page
401             Anadromous fisheries conservation, 
                    development and enhancement.............         350
402             Interagency cooperation--Endangered Species 
                    Act of 1973, as amended.................         353
403             Transfer of marine mammal management 
                    authority to States.....................         364
424             Listing endangered and threatened species 
                    and designating critical habitat........         372
                        SUBCHAPTER B--[RESERVED]
           SUBCHAPTER C--ENDANGERED SPECIES EXEMPTION PROCESS
450             General provisions..........................         381
451             Application procedure.......................         382
452             Consideration of application by the 
                    Secretary...............................         384
453             Endangered Species Committee................         387

[[Page 350]]



                              SUBCHAPTER A





PART 401--ANADROMOUS FISHERIES CONSERVATION, DEVELOPMENT AND ENHANCEMENT--Table of Contents




Sec.
401.1  Administration.
401.2  Definitions.
401.3  Submission of documents.
401.4  Activities prohibited.
401.5  Coordination with States.
401.6  Prosecution of work.
401.7  General information for the Secretary.
401.8  Availability of funds.
401.9  Payments to cooperators.
401.10  Request for payment.
401.11  Property as matching funds.
401.12  Ownership of property.
401.13  Personnel.
401.14  Inspection.
401.15  Record retention.
401.16  Records and reporting.
401.17  Safety and accident prevention.
401.18  Contracts.
401.19  Statements and payrolls.
401.20  Officials not to benefit.
401.21  Patents and inventions.
401.22  Civil rights.
401.23  Audits.

    Authority: Anadromous Fish Conservation Act (79 Stat. 1125, as 
amended, 84 Stat. 214, 88 Stat. 398), 16 U.S.C. 757a-757f.

    Source: 40 FR 26678, June 25, 1975, unless otherwise noted.



Sec. 401.1   Administration.

    The Director of the U.S. Fish and Wildlife Service and the Director 
of the National Marine Fisheries Service shall jointly administer the 
Anadromous Fish Conservation Act for the Secretaries.



Sec. 401.2   Definitions.

    As used in this part, terms shall have the meanings ascribed in this 
section.
    (a) Secretary. The Secretary of Commerce, the Secretary of the 
Interior, or their authorized representatives.
    (b) Act. The Anadromous Fish Conservation Act, 16 U.S.C. 757a 
through 757f.
    (c) Eligible states. Any coastal State of the United States, the 
State of Vermont, and the States bordering the Great Lakes. The area 
within the Columbia River basin is excluded.
    (d) State fishery agency. Any department(s), division(s), commis- 
sion(s), or official(s) of a State empowered under its laws to regulate 
a commercial or sport fishery.
    (e) Non-Federal interest. Any organization, association, 
institution, business, school, individual, or group of individuals, 
municipality and others outside the Federal Government, in addition to 
State fishery agencies, which desire to cooperate within the terms of 
the Act.
    (f) Cooperator. One or more States acting jointly or severally or 
other non-Federal interests, participating in a project agreement or 
grant-in-aid award with the Secretary.
    (g) Anadromous fish. Aquatic, gill breathing, vertebrate animals 
bearing paired fins which migrate to and spawn in fresh water, but which 
spend part of their life in an oceanic environment; also fish in the 
Great Lakes that ascend streams to spawn.
    (h) Application for Federal assistance. A description of work to be 
accomplished, including objectives and needs, expected results and 
benefits, approach, cost, location and time required for completion.
    (i) Project agreement. The formal document executed between the 
Secretary of the Interior and the Cooperator, committing the Cooperator 
to the performance of described activities and the Federal Government to 
participation in the financing of those activities.
    (j) Grant-in-Aid award. The formal document executed between the 
Secretary of Commerce and the Cooperator, committing the Cooperator to 
the performance of described activities and the Federal Government to 
participation in the financing of those activities.



Sec. 401.3   Submission of documents.

    Applications for Federal assistance and other documents for projects 
relating generally to recreational fisheries shall be submitted to the 
concerned Regional Office of the U.S. Fish and Wildlife Service, or for 
projects relating generally to commercial fisheries of the concerned 
Regional Office of the National Marine Fisheries Service.

[[Page 351]]



Sec. 401.4   Activities prohibited.

    Law enforcement, public relations, harvesting, marketing and 
processing activities, construction of fisherman use facilities, and 
activities concerned with landlocked anadromous fish populations (except 
fish in the Great Lakes that ascend streams to spawn) may not be 
financed under the Act.



Sec. 401.5  Coordination with States.

    The Secretary will approve an Application For Federal Assistance 
only after he has coordinated the application with the State office 
established to review applications under Executive Order 12372 (if the 
State has established such an office and wishes to review these 
applications) and other non-Federal entities which have management 
authority over the resource to be affected.

[48 FR 29137, June 24, 1983]



Sec. 401.6   Prosecution of work.

    (a) Project work shall be carried through to a state of completion 
acceptable to the Secretary with reasonable promptness. Failure to 
render satisfactory performance reports or failure to complete the 
project to the satisfaction of the Secretary shall be cause for 
suspension of Federal assistance for the project until the project 
provisions are satisfactorily met. Federal assistance may be terminated 
upon determination by the Secretary that satisfactory progress has not 
been maintained. The Secretary shall have the right to inspect and 
review work at any time.
    (b) Research and development work shall be continuously coordinated 
by the Cooperator with studies conducted by others to avoid unnecessary 
duplication.
    (c) All work shall be performed in accordance with applicable local 
laws, except when in conflict with Federal laws or regulations, in which 
case Federal laws or regulations shall prevail.



Sec. 401.7   General information for the Secretary.

    Before any Federal funds may be obligated for any project an 
applicant shall furnish to the Secretary, upon his request, information 
regarding the laws affecting anadromous fish and the authority of the 
applicant to participate in the benefits of the Act.
    (a) Document signature. Individuals authorized to sign project 
documents under the Commercial Fisheries Research and Development Act of 
1964 (78 Stat. 197, as amended), 16 U.S.C. 779 through 779f, or the 
Federal Aid in Sport Fish Restoration Act (64 Stat. 430, as amended), 16 
U.S.C. 777 through 777f, may likewise sign project documents 
contemplated in this part.
    (b) Program information. The Secretary may, from time to time, 
request, and the Cooperators shall furnish, information relating to the 
administration and maintenance of any project established under the Act.



Sec. 401.8   Availability of funds.

    The period of availability of funds to the States or other non-
Federal interests for obligation shall be established by the 
administering Federal agency.



Sec. 401.9   Payments to cooperators.

    Payments shall be made to Cooperators in accordance with provisions 
of grant-in-aid awards or project agreements.



Sec. 401.10   Request for payment.

    Request for payment shall be on forms provided by the Secretary, 
certified as therein prescribed, and submitted to the Regional Director 
by the Cooperator.



Sec. 401.11   Property as matching funds.

    The non-Federal share of the cost of projects may be in the form of 
real or personal property. Specific procedures to be used by grantees in 
placing the value on real or personal property for matching funds are 
set forth in Attachment F of Federal Management Circular 74-7.



Sec. 401.12   Ownership of property.

    When real property is acquired pursuant to the provisions of the 
Act, title to such property, or interests therein, shall be vested in 
the United States, and the conveying instrument shall recite the United 
States of America as the grantee. However, if the Secretary determines 
that under the terms of the application for Federal assistance and

[[Page 352]]

grant-in-aid award or project agreement, the intent and purpose of the 
Act may be better served by other ownership of such property, an 
appropriate transfer may be made. When real or personal property is 
utilized as matching funds, title to such property shall be in the 
Cooperator unless otherwise specified in the grant-in-aid award or 
project agreement.



Sec. 401.13   Personnel.

    The Cooperator shall maintain an adequate and competent force of 
employees to initiate and carry approved work to satisfactory 
completion.



Sec. 401.14   Inspection.

    Cooperator supervision of each project shall include adequate and 
continuous inspection. The project will be subject at all times to 
Federal inspection.



Sec. 401.15   Record retention.

    All records of accounts and reports with supporting documentation 
thereto, as set forth in Attachment C of Federal Management Circular 74-
7, will be retained by the Cooperator for a period of 3 years after 
submission of the final expenditure report on the project. Record 
retention for a period longer than 3 years is required if audit findings 
have not been resolved.



Sec. 401.16   Records and reporting.

    Performance reports and other reports shall be furnished as 
requested by the Secretary. Cost records shall be maintained separately 
for each project. The accounts and records maintained by the Cooperator, 
together with all supporting documents, shall be open at all times to 
the inspection of authorized representatives of the United States, and 
copies thereof shall be furnished when requested.

(Approved by the Office of Management and Budget under control number 
0648-0102)

[40 FR 26678, June 25, 1975, as amended at 48 FR 57302, Dec. 29, 1983]



Sec. 401.17   Safety and accident prevention.

    In the performance of each project, the Cooperator shall comply with 
all applicable Federal, State, and local laws governing safety, health 
and sanitation.



Sec. 401.18   Contracts.

    A Cooperator may use its own regulations or guidelines in obtaining 
services by contract or otherwise, provided that they adhere to 
applicable Federal laws, regulations, policies, guidelines, and 
requirements, as set forth in Attachment 0 of Federal Management 
Circular 74-7. However, the Cooperator is the responsible authority, 
without recourse to the Federal agency, regarding the settlement of such 
contractual issues.



Sec. 401.19   Statements and payrolls.

    The regulations of the Secretary of Labor applicable to contractors 
and subcontractors (29 CFR part 3), made pursuant to the Copeland 
``Anti-Kickback'' Act (18 U.S.C. 874), as amended, are made a part of 
the regulations in this part by reference. The Cooperator will comply 
with the regulations in this part and any amendments or modifications 
thereof, and the Cooperator's prime contractor will be responsible for 
the submission of statements required of subcontractors thereunder. The 
foregoing shall apply except as the Secretary of Labor may specifically 
provide for reasonable limitation, variations, tolerances, and 
exemptions.



Sec. 401.20   Officials not to benefit.

    No Member of, or Delegate to, Congress, or resident Commissioner, 
shall be admitted to any share or any part of any project agreement made 
under the Act, or to any benefit that may arise therefrom. This 
provision shall not be construed to extend to this agreement if made 
with a corporation for its general benefit.



Sec. 401.21   Patents and inventions.

    Determination of the patent rights in any inventions or discoveries 
resulting from work under project agreements entered into pursuant to 
the Act shall be consistent with the ``Government Patent Policy'' 
(President's memorandum for Heads of Executive Departments and Agencies, 
August 23, 1971, and statement of Government Patent Policy as printed in 
36 FR 16889).

[[Page 353]]



Sec. 401.22   Civil rights.

    Each application for Federal assistance, grant-in-aid award, or 
project agreement shall be supported by a statement of assurances 
executed by the Cooperator providing that the project will be carried 
out in accordance with title VI, Nondiscrimination in federally Assisted 
Programs of the Civil Rights Act of 1964 and with the Secretary's 
regulations promulgated thereunder.



Sec. 401.23  Audits.

    The State is required to conduct an audit at least every two years 
in accordance with the provisions of Attachment P OMB Circular A-102. 
Failure to conduct audits as required may result in withholding of grant 
payments or such other sanctions as the Secretary may deem appropriate.

[49 FR 30074, July 26, 1984]



PART 402--INTERAGENCY COOPERATION--ENDANGERED SPECIES ACT OF 1973, AS AMENDED--Table of Contents




                           Subpart A--General

Sec.
402.01  Scope.
402.02  Definitions.
402.03  Applicability.
402.04  Counterpart regulations.
402.05  Emergencies.
402.06  Coordination with other environmental reviews.
402.07  Designation of lead agency.
402.08  Designation of non-Federal representative.
402.09  Irreversible or irretrievable commitment of resources.

                    Subpart B--Consultation Procedures

402.10  Conference on proposed species or proposed critical habitat.
402.11  Early consultation.
402.12  Biological assessments.
402.13  Informal consultation.
402.14  Formal consultation.
402.15  Responsibilities of Federal agency following issuance of a 
          biological opinion.
402.16  Reinitiation of formal consultation.

    Authority: 16 U.S.C. 1531 et seq.

    Source: 51 FR 19957, June 3, 1986, unless otherwise noted.



                           Subpart A--General



Sec. 402.01  Scope.

    (a) This part interprets and implements sections 7(a)-(d) [16 U.S.C. 
1536(a)-(d)] of the Endangered Species Act of 1973, as amended 
(``Act''). Section 7(a) grants authority to and imposes requirements 
upon Federal agencies regarding endangered or threatened species of 
fish, wildlife, or plants (``listed species'') and habitat of such 
species that has been designated as critical (``critical habitat''). 
Section 7(a)(1) of the Act directs Federal agencies, in consultation 
with and with the assistance of the Secretary of the Interior or of 
Commerce, as appropriate, to utilize their authorities to further the 
purposes of the Act by carrying out conservation programs for listed 
species. Such affirmative conservation programs must comply with 
applicable permit requirements (50 CFR parts 17, 220, 222, and 227) for 
listed species and should be coordinated with the appropriate Secretary. 
Section 7(a)(2) of the Act requires every Federal agency, in 
consultation with and with the assistance of the Secretary, to insure 
that any action it authorizes, funds, or carries out, in the United 
States or upon the high seas, is not likely to jeopardize the continued 
existence of any listed species or results in the destruction or adverse 
modification of critical habitat. Section 7(a)(3) of the Act authorizes 
a prospective permit or license applicant to request the issuing Federal 
agency to enter into early consultation with the Service on a proposed 
action to determine whether such action is likely to jeopardize the 
continued existence of listed species or result in the destruction or 
adverse modification of critical habitat. Section 7(a)(4) of the Act 
requires Federal agencies to confer with the Secretary on any action 
that is likely to jeopardize the continued existence of proposed species 
or result in the destruction or adverse modification of proposed 
critical habitat. Section 7(b) of the Act requires the Secretary, after 
the conclusion of early or formal consultation, to issue a written 
statement setting forth the Secretary's opinion detailing how the agency 
action affects listed species

[[Page 354]]

or critical habitat Biological assessments are required under section 
7(c) of the Act if listed species or critical habitat may be present in 
the area affected by any major construction activity as defined in 
Sec. 404.02. Section 7(d) of the Act prohibits Federal agencies and 
applicants from making any irreversible or irretrievable commitment of 
resources which has the effect of foreclosing the formulation or 
implementation of reasonable and prudent alternatives which would avoid 
jeopardizing the continued existence of listed species or resulting in 
the destruction or adverse modification of critical habitat. Section 
7(e)-(o)(1) of the Act provide procedures for granting exemptions from 
the requirements of section 7(a)(2). Regulations governing the 
submission of exemption applications are found at 50 CFR part 451, and 
regulations governing the exemption process are found at 50 CFR parts 
450, 452, and 453.
    (b) The U.S. Fish and Wildlife Service (FWS) and the National Marine 
Fisheries Service (NMFS) share responsibilities for administering the 
Act. The Lists of Endangered and Threatened Wildlife and Plants are 
found in 50 CFR 17.11 and 17.12 and the designated critical habitats are 
found in 50 CFR 17.95 and 17.96 and 50 CFR part 226. Endangered or 
threatened species under the jurisdiction of the NMFS are located in 50 
CFR 222.23(a) and 227.4. If the subject species is cited in 50 CFR 
222.23(a) or 227.4, the Federal agency shall contact the NMFS. For all 
other listed species the Federal Agency shall contact the FWS.



Sec. 402.02   Definitions.

    Act means the Endangered Species Act of 1973, as amended, 16 U.S.C. 
1531 et seq.
    Action means all activities or programs of any kind authorized, 
funded, or carried out, in whole or in part, by Federal agencies in the 
United States or upon the high seas. Examples include, but are not 
limited to:
    (a) actions intended to conserve listed species or their habitat;
    (b) the promulgation of regulations;
    (c) the granting of licenses, contracts, leases, easements, rights-
of-way, permits, or grants-in-aid; or
    (d) actions directly or indirectly causing modifications to the 
land, water, or air.
    Action area means all areas to be affected directly or indirectly by 
the Federal action and not merely the immediate area involved in the 
action.
    Applicant refers to any person, as defined in section 3(13) of the 
Act, who requires formal approval or authorization from a Federal agency 
as a prerequisite to conducting the action.
    Biological assessment refers to the information prepared by or under 
the direction of the Federal agency concerning listed and proposed 
species and designated and proposed critical habitat that may be present 
in the action area and the evaluation potential effects of the action on 
such species and habitat.
    Biological opinion is the document that states the opinion of the 
Service as to whether or not the Federal action is likely to jeopardize 
the continued existence of listed species or result in the destruction 
or adverse modification of critical habitat.
    Conference is a process which involves informal discussions between 
a Federal agency and the Service under section 7(a)(4) of the Act 
regarding the impact of an action on proposed species or proposed 
critical habitat and recommendations to minimize or avoid the adverse 
effects.
    Conservation recommendations are suggestions of the Service 
regarding discretionary measures to minimize or avoid adverse effects of 
a proposed action on listed species or critical habitat or regarding the 
development of information.
    Critical habitat refers to an area designated as critical habitat 
listed in 50 CFR parts 17 or 226.
    Cumulative effects are those effects of future State or private 
activities, not involving Federal activities, that are reasonably 
certain to occur within the action area of the Federal action subject to 
consultation.
    Designated non-Federal representative refers to a person designated 
by the Federal agency as its representative to conduct informal 
consultation and/or to prepare any biological assessment.
    Destruction or adverse modification means a direct or indirect 
alteration that appreciably diminishes the value

[[Page 355]]

of critical habitat for both the survival and recovery of a listed 
species. Such alterations include, but are not limited to, alterations 
adversely modifying any of those physical or biological features that 
were the basis for determining the habitat to be critical.
    Director refers to the Assistant Administrator for Fisheries for the 
National Oceanic and Atmospheric Administration, or his authorized 
representative; or the Fish and Wildlife Service regional director, or 
his authorized representative, for the region where the action would be 
carried out.
    Early consultation is a process requested by a Federal agency on 
behalf of a prospective applicant under section 7(a)(3) of the Act.
    Effects of the action refers to the direct and indirect effects of 
an action on the species or critical habitat, together with the effects 
of other activities that are interrelated or interdependent with that 
action, that will be added to the environmental baseline. The 
environmental baseline includes the past and present impacts of all 
Federal, State, or private actions and other human activities in the 
action area, the anticipated impacts of all proposed Federal projects in 
the action area that have already undergone formal or early section 7 
consultation, and the impact of State or private actions which are 
contemporaneous with the consultation in process. Indirect effects are 
those that are caused by the proposed action and are later in time, but 
still are reasonably certain to occur. Interrelated actions are those 
that are part of a larger action and depend on the larger action for 
their justification. Interdependent actions are those that have no 
independent utility apart from the action under consideration.
    Formal consultation is a process between the Service and the Federal 
agency that commences with the Federal agency's written request for 
consultation under section 7(a)(2) of the Act and concludes with the 
Service's issuance of the biological opinion under section 7(b)(3) of 
the Act.
    Incidental take refers to takings that result from, but are not the 
purpose of, carrying out an otherwise lawful activity conducted by the 
Federal agency or applicant.
    Informal consultation is an optional process that includes all 
discussions, correspondence, etc., between the Service and the Federal 
agency or the designated non-Federal representative prior to formal 
consultation, if required.
    Jeopardize the continued existence of means to engage in an action 
that reasonably would be expected, directly or indirectly, to reduce 
appreciably the likelihood of both the survival and recovery of a listed 
species in the wild by reducing the reproduction, numbers, or 
distribution of that species.
    Listed species means any species of fish, wildlife, or plant which 
has been determined to be endangered or threatened under section 4 of 
the Act. Listed species are found in 50 CFR 17.11-17.12.
    Major construction activity is a construction project (or other 
undertaking having similar physical impacts) which is a major Federal 
action significantly affecting the quality of the human environment as 
referred to in the National Environmental Policy Act [NEPA, 42 U.S.C. 
4332(2)(C)].
    Preliminary biological opinion refers to an opinion issued as a 
result of early consultation.
    Proposed critical habitat means habitat proposed in the Federal 
Register to be designated or revised as critical habitat under section 4 
of the Act for any listed or proposed species.
    Proposed species means any species of fish, wildlife, or plant that 
is proposed in the Federal Register to be listed under section 4 of the 
Act.
    Reasonable and prudent alternatives refer to alternative actions 
identified during formal consultation that can be implemented in a 
manner consistent with the intended purpose of the action, that can be 
implemented consistent with the scope of the Federal agency's legal 
authority and jurisdiction, that is economically and technologically 
feasible, and that the Director believes would avoid the likelihood of 
jeopardizing the continued existence of listed species or resulting in 
the destruction or adverse modification of critical habitat.
    Reasonable and prudent measures refer to those actions the Director 
believes necessary or appropriate to minimize

[[Page 356]]

the impacts, i.e., amount or extent, of incidental take.
    Recovery means improvement in the status of listed species to the 
point at which listing is no longer appropriate under the criteria set 
out in section 4(a)(1) of the Act.
    Service means the U.S. Fish and Wildlife Service or the National 
Marine Fisheries Service, as appropriate.



Sec. 402.03  Applicability.

    Section 7 and the requirements of this part apply to all actions in 
which there is discretionary Federal involvement or control.



Sec. 402.04  Counterpart regulations.

    The consultation procedures set forth in this part may be superseded 
for a particular Federal agency by joint counterpart regulations among 
that agency, the Fish and Wildlife Service, and the National Marine 
Fisheries Service. Such counterpart regulations shall be published in 
the Federal Register in proposed form and shall be subject to public 
comment for at least 60 days before final rules are published.



Sec. 402.05  Emergencies.

    (a) Where emergency circumstances mandate the need to consult in an 
expedited manner, consultation may be conducted informally through 
alternative procedures that the Director determines to be consistent 
with the requirements of sections 7(a)-(d) of the Act. This provision 
applies to situations involving acts of God, disasters, casualties, 
national defense or security emergencies, etc.
    (b) Formal consultation shall be initiated as soon as practicable 
after the emergency is under control. The Federal agency shall submit 
information on the nature of the emergency action(s), the justification 
for the expedited consultation, and the impacts to endangered or 
threatened species and their habitats. The Service will evaluate such 
information and issue a biological opinion including the information and 
recommendations given during the emergency consultation.



Sec. 402.06  Coordination with other environmental reviews.

    (a) Consultation, conference, and biological assessment procedures 
under section 7 may be consolidated with interagency cooperation 
procedures required by other statutes, such as the National 
Environmental Policy Act (NEPA) (42 U.S.C. 4321 et seq., implemented at 
40 CFR Parts 1500-1508) or the Fish and Wildlife Coordination Act (FWCA) 
(16 U.S.C. 661 et seq.). Satisfying the requirements of these other 
statutes, however, does not in itself relieve a Federal agency of its 
obligations to comply with the procedures set forth in this part or the 
substantive requirements of section 7. The Service will attempt to 
provide a coordinated review and analysis of all environmental 
requirements.
    (b) Where the consultation or conference has been consolidated with 
the interagency cooperation procedures required by other statutes such 
as NEPA or FWCA, the results should be included in the documents 
required by those statutes.



Sec. 402.07  Designation of lead agency.

    When a particular action involves more than one Federal agency, the 
consultation and conference responsibilities may be fulfilled through a 
lead agency. Factors relevant in determining an appropriate lead agency 
include the time sequence in which the agencies would become involved, 
the magnitude of their respective involvement, and their relative 
expertise with respect to the environmental effects of the action. The 
Director shall be notified of the designation in writing by the lead 
agency.



Sec. 402.08   Designation of non-Federal representative.

    A Federal agency may designate a non-Federal representative to 
conduct informal consultation or prepare a biological assessment by 
giving written notice to the Director of such designation. If a permit 
or license applicant is involved and is not the designated non-Federal 
representative, then the applicant and Federal agency must agree on the 
choice of the designated non-Federal representative. If a biological 
assessment is prepared by the designated

[[Page 357]]

non-Federal representative, the Federal agency shall furnish guidance 
and supervision and shall independently review and evaluate the scope 
and contents of the biological assessment. The ultimate responsibility 
for compliance with section 7 remains with the Federal agency.



Sec. 402.09   Irreversible or irretrievable commitment of resources.

    After initiation or reinitiation of consultation required under 
section 7(a)(2) of the Act, the Federal agency and any applicant shall 
make no irreversible or irretrievable commitment of resources with 
respect to the agency action which has the effect of foreclosing the 
formulation or implementation of any reasonable and prudent alternatives 
which would avoid violating section 7(a)(2). This prohibition is in 
force during the consultation process and continues until the 
requirements of section 7(a)(2) are satisfied. This provision does not 
apply to the conference requirement for proposed species or proposed 
critical habitat under section 7(a)(4) of the Act.



                   Subpart B--Consultation Procedures



Sec. 402.10  Conference on proposed species or proposed critical habitat.

    (a) Each Federal agency shall confer with the Service on any action 
which is likely to jeopardize the continued existence of any proposed 
species or result in the destruction or adverse modification of proposed 
critical habitat. The conference is designed to assist the Federal 
agency and any applicant in identifying and resolving potential 
conflicts at an early stage in the planning process.
    (b) The Federal agency shall initiate the conference with the 
Director. The Service may request a conference if, after a review of 
available information, it determines that a conference is required for a 
particular action.
    (c) A conference between a Federal agency and the Service shall 
consist of informal discussions concerning an action that is likely to 
jeopardize the continued existence of the proposed species or result in 
the destruction or adverse modification of the proposed critical habitat 
at issue. Applicants may be involved in these informal discussions to 
the greatest extent practicable. During the conference, the Service will 
make advisory recommendations, if any, on ways to minimize or avoid 
adverse effects. If the proposed species is subsequently listed or the 
proposed critical habitat is designated prior to completion of the 
action, the Federal agency must review the action to determine whether 
formal consultation is required.
    (d) If requested by the Federal agency and deemed appropriate by the 
Service, the conference may be conducted in accordance with the 
procedures for formal consultation in Sec. 402.14. An opinion issued at 
the conclusion of the conference may be adopted as the biological 
opinion when the species is listed or critical habitat is designated, 
but only if no significant new information is developed (including that 
developed during the rulemaking process on the proposed listing or 
critical habitat designation) and no significant changes to the Federal 
action are made that would alter the content of the opinion. An 
incidental take statement provided with a conference opinion does not 
become effective unless the Service adopts the opinion once the listing 
is final.
    (e) The conclusions reached during a conference and any 
recommendations shall be documented by the Service and provided to the 
Federal agency and to any applicant. The style and magnitude of this 
document will vary with the complexity of the conference. If formal 
consultation also is required for a particular action, then the Service 
will provide the results of the conference with the biological opinion.



Sec. 402.11  Early consultation.

    (a) Purpose. Early consultation is designed to reduce the likelihood 
of conflicts between listed species or critical habitat and proposed 
actions and occurs prior to the filing of an application for a Federal 
permit or license. Although early consultation is conducted between the 
Service and the Federal agency, the prospective applicant should be 
involved throughout the consultation process.
    (b) Request by prospective applicant. If a prospective applicant has 
reason to

[[Page 358]]

believe that the prospective action may affect listed species or 
critical habitat, it may request the Federal agency to enter into early 
consultation with the Service. The prospective applicant must certify in 
writing to the Federal agency that (1) it has a definitive proposal 
outlining the action and its effects and (2) it intends to implement its 
proposal, if authorized.
    (c) Initiation of early consultation. If the Federal agency receives 
the prospective applicant's certification in paragraph (b) of this 
section, then the Federal agency shall initiate early consultation with 
the Service. This request shall be in writing and contain the 
information outlined in Sec. 402.14(c) and, if the action is a major 
construction activity, the biological assessment as outlined in 
Sec. 402.12.
    (d) Procedures and responsibilities. The procedures and 
responsibilities for early consultation are the same as outlined in 
Sec. 402.14(c)-(j) for formal consultation, except that all references 
to the ``applicant'' shall be treated as the ``prospective applicant'' 
and all references to the ``biological opinion'' or the ``opinion'' 
shall be treated as the ``preliminary biological opinion'' for the 
purpose of this section.
    (e) Preliminary biological opinion. The contents and conclusions of 
a preliminary biological opinion are the same as for a biological 
opinion issued after formal consultation except that the incidental take 
statement provided with a preliminary biological opinion does not 
constitute authority to take listed species.
    (f) Confirmation of preliminary biological opinion as final 
biological opinion. A preliminary biological opinion may be confirmed as 
a biological opinion issued after formal consultation if the Service 
reviews the proposed action and finds that there have been no 
significant changes in the action as planned or in the information used 
during the early consultation. A written request for confirmation of the 
preliminary biological opinion should be submitted after the prospective 
applicant applies to the Federal agency for a permit or license but 
prior to the issuance of such permit or license. Within 45 days of 
receipt of the Federal agency's request, the Service shall either:
    (1) Confirm that the preliminary biological opinion stands as a 
final biological opinion; or
    (2) If the findings noted above cannot be made, request that the 
Federal agency initiate formal consultation.



Sec. 402.12   Biological assessments.

    (a) Purpose. A biological assessment shall evaluate the potential 
effects of the action on listed and proposed species and designated and 
proposed critical habitat and determine whether any such species or 
habitat are likely to be adversely affected by the action and is used in 
determining whether formal consultation or a conference is necessary.
    (b) Preparation requirement. (1) The procedures of this section are 
required for Federal actions that are ``major construction activities''; 
provided that a contract for construction was not entered into or actual 
construction was not begun on or before November 10, 1978. Any person, 
including those who may wish to apply for an exemption from section 
7(a)(2) of the Act, may prepare a biological assessment under the 
supervision of the Federal agency and in cooperation with the Service 
consistent with the procedures and requirements of this section. An 
exemption from the requirements of section 7(a)(2) is not permanent 
unless a biological assessment has been prepared.
    (2) The biological assessment shall be completed before any contract 
for construction is entered into and before construction is begun.
    (c) Request for information. The Federal agency or the designated 
non-Federal representative shall convey to the Director either (1) a 
written request for a list of any listed or proposed species or 
designated or proposed critical habitat that may be present in the 
action area; or (2) a written notification of the species and critical 
habitat that are being included in the biological assessment.
    (d) Director's response. Within 30 days of receipt of the 
notification of, or the request for, a species list, the Director shall 
either concur with or revise the list or, in those cases where no list 
has

[[Page 359]]

been provided, advise the Federal agency or the designated non-Federal 
representative in writing whether, based on the best scientific and 
commercial data available, any listed or proposed species or designated 
or proposed critical habitat may be present in the action area. In 
addition to listed and proposed species, the Director will provide a 
list of candidate species that may be present in the action area. 
Candidate species refers to any species being considered by the Service 
for listing as endangered or threatened species but not yet the subject 
of a proposed rule. Although candidate species have no legal status and 
are accorded no protection under the Act, their inclusion will alert the 
Federal agency of potential proposals or listings.
    (1) If the Director advises that no listed species or critical 
habitat may be present, the Federal agency need not prepare a biological 
assessment and further consultation is not required. If only proposed 
species or proposed critical habitat may be present in the action area, 
then the Federal agency must confer with the Service if required under 
Sec. 402.10, but preparation of a biological assessment is not required 
unless the proposed listing and/or designation becomes final.
    (2) If a listed species or critical habitat may be present in the 
action area, the Director will provide a species list or concur with the 
species list provided. The Director also will provide available 
information (or references thereto) regarding these species and critical 
habitat, and may recommend discretionary studies or surveys that may 
provide a better information base for the preparation of an assessment. 
Any recommendation for studies or surveys is not to be construed as the 
Service's opinion that the Federal agency has failed to satisfy the 
information standard of section 7(a)(2) of the Act.
    (e) Verification of current accuracy of species list. If the Federal 
agency or the designated non-Federal representative does not begin 
preparation of the biological assessment within 90 days of receipt of 
(or concurrence with) the species list, the Federal agency or the 
designated non-Federal representative must verify (formally or 
informally) with the Service the current accuracy of the species list at 
the time the preparation of the assessment is begun.
    (f) Contents. The contents of a biological assessment are at the 
discretion of the Federal agency and will depend on the nature of the 
Federal action. The following may be considered for inclusion:
    (1) The results of an on-site inspection of the area affected by the 
action to determine if listed or proposed species are present or occur 
seasonally.
    (2) The views of recognized experts on the species at issue.
    (3) A review of the literature and other information.
    (4) An analysis of the effects of the action on the species and 
habitat, including consideration of cumulative effects, and the results 
of any related studies.
    (5) An analysis of alternate actions considered by the Federal 
agency for the proposed action.
    (g) Incorporation by reference. If a proposed action requiring the 
preparation of a biological assessment is identical, or very similar, to 
a previous action for which a biological assessment was prepared, the 
Federal agency may fulfill the biological assessment requirement for the 
proposed action by incorporating by reference the earlier biological 
assessment, plus any supporting data from other documents that are 
pertinent to the consultation, into a written certification that:
    (1) The proposed action involves similar impacts to the same species 
in the same geographic area;
    (2) No new species have been listed or proposed or no new critical 
habitat designated or proposed for the action area; and
    (3) The biological assessment has been supplemented with any 
relevant changes in information.
    (h) Permit requirements. If conducting a biological assessment will 
involve the taking of a listed species, a permit under section 10 of the 
Act (16 U.S.C. 1539) and part 17 of this title (with respect to species 
under the jurisdiction of the FWS) or parts 220, 222, and 227 of this 
title (with respect to species under the jurisdiction of the NMFS) is 
required.

[[Page 360]]

    (i) Completion time. The Federal agency or the designated non- 
Federal representative shall complete the biological assessment within 
180 days after its initiation (receipt of or concurrence with the 
species list) unless a different period of time is agreed to by the 
Director and the Federal agency. If a permit or license applicant is 
involved, the 180-day period may not be extended unless the agency 
provides the applicant, before the close of the 180-day period, with a 
written statement setting forth the estimated length of the proposed 
extension and the reasons why such an extension is necessary.
    (j) Submission of biological assessment. The Federal agency shall 
submit the completed biological assessment to the Director for review. 
The Director will respond in writing within 30 days as to whether or not 
he concurs with the findings of the biological assessment. At the option 
of the Federal agency, formal consultation may be initiated under 
Sec. 402.14(c) concurrently with the submission of the assessment.
    (k) Use of the biological assessment. (1) The Federal agency shall 
use the biological assessment in determining whether formal consultation 
or a conference is required under Sec. 402.14 or Sec. 402.10, 
respectively. If the biological assessment indicates that there are no 
listed species or critical habitat present that are likely to be 
adversely affected by the action and the Director concurs as specified 
in paragraph (j) of this section, then formal consultation is not 
required. If the biological assessment indicates that the action is not 
likely to jeopardize the continued existence of proposed species or 
result in the destruction or adverse modification of proposed critical 
habitat, and the Director concurs, then a conference is not required.
    (2) The Director may use the results of the biological assessment in 
(i) determining whether to request the Federal agency to initiate formal 
consultation or a conference, (ii) formulating a biological opinion, or 
(iii) formulating a preliminary biological opinion.



Sec. 402.13   Informal consultation.

    (a) Informal consultation is an optional process that includes all 
discussions, correspondence, etc., between the Service and the Federal 
agency or the designated non-Federal representative, designed to assist 
the Federal agency in determining whether formal consultation or a 
conference is required. If during informal consultation it is determined 
by the Federal agency, with the written concurrence of the Service, that 
the action is not likely to adversely affect listed species or critical 
habitat, the consultation process is terminated, and no further action 
is necessary.
    (b) During informal consultation, the Service may suggest 
modifications to the action that the Federal agency and any applicant 
could implement to avoid the likelihood of adverse effects to listed 
species or critical habitat.



Sec. 402.14  Formal consultation.

    (a) Requirement for formal consultation. Each Federal agency shall 
review its actions at the earliest possible time to determine whether 
any action may affect listed species or critical habitat. If such a 
determination is made, formal consultation is required, except as noted 
in paragraph (b) of this section. The Director may request a Federal 
agency to enter into consultation if he identifies any action of that 
agency that may affect listed species or critical habitat and for which 
there has been no consultation. When such a request is made, the 
Director shall forward to the Federal agency a written explanation of 
the basis for the request.
    (b) Exceptions. (1) A Federal agency need not initiate formal 
consultation if, as a result of the preparation of a biological 
assessment under Sec. 402.12 or as a result of informal consultation 
with the Service under Sec. 402.13, the Federal agency determines, with 
the written concurrence of the Director, that the proposed action is not 
likely to adversely affect any listed species or critical habitat.
    (2) A Federal agency need not initiate formal consultation if a 
preliminary biological opinion, issued after early consultation under 
Sec. 402.11, is confirmed as the final biological opinion.

[[Page 361]]

    (c) Initiation of formal consultation. A written request to initiate 
formal consultation shall be submitted to the Director and shall 
include:
    (1) A description of the action to be considered;
    (2) A description of the specific area that may be affected by the 
action;
    (3) A description of any listed species or critical habitat that may 
be affected by the action;
    (4) A description of the manner in which the action may affect any 
listed species or critical habitat and an analysis of any cumulative 
effects;
    (5) Relevant reports, including any environmental impact statement, 
environmental assessment, or biological assessment prepared; and
    (6) Any other relevant available information on the action, the 
affected listed species, or critical habitat.

Formal consultation shall not be initiated by the Federal agency until 
any required biological assessment has been completed and submitted to 
the Director in accordance with Sec. 402.12. Any request for formal 
consultation may encompass, subject to the approval of the Director, a 
number of similar individual actions within a given geographical area or 
a segment of a comprehensive plan. This does not relieve the Federal 
agency of the requirements for considering the effects of the action as 
a whole.
    (d) Responsibility to provide best scientific and commercial data 
available. The Federal agency requesting formal consultation shall 
provide the Service with the best scientific and commercial data 
available or which can be obtained during the consultation for an 
adequate review of the effects that an action may have upon listed 
species or critical habitat. This information may include the results of 
studies or surveys conducted by the Federal agency or the designated 
non-Federal representative. The Federal agency shall provide any 
applicant with the opportunity to submit information for consideration 
during the consultation.
    (e) Duration and extension of formal consultation. Formal 
consultation concludes within 90 days after its initiation unless 
extended as provided below. If an applicant is not involved, the Service 
and the Federal agency may mutually agree to extend the consultation for 
a specific time period. If an applicant is involved, the Service and the 
Federal agency may mutually agree to extend the consultation provided 
that the Service submits to the applicant, before the close of the 90 
days, a written statement setting forth:
    (1) The reasons why a longer period is required,
    (2) The information that is required to complete the consultation, 
and
    (3) The estimated date on which the consultation will be completed.

A consultation involving an applicant cannot be extended for more than 
60 days without the consent of the applicant. Within 45 days after 
concluding formal consultation, the Service shall deliver a biological 
opinion to the Federal agency and any applicant.
    (f) Additional data. When the Service determines that additional 
data would provide a better information base from which to formulate a 
biological opinion, the Director may request an extension of formal 
consultation and request that the Federal agency obtain additional data 
to determine how or to what extent the action may affect listed species 
or critical habitat. If formal consultation is extended by mutual 
agreement according to Sec. 402.14(e), the Federal agency shall obtain, 
to the extent practicable, that data which can be developed within the 
scope of the extension. The responsibility for conducting and funding 
any studies belongs to the Federal agency and the applicant, not the 
Service. The Service's request for additional data is not to be 
construed as the Service's opinion that the Federal agency has failed to 
satisfy the information standard of section 7(a)(2) of the Act. If no 
extension of formal consultation is agreed to, the Director will issue a 
biological opinion using the best scientific and commercial data 
available.
    (g) Service responsibilities. Service responsibilities during formal 
consultation are as follows:
    (1) Review all relevant information provided by the Federal agency 
or otherwise available. Such review may include an on-site inspection of 
the action area with representatives of the Federal agency and the 
applicant.

[[Page 362]]

    (2) Evaluate the current status of the listed species or critical 
habitat.
    (3) Evaluate the effects of the action and cumulative effects on the 
listed species or critical habitat.
    (4) Formulate its biological opinion as to whether the action, taken 
together with cumulative effects, is likely to jeopardize the continued 
existence of listed species or result in the destruction or adverse 
modification of critical habitat.
    (5) Discuss with the Federal agency and any applicant the Service's 
review and evaluation conducted under paragraphs (g)(1) through (3) of 
this section, the basis for any finding in the biological opinion, and 
the availability of reasonable and prudent alternatives (if a jeopardy 
opinion is to be issued) that the agency and the applicant can take to 
avoid violation of section 7(a)(2). The Service will utilize the 
expertise of the Federal agency and any applicant in identifying these 
alternatives. If requested, the Service shall make available to the 
Federal agency the draft biological opinion for the purpose of analyzing 
the reasonable and prudent alternatives. The 45-day period in which the 
biological opinion must be delivered will not be suspended unless the 
Federal agency secures the written consent of the applicant to an 
extension to a specific date. The applicant may request a copy of the 
draft opinion from the Federal agency. All comments on the draft 
biological opinion must be submitted to the Service through the Federal 
agency, although the applicant may send a copy of its comments directly 
to the Service. The Service will not issue its biological opinion prior 
to the 45-day or extended deadline while the draft is under review by 
the Federal agency. However, if the Federal agency submits comments to 
the Service regarding the draft biological opinion within 10 days of the 
deadline for issuing the opinion, the Service is entitled to an 
automatic 10-day extension on the deadline.
    (6) Formulate discretionary conservation recommendations, if any, 
which will assist the Federal agency in reducing or eliminating the 
impacts that its proposed action may have on listed species or critical 
habitat.
    (7) Formulate a statement concerning incidental take, if such take 
may occur.
    (8) In formulating its biological opinion, any reasonable and 
prudent alternatives, and any reasonable and prudent measures, the 
Service will use the best scientific and commercial data available and 
will give appropriate consideration to any beneficial actions taken by 
the Federal agency or applicant, including any actions taken prior to 
the initiation of consultation.
    (h) Biological opinions. The biological opinion shall include:
    (1) A summary of the information on which the opinion is based;
    (2) A detailed discussion of the effects of the action on listed 
species or critical habitat; and
    (3) The Service's opinion on whether the action is likely to 
jeopardize the continued existence of a listed species or result in the 
destruction or adverse modification of critical habitat (a ``jeopardy 
biological opinion''); or, the action is not likely to jeopardize the 
continued existence of a listed species or result in the destruction or 
adverse modification of critical habitat (a ``no jeopardy'' biological 
opinion). A ``jeopardy'' biological opinion shall include reasonable and 
prudent alternatives, if any. If the Service is unable to develop such 
alternatives, it will indicate that to the best of its knowledge there 
are no reasonable and prudent alternatives.
    (i) Incidental take. (1) In those cases where the Service concludes 
that an action (or the implementation of any reasonable and prudent 
alternatives) and the resultant incidental take of listed species will 
not violate section 7(a)(2), and, in the case of marine mammals, where 
the taking is authorized pursuant to section 101(a)(5) of the Marine 
Mammal Protection Act of 1972, the Service will provide with the 
biological opinion a statement concerning incidental take that:
    (i) Specifies the impact, i.e., the amount or extent, of such 
incidental taking on the species;
    (ii) Specifies those reasonable and prudent measures that the 
Director considers necessary or appropriate to minimize such impact;

[[Page 363]]

    (iii) In the case of marine mammals, specifies those measures that 
are necessary to comply with section 101(a)(5) of the Marine Mammal 
Protection Act of 1972 and applicable regulations with regard to such 
taking;
    (iv) Sets forth the terms and conditions (including, but not limited 
to, reporting requirements) that must be complied with by the Federal 
agency or any applicant to implement the measures specified under 
paragraphs (i)(1)(ii) and (i)(1)(iii) of this section; and
    (v) Specifies the procedures to be used to handle or dispose of any 
individuals of a species actually taken.
    (2) Reasonable and prudent measures, along with the terms and 
conditions that implement them, cannot alter the basic design, location, 
scope, duration, or timing of the action and may involve only minor 
changes.
    (3) In order to monitor the impacts of incidental take, the Federal 
agency or any applicant must report the progress of the action and its 
impact on the species to the Service as specified in the incidental take 
statement. The reporting requirements will be established in accordance 
with 50 CFR 13.45 and 18.27 for FWS and 50 CFR 220.45 and 228.5 for 
NMFS.
    (4) If during the course of the action the amount or extent of 
incidental taking, as specified under paragraph (i)(1)(i) of this 
Section, is exceeded, the Federal agency must reinitiate consultation 
immediately.
    (5) Any taking which is subject to a statement as specified in 
paragraph (i)(1) of this section and which is in compliance with the 
terms and conditions of that statement is not a prohibited taking under 
the Act, and no other authorization or permit under the Act is required.
    (j) Conservation recommendations. The Service may provide with the 
biological opinion a statement containing discretionary conservation 
recommendations. Conservation recommendations are advisory and are not 
intended to carry any binding legal force.
    (k) Incremental steps. When the action is authorized by a statute 
that allows the agency to take incremental steps toward the completion 
of the action, the Service shall, if requested by the Federal agency, 
issue a biological opinion on the incremental step being considered, 
including its views on the entire action. Upon the issuance of such a 
biological opinion, the Federal agency may proceed with or authorize the 
incremental steps of the action if:
    (1) The biological opinion does not conclude that the incremental 
step would violate section 7(a)(2);
    (2) The Federal agency continues consultation with respect to the 
entire action and obtains biological opinions, as required, for each 
incremental step;
    (3) The Federal agency fulfills its continuing obligation to obtain 
sufficient data upon which to base the final biological opinion on the 
entire action;
    (4) The incremental step does not violate section 7(d) of the Act 
concerning irreversible or irretrievable commitment of resources; and
    (5) There is a reasonable likelihood that the entire action will not 
violate section 7(a)(2) of the Act.
    (l) Termination of consultation. (1) Formal consultation is 
terminated with the issuance of the biological opinion.
    (2) If during any stage of consultation a Federal agency determines 
that its proposed action is not likely to occur, the consultation may be 
terminated by written notice to the Service.
    (3) If during any stage of consultation a Federal agency determines, 
with the concurrence of the Director, that its proposed action is not 
likely to adversely affect any listed species or critical habitat, the 
consultation is terminated.

[51 FR 19957, June 3, 1986, as amended at 54 FR 40350, Sept. 29, 1989]



Sec. 402.15  Responsibilities of Federal agency following issuance of a biological opinion.

    (a) Following the issuance of a biological opinion, the Federal 
agency shall determine whether and in what manner to proceed with the 
action in light of its section 7 obligations and the Service's 
biological opinion.
    (b) If a jeopardy biological opinion is issued, the Federal agency 
shall notify the Service of its final decision on the action.

[[Page 364]]

    (c) If the Federal agency determines that it cannot comply with the 
requirements of section 7(a)(2) after consultation with the Service, it 
may apply for an exemption. Procedures for exemption applications by 
Federal agencies and others are found in 50 CFR part 451.



Sec. 402.16   Reinitiation of formal consultation.

    Reinitiation of formal consultation is required and shall be 
requested by the Federal agency or by the Service, where discretionary 
Federal involvement or control over the action has been retained or is 
authorized by law and:
    (a) If the amount or extent of taking specified in the incidental 
take statement is exceeded;
    (b) If new information reveals effects of the action that may affect 
listed species or critical habitat in a manner or to an extent not 
previously considered;
    (c) If the identified action is subsequently modified in a manner 
that causes an effect to the listed species or critical habitat that was 
not considered in the biological opinion; or
    (d) If a new species is listed or critical habitat designated that 
may be affected by the identified action.



PART 403--TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES--Table of Contents




Sec.
403.01  Purpose and scope of regulations.
403.02  Definitions.
403.03  Review and approval of state request for management authority.
403.04  Determinations and hearings under section 109(c) of the MMPA.
403.05  State and Federal responsibilities after transfer of management 
          authority.
403.06  Monitoring and review of state management program.
403.07  Revocation and return of state management authority.
403.08  List of states to which management has been transferred.

    Authority: 16 U.S.C. 1361 et seq., as amended by Pub. L. 97-58.

    Source: 48 FR 22456, May 18, 1983, unless otherwise noted.



Sec. 403.01  Purpose and scope of regulations.

    The regulations contained in this part implement section 109 of the 
Act which, upon a finding by the Secretary of compliance with certain 
requirements, provides for the transfer of marine mammal management 
authority to the states.
    (a) The regulations of this part apply the procedures for the 
transfer of marine mammal management authority to a state, the form and 
minimum requirements of a state application for the transfer of 
management authority, the relationship between Federal and state 
wildlife agencies both prior and subsequent to the transfer of 
management authority, and the revocation and return of management 
authority to the Federal Government.
    (b) Nothing in this part shall prevent:
    (1) The taking of a marine mammal by or on behalf of a Federal, 
state or local government official, in accordance with Sec. 18.22 or 
Sec. 216.22 of this Title and section 109(h) of the Act, or (2) the 
adoption or enforcement of any state law or regulation relating to any 
marine mammal taken before December 21, 1972.
    (c) The information collection requirements contained in 
Secs. 403.03, 403.06, and 403.07 of this part do not require approval by 
the Office of Management and Budget under 44 U.S.C. 3501 et seq., 
because there are fewer than 10 respondents annually.



Sec. 403.02  Definitions.

    The following definitions apply to this part:
    (a) The term species includes any population stock.
    (b) Optimum Sustainable Population or OSP means a population size 
which falls within a range from the population level of a given species 
or stock which is the largest supportable within the ecosystem to the 
population level that results in maximum net productivity. Maximum net 
productivity is the greatest net annual increment in population numbers 
or biomass resulting from additions to the population due to 
reproduction and/or growth less losses due to natural mortality.
    (c) State management program means existing and proposed state 
statutes,

[[Page 365]]

regulations, policies and other authorities which form the framework for 
the conservation of a species of marine mammals.
    (d) State regulation means the whole or part of a state agency 
statement of general or particular applicability and future effect 
designed to implement, interpret, or prescribe law or policy or 
describing the organization, procedure, or practice requirements of a 
state agency and which is duly promulgated in accordance with 
established procedure.
    (e) The Act means the Marine Mammal Protection Act (MMPA) of 1972, 
16 U.S.C. 1361 et seq., as amended by Pub. L. 97-58.
    (f) The Secretary means the Secretary of the Interior or the 
Secretary of Commerce, depending on the species involved. Under section 
3(11) of the Act, the Secretary of Commerce has jurisdiction over 
members of the order Cetacea and members, other than walruses, of the 
order Pinnipedia; the Secretary of the Interior has jurdisdiction over 
all other mammals. These secretarial authorities have been delegated to 
the National Marine Fisheries Service and the Fish and Wildlife Service, 
respectively.
    (g) The Service or Services means the Fish and Wildlife Service 
(FWS) and the National Marine Fisheries Service (NMFS), as appropriate 
depending on the species involved. Any determination or finding required 
by this part to be made by the ``Service'' must be made by the Director 
of the FWS or by the Assistant Administrator of the NMFS, or their 
delegees, as appropriate.



Sec. 403.03  Review and approval of state request for management authority.

    (a) Any state may request the transfer of management authority for a 
species of marine mammals by submitting a written request to the 
Director of the Fish and Wildlife Service (``Director'') for species of 
marine mammals under the jurisdiction of the FWS, or to the Assistant 
Administrator for Fisheries of the National Marine Fisheries Service 
(``Assistant Administrator'') for species of marine mammals under the 
jurisdiction of the NMFS. The request must include:
    (1) Copies of existing and proposed statutes, regulations, policies 
and other authorities of state law which comprise those aspects of the 
state management program outlined in paragraph (b) of this section, and, 
in the case of Alaska, paragraphs (d) (1) through (3) of this section;
    (2) A narrative discussion of the statutes, regulations, policies 
and other authorities which comprise those aspects of the state 
management program outlined in paragraph (b) of this section, and, in 
the case of Alaska, paragraph (d) of this section, which explains the 
program in terms of the requirements of the Act and the regulations of 
this part; and
    (3) Supplementary information as required by paragraph (c) of this 
section.
    (b) A request for transfer of marine mammal management authority 
will not be approved unless it contains the following:
    (1) The scientific and common names and estimated range of the 
species of marine mammals subject to the state management program.
    (2) Provisions of state law concerning the take of marine mammals 
that--
    (i) Require that the taking of marine mammals be humane as defined 
by section 3(4) of the Act;
    (ii) Do not permit the taking of marine mammals until the following 
have occurred:
    (A) The state, pursuant to the requirements of Sec. 403.04 of this 
part, has determined that the species is at its Optimum Sustainable 
Population (OSP) and determined the maximum number of animals that may 
be taken without reducing the species below its OSP, and, in the case of 
Alaska, when a species is below OSP, the maximum numbers that can be 
taken for subsistence uses while allowing the species to increase toward 
its OSP;
    (B) The determination as to OSP and maximum take are final and 
implemented under state law; and
    (C) A cooperative allocation agreement, if required under 
Sec. 403.05(a) of this part, is implemented;
    (iii) Do not permit take in excess of the maximum number of animals 
that may be taken as determined pursuant to Sec. 403.04 of this part; 
provided that for

[[Page 366]]

Alaska, subsistence take may be allowed in accordance with paragraph (d) 
of this section, and if the species is below OSP, any level of take 
allowed for subsistence use shall permit the species to increase toward 
OSP;
    (iv) Do not permit take that is for scientific research or public 
display purposes except such take by or on behalf of the state, or 
pursuant to a Federal permit issued under Sec. 18.31 or Sec. 216.31 of 
this title; and
    (v) Regulate the incidental taking of the species in a manner 
consistent with section 101(a) (2), (4) and (5) of the Act.
    (3) Provisions for annually acquiring and evaluating data and other 
new evidence relating to OSP of the species and the maximum allowable 
take, and if warranted on the basis of such evaluation, for requiring 
reevaluations of OSP and maximum allowable take determinations pursuant 
to Sec. 403.04.
    (4) Procedures for the resolution of differences between the state 
and the appropriate Service that might arise during the development of a 
cooperative allocation agreement pursuant to Sec. 403.05(a) of this 
part.
    (5) Procedures for the submission of an annual report meeting the 
requirements of Sec. 403.06(b) of this part to the appropriate Service 
regarding the administration of the state management program during the 
reporting period.
    (6) A description of--
    (i) The organization of state offices involved in the administration 
and enforcement of the state management program;
    (ii) Any permit system relating to the marine mammals, the laws that 
apply to such permits, and the procedures to be used in granting or 
withholding such permits;
    (iii) State laws relating to judicial review of administrative 
decisions as they relate to the state management program;
    (iv) State laws relating to administrative rulemaking as they relate 
to the state management program;
    (c) In addition to the aspects of the state management program 
required to be submitted by paragraph (b) of this section, the state 
shall submit information, in summary form, relating to:
    (1) The anticipated staffing and funding of state offices involved 
in the administration and enforcement of the state management program;
    (2) Anticipated research and enforcement activities relating to 
conservation of the species for which management authority is sought; 
and
    (3) Such other materials and information as the Service may request 
or which the state may deem necessary or advisable to demonstrate the 
compatibility of the state management program with the policy and 
purposes of the Act and the rules and regulations issued under the Act.
    (d) In addition to the requirements contained in paragraphs (b) and 
(c) of this section, a request for the transfer of marine mammal 
management authority by the State of Alaska must contain the following 
concerning subsistence use of the species--
    (1) A statute and regulations concerning the take of marine mammals 
that ensure that
    (i) The taking of marine mammals species for subsistence uses will 
be the priority consumptive uses of the species;
    (ii) If restrictions on subsistence uses of the species are 
required, such restrictions shall be based upon the customary and direct 
dependence upon the species as the mainstay of livelihood, local 
residency, and the availability of alternative resources; and
    (iii) The taking of marine mammal species for subsistence uses is 
accomplished in a non-wasteful manner;
    (2) Statutes or regulations that ensure that the appropriate state 
agency will--
    (i) Authorize nonsubsistence consumptive uses of a marine mammal 
species only if such uses will have no significant adverse impact on 
subsistence uses of the species;
    (ii) Regulate nonsubsistence consumptive uses in a manner which, to 
the maximum extent practicable, provides economic opportunities, 
including, but not limited to, licensing of marine mammal hunting guides 
and the assignment of guiding areas, for residents of rural coastal 
villages of Alaska who engage in subsistence uses of the species; and
    (iii) Make written findings supporting the authorizations and 
regulations

[[Page 367]]

described in this paragraph based solely on the administrative record 
before the agency;
    (3) A narrative discussion of the statutes or regulations required 
under paragraph (d)(2) of this section, and any additional policies or 
procedures concerning the regulation of nonsubsistence consumptive uses 
of marine mammals. This discussion must explain how the State's program 
satisfies the requirements of section 109(f) of the Act, namely that the 
regulation of nonsubsistence consumptive uses of marine mammals 
provides, to the maximum extent praticable, economic opportunities for 
the residents of rural coastal villages of Alaska who engage in 
subsistence uses of the species.
    (e) To assist states in preparing the state management program for 
submission, the Service will also, at the written request of any state, 
make a preliminary review of any aspects of the state management 
program. This review will be advisory in nature and shall not be binding 
upon the Services. Notwithstanding preliminary review by the Service, 
once any proposed aspect of the state management program has been 
prepared and submitted in final form, it shall be subject to final 
review and approval under paragraphs (f) through (h) of this section.
    (f)(1) After receiving the state's request, for management 
authority, the Service shall make an initial determination on whether 
the state's management program meets the requirements of the Act and 
these regulations.
    (2) Within 45 days after receiving the state's request, unless the 
state and the Service agree to another time period, the Service shall 
publish a general notice of its initial determination in the Federal 
Register together with, in the case of a positive determination, the 
text of a proposed rule to transfer management authority to the state. 
The general notice shall contain a summary of the major components of 
the state's management program and shall indicate where the full text of 
the management program may be inspected or copied. The public shall be 
allowed to submit written comments and to request an informal public 
hearing on the Service's initial determination and the state's 
management program within 60 days of publication of the general notice.
    (g) If requested, the Service may conduct an informal public hearing 
after publishing 30 days' advance notice of the date, location, and time 
of such hearing in the Federal Register.
    (h) After considering all comments and other relevant information, 
the Service shall publish in the Federal Register its final 
determination on whether the state has developed and will implement a 
management program that meets the requirement of the Act and these 
regulations. In the case of a positive final determination, the Service 
shall publish with the notice a final regulation transferring management 
authority for the species to the state after the following requirements 
are satisfied:
    (1) The state's determinations pursuant to Sec. 403.04 of this part 
are final and implemented under state law;
    (2) Any cooperative allocation agreement required under 
Sec. 403.05(a) of this part is implemented; and
    (3) The state has enacted and submitted to the Service laws and 
policies that are substantially the same as those provided pursuant to 
Sec. 403.03(a) in proposed form in the state's management program.



Sec. 403.04  Determinations and hearings under section 109(c) of the MMPA.

    (a) Introduction. In order to gain approval of its marine mammal 
management program the state must provide for a process, consistent with 
section 109(c) of the Act, to determine the optimum sustainable 
population of the species and the maximum number of animals that may be 
taken from populations it manages without reducing the species below 
OSP. The state process must be completed before the state may exercise 
any management authority over the subject marine mammals, and it must 
include the elements set forth below.
    (b) Basis, purpose, and scope. The process set forth in this section 
is applicable to and required for only the determination of the OSP of 
the species and maximum number that may be taken without reducing it 
below its OSP and, in the case of Alaska if the species is below OSP, 
the maximum

[[Page 368]]

number of animals that may be taken, if any, for subsistence uses 
without preventing the species from increasing toward its OSP. The state 
need not allow the maximum take, as determined in accordance with this 
process, that is biologically permissible. The state may change 
regulations establishing bag limits, quotas, seasons, areas, manner of 
take, etc. within the maximum biologically permissible take pursuant to 
its other rulemaking criteria, authority, and procedures. Compliance 
with the process set forth in this section would not be required again 
unless the state proposes to modify its determinations of the status of 
the species with respect to its OSP or the maximum permissible take from 
that species.
    (c) Initial determination by the State. The state agency with 
responsibility for managing the species in the event management 
authority is transferred to the state shall make initial determinations 
on the basis of the best scientific evidence available of:
    (1) Whether or not it is at its OSP; (2) if so, the maximum number 
of that species that nay be taken without reducing it below its OSP; and 
(3) if not, in the case of Alaska, the maximum number of animals that 
may be taken, if any, for subsistence uses without preventing the 
species from increasing toward its OSP.
    (d) Notice and review of initial determinations and request for 
hearing. The state agency shall provide notice of its initial 
determinations to the Service and the public and shall provide access to 
or copies of the documentation supporting its determinations to the 
Service and the public. The state agency shall indicate, in the notice 
of its initial determinations, the location(s) and hours during which 
such documentation may be inspected, and the costs, if any of copies of 
such documentation. The state agency shall also indicate in the notice 
that any interested person may request a hearing regarding the initial 
determinations, and the state shall provide a reasonable time, not less 
than 30 days, for making the request, taking into account the time 
required to advise the public of the initial determinations and to make 
the supporting documentation readily available to interested persons for 
their consideration. If a request for a hearing is not made within the 
prescribed time period, the initial determinations shall be treated as 
final.
    (e) Notice of hearing. If a request for a hearing is made within the 
prescribed time period by any interested person, the state agency shall 
provide notice of the hearing to the Service and the public not less 
than 30 days in advance of the scheduled date(s) of the hearing(s). The 
notice shall include the date(s), location(s), and purpose of the 
hearing, a recitation of the initial determinations, the name(s) of the 
person(s) who will preside at the hearing, and the manner and date by 
which interested persons must notify the state agency or presiding 
officer(s) of their desire to participate in the hearing. The state 
shall also make available and distribute upon request a list of 
witnesses and description of the documentation and other evidence that 
will be relied upon by the state's witnesses in support of its initial 
determinations sufficiently in advance of the hearing date so as to 
allow interested persons to prepare questions and supporting or rebuttal 
testimony for the hearing.
    (f) Conduct of the hearing. (1) The hearing shall be publicly 
conducted and reported verbatim by an official reporter.
    (2) The state shall sponsor all written documentation in support of 
its determinations with witnesses who are able, by virtue of training 
and experience, to respond fully to cross-examination regarding the 
facts and conclusions contained therein provided that, except by 
agreement of the parties, the state agency may not call any witnesses or 
introduce any documentation into the record unless the advance notice 
requirements of paragraph (e) of this section are met with respect to 
such witnesses or documentation.
    (3) Any interested person who has notificed the state agency of his 
desire to participate in the hearing pursuant to paragraph (e) of this 
section may participate in the hearing by presenting oral or written 
testimony or cross-examining the witnesses or other parties with respect 
to matters relevant to

[[Page 369]]

the state's initial determinations, provided that any such written 
documentation must be sponsored by a witness who is able, by virtue of 
training and experience, to respond fully to cross-examination regarding 
the facts and conclusions contained therein.
    (4) The presiding officer(s) shall conduct the hearing in accordance 
with such other rules of evidence, criteria, and procedures as are 
necessary and appropriate for the expeditious and effective 
determination of the issues. The presiding officer(s) may provide for 
oral argument and/or written briefs at the end of the hearing.
    (5) Final determinations on the issues specified in paragraph (c) of 
this section must be supported by the best available scientific 
information so as to insure that any taking will be consistent with the 
maintenance of OSP.
    (g) Review of the hearing record and final determinations. (1) The 
state agency shall provide for either:
    (i) Review and evaluation of the hearing record by the presiding 
officer(s) and transmittal by the presiding officer(s) of recommended 
final determinations to the decision-maker(s) in the state agency; or
    (ii) Review and evaluation of the hearing record and final 
determinations by the state agency without benefit of any 
recommendations by the presiding officer(s). In any event, the final 
determinations by the state agency must be made solely on the basis of 
the record developed at the hearing. The state agency in making its 
final determinations, and/or presiding officer(s) in making his (their) 
recommended determinations, may not rely on oral or written evidence 
which was not presented at the hearing and made available to the parties 
for cross-examination and rebuttal testimony. Any such oral or written 
information transmitted to the presiding officer(s) or other members of 
the state agency responsible for the final determinations shall be 
treated as ex parte communications and may not be considered part of the 
record for decision.
    (2) The state agency shall make final determinations of the issues 
set forth in paragraph (c) of this section and shall include in its 
statement of final determinations a statement of findings and 
conclusions and the reasons or basis therefor.
    (3) The state agency shall advise the Service and the public of its 
final determinations and shall provide access to or copies of its 
decision document and Hearing Record.
    (h) Judicial review. The state agency's final determinations after a 
hearing must be supported by substantial evidence in the record of the 
hearing. Opportunity for judicial review of the state agency's final 
determinations must be available under state law. The scope of judicial 
review shall be equivalent to that provided for in 5 U.S.C. 706(2) (A) 
through (E).



Sec. 403.05  State and Federal responsibilities after transfer of management authority.

    (a) After determinations required by section 403.04 of this part 
have been made in respect to a species whose range extends beyond the 
territorial waters of the state, the state shall not exercise management 
authority until a cooperative allocation agreement with the Secretary 
has been signed and the Service has transferred management authority 
pursuant to Sec. 403.03(h). The cooperative allocation agreement shall 
provide procedures for allocating, on a timely basis, the maximum amount 
of take as determined by the state pursuant to Sec. 403.04 of this part. 
Such allocation shall give first priority to incidental take within the 
zone described in section 3(14)(B) of the Act as provided for under 
section 101(a) of the Act, except that in the case of Alaska, first 
priority shall be given to subsistence use.
    (b) For those species to which paragraph (a) of this section 
applies, the state may request the Service to regulate the taking of the 
species within the zone described in section 3(14)(B) of the Act for 
subsistence uses and/or hunting in a manner consistent with the 
regulation by the state of such taking within the state. If such a 
request is made, the Service shall adopt and enforce within such zone, 
such of the state's regulatory provisions as the Service considers to be 
consistent with the administration within such zone of section 101(a) of 
the Act.

[[Page 370]]

    (c) If management authority for a species has been transferred to a 
state pursuant to this subpart, the Service shall provide to the state 
an opportunity to review all requests for permits to remove live animals 
from habitat within the state for scientific research or public display 
purposes. If the state finds that issuance of the permit would not be 
consistent with its management program for the species:
    (1) The state shall so inform the Service, together with the reasons 
for such finding, within 30 days of its receipt of the application, and 
the Service shall not issue the permit; and
    (2) The Service shall provide to the permit applicant and the state 
an opportunity to adjust the permit application or otherwise reconcile 
it with the state management program for the species.
    (d) After management of a species has been transferred to the state, 
state and Federal authorities shall cooperate to the maximum extent 
practicable in conserving the species of marine mammals.



Sec. 403.06  Monitoring and review of state management program.

    (a) The Service has responsibility to monitor and review 
implementation of all state management programs approved pursuant to 
this part.
    (b) In order to facilitate such review, each state to which 
management authority has been transferred shall submit an annual report, 
not later than 120 days after the close of such state's first full 
fiscal or calendar year following the effective date of the Service's 
approval of the State management program, and at the same time each 
following year, or at such other time as may be agreed upon. The repot 
shall contain the following information current for each reporting 
period:
    (1) Any changes in the state laws which comprise those aspects of 
the state management program submitted pursuant to Sec. 403.03(b), and, 
in the case of Alaska, Sec. 403.03(d), of this part;
    (2) Pertinent new data on the marine mammal species or the marine 
ecosystems in question including a summary of the status, trend and 
general health of the species;
    (3) A summary of available information relating to takings under the 
state management program;
    (4) A summary of state actions to protect species' habitat;
    (5) A summary of all state research activity on the species;
    (6) Any significant changes in the information provided with the 
original request for transfer of management authority;
    (7) A summary of enforcement activity;
    (8) A summary of budget and staffing levels for the marine mammal 
activities in the categories of research, management and enforcement;
    (9) Any other information which the Service may request, consistent 
with the Act as amended, or which the state deems necessary or advisable 
to facilitate review by the Service of state management of the species.
    (c) Each state having an approved management program shall file a 
report, in a timely manner, not to exceed 45 days from the occurrence of 
any of the following:
    (1) Any change in a relevant state law (amendments, repealers, or 
new legislation or regulations or judicial precedent) as submitted 
pursuant to paragraphs (b)(2) through (b)(5), and in the case of Alaska, 
paragraph (d), of Sec. 403.03 of this part that may impair the State's 
ability to implement the program;
    (2) Any significant natural or manmade occurrence or any new 
scientific information that may warrant reconsideration of the 
determinations made pursuant to Sec. 403.04 of this part.
    (d) All components of the state request for transfer of management 
authority, as well as annual reports submitted under paragraph (b) of 
this section and any reports submitted under paragraph (c) of this 
section, shall be available for inspection and copying at the Office of 
the Chief, Division of Wildlife Management, U.S. Fish and Wildlife 
Service, Department of the Interior, Washington, DC 20240, or, as 
appropriate, at the Office of Protected Species and Habitat 
Conservation, National Marine Fisheries Service, National Oceanic and 
Atmospheric Administration, Department of Commerce, Washington, DC 
20235, and at

[[Page 371]]

the appropriate Service's regional office.



Sec. 403.07  Revocation and return of state management authority.

    (a) Revocation of management. The Service shall have responsibility 
to review management of a species transferred to a state under this part 
and to determine whether or not the implementation of the state 
management program continues to comply with the requirements of the Act, 
this part and the state's approved management program.
    (1) Upon receipt of any substantial factual information suggesting 
that the state management program is not being implemented or is being 
implemented in a manner inconsistent with the Act, this part, or the 
state's approved management program, the Service shall, as soon as 
practicable but not later than 30 days after receipt, determine whether 
or not the state continues to comply with the requirements of the Act, 
this part and the state's approved management program.
    (2) Whenever pursuant to a review as specified in paragraph (a)(1) 
of this section, the Service determines that any substantial aspect of 
the state management program is not in compliance with the requirements 
of the Act, this part or the state's approved management program, it 
shall provide written notice to the state of its intent to revoke 
management authority, together with a statement, in detail, of those 
actions or failures to act upon which such intent to revoke is based. 
The Service shall publish notice of such intent to revoke in the Federal 
Register and invite public comment thereon, and shall conduct an 
informal public hearing on the matter if requested by the state or if 
the Service otherwise determines it to be necessary. The Service shall 
provide to the state an opportunity for consultation between the Service 
and the state concerning such actions or failures and necessary remedial 
actions to be taken by the state.
    (3) If within 90 days after notice is provided under paragraph 
(a)(2) of this section, the state has not taken such remedial measures 
as are necessary, in the judgment of the Service, to bring the state 
management program into compliance with the provision of the Act, this 
part and the state's approved management program, the Service shall 
revoke the transfer of management authority by written notice to the 
state and publication in the Federal Register.
    (b) Voluntary return of management authority to the Service. (1) If 
a state desires to return management of a species of marine mammals to 
the Service, it shall provide the Service notice of intent to return 
management. The Service shall accept the return of management, and such 
return shall become effective, upon publication of a notice in the 
Federal Register to this effect no sooner than 30 days (except in an 
emergency as determined by the Service) nor longer than 60 days after 
the state has provided notice of its intent to return management or 
unless otherwise agreed upon.
    (2) If implementation of any aspect of the state management program 
is enjoined by court order, the state shall advise the Service of such 
injunction and its effect on the state management program. If the state 
determines that the effect of the injunction is to preclude effective 
conservation and management of the species under the terms of the state 
management program, it shall so notify the Service and such notification 
shall be treated as a notice of intent to return management as provided 
in paragraph (b)(1) of this section. If the state determines that the 
injunction does not preclude effective conservation and management of 
marine mammals under the terms of the state management program, it shall 
so notify the Service together with the basis for the state's 
determination and such notice shall be treated as a report submitted 
pursuant to the terms of Sec. 403.06(c)(1) of this part. In either case, 
the state shall provide notice to the Service as soon as practicable but 
not more than 30 days after issuance of the injunction. Management 
authority returned to the Service pursuant to this paragraph may be re-
transferred to the state, notwithstanding the requirements of 
Sec. 403.03, when, in the judgment of the Service, the cause for return 
of management authority to the Service has been alleviated in such a way 
as to

[[Page 372]]

allow effective conservation and management of the species consistent 
with the requirements of the Act and this part.
    (c) When revocation of a management authority pursuant to paragraph 
(a) of this section becomes final, or when a state returns management 
pursuant to paragraph (b) of this section, the Service shall resume such 
management authority and provide for the conservation of the species 
within the state in accordance with the provisions of the Act.



Sec. 403.08  List of states to which management has been transferred.

    The following states have received management authority pursuant to 
this part for the species listed and, where appropriate, cooperative 
allocation agreements pursuant to Sec. 403.05(c) are in force: 
[Reserved].



PART 424--LISTING ENDANGERED AND THREATENED SPECIES AND DESIGNATING CRITICAL HABITAT--Table of Contents




                      Subpart A--General Provisions

Sec.
424.01  Scope and purpose.
424.02  Definitions.

                    Subpart B--Revision of the Lists

424.10  General.
424.11  Factors for listing, delisting, or reclassifying species.
424.12  Criteria for designating critical habitat.
424.13  Sources of information and relevant data.
424.14  Petitions.
424.15  Notices of review.
424.16  Proposed rules.
424.17  Time limits and required actions.
424.18  Final rules--general.
424.19  Final rules--impact analysis of critical habitat.
424.20  Emergency rules.
424.21  Periodic review.

    Authority: Pub. L. 93-205, 87 Stat. 884; Pub. L. 95-632, 92 Stat. 
3751; Pub. L. 96-159, 93 Stat. 1225; Pub. L. 97-304, 96 Stat. 1411 (16 
U.S.C. 1531 et seq.).

    Source: 49 FR 38908, Oct. 1, 1984, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 424.01  Scope and purpose.

    (a) Part 424 provides rules for revising the Lists of Endangered and 
Threatened Wildlife and Plants and, where appropriate, designating or 
revising their critical habitats. Criteria are provided for determining 
species to be endangered or threatened and for designating critical 
habitats. Procedures for receiving and considering petitions to revise 
the lists and for conducting periodic reviews of listed species also are 
established.
    (b) The purpose of these rules is to interpret and implement those 
portions of the Endangered Species Act of 1973, as amended (16 U.S.C. 
1531 et seq.), that pertain to the listing of species and the 
determination of critical habitats.



Sec. 424.02  Definitions.

    (a) The definitions of terms in 50 CFR 402.02 shall apply to this 
part 424, except as otherwise stated.
    (b) Candidate means any species being considered by the Secretary 
for listing as an endangered or a threatened species, but not yet the 
subject of a proposed rule.
    (c) Conservation, conserve, and conserving mean to use and the use 
of all methods and procedures that are necessary to bring any endangered 
or threatened species to the point at which the measures provided 
pursuant to the Act are no longer necessary. Such methods and procedures 
include, but are not limited to, all activities associated with 
scientific resources management such as research, census, law 
enforcement, habitat acquisition and maintenance, propagation, live 
trapping, and transplantation, and, in the extraordinary case where 
population pressures within a given ecosystem cannot be otherwise 
relieved, may include regulated taking.
    (d) Critical habitat means (1) the specific areas within the 
geographical area currently occupied by a species, at the time it is 
listed in accordance with the Act, on which are found those physical or 
biological features (i) essential to the conservation of the species and 
(ii) that may require special management considerations or protection, 
and

[[Page 373]]

(2) specific areas outside the geographical area occupied by a species 
at the time it is listed upon a determination by the Secretary that such 
areas are essential for the conservation of the species.
    (e) Endangered species means a species that is in danger of 
extinction throughout all or a significant portion of its range.
    (f) List or lists means the Lists of Endangered and Threatened 
Wildlife and Plants found at 50 CFR 17.11(h) or 17.12(h).
    (g) Plant means any member of the plant kingdom, including, without 
limitation, seeds, roots, and other parts thereof.
    (h) Public hearing means an informal hearing to provide the public 
with the opportunity to give comments and to permit an exchange of 
information and opinion on a proposed rule.
    (i) Secretary means the Secretary of the Interior or the Secretary 
of Commerce, as appropriate, or their authorized representatives.
    (j) Special management considerations or protection means any 
methods or procedures useful in protecting physical and biological 
features of the environment for the conservation of listed species.
    (k) Species includes any species or subspecies of fish, wildlife, or 
plant, and any distinct population segment of any vertebrate species 
that interbreeds when mature. Excluded is any species of the Class 
Insecta determined by the Secretary to constitute a pest whose 
protection under the provisions of the Act would present an overwhelming 
and overriding risk to man.
    (l) State agency means any State agency, department, board, 
commission, or other governmental entity that is responsible for the 
management and conservation of fish, plant, or wildlife resources within 
a State.
    (m) Threatened species means any species that is likely to become an 
endangered species within the foreseeable future throughout all or a 
significant portion of its range.
    (n) Wildlife or fish and wildlife means any member of the animal 
kingdom, including without limitation, any vertebrate, mollusk, 
crustacean, arthropod, or other invertebrate, and includes any part, 
product, egg, or offspring thereof, or the dead body or parts thereof.



                    Subpart B--Revision of the Lists



Sec. 424.10  General.

    The Secretary may add a species to the lists or designate critical 
habitat, delete a species or critical habitat, change the listed status 
of a species, revise the boundary of an area designated as critical 
habitat, or adopt or modify special rules (see 50 CFR 17.40-17.48 and 
parts 222 and 227) applied to a threatened species only in accordance 
with the procedures of this part.



Sec. 424.11  Factors for listing, delisting, or reclassifying species.

    (a) Any species or taxonomic group of species (e.g., genus, 
subgenus) as defined in Sec. 424.02(k) is eligible for listing under the 
Act. A taxon of higher rank than species may be listed only if all 
included species are individually found to be endangered or threatened. 
In determining whether a particular taxon or population is a species for 
the purposes of the Act, the Secretary shall rely on standard taxonomic 
distinctions and the biological expertise of the Department and the 
scientific community concerning the relevant taxonomic group.
    (b) The Secretary shall make any determination required by 
paragraphs (c) and (d) of this section solely on the basis of the best 
available scientific and commercial information regarding a species' 
status, without reference to possible economic or other impacts of such 
determination.
    (c) A species shall be listed or reclassified if the Secretary 
determines, on the basis of the best scientific and commercial data 
available after conducting a review of the species' status, that the 
species is endangered or threatened because of any one or a combination 
of the following factors:
    (1) The present or threatened destruction, modification, or 
curtailment of its habitat or range;
    (2) Over utilization for commercial, recreational, scientific, or 
educational purposes;
    (3) Disease or predation;

[[Page 374]]

    (4) The inadequacy of existing regulatory mechanisms; or
    (5) Other natural or manmade factors affecting its continued 
existence.
    (d) The factors considered in delisting a species are those in 
paragraph (c) of this section as they relate to the definitions of 
endangered or threatened species. Such removal must be supported by the 
best scientific and commercial data available to the Secretary after 
conducting a review of the status of the species. A species may be 
delisted only if such data substantiate that it is neither endangered 
nor threatened for one or more of the following reasons:
    (1) Extinction. Unless all individuals of the listed species had 
been previously identified and located, and were later found to be 
extirpated from their previous range, a sufficient period of time must 
be allowed before delisting to indicate clearly that the species is 
extinct.
    (2) Recovery. The principal goal of the U.S. Fish and Wildlife 
Service and the National Marine Fisheries Service is to return listed 
species to a point at which protection under the Act is no longer 
required. A species may be delisted on the basis of recovery only if the 
best scientific and commercial data available indicate that it is no 
longer endangered or threatened.
    (3) Original data for classification in error. Subsequent 
investigations may show that the best scientific or commercial data 
available when the species was listed, or the interpretation of such 
data, were in error.
    (e) The fact that a species of fish, wildlife, or plant is protected 
by the Convention on International Trade in Endangered Species of Wild 
Fauna and Flora (see part 23 of this title 50) or a similar 
international agreement on such species, or has been identified as 
requiring protection from unrestricted commerce by any foreign nation, 
or to be in danger of extinction or likely to become so within the 
foreseeable future by any State agency or by any agency of a foreign 
nation that is responsible for the conservation of fish, wildlife, or 
plants, may constitute evidence that the species is endangered or 
threatened. The weight given such evidence will vary depending on the 
international agreement in question, the criteria pursuant to which the 
species is eligible for protection under such authorities, and the 
degree of protection afforded the species. The Secretary shall give 
consideration to any species protected under such an international 
agreement, or by any State or foreign nation, to determine whether the 
species is endangered or threatened.
    (f) The Secretary shall take into account, in making determinations 
under paragraph (c) or (d) of this section, those efforts, if any, being 
made by any State or foreign nation, or any political subdivision of a 
State or foreign nation, to protect such species, whether by predator 
control, protection of habitat and food supply, or other conservation 
practices, within any area under its jurisdiction, or on the high seas.



Sec. 424.12  Criteria for designating critical habitat.

    (a) Critical habitat shall be specified to the maximum extent 
prudent and determinable at the time a species is proposed for listing. 
If designation of critical habitat is not prudent or if critical habitat 
is not determinable, the reasons for not designating critical habitat 
will be stated in the publication of proposed and final rules listing a 
species. A final designation of critical habitat shall be made on the 
basis of the best scientific data available, after taking into 
consideration the probable economic and other impacts of making such a 
designation in accordance with Sec. 424.19.
    (1) A designation of critical habitat is not prudent when one or 
both of the following situations exist:
    (i) The species is threatened by taking or other human activity, and 
identification of critical habitat can be expected to increase the 
degree of such threat to the species, or
    (ii) Such designation of critical habitat would not be beneficial to 
the species.
    (2) Critical habitat is not determinable when one or both of the 
following situations exist:
    (i) Information sufficient to perform required analyses of the 
impacts of the designation is lacking, or
    (ii) The biological needs of the species are not sufficiently well 
known to

[[Page 375]]

permit identification of an area as critical habitat.
    (b) In determining what areas are critical habitat, the Secretary 
shall consider those physical and biological features that are essential 
to the conservation of a given species and that may require special 
management considerations or protection. Such requirements include, but 
are not limited to the following:
    (1) Space for individual and population growth, and for normal 
behavior;
    (2) Food, water, air, light, minerals, or other nutritional or 
physiological requirements;
    (3) Cover or shelter;
    (4) Sites for breeding, reproduction, rearing of offspring, 
germination, or seed dispersal; and generally;
    (5) Habitats that are protected from disturbance or are 
representative of the historic geographical and ecological distributions 
of a species.

When considering the designation of critical habitat, the Secretary 
shall focus on the principal biological or physical constituent elements 
within the defined area that are essential to the conservation of the 
species. Known primary constituent elements shall be listed with the 
critical habitat description. Primary constituent elements may include, 
but are not limited to, the following: roost sites, nesting grounds, 
spawning sites, feeding sites, seasonal wetland or dryland, water 
quality or quantity, host species or plant pollinator, geological 
formation, vegetation type, tide, and specific soil types.
    (c) Each critical habitat will be defined by specific limits using 
reference points and lines as found on standard topographic maps of the 
area. Each area will be referenced to the State(s), county(ies), or 
other local governmental units within which all or part of the critical 
habitat is located. Unless otherwise indicated within the critical 
habitat descriptions, the names of the State(s) and county(ies) are 
provided for information only and do not constitute the boundaries of 
the area. Ephemeral reference points (e.g., trees, sand bars) shall not 
be used in defining critical habitat.
    (d) When several habitats, each satisfying the requirements for 
designation as critical habitat, are located in proximity to one 
another, an inclusive area may be designated as critical habitat.

    Example: Several dozen or more small ponds, lakes, and springs are 
found in a small local area. The entire area could be designated 
critical habitat if it were concluded that the upland areas were 
essential to the conservation of an aquatic species located in the ponds 
and lakes.

    (e) The Secretary shall designate as critical habitat areas outside 
the geographical area presently occupied by a species only when a 
designation limited to its present range would be inadequate to ensure 
the conservation of the species.
    (f) Critical habitat may be designated for those species listed as 
threatened or endangered but for which no critical habitat has been 
previously designated.
    (g) Existing critical habitat may be revised according to procedures 
in this section as new data become available to the Secretary.
    (h) Critical habitat shall not be designated within foreign 
countries or in other areas outside of United States jurisdiction.



Sec. 424.13  Sources of information and relevant data.

    When considering any revision of the lists, the Secretary shall 
consult as appropriate with affected States, interested persons and 
organizations, other affected Federal agencies, and, in cooperation with 
the Secretary of State, with the country or countries in which the 
species concerned are normally found or whose citizens harvest such 
species from the high seas. Data reviewed by the Secretary may include, 
but are not limited to scientific or commercial publications, 
administrative reports, maps or other graphic materials, information 
received from experts on the subject, and comments from interested 
parties.



Sec. 424.14  Petitions.

    (a) General. Any interested person may submit a written petition to 
the Secretary requesting that one of the actions described in 
Sec. 424.10 be taken. Such a document must clearly identify itself as a 
petition and be dated. It

[[Page 376]]

must contain the name, signature, address, telephone number, if any, and 
the association, institution, or business affiliation, if any, of the 
petitioner. The Secretary shall acknowledge in writing receipt of such a 
petition within 30 days.
    (b) Petitions to list, delist, or reclassify species. (1) To the 
maximum extent practicable, within 90 days of receiving a petition to 
list, delist, or reclassify a species, the Secretary shall make a 
finding as to whether the petition presents substantial scientific or 
commercial information indicating that the petitioned action may be 
warranted. For the purposes of this section, ``substantial information'' 
is that amount of information that would lead a reasonable person to 
believe that the measure proposed in the petition may be warranted. The 
Secretary shall promptly publish such finding in the Federal Register 
and so notify the petitioner.
    (2) In making a finding under paragraph (b)(1) of this section, the 
Secretary shall consider whether such petition--
    (i) Clearly indicates the administrative measure recommended and 
gives the scientific and any common name of the species involved;
    (ii) Contains detailed narrative justification for the recommended 
measure, describing, based on available information, past and present 
numbers and distribution of the species involved and any threats faced 
by the species;
    (iii) Provides information regarding the status of the species over 
all or a significant portion of its range; and
    (iv) Is accompanied by appropriate supporting documentation in the 
form of bibliographic references, reprints of pertinent publications, 
copies of reports or letters from authorities, and maps.

The petitioner may provide information that describes any recommended 
critical habitat as to boundaries and physical features, and indicates 
any benefits and/or adverse effects on the species that would result 
from such designation. Such information, however, will not be a basis 
for the determination of the substantiality of a petition.
    (3) Upon making a positive finding under paragraph (b)(1) of this 
section, the Secretary shall commence a review of the status of the 
species concerned and shall make, within 12 months of receipt of such 
petition, one of the following findings:
    (i) The petitioned action is not warranted, in which case the 
Secretary shall promptly publish such finding in the Federal Register 
and so notify the petitioner.
    (ii) The petitioned action is warranted, in which case the Secretary 
shall promptly publish in the Federal Register a proposed regulation to 
implement the action pursuant to Sec. 424.16 of this part, or
    (iii) The petitioned action is warranted, but that--
    (A) The immediate proposal and timely promulgation of a regulation 
to implement the petitioned action is precluded because of other pending 
proposals to list, delist, or reclassify species, and
    (B) Expeditious progress is being made to list, delist, or 
reclassify qualified species,

in which case, such finding shall be promptly published in the Federal 
Register together with a description and evaluation of the reasons and 
data on which the finding is based.
    (4) If a finding is made under paragraph (b)(3)(iii) of this section 
with regard to any petition, the Secretary shall, within 12 months of 
such finding, again make one of the findings described in paragraph 
(b)(3) with regard to such petition, but no further finding of 
substantial information will be required.
    (c) Petitions to revise critical habitat. (1) To the maximum extent 
practicable, within 90 days of receiving a petition to revise a critical 
habitat designation, the Secretary shall make a finding as to whether 
the petition presents substantial scienific information indicating that 
the revision may be warranted. The Secretary shall promptly publish such 
finding in the Federal Register and so notify the petitioner.
    (2) In making the finding required by paragraph (c)(1) of this 
section, the Secretary shall consider whether a petition contains--

[[Page 377]]

    (i) Information indicating that areas petitioned to be added to 
critical habitat contain physical and biological features essential to, 
and that may require special management to provide for, the conservation 
of the species involved; or
    (ii) Information indicating that areas designated as critical 
habitat do not contain resources essential to, or do not require special 
management to provide for, the conservation of the species involved.
    (3) Within 12 months after receiving a petition found under 
paragraph (c)(1) of this section to present substantial information 
indicating that revision of a critical habitat may be warranted, the 
Secretary shall determine how he intends to proceed with the requested 
revision, and shall promptly publish notice of such intention in the 
Federal Register.
    (d) Petitions to designate critical habitat or adopt special rules. 
Upon receiving a petition to designate critical habitat or to adopt a 
special rule to provide for the conservation of a species, the Secretary 
shall promptly conduct a review in accordance with the Administrative 
Procedure Act (5 U.S.C. 553) and applicable Departmental regulations, 
and take appropriate action.



Sec. 424.15  Notices of review.

    (a) If the Secretary finds that one of the actions described in 
Sec. 424.10 may be warranted, but that the available evidence is not 
sufficiently definitive to justify proposing the action at that time, a 
notice of review may be published in the Federal Register. The notice 
will describe the measure under consideration, briefly explain the 
reasons for considering the action, and solicit comments and additional 
information on the action under consideration.
    (b) The Secretary from time to time also may publish notices of 
review containing the names of species that are considered to be 
candidates for listing under the Act and indicating whether sufficient 
scientific or commercial information is then available to warrant 
proposing to list such species, the names of species no longer being 
considered for listing, or the names of listed species being considered 
for delisting or reclassification. However, none of the substantive or 
procedural provisions of the Act apply to a species that is designated 
as a candidate for listing.
    (c) Such notices of review will invite comment from all interested 
parties regarding the status of the species named. At the time of 
publication of such a notice, notification in writing will be sent to 
State agencies in any affected States, known affected Federal agencies, 
and, to the greatest extent practicable, through the Secretary of State, 
to the governments of any foreign countries in which the subject species 
normally occur.



Sec. 424.16  Proposed rules.

    (a) General. Based on the information received through Secs. 424.13, 
424.14, 424.15, and 424.21, or through other available avenues, the 
Secretary may propose revising the lists as described in Sec. 424.10.
    (b) Contents. A notice of a proposed rule to carry out one of the 
actions described in Sec. 424.10 shall contain the complete text of the 
proposed rule, a summary of the data on which the proposal is based 
(including, as appropriate, citation of pertinent information sources), 
and shall show the relationship of such data to the rule proposed. If 
such a rule designates or revises critical habitat, such summary shall, 
to the maximum extent practicable, include a brief description and 
evaluation of those activities (whether public or private) that, in the 
opinion of the Secretary, if undertaken, may adversely modify such 
habitat, or may be affected by such designation. Any proposed rule to 
designate or revise critical habitat shall contain a map of such 
habitat. Any such notice proposing the listing, delisting, or 
reclassification of a species or the designation or revision of critical 
habitat shall also include a summary of factors affecting the species 
and/or critical habitat.
    (c) Procedures--(1) Notifications. In the case of any proposed rule 
to list, delist, or reclassify a species, or to designate or revise 
critical habitat, the Secretary shall--
    (i) Publish notice of the proposal in the Federal Register;
    (ii) Give actual notice of the proposed regulation (including the 
complete text of the regulation) to the

[[Page 378]]

State agency in each State in which the species is believed to occur, 
and to each county or equivalent jurisdiction therein in which the 
species is believed to occur, and invite the comment of each such agency 
and jurisdiction;
    (iii) Give notice of the proposed regulation to any Federal 
agencies, local authorities, or private individuals or organizations 
known to be affected by the rule;
    (iv) Insofar as practical, and in cooperation with the Secretary of 
State, give notice of the proposed regulation to list, delist, or 
reclassify a species to each foreign nation in which the species is 
believed to occur or whose citizens harvest the species on the high 
seas, and invite the comment of such nation;
    (v) Give notice of the proposed regulation to such professional 
scientific organizations as the Secretary deems appropriate; and
    (vi) Publish a summary of the proposed regulation in a newspaper of 
general circulation in each area of the United States in which the 
species is believed to occur.
    (2) Period of public comments. At least 60 days shall be allowed for 
public comment following publication in the Federal Register of a rule 
proposing the listing, delisting, or reclassification of a species, or 
the designation or revision of critical habitat. All other proposed 
rules shall be subject to a comment period of at least 30 days following 
publication in the Federal Register. The Secretary may extend or reopen 
the period for public comment on a proposed rule upon a finding that 
there is good cause to do so. A notice of any such extension or 
reopening shall be published in the Federal Register, and shall specify 
the basis for so doing.
    (3) Public hearings. The Secretary shall promptly hold at least one 
public hearing if any person so requests within 45 days of publication 
of a proposed regulation to list, delist, or reclassify a species, or to 
designate or revise critical habitat. Notice of the location and time of 
any such hearing shall be published in the Federal Register not less 
than 15 days before the hearing is held.



Sec. 424.17  Time limits and required actions.

    (a) General. (1) Within 1 year of the publication of a rule 
proposing to determine whether a species is an endangered or threatened 
species, or to designate or revise critical habitat, the Secretary shall 
publish one of the following in the Federal Register:
    (i) A final rule to implement such determination or revision,
    (ii) A finding that such revision should not be made,
    (iii) A notice withdrawing the proposed rule upon a finding that 
available evidence does not justify the action proposed by the rule, or
    (iv) A notice extending such 1-year period by an additional period 
of not more than 6 months because there is substantial disagreement 
among scientists knowledgeable about the species concerned regarding the 
sufficiency or accuracy of the available data relevant to the 
determination or revision concerned.
    (2) If an extension is made under paragraph (a)(1)(iv) of this 
section, the Secretary shall, within the extended period, take one of 
the actions described in paragraphs (a)(1) (i), (ii), or (iii) of this 
section.
    (3) If a proposed rule is withdrawn under paragraph (a)(1)(iii) of 
this section, the notice of withdrawal shall set forth the basis upon 
which the proposed rule has been found not to be supported by available 
evidence. The Secretary shall not again propose a rule withdrawn under 
such provision except on the basis of sufficient new information that 
warrants a reproposal.
    (b) Critical habitat designations. A final rule designating critical 
habitat of an endangered or a threatened species shall to the extent 
permissible under Sec. 424.12 be published concurrently with the final 
rule listing such species, unless the Secretary deems that--
    (1) It is essential to the conservation of such species that it be 
listed promptly; or
    (2) Critical habitat of such species is not then determinable,

in which case, the Secretary, with respect to the proposed regulation to 
designate such habitat, may extend the 1-year period specified in 
paragraph (a) of this section by not more than one

[[Page 379]]

additional year. Not later than the close of such additional year the 
Secretary must publish a final regulation, based on such data as may be 
available at that time, designating, to the maximum extent prudent, such 
habitat.



Sec. 424.18  Final rules--general.

    (a) Contents. A final rule promulgated to carry out the purposes of 
the Act will be published in the Federal Register. This publication will 
contain the complete text of the rule, a summary of the comments and 
recommendations received in response to the proposal (including 
applicable public hearings), summaries of the data on which the rule is 
based and the relationship of such data to the final rule, and a 
description of any conservation measures available under the rule. 
Publication of a final rule to list, delist, or reclassify a species or 
designate or revise critical habitat shall also provide a summary of 
factors affecting the species. A rule designating or revising critical 
habitat will also contain a description of the boundaries and a map of 
such habitat and will, to the maximum extent practicable, be accompanied 
by a brief description and evaluation of those activities (whether 
public or private) that might occur in the area and which, in the 
opinion of the Secretary, may adversly modify such habitat or be 
affected by such designation.
    (b) Effective date. A final rule shall take effect--
    (1) Not less than 30 days after it is published in the Federal 
Register, except as otherwise provided for good cause found and 
published with the rule; and
    (2) Not less than 90 days after (i) publication in the Federal 
Register of the proposed rule, and (ii) actual notification of any 
affected State agencies and counties or equivalent jurisdictions in 
accordance with Sec. 424.16(c)(1)(ii).
    (c) Disagreement with State agency. If a State agency, given notice 
of a proposed rule in accordance with Sec. 424.16(c)(1)(ii), submits 
comments disagreeing in whole or in part with a proposed rule, and the 
Secretary issues a final rule that is in conflict with such comments, or 
if the Secretary fails to adopt a regulation for which a State agency 
has made a petition in accordance with Sec. 424.14, the Secretary shall 
provide such agency with a written justification for the failure to 
adopt a rule consistent with the agency's comments or petition.



Sec. 424.19  Final rules--impact analysis of critical habitat.

    The Secretary shall identify any significant activities that would 
either affect an area considered for designation as critical habitat or 
be likely to be affected by the designation, and shall, after proposing 
designation of such an area, consider the probable economic and other 
impacts of the designation upon proposed or ongoing activities. The 
Secretary may exclude any portion of such an area from the critical 
habitat if the benefits of such exclusion outweigh the benefits of 
specifying the area as part of the critical habitat. The Secretary shall 
not exclude any such area if, based on the best scientific and 
commercial data available, he determines that the failure to designate 
that area as critical habitat will result in the extinction of the 
species concerned.



Sec. 424.20  Emergency rules.

    (a) Sections 424.16, 424.17, 424.18, and 424.19 notwithstanding, the 
Secretary may at any time issue a regulation implementing any action 
described in Sec. 424.10 in regard to any emergency posing a significant 
risk to the well-being of a species of fish, wildlife, or plant. Such 
rules shall, at the discretion of the Secretary, take effect immediately 
on publication in the Federal Register. In the case of any such action 
that applies to a resident species, the Secretary shall give actual 
notice of such regulation to the State agency in each State in which 
such species is believed to occur. Publication in the Federal Register 
of such an emergency rule shall provide detailed reasons why the rule is 
necessary. An emergency rule shall cease to have force and effect after 
240 days unless the procedures described in Secs. 424.16, 424.17, 
424.18, and 424.19 (as appropriate) have been complied with during that 
period.

[[Page 380]]

    (b) If at any time after issuing an emergency rule, the Secretary 
determines, on the basis of the best scientific and commercial data 
available, that substantial evidence does not then exist to warrant such 
rule, it shall be withdrawn.



Sec. 424.21  Periodic review.

    At least once every 5 years, the Secretary shall conduct a review of 
each listed species to determine whether it should be delisted or 
reclassified. Each such determination shall be made in accordance with 
Secs. 424.11, 424.16, and 424.17 of this part, as appropriate. A notice 
announcing those species under active review will be published in the 
Federal Register. Notwithstanding this section's provisions, the 
Secretary may review the status of any species at any time based upon a 
petition (see Sec. 424.14) or upon other data available to the Service.

[[Page 381]]



                        SUBCHAPTER B--[RESERVED]





           SUBCHAPTER C--ENDANGERED SPECIES EXEMPTION PROCESS





PART 450--GENERAL PROVISIONS--Table of Contents




    Authority: Endangered Species Act of 1973, 16 U.S.C. 1531, et seq., 
as amended.



Sec. 450.01  Definitions

    The following definitions apply to terms used in this subchapter.
    Act means the Endangered Species Act of 1973, as amended, 16 U.S.C. 
1531, et seq.
    Agency action means all actions of any kind authorized, funded or 
carried out, in whole or in part by Federal agencies, including, in the 
instance of an application for a permit or license, the underlying 
activity for which the permit or license is sought.
    Alternative courses of action means all reasonable and prudent 
alternatives, including both no action and alternatives extending beyond 
original project objectives and acting agency jurisidiction.
    Benefits means all benefits of an agency action, both tangible and 
intangible, including but not limited to economic, environmental and 
cultural benefits.
    Biological assessment means the report prepared pursuant to section 
7(c) of the Act, 16 U.S.C. 1536(c).
    Biological opinion means the written statement prepared pursuant to 
section 7(b) of the Act, 16 U.S.C. 1536(b).
    Chairman means the Chairman of the Endangered Species Committee, who 
is the Secretary of the Interior.
    Committee means the Endangered Species Committee established 
pursuant to section 7(e) of the Act, 16 U.S.C. 1536(e).
    Critical habitat refers to those areas listed as Critical Habitat in 
50 CFR parts 17 and 226.
    Destruction or adverse modification is defined at 50 CFR 402.02.
    Federal agency means any department, agency or instrumentality of 
the United States.
    Irreversible or irretrievable commitment of resources means any 
commitment of resources which has the effect of foreclosing the 
formulation or implementation of any reasonable or prudent alternatives 
which would not violate section 7(a)(2) of the Act.
    Jeopardize the continued existence of is defined at 50 CFR 402.02.
    Mitigation and enhancement measures means measures, including live 
propagation, tranplantation, and habitat acquisition and improvement, 
necessary and appropriate (a) to minimize the adverse effects of a 
proposed action on listed species or their critical habitats and/or (b) 
to improve the conservation status of the species beyond that which 
would occur without the action. The measures must be likely to protect 
the listed species or the critical habitat, and be reasonable in their 
cost, the availability of the technology required to make them 
effective, and other considerations deemed relevant by the Committee.
    Permit or license applicant means any person whose application to an 
agency for a permit or license has been denied primarily because of the 
application of section 7(a)(2) of the Act, 16 U.S.C. 1536(a)(2).
    Person means an individual, corporation, partnership, trust, 
association, or any other private entity, or any public body or officer, 
employee, agent, department, or instrumentality of the Federal 
government, of any State or political subdivision thereof, or of any 
foreign government.
    Proposed action means the action proposed by the Federal agency or 
by a permit or license applicant, for which exemption is sought.
    Secretary means the Secretary of the Interior or the Secretary of 
Commerce, or his or her delegate, depending upon which Secretary has 
responsibility for the affected species as determined pursuant to 50 CFR 
402.01.
    Service means the United States Fish and Wildlife Service or the 
National Marine Fisheries Service, as appropriate.

[[Page 382]]

    To the extent that such information is available to the applicant 
means all pertinent information the applicant has on the subject matter 
at the time the application is submitted, and all other pertinent 
information obtainable from the appropriate Federal agency pursuant to a 
Freedom of Information Act request.

[50 FR 8126, Feb. 28, 1985]



PART 451--APPLICATION PROCEDURE--Table of Contents




Sec.
451.01  Definitions.
451.02  Applications for exemptions.
451.03  Endangered Species Committee.

    Authority: Endangered Species Act of 1973, 16 U.S.C. 1531 et seq., 
as amended.

    Source: 50 FR 8127, Feb. 28, 1985, unless otherwise noted.



Sec. 451.01  Definitions.

    All definitions contained in 50 CFR 450.01 are applicable to this 
part.



Sec. 451.02  Applications for exemptions.

    (a) Scope. This section prescribes the application procedures for 
applying for an exemption from the requirements of section 7(a)(2) of 
the Endangered Species Act, as amended.
    (b) Where to apply. Applications should be made to the appropriate 
Secretary(ies) by writing:
    (1) The Secretary, Attention: Endangered Species Committee, 
Department of the Interior, 18th and C Street, NW., Washington, DC 
20240.
    (2) The Secretary, Department of Commerce, 14th Street and 
Constitution Avenue NW., Washington, DC 20030.
    (c) Who may apply. (1) A Federal agency, (2) the Governor of the 
State in which an agency action will occur, if any, or (3) a permit or 
license applicant may apply to the Secretary for an exemption for an 
agency action if, after consultation under section 7(a)(2) of the Act, 
the Secretary's opinion indicates that the agency action would violate 
section 7(a)(2) of the Act.
    (d) When to apply. (1) Except in the case of agency action involving 
a permit or license application, an application for an exemption must be 
submitted to the Secretary within 90 days following the termination of 
the consultation process.
    (2) In the case of agency action involving a permit or license 
application, an application for an exemption may be submitted after the 
Federal agency concerned formally denies the permit or license. An 
applicant denied a permit or license may not simultaneously seek 
administrative review within the permitting or licensing agency and 
apply for an exemption. If administrative review is sought, an 
application for an exemption may be submitted if that review results in 
a formal denial of the permit or license. For an exemption application 
to be considered, it must be submitted within 90 days after the date of 
a formal denial of a permit or license.
    (e) Contents of the application when submitted. Exemption applicants 
must provide the following information at the time the application is 
submitted.
    (1) Name, mailing address, and phone number, including the name and 
telephone number of an individual to be contacted regarding the 
application.
    (2) If the applicant is a Federal agency:
    (i) A comprehensive description of the proposed agency action and if 
a license or permit denial is involved, a comprehensive description of 
the license or permit applicant's proposed action.
    (ii) In the case of a denial of a license or permit, a description 
of the permit or license sought, including a statement of who in the 
Federal agency denied the permit or license, the grounds for the denial, 
and a copy of the permit or license denial.
    (iii) A description of all permit(s), license(s) or other legal 
requirements which have been satisfied or obtained, or which must still 
be satisfied or obtained, before the proposed action can proceed.
    (iv) A description of the consultation process carried out pursuant 
to section 7(a) of the Act.
    (v) A copy of the biological assessment, if one was prepared.
    (vi) A copy of the biological opinion.
    (vii) A description of each alternative to the proposed action 
considered by the Federal agency, by the licensing or

[[Page 383]]

permitting agency, and by the permit or license applicant, to the extent 
known.
    (viii) A statement describing why the proposed agency action cannot 
be altered or modified to avoid violating section 7(a)(2) of the Act.
    (ix) A description of resources committed by the Federal agency, or 
the permit or license applicant, if any, to the proposed action 
subsequent to the initiation of consultation.
    (3) If the applicant is a permit or license applicant other than a 
Federal agency:
    (i) A comprehensive description of the applicant's proposed action.
    (ii) A description of the permit or license sought from the Federal 
agency, including a statement of who in that agency denied the permit or 
license and the grounds for the denial.
    (iii) A description of all permit(s), license(s) or other legal 
requirements which have been satisfied or obtained, or which must still 
be satisfied or obtained, before it can proceed with the proposed 
action.
    (iv) A copy of the permit or license denial.
    (v) A copy of the biological assessment, if one was prepared.
    (vi) A copy of the biological opinion.
    (vii) A description of the consultation process carried out pursuant 
to section 7(a) of the Act, to the extent that such information is 
available to the applicant.
    (viii) A description of each alternative to the proposed action 
considered by the applicant, and to the extent that such information is 
available to the applicant, a description of each alternative to the 
proposed action considered by the Federal agency.
    (ix) A statement describing why the applicant's proposed action 
cannot be altered or modified to avoid violating section 7(a)(2) of the 
Act.
    (x) A description of resources committed to the proposed action by 
the permit or license applicant subsequent to the initiation of 
consultation.
    (4) If the applicant is the Governor of a State in which the 
proposed agency action may occur:
    (i) A comprehensive description of the proposed agency action and if 
a license or permit denial is involved, a comprehensive description of 
the license or permit applicant's proposed action.
    (ii) A description of the permit or license, if any, sought from the 
Federal agency, including a statement of who in that agency denied the 
permit or license and the grounds for the denial, to the extent that 
such information is available to the Governor.
    (iii) A description of all permit(s), license(s) or other legal 
requirements which have been satisfied or obtained, or which must still 
be satisfied or obtained before the agency can proceed with the proposed 
action, to the extent that such information is available to the 
Governor.
    (iv) A copy of the biological assessment, if one was prepared.
    (v) A copy of the biological opinion.
    (vi) A description of the consultation process carried out pursuant 
to section 7(a) of the Act, to the extent that such information is 
available to the Governor.
    (vii) A description of all alternatives considered by the Federal 
agency, by the licensing or permitting agency, and by the permit or 
license applicant, to the extent that such information is available to 
the Governor.
    (viii) A statement describing why the proposed agency action cannot 
be altered or modified to avoid violating section 7(a)(2) of the Act.
    (ix) A description of resources committed to the proposed action 
subsequent to the initiation of consultation, to the extent that such 
information is available to the Governor.
    (5) Each applicant, whether a Federal agency, a permit or license 
applicant, or a Governor, must also submit the following:
    (i) A complete statement of the nature and the extent of the 
benefits of the proposed action.
    (ii) A complete discussion of why the benefits of the proposed 
action clearly outweigh the benefits of each considered alternative 
course of action.
    (iii) A complete discussion of why none of the considered 
alternatives are reasonable and prudent.
    (iv) A complete statement explaining why the proposed action is in 
the public interest.

[[Page 384]]

    (v) A complete explanation of why the action is of regional or 
national significance.
    (vi) A complete discussion of mitigation and enhancement measures 
proposed to be undertaken if an exemption is granted.
    (6) When the exemption applicant is a license or permit applicant or 
a Governor, a copy of the application shall be provided by the exemption 
applicant at the time the application is filed, to the Federal agency 
which denied the license or permit.
    (f) Review of the application by the Secretary. (1) Upon receiving 
the application, the Secretary shall review the contents thereof and 
consider whether the application complies with the requirements set 
forth in paragraphs (c), (d) and (e) of this section.
    (2) The Secretary shall reject an application within 10 days of 
receiving it if he determines that it does not comply with paragraphs 
(c), (d) and (e) of this section. If the Secretary rejects an 
application because it does not contain the information required by 
paragraph (e) of this section, the applicant may resubmit a revised 
application so long as the applicant does so during the 90 day period 
specified in paragraph (d) of this section.
    (3) If the Secretary finds that the application meets the 
requirements of paragraphs (c), (d), and (e) of this section, he will 
consider the application in accordance with part 452.
    (g) Notification of the Secretary of State. The Secretary will 
promptly transmit to the Secretary of State a copy of all applications 
submitted in accordance with Sec. 451.02.
    (h) Public notification. Upon receipt of an application for 
exemption, the Secretary shall promptly publish a notice in the Federal 
Register (1) announcing that an application has been filed, (2) stating 
the applicant's name, (3) briefly describing the proposed agency action 
and the result of the consultation process, (4) summarizing the 
information contained in the application, (5) designating the place 
where copies of the application can be obtained and (6) specifying the 
name of the person to contact for further information. The Secretary 
will promptly notify each member of the Committee upon receipt of an 
application for exemption.
    (i) The information collection requirements contained in part 451 do 
not require approval by the Office of Management and Budget under 44 
U.S.C. 3501 et seq., because it is anticipated there will be fewer than 
ten respondents annually.



Sec. 451.03  Endangered Species Committee.

    (a) Scope. This section contains provisions governing the 
relationship between the Secretary and the Endangered Species Committee.
    (b) Appointment of State member. (1) Upon receipt of an application 
for exemption, the Secretary shall promptly notify the Governors of each 
affected State, if any, as determined by the Secretary, and request the 
Governors to recommend individuals to be appointed to the Endangered 
Species Committee for consideration of the application. Written 
recommendations of these Governors must be received by the Secretary 
within 10 days of receipt of notification. The Secretary will transmit 
the Governors' recommendations to the President and will request that 
the President appoint a State resident to the Endangered Species 
Committee from each affected State within 30 days after the application 
for exemption was submitted.
    (2) When no State is affected, the Secretary will submit to the 
President a list of individuals with expertise relevant to the 
application and will request the President to appoint, within 30 days 
after the application for exemption was submitted, an individual to the 
Endangered Species Committee.



PART 452--CONSIDERATION OF APPLICATION BY THE SECRETARY--Table of Contents




Sec.
452.01  Purpose and scope.
452.02  Definitions.
452.03  Threshold review and determinations.
452.04  Secretary's report.
452.05  Hearings.
452.06  Parties and intervenors.
452.07  Separation of functions and ex parte communications.
452.08  Submission of Secretary's report.
452.09  Consolidated and joint proceedings.


[[Page 385]]


    Authority: Endangered Species Act of 1973, 16 U.S.C. 1531, et seq., 
as amended.

    Source: 50 FR 8129, Feb. 28, 1985, unless otherwise noted.



Sec. 452.01  Purpose and scope.

    This part prescribes the procedures to be used by the Secretary when 
examining applications for exemption from section 7(a)(2) of the 
Endangered Species Act.



Sec. 452.02  Definitions.

    Definitions applicable to this part are contained in 50 CFR 450.01.



Sec. 452.03  Threshold review and determinations.

    (a) Threshold determinations. Within 20 days after receiving an 
exemption application, or a longer time agreed upon between the 
exemption applicant and the Secretary, the Secretary shall conclude his 
review and determine:
    (1) Whether any required biological assessment was conducted;
    (2) To the extent determinable within the time period provided, 
whether the Federal agency and permit or license applicant, if any, have 
refrained from making any irreversible or irretrievable commitment of 
resources; and
    (3) Whether the Federal agency and permit or license applicant, if 
any, have carried out consultation responsibilities in good faith and 
have made a reasonable and responsible effort to develop and fairly 
consider modifications or reasonable and prudent alternatives to the 
proposed action which would not violate section 7(a)(2) of the Act.
    (b) Burden of proof. The exemption applicant has the burden of 
proving that the requirements of Sec. 452.03(a) have been met.
    (c) Negative finding. If the Secretary makes a negative finding on 
any threshold determination, the Secretary shall deny the application 
and notify the exemption applicant in writing of his finding and grounds 
therefor. The exemption process shall terminate when the applicant 
receives such written notice. The Secretary's denial shall constitute 
final agency action for purposes of judicial review under chapter 7 of 
title 5 of the United States Code.
    (d) Positive finding. If the Secretary makes a positive finding on 
each of the threshold determinations, he shall notify the exemption 
applicant in writing that the application qualifies for consideration by 
the Endangered Species Committee.
    (e) Secretary of State opinion. The Secretary shall terminate the 
exemption process immediately if the Secretary of State, pursuant to his 
obligations under section 7(i) of the Act, certifies in writing to the 
Committee that granting an exemption and carrying out the proposed 
action would violate an international treaty obligation or other 
international obligation of the United States.



Sec. 452.04  Secretary's report.

    (a) Contents of the report. If the Secretary has made a positive 
finding on each of the threshold determinations, he shall proceed to 
gather information and prepare a report for the Endangered Species 
Committee:
    (1) Discussing the availability of reasonable and prudent 
alternatives to the proposed action;
    (2) Discussing the nature and extent of the benefits of the proposed 
action;
    (3) Discussing the nature and extent of the benefits of alternative 
courses of action consistent with conserving the species or the critical 
habitat;
    (4) Summarizing the evidence concerning whether the proposed action 
is of national or regional significance;
    (5) Summarizing the evidence concerning whether the proposed action 
is in the public interest;
    (6) Discussing appropriate and reasonable mitigation and enhancement 
measures which should be considered by the Committee in granting an 
exemption; and
    (7) Discussing whether the Federal agency and permit or license 
applicant, if any, have refrained from making any irreversible or 
irretrievable commitment of resources.
    (b) Preparation of the report. The report shall be prepared in 
accordance with procedures set out in Sec. 452.05 and Sec. 452.09.



Sec. 452.05  Hearings.

    (a) Hearings. (1) To develop the record for the report under 
Sec. 452.04, the Secretary, in consultation with the members of the 
Committee, shall hold a

[[Page 386]]

hearing in accordance with 5 U.S.C. 554, 555, and 556.
    (2) The Secretary shall designate an Administrative Law Judge to 
conduct the hearing. The Secretary shall assign technical staff to 
assist the Administrative Law Judge.
    (3) When the Secretary designates the Administrative Law Judge, the 
Secretary may establish time periods for conducting the hearing and 
closing the record.
    (4) The Secretary may require the applicant to submit further 
discussions of the information required by Sec. 451.02(e)(5). This 
information will be made part of the record.
    (b) Prehearing conferences. (1) The Administrative Law Judge may, on 
his own motion or the motion of a party or intervenor, hold a prehearing 
conference to consider:
    (i) The possibility of obtaining stipulations, admissions of fact or 
law and agreement to the introduction of documents;
    (ii) The limitation of the number of witnesses;
    (iii) Questions of law which may bear upon the course of the 
hearings;
    (iv) Prehearing motions, including motions for discovery; and
    (v) Any other matter which may aid in the disposition of the 
proceedings.
    (2) If time permits and if necessary to materially clarify the 
issues raised at the prehearing conference, the Administrative Law Judge 
shall issue a statement of the actions taken at the conference and the 
agreements made. Such statement shall control the subsequent course of 
the hearing unless modified for good cause by a subsequent statement.
    (c) Notice of hearings. Hearings and prehearing conferences will be 
announced by a notice in the Federal Register stating: (1) The time, 
place and nature of the hearing or prehearing conference; and (2) the 
matters of fact and law to be considered. Such notices will ordinarily 
be published at least 15 days before the scheduled hearings.
    (d) Conduct of hearings.--(1) Admissibility of evidence. Relevant, 
material, and reliable evidence shall be admitted. Immaterial, 
irrelevant, unreliable, or unduly repetitious parts of an admissible 
document may be segregated and excluded so far as practicable.
    (2) Motions, objections, rebuttal and cross-examination. Motions and 
objections may be filed with the Administrative Law Judge, rebuttal 
evidence may be submitted, and cross-examination may be conducted, as 
required for a full and true disclosure of the facts, by parties, 
witnesses under subpoena, and their respective counsel.
    (i) Objections. Objections to evidence shall be timely, and the 
party making them may be required to state briefly the grounds relied 
upon.
    (ii) Offers of proof. When an objection is sustained, the examining 
party may make a specific offer of proof and the Administrative Law 
Judge may receive the evidence in full. Such evidence, adequately marked 
for identification, shall be retained in the record for consideration by 
any reviewing authority.
    (iii) Motions. Motions and petitions shall state the relief sought, 
the basis for relief and the authority relied upon. If made before or 
after the hearing itself, these matters shall be in writing and shall be 
filed and served on all parties. If made at the hearing, they may be 
stated and responded to orally, but the Administrative Law Judge may 
require that they be reduced to writing. Oral argument on motions and 
deadlines by which to file responses to written motions will be at the 
discretion of the Administrative Law Judge.
    (e) Applicant responsibility. In proceedings conducted pursuant to 
this section, the exemption applicant has the burden of going forward 
with evidence concerning the criteria for exemption.
    (f) Open meetings and record. All hearings and all hearing records 
shall be open to the public.
    (g) Requests for information, subpoenas. (1) The Administrative Law 
Judge is authorized to exercise the authority of the Committee to 
request, subject to the Privacy Act of 1974, that any person provide 
information necessary to enable the Committee to carry out its duties. 
Any Federal agency or the exemption applicant shall furnish such 
information to the Administrative Law Judge. (2) The Administrative Law 
Judge may exercise the authority of the Committee to issue subpoenas for

[[Page 387]]

the attendance and testimony of witnesses and the production of relevant 
papers, books, and documents.
    (h) Information collection. The information collection requirements 
contained in Sec. 452.05 do not require approval by the Office of 
Management and Budget under 44 U.S.C. 3501 et seq., because it is 
anticipated there will be fewer than ten respondents annually.



Sec. 452.06  Parties and intervenors.

    (a) Parties. The parties shall consist of the exemption applicant, 
the Federal agency responsible for the agency action in question, the 
Service, and intervenors whose motions to intervene have been granted.
    (b) Intervenors. (1) The Administrative Law Judge shall provide an 
opportunity for intervention in the hearing. A motion to intervene must 
state the petitioner's name and address, identify its representative, if 
any, set forth the interest of the petitioner in the proceeding and show 
that the petitioner's participation would assist in the determination of 
the issues in question.
    (2) The Administrative Law Judge shall grant leave to intervene if 
he determines that an intervenor's participation would contribute to the 
fair determination of issues. In making this determination, the 
Administrative Law Judge may consider whether an intervenor represents a 
point of view not adequately represented by a party or another 
intervenor.



Sec. 452.07  Separation of functions and ex parte communications.

    (a) Separation of functions. (1) The Administrative Law Judge and 
the technical staff shall not be responsible for or subject to the 
supervision or direction of any person who participated in the 
endangered species consultation at issue;
    (2) The Secretary shall not allow an agency employee or agent who 
participated in the endangered species consultation at issue or a 
factually related matter to participate or advise in a determination 
under this part except as a witness or counsel in public proceedings.
    (b) Ex parte communications. The provisions of 5 U.S.C. 557(d) apply 
to the hearing and the preparation of the report.



Sec. 452.08  Submission of Secretary's report.

    (a) Upon closing of the record, the Administrative Law Judge shall 
certify the record and transmit it to the Secretary for preparation of 
the Secretary's report which shall be based on the record. The Secretary 
may direct the Administrative Law Judge to reopen the record and obtain 
additional information if he determines that such action is necessary.
    (b) The Secretary shall submit his report and the record of the 
hearing to the Committee within 140 days after making his threshold 
determinations under Sec. 452.03(a) or within such other period of time 
as is mutually agreeable to the applicant and the Secretary.



Sec. 452.09  Consolidated and joint proceedings.

    (a) When the Secretary is considering two or more related exemption 
applications, the Secretary may consider them jointly and prepare a 
joint report if doing so would expedite or simplify consideration of the 
issues.
    (b) When the Secretaries of the Interior and Commerce are 
considering two or more related exemption applications, they may 
consider them jointly and prepare a joint report if doing so would 
expedite or simplify consideration of the issues.



PART 453--ENDANGERED SPECIES COMMITTEE--Table of Contents




Sec.
453.01  Purpose.
453.02  Definitions.
453.03  Committee review and final determinations.
453.04  Committee information gathering.
453.05  Committee meetings.
453.06  Additional committee powers.

    Authority: Endangered Species Act of 1973, 16 U.S.C. 1531, et seq., 
as amended.

    Source: 50 FR 8130, Feb. 28, 1985, unless otherwise noted.



Sec. 453.01  Purpose.

    This part prescribes the procedures to be used by the Endangered 
Species

[[Page 388]]

Committee when examining applications for exemption from section 7(a)(2) 
of the Endangered Species Act of 1973, as amended.



Sec. 453.02  Definitions.

    Definitions applicable to this part are contained in 50 CFR 450.01.



Sec. 453.03  Committee review and final determinations.

    (a) Final determinations. Within 30 days of receiving the 
Secretary's report and record, the Committee shall grant an exemption 
from the requirements of section 7(a)(2) of the Act for an agency action 
if, by a vote in which at least five of its members concur:
    (1) It determines that based on the report to the Secretary, the 
record of the hearing held under Sec. 452.05, and on such other 
testimony or evidence as it may receive:
    (i) There are no reasonable and prudent alternatives to the proposed 
action;
    (ii) The benefits of such action clearly outweigh the benefits of 
alternative courses of action consistent with conserving the species or 
its critical habitat, and such action is in the public interest;
    (iii) The action is of regional or national significance; and
    (iv) Neither the Federal agency concerned nor the exemption 
applicant made any irreversible or irretrievable commitment of resources 
prohibited by section 7(d) of the Act; and,
    (2) It establishes such reasonable mitigation and enhancement 
measures, including, but not limited to, live propagation, 
transplantation, and habitat acquisition and improvement, as are 
necessary and appropriate to minimize the adverse effects of the 
proposed action upon the endangered species, threatened species, or 
critical habitat concerned. Any required mitigation and enhancement 
measures shall be carried out and paid for by the exemption applicant.
    (b) Decision and order. The Committee's final determinations shall 
be documented in a written decision. If the Committee determines that an 
exemption should be granted, the Committee shall issue an order granting 
the exemption and specifying required mitigation and enhancement 
measures. The Committee shall publish its decision and order in the 
Federal Register as soon as practicable.
    (c) Permanent exemptions. Under section 7(h)(2) of the Act, an 
exemption granted by the Committee shall constitute a permanent 
exemption with respect to all endangered or threatened species for the 
purposes of completing such agency action--
    (1) Regardless of whether the species was identified in the 
biological assessment, and
    (2) Only if a biological assessment has been conducted under section 
7(c) of the Act with respect to such agency action. Notwithstanding the 
foregoing, an exemption shall not be permanent if--
    (i) The Secretary finds, based on the best scientific and commercial 
data available, that such exemption would result in the extinction of a 
species that was not the subject of consultation under section 7(a)(2) 
of the Act or was not identified in any biological assessment conducted 
under section 7(c) of the Act, and
    (ii) The Committee determines within 60 days after the date of the 
Secretary's finding that the exemption should not be permanent.

If the Secretary makes a finding that the exemption would result in the 
extinction of a species, as specified above, the Committee shall meet 
with respect to the matter within 30 days after the date of the finding. 
During the 60 day period following the Secretary's determination, the 
holder of the exemption shall refrain from any action which would result 
in extinction of the species.
    (d) Finding by the Secretary of Defense. If the Secretary of Defense 
finds in writing that an exemption for the agency action is necessary 
for reasons of national security, the Committee shall grant the 
exemption notwithstanding any other provision in this part.



Sec. 453.04  Committee information gathering.

    (a) Written submissions. When the Chairman or four Committee members 
decide that written submissions are necessary to enable the Committee to

[[Page 389]]

make its final determinations, the Chairman shall publish a notice in 
the Federal Register inviting written submissions from interested 
persons. The notice shall include: (1) The address to which such 
submissions are to be sent; (2) the deadline for such submissions; and 
(3) a statement of the type of information needed.
    (b) Public hearing. (1) When the Chairman or four Committee members 
decide that oral presentations are necessary to enable the Committee to 
make its final determinations, a public hearing shall be held.
    (2) The public hearing shall be conducted by (i) the Committee or 
(ii) a member of the Committee or other person, designated by the 
Chairman or by four members of the Committee.
    (3) Notice. The Chairman shall publish in the Federal Register a 
general notice of a public hearing, stating the time, place and nature 
of the public hearing.
    (4) Procedure. The public hearing shall be open to the public and 
conducted in an informal manner. All information relevant to the 
Committee's final determinations shall be admissible, subject to the 
imposition of reasonable time limitations on oral testimony.
    (5) Transcript. Public hearings will be recorded verbatim and a 
transcript thereof will be available for public inspection.



Sec. 453.05  Committee meetings.

    (a) The committee shall meet at the call of the Chairman or five of 
its members.
    (b) Five members of the Committee or their representatives shall 
constitute a quorum for the transaction of any function of the 
Committee, except that in no case shall any representative be considered 
in determining the existence of a quorum for the transaction of a 
Committee function which involves a vote by the Committee on the 
Committee's final determinations.
    (c) Only members of the Committee may cast votes. In no case shall 
any representative cast a vote on behalf of a member.
    (d) Committee members appointed from the affected States shall 
collectively have one vote. They shall determine among themselves how it 
will be cast.
    (e) All meetings and records of the Committee shall be open to the 
public.
    (f) The Chairman shall publish a notice of all Committee meetings in 
the Federal Register. The notice will ordinarily be published at least 
15 days prior to the meeting.



Sec. 453.06  Additional committee powers.

    (a) Secure information. Subject to the Privacy Act, the Committee 
may secure information directly from any Federal agency when necessary 
to enable it to carry out its duties.
    (b) Subpoenas. For the purpose of obtaining information necessary 
for the consideration of an application for an exemption, the Committee 
may issue subpoenas for the attendance and testimony of witnesses and 
the production of relevant papers, books, and documents.
    (c) Rules and orders. The Committee may issue and amend such rules 
and orders as are necessary to carry out its duties.
    (d) Delegate authority. The Committee may delegate its authority 
under paragraphs (a) and (b) of this section to any member.

[[Page 391]]



                 CHAPTER V--MARINE MAMMAL COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
501             Implementation of the Privacy Act of 1974...         392
510             Implementation of the Federal Advisory 
                    Committee Act...........................         396
520             Public availability of agency materials.....         398
530             Compliance with the National Environmental 
                    Policy Act..............................         400
540             Information security........................         401
550             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by Marine Mammal 
                    Commission..............................         403
560             Implementation of the Government in the 
                    Sunshine Act............................         409

[[Page 392]]



PART 501--IMPLEMENTATION OF THE PRIVACY ACT OF 1974--Table of Contents




Sec.
501.1  Purpose and scope.
501.2  Definitions.
501.3  Procedure for responding to requests regarding the existence of 
          records pertaining to an individual.
501.4  Requests for access--times, places and requirements for 
          identification of individuals.
501.5  Disclosure of requested information.
501.6  Requests for correction or amendment of a record.
501.7  Agency review of requests for amendment or correction of a 
          record. 
501.8  Appeal of initial denial of a request for amendment or 
          correction.
501.9  Fees.

    Authority: Sec. 3, Privacy Act of 1974 (5 U.S.C. 552a(f)).

    Source: 40 FR 49276, Oct. 21, 1975, unless otherwise noted.



Sec. 501.1   Purpose and scope.

    (a) Purpose. The purpose of these rules is to fulfill the 
responsibilities of the Marine Mammal Commission (the ``Commission'') 
under section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(f) (the 
``Act'') by establishing procedures whereby an individual will be 
notified if any system of records maintained by the Commission contains 
a record pertaining to him or her; by defining the times and places at 
which records will be made available and the identification requirements 
which must be met by any individual requesting access to them; by 
establishing procedures for disclosure to an individual, on request, of 
any record pertaining to him or her; and by establishing procedures for 
processing, reviewing, and making a final determination on requests of 
individuals to correct or amend a record pertaining to him or her, 
including a provision for administrative appeal of initial adverse 
determinations on such requests. These rules are promulgated with 
particular attention to the purposes and goals of the Act, and in 
accordance therewith provide for relative ease of access to records 
pertaining to an individual, and for maintenance by the Commission of 
only those records which are current, accurate, necessary, relevant and 
complete with respect to the purposes for which they were collected.
    (b) Scope. These rules apply only to ``record'' contained in 
``systems of records,'' defined by the Act as follows:

    The term ``record'' means any item, collection, or grouping of 
information about an individual that is maintained by an agency, 
including, but not limited to, his education, financial transactions, 
medical history, and criminal or employment history and that contains 
his name, or the identifying number, symbol, or other identifying 
particular assigned to the individual, such as a finger or voice print 
or a photograph;
    The term ``system of records'' means of group of any record under 
the control of any agency from which information is retrieved by the 
name of the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.

Notices with respect to the systems maintained by the Commission have 
been published in the Federal Register, as required by the Act. These 
rules pertain only to the systems of records disclosed in such notices, 
and to any systems that may become the subject of a notice at any time 
in the future.
    (c) Nothing in these rules shall be construed as pertaining to 
requests made under the Freedom of Information Act, 5 U.S.C. 552.



Sec. 501.2   Definitions.

    (a) As used in this part:
    (1) The term Act means the Privacy Act of 1974, 5 U.S.C. 552a.
    (2) The term Commission means the Marine Mammal Commission.
    (3) The term Director means the Executive Director of the Marine 
Mammal Commission.
    (4) The term Privacy Officer means an individual designated by the 
Director to receive all requests regarding the existence of records, 
requests for access and requests for correction or amendment; to review 
and make initial determinations regarding all such requests; and to 
provide assistance to any individual wishing to exercise his or her 
rights under the Act.
    (b) Other terms shall be used in this part in accordance with the 
definitions contained in section 3 of the Privacy Act of 1974, 5 U.S.C. 
552a(a).

[[Page 393]]



Sec. 501.3   Procedure for responding to requests regarding the existence of records pertaining to an individual.

    Any individual may submit a request to be notified whether a system 
of records, with respect to which the Commission has published a notice 
in the Federal Register, contains a record pertaining to him or her. 
Requests may be made in writing to the Privacy Officer or by appearing 
in person at the Commission offices located at 1625 I Street, NW., Room 
307, Washington, DC 20006 between the hours of 9:00 a.m. and 5:00 p.m. 
on any working day. Systems of records that are the subject of a request 
should be identified by reference to the system name designated in the 
Notice of Systems of Records published in the Federal Register. In the 
event a system name is not known to the individual, a general request 
will suffice if it indicates reasons for the belief that a record 
pertaining to the named individual is maintained by the Commission. 
Receipt of inquiries submitted by mail will be acknowledged within 10 
days of receipt (excluding Saturdays, Sundays, and legal public 
holidays) unless a response can also be prepared and forwarded to the 
individual within that time.



Sec. 501.4   Requests for access--times, places and requirements for identification of individuals.

    Requests for access to a system of records pertaining to any 
individual may be made by that individual by mail addressed to the 
Privacy Officer, or by submitting a written request in person at the 
Commission offices located at 1625 I Street, NW., Room 307, Washington, 
DC 20006, between the hours of 9 a.m. and 5 p.m. on any working day. 
Assistance in gaining access under this section, securing an amendment 
or correction under Sec. 501.6, or preparing an appeal under 
Secs. 501.5(d) and 501.8 shall be provided by the Privacy Officer on 
request directed to the Commission office. An individual appearing in 
person at the Commission offices will be granted immediate access to any 
records to which that individual is entitled under the Act upon 
satisfactory proof of identity by means of a document bearing the 
individual's photograph or signature. For requests made by mail, 
identification of the individual shall be adequate if established by 
means of submitting a certificate of a notary public, or equivalent 
officer empowered to administer oaths, substantially in accord with the 
following:

    City of ------------ County of --------------: ss (Name of 
individual) who affixed (his) (her) signature below in my presence, came 
before me, a (Title), in the aforesaid County and State, this ------ day 
of ------, 19--, and established (his)(her) identity to my satisfaction.
    My Commission expires --------------.

The certificate shall not be required, however, for written requests 
pertaining to non-sensitive information or to information which would be 
required to be made available under the Freedom of Information Act. The 
Privacy Officer shall determine the adequacy of any proof of identity 
offered by an individual.

[41 FR 5, Jan. 2, 1976]



Sec. 501.5   Disclosure of requested information.

    (a) Upon request and satisfactory proof of identity, an individual 
appearing at the Commission offices shall be given immediate access to 
and permission to review any record, contained in a system of records, 
pertaining to him or her, shall be allowed to have a person of his/her 
choosing accompany him/her, and shall be given a copy of all or any 
portion of the record. The individual to which access is granted shall 
be required to sign a written statement authorizing the presence of the 
person who accompanies him or her, and authorizing discussion of his or 
her record in the presence of the accompanying person.
    (b) Requests made by mail to the Privacy Officer at the Commission 
offices will be acknowledged within 10 days from date of receipt 
(excluding Saturdays, Sundays, and legal public holidays). This 
acknowledgement shall advise the individual whether access to the record 
will be granted and, if access is granted, copies of such records shall 
be enclosed.
    (c) If the Privacy Officer initially determines to deny access to 
all or any portion of a record, notice of denial

[[Page 394]]

shall be given to the individual in writing, within 30 days (excluding 
Saturdays, Sundays and holidays) after acknowledgement is given, and 
shall include the following:
    (1) The precise record to which access is being denied;
    (2) The reason for denial, including a citation to the appropriate 
provisions of the Act and of these Rules;
    (3) A statement that the denial may be appealed to the Director;
    (4) A statement of what steps must be taken to perfect an appeal to 
the Director; and,
    (5) A statement that the individual has a right to judicial review 
under 5 U.S.C. 552a(g)(1) of any final denial issued by the Director.
    (d) Administrative appeal of an initial denial, in whole or in part, 
of any request for access to a record, shall be available. An individual 
may appeal by submitting to the Director a written request for 
reconsideration stating therein specific reasons for reversal which 
address directly the reasons for denial stated in the initial notice of 
denial. If access is denied on appeal, a final notice of denial shall be 
sent to the individual within 30 days (excluding Saturdays, Sundays and 
holidays), and shall state with particularity the grounds for rejecting 
all reasons for reversal submitted by the individual. The denial shall 
then be deemed final for purposes of obtaining judicial review.

[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]



Sec. 501.6   Requests for correction or amendment of a record.

    (a) Any individual may request the correction or amendment of a 
record pertaining to him or her in writing addressed to the Privacy 
Officer at the Commission offices. Verification of identity required for 
such requests shall be the same as that specified in Sec. 501.4 of this 
part with respect to requests for access. Records sought to be amended 
must be identified with as much specificity as is practicable under the 
circumstances of the request, and at a minimum, should refer to the 
system name designated in the Notice of System Records published in the 
Federal Register, the type of record in which the information thought to 
be improperly maintained or incorrect is contained, and the precise 
information that is the subject of the request (for example, system 
name, description of record, paragraph, sentence, line, words). 
Assistance in identifying a record, and in otherwise preparing a 
request, may be obtained by contacting the Privacy Officer at the 
Commission offices.
    (b) A request should, in addition to identifying the individual and 
the record sought to be amended or corrected, include:
    (1) The specific wording or other information to be deleted, if any;
    (2) The specific wording or other information to be inserted, if 
any, and the exact place in the record at which it is to be inserted, 
and,
    (3) A statement of the basis for the requested amendment or 
correction (e.g. that the record is inaccurate, unnecessary, irrelevant, 
untimely, or incomplete), together with supporting documents, if any, 
which substantiate the statement.



Sec. 501.7   Agency review of requests for amendment or correction of a record.

    (a) Where possible, each request for amendment or correction shall 
be reviewed, and a determination on the request made, by the Privacy 
Officer within 10 days of receipt (excluding Saturdays, Sundays and 
holidays). Requests shall be acknowledged within that period where 
insufficient information has been provided to enable action to be taken. 
An acknowledgement shall inform the individual making the request of the 
estimated time within which a disposition of the request is expected to 
be made, and shall prescribe such further information as may be 
necessary to process the request. The request shall be granted, or an 
initial decision to deny shall be made, within ten days of receipt of 
all information specified in the acknowledgement (excluding Saturdays, 
Sundays and holidays).
    (b) Within 30 days (excluding Saturdays, Sundays and holidays) after 
arriving at a decision on a request, the Privacy Officer shall either:

[[Page 395]]

    (1) Make the requested amendment or correction, in whole or in part, 
and advise the individual in writing of such action; or,
    (2) Advise the individual in writing that the request has been 
initially denied, in whole or in part, stating, with respect to those 
portions denied;
    (i) The date of the denial;
    (ii) The reasons for the denial, including a citation to an 
appropriate section of the Act and these Rules; and,
    (iii) The right of the individual to prosecute an appeal and to 
obtain judicial review should a final denial result from the appeal.
    (c) In reviewing a request for amendment or correction of a record, 
the Privacy Officer shall consider the following criteria:
    (1) The sufficiency of the evidence submitted by the individual;
    (2) The factual accuracy of the information sought to be amended or 
corrected;
    (3) The relevance and necessity of the information sought to be 
amended or corrected in terms of the purposes for which it was 
collected;
    (4) The timeliness and currency of the information sought to be 
amended or corrected in terms of the purposes for which it was 
collected;
    (5) The completeness of the information sought to be amended or 
corrected in terms of the purposes for which it was collected;
    (6) The degree of possibility that denial of the request could 
unfairly result in determinations adverse to the individual;
    (7) The character of the record sought to be corrected or amended; 
and,
    (8) The propriety and feasibility of complying with the specific 
means of correction or amendment requested by the individual. If an 
amendment or correction is otherwise permissible under the Act and other 
relevant statutes, a request shall be denied only if the individual has 
failed to establish, by a preponderance of the evidence, the propriety 
of the amendment or correction in light of these criteria.

[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]



Sec. 501.8   Appeal of initial denial of a request for amendment or correction.

    (a) The initial denial of a request for amendment or correction may 
be appealed by submitting to the Director the following appeal papers:
    (1) A copy of the original request for amendment or correction;
    (2) A copy of the initial denial; and
    (3) A precise statement of the reasons for the individual's belief 
that the denial is in error, referring specifically to the criteria 
contained in Sec. 501.7(c)(1) through (8).

The appeal must be signed by the individual. While these papers normally 
will constitute the entire Record on Appeal, the Director may add 
additional information, from sources other than the individual, where 
necessary to facilitate a final determination. Any such additional 
information added to the record shall promptly be disclosed to the 
individual to the greatest extent possible, and an opportunity for 
comment thereon shall be afforded prior to the final determination. 
Appeals should be submitted to the Director within 90 days after the 
date of the initial denial.
    (b) The Director shall issue a final determination on appeal within 
thirty days (excluding Saturdays, Sundays, and legal public holidays) 
from the date on which a completed Record on Appeal (including any 
additional information deemed necessary) is received. Review, and final 
determination by the Director, shall be based upon the criteria 
specified in Sec. 501.7(c)(1) through (8).
    (c) If the appeal is resolved favorably to the individual, the final 
determination shall specify the amendments or corrections to be made. 
Copies of the final determination shall be transmitted promptly to the 
individual and to the Privacy Officer. The Privacy Officer shall make 
the requested amendment or correction and advise the individual in 
writing of such action.
    (d) If the appeal is denied, the final determination shall state, 
with particularity, the reasons for denial, including a citation to an 
appropriate section of the Act and of these Rules.

[[Page 396]]

The final determination shall be forwarded promptly to the individual, 
together with a notice which shall inform the individual of his or her 
right to submit to the Privacy Officer, for inclusion in the record, a 
concise statement of grounds for disagreement with the final 
determination. Receipt of any such statement shall be acknowledged by 
the Privacy Officer, and all subsequent and prior users of the record 
shall be provided copies of the statement. The notice shall also inform 
the individual of his or her right, under 5 U.S.C. 552a(g)(1), to obtain 
judicial review of the final determination.

[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]



Sec. 501.9   Fees.

    A fee of $0.10 shall be charged for each copy of each page of a 
record made, by photocopy or similar process, at the request of an 
individual. No fee shall be charged for copies made at the initiative of 
the Commission incident to granting access to a record. A total copying 
fee of $2.00 or less may be waived by the Privacy Officer, but fees for 
all requests made contemporaneously by an individual shall be aggregated 
to determine the total fee.

[41 FR 5, Jan. 2, 1976]



PART 510--IMPLEMENTATION OF THE FEDERAL ADVISORY COMMITTEE ACT--Table of Contents




Sec.
510.1  Purpose.
510.2  Scope.
510.3  Definitions.
510.4  Calling of meetings.
510.5  Notice of meetings.
510.6  Public participation.
510.7  Closed meetings.
510.8  Minutes.
510.9  Uniform pay guidelines.

    Authority: Sec. 8(a), Federal Advisory Committee Act, 5 U.S.C. App. 
I.

    Source: 41 FR 3306, Jan. 22, 1976, unless otherwise noted.



Sec. 510.1   Purpose.

    The regulations prescribed in this part set forth the administrative 
guidelines and management controls for advisory committees reporting to 
the Marine Mammal Commission. These regulations are authorized by 
section 8(a) of the Federal Advisory Committee Act, 5 U.S.C. appendix I. 
Guidelines and controls are prescribed for calling of meetings, notice 
of meetings, public participation, closing of meetings, keeping of 
minutes, and compensation of committee members, their staff and 
consultants.



Sec. 510.2   Scope.

    These regulations shall apply to the operation of advisory 
committees reporting to the agency.



Sec. 510.3   Definitions.

    For the purposes of this part,
    (a) The term Act means the Federal Advisory Committee Act, 5 U.S.C. 
appendix I;
    (b) The term Chairperson means each person selected to chair an 
advisory committee established by the Commission;
    (c) The term Commission means the Marine Mammal Commission, 
established by 16 U.S.C. 1401(a);
    (d) The term committee means any advisory committee reporting to the 
Commission; and
    (e) The term Designee means the agency official designated by the 
Chairman of the Commission (1) to perform those functions specified by 
sections 10(e) and (f) of the Act, and (2) to perform such other 
responsibilities as are required by the Act and applicable regulations 
to be performed by the ``agency head.''



Sec. 510.4   Calling of meetings.

    (a) No committee shall hold any meeting except with the advance 
approval of the Designee. Requests for approval may be made, and 
approval to hold meetings may be given orally or in writing, but if 
approval is given orally, the fact that approval has been given shall be 
stated in the public notice published pursuant to Sec. 510.5 of these 
regulations.
    (b) An agenda shall be submitted to, and must be approved by, the 
Designee in advance of each committee meeting, and that meeting shall be 
conducted in accordance with the approved agenda. The agenda shall list 
all matters to be

[[Page 397]]

considered at the meeting, and shall indicate when any part of the 
meeting will be closed to the public on the authority of exemptions 
contained in the Freedom of Information Act, 5 U.S.C. 552(b).

[41 FR 3306, Jan. 22, 1976; 41 FR 4020, Jan. 28, 1976]



Sec. 510.5   Notice of meetings.

    (a) Notice of each committee meeting shall be timely published in 
the Federal Register. Publication shall be considered timely if made at 
least 15 days before the date of the meeting, except that shorter notice 
may be provided in emergency situations.
    (b) The notice shall state the time, place, schedule and purposes of 
the committee meeting, and shall include, whenever it is available, a 
summary of the agenda. The notice shall indicate the approximate times 
at which any portion of the meeting will be closed to the public and 
shall include an explanation for the closing of any portion of the 
meeting pursuant to Sec. 510.7.



Sec. 510.6   Public participation.

    (a) All committee meetings, or portions of meetings, that are open 
to the public shall be held at a reasonable time and at a place that is 
reasonably accessible to the public. A meeting room shall be selected 
which, within the bounds of the resources and facilities available, 
affords space to accommodate all members of the public who reasonably 
could be expected to attend.
    (b) Any member of the public shall be permitted to file a written 
statement with the committee, either by personally delivering a copy to 
the Chairperson, or by submitting the statement by mail to the Marine 
Mammal Commission Offices at the address indicated in the notice of 
meeting. Such statements should be received at least one week in advance 
of the scheduled meeting at which they are expected to be considered by 
the committee.
    (c) Opportunities will ordinarily be afforded to interested persons 
to speak to agenda items during that portion of the open meeting during 
which that item is to be considered by the committee, subject to such 
reasonable time limits as the committee may establish, and consideration 
of the extent to which the committee has received the benefit of 
comments by interested persons, the complexity and the importance of the 
subject, the time constraints under which the meeting is to be 
conducted, the number of persons who wish to speak during the meeting, 
and the extent to which the statement provides the committee with 
information which has not previously been available and is relevant to 
its decision or other action on that subject. Interested persons may be 
required to serve reasonable notice of their intentions to speak so that 
the committee may assess whether procedures and scheduling for the 
meeting can be adjusted to accommodate large numbers of participants.



Sec. 510.7   Closed meetings.

    (a) Whenever the committee seeks to have all or a portion of a 
meeting closed to the public on the basis of an exemption provided in 5 
U.S.C. 552(b), the Chairperson shall notify the Designee at least 30 
days before the scheduled date of the meeting. The notification shall be 
in writing and shall specify all the reasons for closing any part of the 
meeting.
    (b) If, after consultation with the General Counsel of the 
Commission, the Designee finds the request to be warranted and in 
accordance with the policy of the Act, the request shall be granted. The 
determination of the Designee to grant any such request shall be in 
writing and shall state the specific reasons for closing all or a part 
of the meeting. Copies of the determination shall be made available to 
the public upon request.



Sec. 510.8   Minutes.

    Detailed minutes shall be kept of each portion of each committee 
meeting. The minutes shall include: the time and place of the meeting; a 
list of the committee members and staff in attendance; a complete 
summary of matters discussed and conclusions reached; copies of all 
reports received, issued, or approved by the committee; a description of 
the extent to which the meeting was open to the public; and a 
description of public participation, including a list of members of the 
public

[[Page 398]]

who presented oral or written statements and an estimate of the number 
of members of the public who attended the open sessions. The Chairperson 
shall certify to the accuracy of the minutes.



Sec. 510.9   Uniform pay guidelines.

    (a) Compensation of members and staff of, and consultants to the 
Committee of Scientific Advisors on Marine Mammals is fixed in 
accordance with 16 U.S.C. 1401(e), 1403(b), and 1406.
    (b) Compensation for members and staff of, and consultants to all 
advisory committees reporting to the Commission except the Committee of 
Scientific Advisors on Marine Mammals shall be fixed in accordance with 
guidelines established by the Director of the Office of Management and 
Budget pursuant to section 7(d) of the Act, 5 U.S.C. appendix I.



PART 520--PUBLIC AVAILABILITY OF AGENCY MATERIALS--Table of Contents




Sec.
520.1  Purpose.
520.2  Scope.
520.3  Definitions.
520.4  Availability of materials.
520.5  Administrative appeal.
520.6  Extension of time.
520.7  Fees.

    Authority: 5 U.S.C. 552.

    Source: 41 FR 3307, Jan. 22, 1976, unless otherwise noted.



Sec. 520.1   Purpose.

    These regulations implement the provisions of the ``Freedom of 
Information Act,'' 5 U.S.C. 552. They establish procedures under which 
the public may inspect and obtain copies of nonexempt material 
maintained by the Commission, provide for administrative appeal of 
initial determinations to deny requests for material, and prescribe 
uniform fees to be charged by the Commission to recover direct search 
and duplication costs.



Sec. 520.2   Scope.

    (a) These regulations shall apply to all final opinions, including 
concurring and dissenting opinions, as well as orders, made by the 
Commission in the adjudication of cases; to all statements of policy and 
interpretations which have been adopted by the Commission and are not 
published in the Federal Register; to the Commission's administrative 
staff manuals and instructions to staff that affect a member of the 
public; and to any other Commission records reasonably described and 
requested by a person in accordance with these regulations--except to 
the extent that such material is exempt in accordance with paragraph (b) 
of this section.
    (b) Requests for inspection and copies shall not be granted with 
respect to materials that are:
    (1)(i) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy, and
    (ii) Are in fact properly classified pursuant to such Executive 
order;
    (2) Related solely to the internal personnel rules and practices of 
the Commission;
    (3) Specifically exempted from disclosure by statute;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Inter-agency or intra-agency memorandums or letters which would 
not be available by law to a party other than an agency in litigation 
with the Commission;
    (6) Personnel and medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Investigatory records compiled for law enforcement purposes, but 
only to the extent that the production of such records would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source,

[[Page 399]]

    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.



Sec. 520.3   Definitions.

    As used in these regulations:
    (a) The term Commission means the Marine Mammal Commission;
    (b) The term Director means the Executive Director of the Marine 
Mammal Commission;
    (c) The term exempt materials means those materials described in 
Sec. 520.2(b);
    (d) The term non-exempt materials refers to all materials described 
in Sec. 520.2(a), but not included in Sec. 520.2(b); and
    (e) The term General Counsel means the General Counsel of the Marine 
Mammal Commission.



Sec. 520.4   Availability of materials.

    (a) All non-exempt materials shall be available for inspection 
during normal business hours at the Commission offices, 1625 I Street, 
NW., Room 307, Washington, DC. Space shall be made available at that 
location for the use of any person who is granted permission to inspect 
such materials.
    (b) Requests to inspect, and obtain copies of, any material 
maintained by the Commission may be made in person at the Commission 
offices, or submitted in writing to the Executive Director, Marine 
Mammal Commission, 1625 I St., NW., Room 307, Washington, DC 20006. Each 
request should include a reasonable description of the material being 
sought, and should contain sufficient detail to facilitate retrieval of 
the material without undue delay. The Commission staff shall assist to 
the extent practicable in identifying material that is imprecisely 
described by the person requesting such material.
    (c) An initial determination whether, and to what extent, to grant 
each request shall be made by the General Counsel or his delegate within 
10 days (excepting Saturdays, Sundays, and legal public holidays) after 
receipt of that request. The person making the request shall be notified 
immediately of the determination made. In making such determinations, it 
shall first be considered whether the material requested is of a type 
described in Sec. 520.2(a); if it is, the request shall be granted 
unless the material is exempted by Sec. 520.2(b). If the material 
requested is not of a type described in Sec. 520.2(a), or is the subject 
of one or more exemptions, the request shall be denied.
    (d) If a determination is made to grant a request, the relevant 
material shall promptly be made available for inspection at the 
Commission offices. Copies of the material disclosed shall be furnished 
within a reasonable time after payment of the fee specified in 
Sec. 520.7. Copies of less than 10 pages of material requested in person 
ordinarily will be furnished immediately following the determination to 
grant the request and payment of the fee. Larger numbers of copies may 
be furnished at the earliest convenience of the Commission staff, but 
must be furnished within a reasonable time following payment of the fee.
    (e) Whenever required to prevent a clearly unwarranted invasion of 
personal privacy, the General Counsel or his delegate shall determine 
that identifying details shall be deleted from an opinion, statement of 
policy, interpretation, or staff manual or instruction to which access 
is granted or of which copies are furnished. Where portions of the 
requested material are exempt under Sec. 520.2(b), and are reasonably 
segregable from the remainder of the material, those portions shall be 
excised from the material disclosed. Whenever details are deleted or 
portions are excised and not disclosed, the notification shall include 
the information specified in Sec. 520.4(f).
    (f) If a determination is made to deny a request, the notification 
shall include a statement of the reasons for such action, shall set 
forth the name and position of the person responsible for the denial, 
and shall advise the requester

[[Page 400]]

of the right, and the procedures required under Sec. 520.5, to appeal 
the denial to the Director.



Sec. 520.5   Administrative appeal.

    (a) An appeal to the Director of any denial, in whole or in part, of 
a request for access to and copies of material may be made by submission 
of a written request for reconsideration. Such requests must state 
specific reasons for reconsideration that address directly the grounds 
upon which the denial was based. Requests should be addressed to the 
Director at the Commission offices.
    (b) The Director shall make a determination with respect to any 
appeal within 20 days (excepting Saturdays, Sundays, and legal public 
holidays) after receipt of the request for reconsideration. The person 
making such a request shall immediately be notified by mail of the 
determination.
    (c) If the initial denial is reversed by the Director, any material 
with which the reversal is concerned shall be made available for 
inspection, and copies shall be furnished, in accordance with 
Sec. 520.4(d).
    (d) If the denial is upheld, in whole or in part, the Director shall 
include in the notification a statement of the requester's right of 
judicial review under 5 U.S.C. 552(a)(4), and the names and positions of 
the persons responsible for the denial.



Sec. 520.6   Extensions of time.

    (a) Whenever unusual circumstances exist, as set forth in 
Sec. 520.6(b), the times within which determinations must be made by the 
General Counsel on requests for access (10 working days), and by the 
Director on requests for reconsideration (20 working days), may be 
extended by written notice to the requester. The notice shall set forth 
the reasons for such extension, and the date on which a determination is 
expected to be made. The maximum extension of time allowed under this 
section shall be 10 working days, but shall be utilized only to the 
extent reasonably necessary to the proper processing of the particular 
request.
    (b) As used in this section, ``unusual circumstances'' shall mean:
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
Commission offices;
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are the subject 
of a single request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject-matter interest therein.



Sec. 520.7   Fees.

    (a) The following standard charges for document search and 
duplication, based on the direct costs of such services, must be paid 
before access to, or copies of material will be granted under these 
regulations:
    (1) Search: $4.00 per person-hour for clerical time; $8.00 per 
person-hour for professional or supervisory time;
    (2) Duplication: $0.10 per page of photocopied material.
    (b) The Commission shall furnish without charge, or at a reduced 
charge, copies of any material disclosed pursuant to these regulations, 
whenever the General Counsel or the Director determines that waiver or 
reduction of the fee is in the public interest because furnishing the 
information can be considered as primarily benefiting the general 
public.

[41 FR 3307, Jan. 22, 1976; 41 FR 4020, Jan. 28, 1976]



PART 530--COMPLIANCE WITH THE NATIONAL ENVIRONMENTAL POLICY ACT--Table of Contents




Sec.
530.1  Purpose.
530.2  Ensuring that environmental documents are actually considered in 
          agency decision-making.
530.3  Typical classes of action.
530.4  Environmental information.

    Authority: National Environmental Policy Act, Pub. L. 91-190; 42 
U.S.C. 4321 et seq.

    Source: 44 FR 52837, Sept. 11, 1979, unless otherwise noted.

[[Page 401]]



Sec. 530.1  Purpose.

    The purpose of this part is to establish procedures which supplement 
the National Environmental Policy Act (NEPA) regulations and provide for 
the implementation of those provisions identified in Sec. 1507.3(b) of 
the regulations which are applicable to the activities of the Commission 
in light of its statutory functions and responsibilities.



Sec. 530.2  Ensuring that environmental documents are actually considered in agency decision-making.

    Section 1505.1 of the NEPA regulations contains requirements to 
ensure adequate consideration of environmental documents in agency 
decision-making. To implement these requirements, Commission officials 
shall:
    (a) Consider all relevant environmental documents in evaluating 
proposals for agency actions;
    (b) Ensure that all relevant environmental documents, comments, and 
responses accompany the proposal through existing agency review 
processes;
    (c) Consider only those alternatives encompassed by the range of 
alternatives discussed in the relevant environmental documents when 
evaluating any proposal for action by the Commission which is likely to 
significantly affect the quality of the human environment; and
    (d) Where an environmental impact statement (EIS) has been prepared, 
consider the specific alternatives analyzed in the EIS when evaluating 
the proposal which is the subject of the EIS. All Commission officials 
directly involved in developing, evaluating, and/or reaching decisions 
on proposed actions shall consider relevant environmental documents and 
comply with the applicable provisions of the NEPA process.



Sec. 530.3  Typical classes of action.

    Section 1507.3(b)(2), in conjunction with Sec. 1508.4, requires 
agencies to identify typical classes of action that warrant similar 
treatment under NEPA with respect to the preparation of EIS's or 
environmental assessments. As a general matter, the Commission's 
activities do not include actions for which EIS's or environmental 
assessments are required. Its activities involve:
    (a) Consultation with and recommendations to other Federal agencies 
for actions relating to marine mammal protection and conservation for 
which an EIS or environmental assessment is either not required by the 
NEPA regulations or for which an EIS or environmental assessment is 
prepared by another Federal agency; and
    (b) Research contracts relating to policy issues, biological-
ecological data needed to make sound management decisions, and better 
methods for collecting and analyzing data. These activities are not, by 
themselves, major Federal actions significantly affecting the quality of 
the human environment and the Commission's activities are therefore 
categorically excluded from the requirement to prepare an EIS or 
environmental assessment except for proposals for legislation which are 
initiated by the Commission, for which the Commission shall develop 
environmental assessments or EIS's, as appropriate, in accordance with 
the NEPA regulations. The Commission shall independently determine 
whether an EIS or an environmental assessment is required where:
    (1) A proposal for agency action is not covered by one of the 
typical classes of action above; or
    (2) For actions which are covered, the presence of extraordinary 
circumstances indicates that some other level of environmental review 
may be appropriate.



Sec. 530.4  Environmental information.

    Interested persons may contact the Office of the General Counsel for 
information regarding the Commission's compliance with NEPA.



PART 540--INFORMATION SECURITY--Table of Contents




Sec.
540.1  Policy.
540.2  Program.
540.3  Procedures.

    Authority: Executive Order 12356.


[[Page 402]]





Sec. 540.1  Policy.

    It is the policy of the Marine Mammal Commission to act in 
accordance with Executive Order 12356 in matters relating to national 
security information.

[44 FR 55381, Sept. 26, 1979]



Sec. 540.2  Program.

    The Executive Director is designated as the Commission's official 
responsible for implementation and oversight of information security 
programs and procedures. He acts as the recipient of questions, 
suggestions, and complaints regarding all elements of this program, and 
is solely responsible for changes to it and for insuring that it is at 
all times consistent with Executive Order 12356. The Executive Director 
also serves as the Commission's official contact for requests for 
declassification of materials submitted under the provisions of 
Executive Order 12356, regardless of the point of origin of such 
requests. He is responsible for assuring that requests submitted under 
the Freedom of Information Act are handled in accordance with that Act 
and that declassification requests submitted under the provisions of 
Executive Order 12356 are acted upon within 60 days of receipt.

[44 FR 55381, Sept. 26, 1979]



Sec. 540.3  Procedures.

    (a) Mandatory declassification review. All requests for mandatory 
review shall be handled by the Executive Director or his designee. Under 
no circumstances shall the Exective Director refuse to confirm the 
existence or non-existence of a document requested under the Freedom of 
Information Act or the mandatory review provisions of Executive Order 
12356, unless the fact of its existence or non-existence would itself be 
classified under Executive Order 12356. Requests for declassification 
shall be acted upon promptly providing that the request reasonably 
describes the information which is the subject of the request for 
declassification. In light of the fact that the Commission does not have 
original classification authority and national security information in 
its custody has been classified by another Federal agency, the Executive 
Director will refer all requests for national security information in 
its custody to the Federal agency that classified it or, if the agency 
that classified it has either ceased to exist or transferred the 
information in conjunction with a transfer of functions, to the 
appropriate federal agency exercising original classification authority 
with respect to the same subject, for review and disposition in 
accordance with Executive Order 12356 and that agency's regulations and 
guidelines.
    (b) Exceptional cases. When an employee or contractor of the 
Commission originates information that is believed to require 
classification, the Executive Director shall ensure that it is protected 
in accordance with Executive Order 12356 and shall promptly transmit it 
under appropriate safeguards to the agency with appropriate subject 
matter jurisdiction and classification authority for review and action 
in accordance with the Order and that agency's regulations and 
guidelines.
    (c) Derivative classification. Derivative classification markings 
shall be applied to information that is in substance the same as 
information that is already classified, in accordance with Executive 
Order 12356, Section 2-1, unless it is determined through inquiries made 
to the originators of the classified information or other appropriate 
persons that the paraphrasing, restating, or summarizing of the 
classified information obviates the need for its classification, in 
which case the information shall be issued as unclassified or shall be 
marked appropriately. After verifying the current level of 
classification so far as practicable, paper copies of such derivatively 
classified information shall be marked so as to indicate:
    (1) The source of the original classification;
    (2) The identity of the Commission employee originating the 
derivatively classified document;
    (3) The dates or events for declassification or review for 
declassification indicated on the classified source material; and
    (4) Any additional authorized markings appearing on the source 
material.

[[Page 403]]

    (d) Handling. All classified documents shall be delivered to the 
Executive Director or his designee immediately upon receipt. All 
potential recipients of such documents shall be advised of the names of 
such designees and updated information as necessary. In the event that 
the Executive Director or his designee is not available to receive such 
documents, they shall be turned over to the Administrative Officer and 
secured, unopened, in the combination safe located in the Commission 
offices until the Executive Director or his designee is available. Under 
no circumstances shall classified materials that cannot be delivered to 
the Executive Director or his designee be stored other than in the 
designated safe.
    (e) Reproduction. Reproduction of classified material shall take 
place only in accordance with Executive Order 12356, its implementing 
directives, and any limitations imposed by the originator. Should copies 
be made, they are subject to the same controls as the original document. 
Records showing the number and distribution of copies shall be 
maintained, where required by the Executive Order, by the Administrative 
Officer and the log stored with the original documents. These measures 
shall not restrict reproduction for the purposes of mandatory review.
    (f) Storage. All classified documents shall be stored in the 
combination safe located in the Commission's offices. The combination 
shall be changed as required by ISOO Directive No. 1, dated June 23, 
1982. The combination shall be known only to the Executive Director and 
his designees with the appropriate security clearance.
    (g) Employee education. All employees who have been granted a 
security clearance and who have occasion to handle classified materials 
shall be advised of handling, reproduction, and storage procedures and 
shall be required to review Executive Order 12356 and appropriate ISOO 
directives. This shall be effected by a memorandum to all affected 
employees at the time these procedures are implemented. New employees 
will be instructed in procedures as they enter employment with the 
Commission.
    (h) Agency terminology. The use of the terms ``Top Secret'', 
``Secret'', and ``Confidential'' shall be limited to materials 
classified for national security purposes.

[44 FR 55381, Sept. 26, 1979, as amended at 47 FR 55489, Dec. 10, 1982; 
48 FR 44834, Sept. 30, 1983]



PART 550--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY MARINE MAMMAL COMMISSION--Table of Contents




Sec.
550.101  Purpose.
550.102  Application.
550.103  Definitions.
550.104--550.109  [Reserved]
550.110  Self-evaluation.
550.111  Notice.
550.112--550.129  [Reserved]
550.130  General prohibitions against discrimination.
550.131--550.139  [Reserved]
550.140  Employment.
550.141--550.148  [Reserved]
550.149  Program accessibility: Discrimination prohibited.
550.150  Program accessibility: Existing facilities.
550.151  Program accessibility: New construction and alterations.
550.152--550.159  [Reserved]
550.160  Communications.
550.161--550.169  [Reserved]
550.170  Compliance procedures.
550.171--550.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 4579, Feb. 5, 1986, unless otherwise noted.



Sec. 550.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 550.102  Application.

    This part applies to all programs or activities conducted by the 
agency.

[[Page 404]]



Sec. 550.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.

As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one of more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, emotional illness, 
and drug addition and alcholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature; or
    (2) With respect to any other program or activity, a handicapped 
person

[[Page 405]]

who meets the essential eligibility requirements for participation in, 
or receipt of benefits from, that program or activity.
    (3) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 550.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.

[51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]
Secs. 550.104--550.109  [Reserved]



Sec. 550.110  Self-evaluation.

    (a) The agency shall, by April 9, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspections:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 550.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.
Secs. 550.112--550.129  [Reserved]



Sec. 550.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualfied handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.

[[Page 406]]

    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.
Secs. 550.131--550.139  [Reserved]



Sec. 550.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.
Secs. 550.141--550.148  [Reserved]



Sec. 550.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 550.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 550.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 550.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or

[[Page 407]]

such burdens, the agency shall take any other action that would not 
result in such an alteration or such burdens but would nevertheless 
ensure that handicapped persons receive the benefits and services of the 
program or activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is nor required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet accessibility requirements 
to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In 
choosing among available methods for meeting the requirements of this 
section, the agency shall give priority to those methods that offer 
programs and activities to qualified handicapped persons in the most 
integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by June 6, 1986, except that 
where structural changes in facilities are undertaken, such changes 
shall be made by April 7, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by October 7, 1986, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.

[51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. 550.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.
Secs. 550.152--550.159  [Reserved]



Sec. 550.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.

[[Page 408]]

    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 550.160 would result 
in such alteration or burdens. The decision that compliance would result 
in such alteration or burdens must be made by the agency head or his or 
her designee after considering all agency resources available for use in 
the funding and operation of the conducted program or activity, and must 
be accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.
Secs. 550.161--550.169  [Reserved]



Sec. 550.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The General Counsel for the Commission shall be responsible for 
coordinating implementation of this section. Complaints may be sent to 
the General Counsel for the Commission, Marine Mammal Commission, Room 
307, 1625-I Street, NW., Washington, DC 20006.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found;
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 550.170(g). The agency may 
extend this time for good cause.

[[Page 409]]

    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 4579, Feb. 5, 1986, as amended at 51 FR 4579, Feb. 5, 1986]
Secs. 550.171--550.999  [Reserved]



PART 560--IMPLEMENTATION OF THE GOVERNMENT IN THE SUNSHINE ACT--Table of Contents




Sec.
560.1  Purpose and scope.
560.2  Definitions.
560.3  Open meetings.
560.4  Notice of meetings.
560.5  Closed meetings.
560.6  Procedures for closing meetings.
560.7  Recordkeeping requirements.
560.8  Public availability of records.

    Authority: 5 U.S.C. 552b(g).

    Source: 50 FR 2571, Jan. 17, 1985, unless otherwise noted.



Sec. 560.1  Purpose and scope.

    This part contains the regulations of the Marine Mammal Commission 
implementing the Government in the Sunshine Act (5 U.S.C. 552b). 
Consistent with the Act, it is the policy of the Marine Mammal 
Commission that the public is entitled to the fullest practicable 
information regarding its decision making processes. The provisions of 
this part set forth the basic responsibilities of the Commission with 
regard to this policy and offer guidance to members of the public who 
wish to exercise the rights established by the Act. These regulations 
also fulfill the requirement of 5 U.S.C. 552b(g) that each agency 
subject to the Act promulgate regulations to implement the open meeting 
requirements of subsections (b) through (f) of section 552b.



Sec. 560.2  Definitions.

    For purposes of this part, the term--
    Administrative Officer means the Administrative Officer of the 
Marine Mammal Commission.
    Commission means the Marine Mammal Commission, a collegial body 
established under 16 U.S.C. 1401 that functions as a unit and is 
composed of three individual members, each of whom is appointed by the 
President, by and with the advice and consent of the Senate.
    Commissioner means an individual who is a member of the Marine 
Mammal Commission.
    Executive Director means the Executive Director of the Marine Mammal 
Commission.
    General Counsel means the General Counsel of the Marine Mammal 
Commission.
    Meeting means the deliberations of at least a majority of the 
members of the Commission where such deliberations determine or result 
in the joint conduct or disposition of official Commission business, but 
does not include an individual Commissioner's consideration of official 
Commission business circulated in writing for disposition either by 
notation or by separate, sequential consideration, and deliberations on 
whether to:
    (1) Hold a meeting with less than 7 days notice, as provided in 
Sec. 560.4(d) of this part;
    (2) Change the subject matter of a publicly announced meeting or the 
determination of the Commission to open or close a meeting or portions 
thereof to public observation, as provided in Sec. 560.4(e) of this 
part;
    (3) Change the time or place of an announced meeting, as provided in 
Sec. 560.4(f) of this part;
    (4) Close a meeting or portions of a meeting, as provided in 
Sec. 560.5 of this part; or

[[Page 410]]

    (5) Withhold from disclosure information pertaining to a meeting or 
portions of a meeting, as provided in Sec. 560.5 of this part.
    Public observation means attendance by one or more members of the 
public at a meeting of the Commission, but does not include 
participation in the meeting.
    Public participation means the presentation or discussion of 
information, raising of questions, or other manner of involvement in a 
meeting of the Commission by one or more members of the public in a 
manner that contributes to the disposition of Commission business.



Sec. 560.3  Open meetings.

    (a) Except as otherwise provided in this part, every portion of 
every meeting of the Commission shall be open to public observation.
    (b) Meetings of the Commission, or portions thereof, shall be open 
to public participation only when an announcement to that effect is 
issued under Sec. 560.4(b)(4) of this part. Public participation shall 
be conducted in an orderly, nondisruptive manner and in accordance with 
such procedures as the chairperson of the meeting may establish. Public 
participation may be terminated at any time for any reason.
    (c) When holding open meetings, the Commission shall make a diligent 
effort to provide ample space, sufficient visibility, and adequate 
acoustics to accommodate the public attendance anticipated for the 
meeting.
    (d) Members of the public may record open meetings of the Commission 
by means of any mechanical or electronic device, unless the chairperson 
of the meeting determines that such recording would disrupt the orderly 
conduct of the meeting.



Sec. 560.4  Notice of meetings.

    (a) Except as otherwise provided in this section, the Commission 
shall make a public announcement at least 7 days prior to a meeting.
    (b) The public announcement shall include:
    (1) The time and place of the meeting;
    (2) The subject matter of the meeting;
    (3) Whether the meeting is to be open, closed, or portions thereof 
closed;
    (4) Whether public participation will be allowed; and
    (5) The name and telephone number of the person who will respond to 
requests for information about the meeting.
    (c) The public announcement requirement shall be implemented by:
    (1) Submitting the announcement for publication in the Federal 
Register;
    (2) Distributing the announcement to affected governmental entities;
    (3) Mailing the announcement to persons and organizations known to 
have an interest in the subject matter of the meeting; and
    (4) Other means that the Executive Director deems appropriate to 
inform interested parties.
    (d) A meeting may be held with less than 7 days notice if a majority 
of the members of the Commission determine by recorded vote that the 
business of the Commission so requires. The Commission shall make a 
public announcement to this effect at the earliest practicable time. The 
announcement shall include the information required by paragraph (b) of 
this section and shall be issued in accordance with those procedures set 
forth in paragraph (c) of this section that are practicable given the 
available period of time.
    (e) The subject matter of an announced meeting, or the determination 
of the Commission to open or close a meeting or portions thereof to 
public observation, may be changed if a majority of the members of the 
Commission determine by recorded vote that Commission business so 
requires and that no earlier announcement of the change was possible. 
The Commission shall make a public announcement of the changes made and 
the vote of each member on each change at the earliest practicable time. 
The announcement shall be issued in accordance with those procedures set 
forth in paragraph (c) of this section that are practicable given the 
available period of time.
    (f) The time or place of an announced meeting may be changed only if 
a public announcement of the change is made at the earliest practicable 
time. The announcement shall be issued in accordance with those 
procedures set

[[Page 411]]

forth in paragraph (c) of this section that are practicable given the 
available period of time.



Sec. 560.5  Closed meetings.

    (a) A meeting or portions thereof may be closed, and information 
pertaining to such meeting or portions thereof may be withheld from the 
public, only if the Commission determines that such meeting or portions 
thereof, or the disclosure of such information, is likely to:
    (1) Disclose matters that are (i) specifically authorized under 
criteria established by an Executive order to be kept secret in the 
interest of national defense or foreign policy and (ii) in fact properly 
classified pursuant to that Executive order;
    (2) Relate solely to the internal personnel rules and practices of 
the Commission;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than the Freedom of Information Act, 5 U.S.C. 552), 
provided that the statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Disclose the trade secrets and commercial or financial 
information obtained from a person and privileged or confidential;
    (5) Involve either accusing any person of a crime or formally 
censuring any person;
    (6) Disclose information of a personal nature, if disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose either investigatory records compiled for law 
enforcement purposes or information which if written would be contained 
in such records, but only to the extent that the production of the 
records or information would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to either a fair trial or an 
impartial ajudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source or sources and, 
in the case of a record compiled either by a criminal law enforcement 
authority in the course of a criminal investigation or by an agency 
conducting a lawful national security intelligence investigation, 
confidential information furnished only by the confidential source or 
sources,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (9) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the Commission. This exception shall not apply in any instance where the 
Commission has already disclosed to the public the content or nature of 
the proposed action or where the Commission is required by law to make 
such disclosure on its own initiative prior to taking final action on 
the proposal; or
    (10) Specifically concern the issuance of a subpoena by the 
Commission, or the participation of the Commission in a civil action or 
proceeding, an action in a foreign court or international tribunal, or 
an arbitration, or the initiation, conduct, or disposition by the 
Commission of a particular case of formal adjudication pursuant to the 
procedures in 5 U.S.C. 554 or otherwise involving a determination on the 
record after opportunity for a hearing.
    (b) Before a meeting or portions thereof may be closed to public 
observation, the Commission shall determine, notwithstanding the 
exemptions set forth in paragraph (a) of this section, whether or not 
the public interest requires that the meeting or portions thereof be 
open. The Commission may open a meeting or portions thereof that could 
be closed under paragraph (a) of this section if the Commission finds it 
to be in the public interest to do so.

[[Page 412]]



Sec. 560.6  Procedures for closing meetings.

    (a) A meeting or portions thereof may be closed and information 
pertaining to such meeting or portions thereof may be withheld under 
Sec. 560.5 of this part only when a majority of the members of the 
Commission vote to take such action.
    (b) A separate vote of the members of the Commission shall be taken 
with respect to each meeting or portion thereof proposed to be closed 
and with respect to information which is proposed to be withheld. A 
single vote may be taken with respect to a series of meetings or 
portions thereof which are proposed to be closed, so long as each 
meeting or portion thereof in such series involves the same particular 
matter and is scheduled to be held no more than thirty days after the 
initial meeting in such series. The vote of each participating 
Commission member shall be recorded, and no proxies shall be allowed.
    (c) A person whose interests may be directly affected by a portion 
of a meeting may request in writing that the Commission close that 
portion of the meeting for any of the reasons referred to in 
Sec. 560.5(a) (5), (6) or (7) of this part. Upon the request of a 
Commissioner, a recorded vote shall be taken whether to close such 
meeting or a portion thereof.
    (d) Before the Commission may hold a meeting that is closed, in 
whole or part, a certification shall be obtained from the General 
Counsel that, in his or her opinion, the meeting may properly be closed. 
The certification shall be in writing and shall state each applicable 
exemptive provision from Sec. 560.5(a) of this part.
    (e) Within one day of a vote taken pursuant to this section, the 
Commission shall make publicly available a written copy of such vote 
reflecting the vote of each Commissioner.
    (f) In the case of the closure of a meeting or portions thereof, the 
Commission shall make publicly available within one day of the vote on 
such action a full written explanation of the reasons for the closing 
together with a list of all persons expected to attend the meeting and 
their affiliation.



Sec. 560.7  Recordkeeping requirements.

    (a) Except as otherwise provided in this section, the Commission 
shall maintain either a complete transcript or electronic recording of 
the proceedings of each meeting, whether opened or closed.
    (b) In the case of either a meeting or portions of a meeting closed 
to the public pursuant to Sec. 560.5(a) (8) or (10) of this part, the 
Commission shall maintain a complete transcript, an electronic 
recording, or a set of minutes of the proceedings. If minutes are 
maintained, they shall fully and clearly describe all matters discussed 
and shall provide a full and accurate summary of any actions taken and 
the reasons for which such actions were taken, including a description 
of the views expressed on any item and a record reflecting the vote of 
each Commissioner. All documents considered in connection with any 
action shall be identified in the minutes.
    (c) The transcript, electronic recording, or copy of the minutes 
shall disclose the identity of each speaker.
    (d) The Commission shall maintain a complete verbatim copy of the 
transcript, a complete electronic recording, or a complete copy of the 
minutes of the proceedings of each meeting for at least two years, or 
for one year after the conclusion of any Commission proceeding with 
respect to which the meeting was held, whichever occurs later.



Sec. 560.8  Public availability of records.

    (a) The Commission shall make available to the public the 
transcript, electronic recording, or minutes of a meeting, except for 
items of discussion or testimony that relate to matters the Commission 
has determined to contain information which may be withheld under 
Sec. 560.5 of this part.
    (b) The transcript, electronic recordings or minutes of a meeting 
shall be made available for public review as soon as practicable after 
each meeting at the Marine Mammal Commission, 1625 I Street NW., 
Washington, DC 20006.
    (c) Copies of the transcript, a transcription of the electronic 
recording, or

[[Page 413]]

the minutes of a meeting shall be furnished at cost to any person upon 
written request. Written requests should be addressed to the 
Administrative Officer, Marine Mammal Commission, 1625 I Street NW., 
Washington, DC 20006.
[[Page 415]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 417]]

            Material Approved for Incorporation by Reference

                     (Revised as of October 1, 1996)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


50 CFR CHAPTER II (PARTS 200-599)

NATIONAL MARINE FISHERIES SERVICE, NATIONAL OCEANIC AND ATMOSPHERIC 
ADMINISTRATION, DEPARTMENT OF COMMERCE


Association of Official Analytical Chemists

  2200 Wilson Blvd., Suite 400, Arlington VA 22201-3301
Official Methods of Analysis sections 18.004 (p. 
  331), 32.059 and 32.060 (p. 613), Fourteenth 
  Edition (1984)..................................               264.107
Official Methods of Analysis sections 18.003 (p. 
  285), 32.050 and 32.051 (p. 543), Thirteenth 
  Edition (1980)..................................               264.107


United States Geological Survey

  Map Sales, Box 25286, Denver, CO 80225
Department of the Interior (DOI), U.S. Geological 
  Survey (USGS), ``State Hydrologic Unit Maps,'' 
  pages 1 to 22 and 17-1 to 17-13, Open-File 
  Report 84-708, 1984 and DOI, USGS, 1974 
  Hydrologic Unit Maps for the States of Oregon, 
  Washington, and Idaho...........................                226.22


                                                                    Chap.

[[Page 419]]



                    Table of CFR Titles and Chapters



                   (Revised as of September 30, 1996)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3202)
     XXIII  Department of Energy (Part 3301)

[[Page 420]]

      XXIV  Federal Energy Regulatory Commission (Part 3401)
      XXVI  Department of Defense (Part 3601)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)

[[Page 421]]

      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of Finance and Management, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
     XXXIX  Economic Analysis Staff, Department of Agriculture 
                (Parts 3900--3999)
        XL  Economics Management Staff, Department of Agriculture 
                (Parts 4000--4099)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

[[Page 422]]

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                399)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

[[Page 423]]

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

[[Page 424]]

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)

[[Page 425]]

        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)

[[Page 426]]

        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3699)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)

[[Page 427]]

         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Programs, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)

[[Page 428]]

        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)

[[Page 429]]

       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

[[Page 430]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

[[Page 431]]

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services, 
                General Administration (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  ACTION (Parts 1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)

[[Page 432]]

      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Saint Lawrence Seaway Development Corporation (Great 
                Lakes Pilotage), Department of Transportation 
                (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)

[[Page 433]]

        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

[[Page 434]]

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Regulatory Agencies (Fishing and 
                Whaling) (Parts 300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 435]]





           Alphabetical List of Agencies Appearing in the CFR



                   (Revised as of September 30, 1996)

                                                  CFR Title, Subtitle or
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Analysis Staff                         7, XXXIX
  Economic Research Service                       7, XXXVII
  Economics Management Staff                      7, XL
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Finance and Management, Office of               7, XXX
  Food and Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII

[[Page 436]]

American Battle Monuments Commission              36, IV
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51

[[Page 437]]

  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Analysis Staff                           7, XXXIX
Economic Development Administration               13, III
Economics Management Staff                        7, XL
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV

[[Page 438]]

Farm Service Agency                               7, VII, XVIII
Farmers Home Administration                       7, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Finance and Management, Office of                 7, XXX
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Fishing and Whaling, International Regulatory     50, III
     Agencies
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105

[[Page 439]]

  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
     Secretary
[[Page 440]]

  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, Agency for             22, II
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, Agency for           22, II; 48, 7
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Regulatory Agencies (Fishing and    50, III
     Whaling)
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Relations and Cooperative      29, II
       Programs, Bureau of
  Labor-Management Programs, Office of            29, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Relations and Cooperative        29, II
     Programs, Bureau of
Labor-Management Programs, Office of              29, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II

[[Page 441]]

Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV

[[Page 442]]

Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV; 46, III
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II

[[Page 443]]

  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV; 46, III
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 445]]



List of CFR Sections Affected


All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1973-1985'' published in four separate volumes.

                                  1986

50 CFR
                                                                   51 FR
                                                                    Page
Chapter II
215  Authority citation revised....................................24839
215.2  Revised.....................................................24839
215.3  Revised.....................................................24840
215.31--215.34 (Subpart D)  Revised................................24840
216  Temporary regulation..........................................36560
216.24  (d)(2)(ii)(C), (iii)(C), (iv)(C), (D), and (H), and 
        (vii)(A), (C), (E), (F), and (G) removed; (d)(2)(ii)(D), 
        (iii)(D), (iv)(E), (F), (G), (I) through (M), and 
        (vii)(B), (D), and (H) redesignated as (d)(2)(ii)(C), 
        (iii)(C), (iv)(C) through (J), and (vii)(A), (B), and (C) 
                                                                     201
    (a)(2), (d)(2)(ii)(A), (iv) introductory text, (A), (B), new 
(G), (H), and (I), (v)(C), and new (vii)(C) revised; new (a)(3) 
and (d)(2)(vii)(D) added.............................................201
    (c)(1) and (d)(2)(iii)(A)(1) amended.............................202
    (a)(4) and (e)(9) added; interim eff. to 7-1-87................32788
    (e)(9) revised; interim emergency..............................40172
226  Authority citation revised....................................16052
226.11  (Subpart B)  Added.........................................16053
228.21--228.26 (Subpart C)  Added; eff. to 5-7-91..................11741
255  Authority citation revised.....................................9214
255.6  (b) revised..................................................9214
255.10  (a) revised; (c) removed; (d) and (e) redesignated as (c) 
        and (d).....................................................9214
255.12  Revised.....................................................9214
258  Fee adjustment; eff. to 9-30-86................................8840
261.104  (e)(3)(iii) revised.......................................34990
261.105  Amended...................................................34990
261.161  Table 1 amended...........................................34990
262.161  Table 1 amended...........................................34990
262.171  (a)(2)(v) amended.........................................34990
262.211  Table I amended...........................................34990
262.221  (g)(6)(iii) amended.......................................34990
263.104  Table 1 amended...........................................34990
263.166  Table IV amended..........................................34990
263.261  (b) table amended.........................................34990
263.301  (b) amended...............................................34990
263.312  (a) amended...............................................34990
263.314  (b) Table II amended......................................34990
264.111  Table 1 amended...........................................34991
264.155  Table 1 amended...........................................34991
264.221  Table 1 amended...........................................34991
264.252  (a) corrected.............................................34991
264.271  (f)(2)(vii) amended.......................................34991
264.321  (a) Table 1, (f)(2)(ii), (vii) and (g)(2)(ii) amended.....34991
264.371  (f)(2)(v) and (vii) amended...............................34991
264.421  (f)(2)(vii) and (g)(2)(ii) amended........................34991
265.106  Appendix 3 amended........................................34991
265.171  (u)(2)(ii) and (v)(2)(ii) amended.........................34991
265.175  Table 1 and 2 amended.....................................34991

[[Page 446]]

266.121  (a) and (b) Table 1 amended...............................34991
266.161  (b) table amended.........................................34991
266.171  (a)(2)(v) and (b)(1) amended..............................34991
285  Temporary regulations....................10865, 29642, 32478, 33270
    Inseason adjustments...........................................28240
285.2  Amended.....................................................26899
285.29  (d) revised................................................28241
285.50  Amended.....................................................8324
Chapter III
301  Revised.......................................................16466
301.19  Added; interim emergency...................................16472
371 (Subchapter C)  Revised; interim emergency.....................23421
    Inseason orders................................................41509
372  Added; interim emergency eff. to 12-31-86.....................33762
    Removed; interim emergency.....................................43929
Chapter IV
402  Revised.......................................................19957
Chapter V
550  Added..........................................................4579
550.103  Corrected..................................................7543
550.150  (c) corrected..............................................7543
550.170  (c) revised................................................4579

                                  1987

50 CFR
                                                                   52 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB numbers); entries transferred from 
        604.1 (b) table............................................36780
    (b) table amended (OMB numbers)................................38233
215  Harvest levels................................................26479
216.24  (d)(5)(vii) revised........................................19880
217.1  Amended.....................................................24250
217.2  Amended.....................................................24250
217.3  Amended.....................................................24250
217.4  Introductory text and (a) amended...........................24250
217.12  Amended.............................................24250, 37153
219  Removed.......................................................10340
222.31 (Subpart D)  Added; interim.................................44915
222.41 (Subpart D)  Added..........................................24251
    (Subpart D)  Redesignated as Subpart E; interim................44915
227.72  (e)(2) heading and (3) heading removed; new (e) (2) 
        through (7) added..........................................24251
    (e)(4)(ii)(E) added............................................37154
228.12  Amended; eff. to 12-31-91...................................1199
246 (Subchapter E)  Heading revised................................45341
246  Added.........................................................45341
254  Removed.......................................................36781
256  Removed.......................................................35920
257  Removed.......................................................35920
258  Removed (regulations transferred to 22 CFR Part 33)............7533
267  Added.........................................................37155
285  Temporary regulations............................9170, 20719, 34655
    Inseason adjustments...........................................28831
285.2  Amended.....................................................25011
285.6  (a) revised.................................................25012
285.23  (f) revised................................................25012
285.25  (c) amended................................................25012
285.30  (c)(2) amended.............................................25012
285.31  (a) (8) and (9) revised....................................25012
Chapter III
301  Revised.......................................................16268
301.5  (f) added...................................................33832
301.8  (d) revised; (i) added......................................33832
301.9  Revised.....................................................33832
    (c) added......................................................36941
301.19  Revised; interim emergency.................................10760
    (d) table corrected............................................13788
301.21  Added; interim emergency....................................7583
371  Inseason orders...............................................49017

                                  1988

50 CFR
                                                                   53 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB numbers).............................24644
215  Harvest levels................................................28886
216  Determinations...............................................39743,
                                                            45953, 50420
216.3  Amended......................................................8918
216.15  Revised....................................................17899
216.24  Permit reauthorization......................................1638
    (e) (1) through (5) revised.....................................8918
226.11  Revised....................................................18990
227.72  (e)(4)(ii)(F) added........................................33821
253  Revised.......................................................20325
253.3  (a)(1) corrected............................................22609

[[Page 447]]

259  Authority citation revised....................................35203
259.35  (a) revised................................................35203
280.1  Redesignated as 280.2 and amended; new 280.1 added..........24644
280.2  Removed; new 280.2 redesignated from 280.1 and amended......24644
280.3  Redesignated from 280.17....................................24645
280.4  Correctly redesignated from 280.18 and introductory text 
        corrected..................................................27693
280.17  Redesignated as 280.3......................................24645
280.18  Correctly redesignated as 280.4 and introductory text 
        corrected..................................................27693
285  Temporary regulations.........................................8631,
                                                            11510, 31701
    Inseason adjustments....................................30845, 32621
285.2  Amended.....................................................24645
285.4  Heading and (d)(2) revised; (b) and (d) (3) and (4) 
        amended; (f)(1) footnote 1 and (4) removed.................24645
285.5  (c) amended.................................................24645
285.20  (a)(4) and (b)(3) amended..................................24645
285.28  (h) and (l) amended........................................24645
285.29  (a), (b), and (c) amended..................................24645
285.31  (a)(22) amended............................................24645
285.52  Amended....................................................24645
285.53  (a) introductory text and (2) and (b) amended..............24645
285.54  (a), (b), (c), and (d) amended.............................24645
285.83  (a) introductory text and (3), (b), and (c) amended........24645
285.84  Amended....................................................24645
    Corrected......................................................27798
285.85  (a) introductory text amended..............................24645
285.86  Amended....................................................24645
285.103  (a) and (b) amended.......................................24645
296.5  (a) (2) and (3) and (c) amended.............................24645
Chapter III
301  Plan approval..................................................7528
    Revised........................................................10537
301.6  (a) table correctly revised.................................16838
301.10  (b) and (c) added..........................................20330
301.13  (a), (b), (c), (e), (g), (h), (i) and (j) republished......20330
301.16  (h) republished............................................20330
301.18  (b) revised.................................................3213
301.20  (f)(2) revised..............................................3213
380 (Subchapter D and Part)  Added..................................8768
380.2  Amended.....................................................46873
380.20  Redesignated as 380.21; new 380.20 redesignated from 
        380.23 and revised.........................................46873
380.21  Redesignated as 380.22; new 380.21 redesignated from 
        380.20.....................................................46873
380.22  Redesignated as 380.23; new 380.22 redesignated from 
        380.21.....................................................46873
380.23  Redesignated as 380.20 and revised; new 380.23 
        redesignated from 380.22...................................46873
380.24--380.26  Added..............................................46873

                                  1989

50 CFR
                                                                   54 FR
                                                                    Page
Chapter II
204  Entry control date............................................16123
204.1  (b) table amended (OMB number).............................13890,
14239, 16125, 22758, 23663, 30046, 51723
215  Harvest levels................................................32346
216  Determination at 53 FR 50420 rescended.........................7933
    Note added; interim............................................21921
    Finding of conformance..................................37684, 50763
    ETP adjustments................................................38526
216.3  Amended; interim.............................................9448
    Amended........................................................17741
    Comment time extended..........................................18519
216.11  Introductory text revised; interim.........................21921
216.24  (d)(2)(vii)(C) revised; (d)(2)(vii)(E) added; interim........415
    (e) (1) through (5) revised; interim............................9448
    (b) through (e) amended........................................13890
    (f)(5) revised; (f) (6) and (7) added..........................17741
    Comment time extended..........................................18519
    Note added; interim............................................21921
217.12  Amended; interim...........................................32818
    Amended........................................................37813
222.23  (a) amended................................................22907

[[Page 448]]

226 (Subpart C)  Heading revised; interim emergency eff. to 4-2-90
                                                                   32088
    Effectiveness corrected........................................34282
226.21  Added; interim emergency eff. to 4-2-90....................32088
    Effectiveness corrected........................................34282
227 (Subpart C)  Heading revised; interim; eff. 4-2-90.............32088
227.4  (e) added; interim emergency eff. to 4-2-90.................32088
    Effectiveness corrected........................................34282
227.21  Added; interim emergency eff. to 4-2-90....................32088
    Effectiveness corrected........................................34282
227.72  (e)(8) added................................................7777
    (e)(2)(i), (3)(ii), (6) (i), (ii), (iii), Table 1 heading, and 
Maps 1 and 2 headings revised; (e) Table 2 amended; (e)(3) (iii) 
and (iv) redesignated as (3) (iv) and (v); new (e)(3)(iii), 
(6)(vi), (9), and Table 3 added; interim...........................32818
    (e), (2), (3), (6), and Tables 1 and 2 revised.................37813
228  Authority citation revised....................................40349
228.1  Amended; eff. 10-30-89......................................40349
228.2  Revised; eff. 10-30-89......................................40349
228.4  (a) introductory text and (c) revised; (a) (1) and (9) 
        amended; (d) added; eff. 10-30-89..........................40349
228.5  (a) revised; eff. 10-30-89..................................40350
228.6  (b) and (e)(2) revised; eff. 10-30-89.......................40350
229  Added; interim; eff. to 10-1-93...............................21921
229.6  (c)(2) added................................................51723
229.7  (b) added...................................................51723
260  Inspection fees...............................................10548
270 (Subchapter H and Part)  Added.................................50508
280--285 (Subchapter H)  Redesignated as 280--285 (Subchapter I) 
                                                                   50508
    (Subchapter I)  Redesignated from 280--285 (Subchapter H)......50508
282  Added; interim (effective date pending in part)................4033
285  Temporary regulations...................................7430, 38386
    Inseason adjustments...........................................29896
    Temporary regulations...................................43181, 47364
290 (Subchapter I)  Redesignated as 290 (Subchapter J).............50508
    (Subchapter J) Redesignated from 290 (Subchapter I)............50508
296 (Subchapter J)  Redesignated as 296 (Subchapter K).............50508
    (Subchapter K)  Redesignated from 296 (Subchapter J)...........50508
299 (Subchapter K and Part)  Added; interim........................29898
    Redesignated as 299 (Subchapter L).............................50508
    (Subchapter L)  Redesignated from 299 (Subchapter K )..........50508
299.3  (a) effective date pending..................................29899
Chapter III
301  Catch sharing plan approval....................................8542
    Revised........................................................19896
371  Inseason orders...............................................10989
    Inseason adjustments...........................................51747
380.2  Amended...............................................6411, 40669
380.3--380.4  Added.................................................6411
380.4  (g) amended.................................................40669
380.5  Added........................................................6412
380.6--380.7  Added.................................................6413
    (b) amended....................................................40669
380.7  (a), (c)(3), and (d)(2) amended.............................40670
380.8  Added........................................................6414
    Revised........................................................40670
380.9--380.11  Added................................................6415
380.10  (f), and (g) through (q) redesignated as (i) and (k) 
        through (u); new (f), (g), (h), and (j) added..............40671
380.24  (b) amended.................................................4798
380.27  Added.......................................................4798
Chapter IV
402.14  (i)(1) revised; (i)(3) amended; (i)(5) added; eff. 10-30-
        89.........................................................40350

                                  1990

50 CFR
                                                                   55 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB number)..............................35645
215  Harvest levels................................................30919
216.3  Amended.....................................................11926
    Amended; interim...............................................47882

[[Page 449]]

216.24  (d)(2)(vii)(E) revised; interim............................11590
    (e)(1), (2), (3), (4), and (5) revised.........................11926
    (c)(4)(ii), (d)(2)(ii)(C), (ii)(A) and (v)(B) amended; (c)(9) 
and (d)(2)(ix) added...............................................20464
    (e)(5)(i) introductory text revised; (e)(5)(vii), (viii) and 
(ix) redesignated as (e)(5)(xii), (xiii) and (xiv); new 
(e)(5)(vii) through (xi) added; interim............................47882
    (e)(5)(iv) revised; (e)(5)(xv) added; interim..................53162
217.12  Amended....................................................40840
222.22  Added......................................................20606
222.23  (a) amended................................................50836
222.24  (d) and (e) amended........................................20607
222.25  Amended....................................................20607
222.27  Amended....................................................20607
222.31  Amended....................................................20607
226.21 (Subpart C)  Heading and section added; eff. to 11-28-90....12193
227  Alternative scientific testing protocol.......................41092
227.4  (e) revised; eff. to 11-28-90...............................12193
    (f) added; interim; eff. to 12-31-90...........................12648
    Effective date corrected to 12-3-90............................17441
    (e) added......................................................46523
    (f) added......................................................49210
227.12  Added; eff. to 12-3-90.....................................12648
    (a)(3) Table 1 and footnote amended............................17441
    Added..........................................................49210
227.21 (Subpart C)  Heading and section revised; eff. to 11-28-90 
                                                                   12193
    (Subpart C)  Heading revised; section added....................46523
227.72  (e)(4)(ii)(G) added........................................41089
228.3  Amended.....................................................28766
228.31--228.38 (Subpart D)  Added; exp. 1995.......................29214
228.38  (a)(2) eff. 11-1-90........................................29207
229.7  Corrected....................................................2201
251  Authority citation revised....................................52849
251.21  Removed....................................................52849
263  Authority citation revised....................................23551
263.101  (c) added.................................................23551
263.102  (c) added.................................................23551
263.104  (e)(4) amended............................................23551
263.151  Amended...................................................23551
263.154  (c) added.................................................23551
263.166  (a)(4) revised............................................23551
263.201  Heading revised; text amended.............................23551
263.202  (c) added.................................................23551
263.221  (d) revised...............................................23551
263.251  Amended...................................................23551
263.254  (c) added.................................................23552
263.266  (a)(4) amended............................................23552
263.301  Amended...................................................23552
263.304  (c) added.................................................23552
263.316  (a)(4) amended............................................23552
264  Authority citation revised....................................41858
264.101--264.108 (Subpart A)  Revised..............................41858
267.101  (d) added.................................................23552
267.102  (d) added.................................................23552
267.104  (d)(9) revised............................................23552
285  Temporary regulations...........................10618, 34932, 43344
285.24  (a) revised................................................10246
Chapter III
301  Sharing plan..................................................11590
301.5  (j) revised.................................................21877
301.6  Revised; eff. to 4-1-91.....................................11930
301.8  Revised.....................................................21877
301.9  Revised; eff. to 4-1-91.....................................11931
    (g) redesignated as (h); new (g) added; eff. to 12-31-90.......21878
301.10  (d) revised................................................23086
301.19  (i) removed; (j), (k), and (l) redesignated as (i), (j), 
        and (k); (d), (f) and new (k) and table 2 revised; eff. to 
        4-1-91.....................................................11931
301.20  (a) through (h) revised; eff. to 4-1-91....................11932
371  Inseason adjustment...........................................47058
380.21  Text removed; heading revised...............................4179
380.23  Revised.....................................................4179
380.24  Revised.....................................................4180
380.27  Revised.....................................................4180
380.28  Added.......................................................4180

[[Page 450]]

                                  1991

50 CFR
                                                                   56 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB numbers)....378, 2446, 19314, 47163, 65016
215  Harvest levels................................................36735
216  Embargo and revocation of findings............................21096
    Finding of nonconformance......................................41308
    Finding of nonconformance; correction..........................48115
216.3  Amended................................11697, 41307, 47422, 50676
216.22  Heading revised; (c) added.................................41307
216.24  (e)(2)(i), (ii), (3), (4), (6) and (8) revised; 
        (e)(2)(iii) added; (e)(3) eff. date pending................47423
    Regulation at 56 FR 47423 eff. 11-1-91.........................50278
    (e)(5)(iv), (v) introductory text, (F), and (xiii) revised.....50677
    Regulations at 56 FR 47423 and 50278 effective date delayed to 
12-1-91............................................................56603
    Regulations at 56 FR 47423, 50278 and 56603 comment time 
extended to 5-1-92.................................................67226
216.25  (a)(1) revised.............................................43888
217.12  Amended....................................................43717
    (b)(3) amended.................................................42542
222.23  (a) amended................................................58624
227.12  (a)(3) Table 1 amended.....................................58184
227.72  (e)(2)(i), (3)(i), (ii), Table 1 and Table 2 revised; maps 
        1, 2, 3 and 4 removed......................................43717
228.21--228.26 (Subpart C)  Revised; effective to 9-23-96..........41630
246--247 (Subchapter E)  Heading revised...........................47425
247  Added; 247.4 eff. date pending, in part.......................47424
247.4  Regulation at 56 FR 47424 eff. 11-1-91......................50278
    Regulations at 56 FR 47424 and 50278 effective date delayed to 
12-1-91............................................................56603
    Regulations at 56 FR 47424, 50278 and 56603 comment time 
extended to 5-1-92.................................................67226
253  Technical correction..........................................46823
253.3  (c)(2) revised..............................................41490
253.5  (a) amended.................................................41490
265.101--265.107 (Subpart A)  Revised..............................55092
282.1  (a) revised.................................................19314
282.2  Amended.....................................................19314
282.3  Revised.....................................................19314
282.4  (a) designation removed.....................................19315
282.6  Revised.....................................................19316
282.9  (a)(6), (8) and (b)(1) revised..............................19316
282.15  Revised....................................................19316
285  Notice of closure......................................13415, 24032
    Notice of closure; eff. thru 12-31-91...................47918, 49430
    Catch Limit Increase...........................................46239
285  Temporary regulations.........................................55095
    Permits........................................................54797
285.21  (e) and (k) revised........................................50063
    (e) correctly designated................................56544, 61096
298  Added (effective date pending)................................58185
    Regulation at 56 FR 58185 effective 12-17-91...................66001
Chapter III
301  Catch sharing plan............................................18533
    Revised........................................................18536
301.10  (g) redesignated as (h) and revised; new (g) added.........19618
301.19  (e) revised; (f) removed...................................57295
380.9  (c) added...................................................21098
380.22  (a) revised................................................21098
380.23  Revised....................................................21099
380.24  Revised....................................................21099
380.26  Removed; new 380.26 redesignated from 380.27 and revised 
                                                                   21099
380.27  Redesignated as 380.26 and revised; new 380.27 
        redesignated from 380.28 and revised.......................21099
380.28  Redesignated as 380.27 and revised; new 380.28 added.......21099

                                  1992

50 CFR
                                                                   57 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB numbers).............................40859
215  Final harvest standards.......................................34081
215.32  (f)(2) removed; (f)(1) redesignated as (f); (c)(1) revised
                                                                   33902
216  Embargo.......................................................17857
216.3  Amended; interim............................................41702
216.24  (e)(5)(xiii) correctly designated...........................3142

[[Page 451]]

    (e)(3)(i)(C), (D) and (5)(xiv) revised; interim................41702
    (e)(5)(i) introductory text and (vi) through (xv) revised; 
(e)(5)(xvi) added..................................................54335
217  Authority citation revised....................................40867
    Temporary regulations..............41703, 46815, 53603, 54533, 60135
217.12  Amended; interim; eff. 7-24-92 through 8-31-92.............33455
    Amended; interim; eff. 9-1-92 to 9-30-92.......................40861
    Amended; interim...............................................40867
    Regulation at 57 FR 40867 confirmed and amended................57353
222  Temporary regulations....................46815, 53603, 54533, 60135
227  Technical correction..........................................23458
    Temporary regulations......41703, 45986, 46815, 47276, 52735, 53603, 
                                                     54533, 57968, 60135
227.4  (g) and (h) added...........................................14662
227.21  Revised....................................................14663
227.71  Revised; interim...........................................40868
    (a) and (b) revised; (c) republished...........................57354
227.72  (e)(1) introductory text amended...........................14663
    (e)(2)(i) and (3)(ii) suspended; (e)(2)(v), (3)(v), (6)(vi), 
(vii), (viii) and (e)(8) added; interim; eff. 7-24-92 through 8-
31-92 (OMB number pending).........................................33455
    (e)(8)(i) revised; interim.....................................36907
    (e)(3)(iii)(A) added; interim; eff. 9-1-92 to 9-30-92..........40861
    Figures 1 through 8b redesignated as part 227 figures 1 
through 8b; (e)(7) removed; (e)(1) introductory text, (2), (3), 
(4) and (6) revised; (e)(5) added; interim.........................40868
    (e) revised....................................................57354
227  Figures 1 through 8b redesignated from 227.72 figures 1 
        through 8b; interim........................................40868
260  Inspection service program....................................33456
260.71  Removed....................................................30924
285  Temporary regulations........................................11913,
28131, 29655, 29656, 42710, 43409, 44341,45579, 47412, 59310
285.1  (c) amended.................................................32923
285.2  Amended................................................372, 32920
285.3  (b) and (f) revised; (g) added................................372
    (f) revised; (h) added.........................................32920
285.5  (c) amended.................................................32923
285.20  (a)(1)(i) removed; (a)(1)(ii) through (iv) redesignated as 
        (a)(1)(i) through (iii); new (a)(1)(i), (ii), (b)(1) and 
        (3) revised................................................32920
285.21  (c) revised..................................................372
    (a) and (b) revised............................................32920
285.22  Revised....................................................32920
285.23  (f)(1), (2) and (g) revised..................................372
    Revised........................................................32921
285.24  (c) revised.................................................8730
    Revised........................................................32921
285.25  (c) revised..................................................373
    (b) amended....................................................32923
285.26  Revised......................................................373
    Table revised..................................................32922
285.28  (a) revised..................................................373
285.29  (a), (b) and (e) revised; OMB number.........................373
    (a) revised....................................................32922
285.30  (c)(2) and (d) revised.......................................374
    (c)(1) and (d) revised.........................................32922
285.31  (a)(1), (2), (5), (10) and (15) revised; (a)(30) through 
        (33) and (c) added...........................................374
    (a)(10), (17), (18), (26) and (28) revised; (a)(34) through 
(38) added.........................................................32922
285  Figure 1 added..................................................374
299  Revised; interim..............................................33650
299.5  OMB number pending..........................................33650
    OMB number.....................................................40858
Chapter III
301  Revised.......................................................12879
371  Inseason orders................................................2054
380.23  Revised....................................................13051
380.24  Revised....................................................13051
380.26  Revised....................................................13052
380.27  Revised....................................................13052
380.29  Revised....................................................13052

                                  1993

50 CFR
                                                                   58 FR
                                                                    Page
Chapter II
204.1  (b) table amended (OMB numbers).............................21943
    (b) table amended; interim.....................................33567

[[Page 452]]

    (b) table amended (OMB numbers)................................59401
215  Final harvest standards.......................................42027
    Harvest quotas.................................................58297
216  Finding of conformance........................................42030
216.3  Amended; interim............................................29130
216.4  (b)(1) through (h) removed; (b) introductory text revised 
                                                                   65134
216.15  (d) added..................................................17791
    (e) added......................................................45074
    (f) added......................................................58297
216.24  (a)(2), (b)(1)(ii), (c)(4)(i)(B), (ii) and (d)(2)(i)(A) 
        revised; (d)(2)(x) added; interim..........................29130
    (a)(1), (b)(1)(iii) heading and (v) amended; (d)(2)(vii)(C)(1) 
introductory text and ((i)(D) revised..............................63539
    (d)(2)(viii) introductory text, (A) introductory text, (B), 
(C) and (E) amended................................................63540
216.110--216.113 (Subpart I)  Removed..............................65134
217  Temporary regulations............................4088, 17364, 28790
217.12  Amended; interim; eff. 2-10-93 through 4-10-93..............8556
    Amended; interim; eff. 10-20-93................................48799
    Amended; interim...............................................48977
    Amended........................................................54067
222    Temporary regulations........................................4088
222.23  (a) amended................................................26921
226.12  Added......................................................45278
226.21 (Subpart C)  Added..........................................33218
226.22  Added......................................................68551
226  Tables 1 and 2 and Figures 1 through 4 added..................45278
    Table 3 and Figure 5 added.....................................68552
227  Temporary regulations.......4088, 5643, 17364, 19631, 28790, 28793, 
                                              33219, 33220, 38538, 43820
227.12  (b)(6) added...............................................16371
    (a)(3) Table 1 amended.........................................53139
    (a)(3) illustration revised....................................53141
    (a)(3) Table 1 corrected.......................................58594
227.72  (e)(2)(ii)(A)(5) and (6) removed; (e)(2)(ii)(A)(7) 
        redesignated as (e)(2)(ii)(A)(5)............................2990
    (e)(2)(iii) and (4)(iii)(D) added; interim; eff. 2-10-93 
through 4-10-93.....................................................8556
    (e)(4)(ii)(A) existing text redesignated as (e)(4)(ii)(A)(1); 
(e)(4)(ii)(A)(1) heading, (A)(2) and (D) added; (e)(4)(iii) 
introductory text revised..........................................28796
    (e)(2)(iii) and (4)(iii)(D) added; eff. 10-20-93...............48799
    (e)(3)(i) and (ii) revised; interim............................48977
    (e)(4)(ii) and (iii) redesignated as (e)(4)(iii) and (iv); new 
(e)(4)(iv) introductory text revised; new (e)(4)(ii) added.........54067
    (e)(5) heading and (i) revised.................................54068
227  Figure 9a added...............................................28797
    Figure 9b added................................................28798
    Figures 10 and 11 added........................................54069
228.11  Revised; eff. 2-12-93 through 12-31-97......................4093
228.12  Revised; eff. 2-12-93 through 12-31-97......................4093
228.13  (b) and (c) revised; eff. 2-12-93 through 12-31-97..........4093
228.14  (b) and (c) introductory text revised; eff. 2-12-93 
        through 12-31-97............................................4093
229  Regulation at 55 FR 21921 eff. date extended to 4-1-94........51789
229.1  (b) amended.................................................51789
282.2  Amended; interim............................................33567
282.3  Revised; interim............................................33567
282.5  (a) revised; interim........................................33567
282.6  Revised; interim............................................33567
282.8  Revised; interim............................................33568
282.9  (a)(6) revised; (a)(16) added; interim......................33568
282.14  (a)(2) revised; interim....................................33568
282.15  Revised; interim...........................................33568
285    Temporary regulations...26921, 45074, 48464, 49437, 50523, 53668, 
                                                                   63104
      Harvest quotas..........................32872, 36154, 44777, 53434
285.2  Amended.....................................................45289
285.3  Introductory text, (f) and (h) revised; (i) through (p) 
        added......................................................45289
285.7  Added.......................................................45290
285.8  Added.......................................................45290
285.9  Added.......................................................45290
285.21  (a), (b), (c), (e), (g), (h), (k) and (l) revised; (m) 
        added......................................................45290
285.22  Introductory text and (a) through (e) revised; (i) added 
                                                                   45291

[[Page 453]]

285.23  (c)(1), (2) and (d) revised; (f) removed...................45292
285.24  (d)(2) and (3) redesignated as (d)(3) and (4); new (d)(4) 
        revised; new (d)(2) added..................................45292
285.25  (c) revised................................................45292
285.26  Table amended..............................................45292
285.28  (b) and (j) revised........................................45293
285.29  (a), (b) and (d) revised...................................45293
285.30  (c)(2) revised.............................................45293
285.31  (a)(1), (2) and (5) amended; (a)(10), (16), (26), (30) and 
        (31) revised; (a)(32) removed; (a)(33) through (38) 
        redesignated as (a)(32) through (37).......................45293
285.50  Revised....................................................45293
Chapter III
301  Revised.......................................................17795
    Temporary regulations..........................................51253
371  Inseason adjustments..........................................54307
380.20  Revised....................................................39454
380.23  Revised....................................................39454
380.24  Revised....................................................39455
380.26  Revised....................................................39456
380.27  Revised....................................................39456

                                  1994

50 CFR
                                                                   59 FR
                                                                    Page
Chapter II
204.1  Regulation at 58 FR 33567 confirmed.........................13894
    (b) table amended (OMB numbers); eff. 7-27-94 through 10-31-94
                                                                   39303
    (b) table amended (OMB numbers)................................43781
                                                            66272, 66780
    (b) table amended (OMB numbers); eff. 10-6-94..................46134
215  Authority citation revised....................................50375
215.1  Revised; interim............................................50375
215.11 (Subpart B)  Revised; interim...............................50375
215.32  (b) revised................................................35474
216  Temporary regulations..........................................8142
    Finding of conformance.........................................15655
    Embargoes......................................................65974
216.2  Amended; interim............................................50375
216.3  Amended.......................................16145, 35865, 63062
    Amended; interim...............................................50375
216.6  (a), (b), (d) and (e) amended; interim......................50375
216.7  (a) and (b) amended; interim................................50375
216.8  Amended; interim............................................50375
216.12  (b)(1)(i) amended; interim.................................50375
216.13  (b) amended; interim.......................................50375
    (c) amended; interim...........................................50376
216.14  Heading, (a) introductory text and (b)(1) amended; interim
                                                                   50376
216.15  Introductory text amended; interim.........................50376
216.16  Added; interim.............................................50376
216.21  Amended; interim...........................................50376
216.23  (d) amended; interim.......................................50376
216.24  (e)(3)(i)(A)(1) revised....................................16145
    (e) heading and (9) revised....................................30306
    Note amended; eff. 6-17-94 through 9-1-95......................31165
    (e)(1) redesignated as (e)(1)(i); (e)(1)(ii) added.............35865
    (b)(2)(vii), (viii), (4), (c)(8), (d)(2)(i)(D), (vi), (e)(7) 
introductory text, (ii) and (g) amended; interim...................50376
    (d)(2)(i)(A)(2) and (3) revised................................52923
    (e)(5)(xiv) revised............................................63062
216.25  (a) introductory text amended; interim.....................50376
216.26  (b), (c) and (d) revised; interim..........................50376
216.31  (a)(10) and (c) amended; interim...........................50376
216.40  Redesignated as 216.50; interim............................50376
216.45  Added; interim.............................................50376
216.50  Redesignated from 216.40; interim..........................50376
216.70  (a) introductory text and (3) amended; interim.............50376
216.72  Amended; interim...........................................50376
216.73  (b)(4) amended; interim....................................50376
217  Temporary regulations..................................23169, 29545
217.12  Amended; interim...........................................10586
222.23  (a) amended...........................................450, 31095
    (a) amended; interim; eff. 8-18-94 to 5-26-95..................42532
226.13  Added......................................................28805
226  Figures 6, 7 and 8 added......................................28805
    Table 2 amended................................................30716
227  Temporary regulations..................................23169, 29545
227.4  (e) removed; (f), (g) and (h) redesignated as (e), (f) and 
        (g)..........................................................450

[[Page 454]]

    (f) and (g) removed; interim; eff. 8-18-94 to 5-26-95..........42532
227.21 (Subpart C)  (a), (b)(1) and (2) amended......................450
    Section removed; interim; eff. 8-18-94 to 5-26-95..............42532
227.72  (e)(4)(i)(G)(2) redesignated as (e)(4)(i)(G)(2)(i); 
        (e)(4)(i)(G)(2)(ii) added..................................25829
    (e)(4)(i)(I) added; (e)(4)(iv)(A) revised; interim.............33449
    (e)(3)(i) and (ii)(B) revised..................................33699
227  Figure 12a added..............................................25830
    Figure 12b added...............................................25831
228.51--228.57 (Subpart F)  Added; eff. 3-3-94 through 3-3-99.......5126
229  Regulation at 54 FR 21921 eff. date extended to 5-1-94........17048
    Added; eff. 6-17-94 through 9-1-95.............................31165
    Heading correctly added........................................34899
229.1  (b) amended.................................................17049
242  Policy statement.......................................28922, 36063
282.2  Regulation at 58 FR 33567 confirmed and amended.............13894
282.3  Regulation at 58 FR 33567 confirmed.........................13894
282.5  Regulation at 58 FR 33567 confirmed.........................13894
282.6  Regulation at 58 FR 33567 confirmed.........................13894
282.8  Regulation at 58 FR 33568 confirmed.........................13894
282.9  Regulation at 58 FR 33568 confirmed.........................13894
282.14  Regulation at 58 FR 33568 confirmed........................13894
282.15  Regulation at 58 FR 33568 confirmed........................13894
285  Temporary regulations...........................42176, 46569, 48575
                                                     51871, 54396, 65279
    Harvest quotas.................................................55821
285.2  Amended; interim............................................17725
285.22  (a), (d) introductory text, (1), (2), (e) introductory 
        text, (f) introductory text and (i) amended; (e)(1) 
        revised; interim...........................................17725
285.23  (c)(1) and (2) revised; interim............................17726
285.24  (e) added; interim.........................................17726
285.26  Introductory text revised; interim.........................17726
285.29  (a) and (b)(1) revised; interim............................17726
285.31  (a)(28), (30) and (37) revised; (c) removed; interim.......17726
Chapter III
301  Revised.......................................................22526
    Inseason adjustments...................................24359, 30307,
33699, 33700, 35474, 35475, 36719, 37721, 37723, 39476, 39477, 42775, 
49591, 51871, 53117
    Fishery management measures....................................24964
    Temporary regulations..........................................29207
301.7  (f) revised.................................................27242
301.11  (g) revised................................................27242
301.23  Added; eff. 10-6-94........................................46134
371  Temporary regulations.........................................47283
380.2  Amended.....................................................11730
380.20  Revised....................................................25835
380.23  (c), (e) introductory text, (f) introductory text, (g), 
        (h) introductory text, (1), (2), (i), (k) introductory 
        text and (3) revised; (k)(5) added.........................25835
380.24  (f) introductory text, (2), (g)(1) introductory text, (ii) 
        and (2) revised; (f)(3), (g)(1)(iii) and (iv) added; 
        (g)(1)(i) amended..........................................25836
380.26  (d) through (h) revised....................................25836
380.27  (c) and (d) revised; (e) added.............................25837
380.28  Added......................................................11730
380.30  Added......................................................25837
380  Figure 2 added................................................25837
    Figure 3 added.................................................25840

                                  1995

50 CFR
                                                                   60 FR
                                                                    Page
Chapter II
204  Authority citation revised....................................11051
    Removed........................................................39249
204.1  (b) table revised (OMB numbers).............................11051
210  Removed.......................................................39272
216  Findings......................................................10332
216.24  Amended....................................................45100
216.70--216.90 (Subpart G)  Removed................................39272
217  Restrictions......................21741, 26691, 32121, 42809, 44780
217.12  Amended; interim...........................................25622

[[Page 455]]

    Regulation at 60 FR 25622 confirmed; eff. 10-16-95.............47715
222  Decision......................................................43721
222.23  Regulation at 59 FR 42352 eff. date corrected to 8-18-94 
        to 4-17-95..................................................3948
222.31  Revised.....................................................3775
222.42  Added; interim.............................................25623
    Regulation at 60 FR 25623 confirmed; eff. 10-16-95.............47715
227  Restrictions......................21741, 26691, 32121, 42809, 44780
    Determination..................................................51928
    Policy statement...............................................52121
227.4  Regulation at 59 FR 42352 eff. date corrected to 8-18-94 to 
        4-17-95.....................................................3948
    (f) and (g) added..............................................19342
227.21  Regulation at 59 FR 42353 eff. date corrected to 8-18-94 
        to 4-17-95..................................................3948
    Added..........................................................19342
227.72  (e)(4)(i)(A)(3), (C), (G)(1), (2)(i), (I), (ii)(A), (B), 
        (iii)(C), (D) and (iv) revised; (e)(4)(iii)(A)(2) removed; 
        (e)(4)(iii)(E) added (OMB number pending)..................15516
    (e)(1) introductory text revised; (e)(7) added..................8958
    (e)(2)(iv) added; interim......................................25623
    (e)(3)(ii)(B) stayed; (e)(3)(ii)(C) added; eff. 5-30-95 
through 11-30-95...................................................28743
    Regulation at 60 FR 25623 confirmed; eff. 10-16-95.............47715
227  Figure 1 revised..............................................15519
    Figure 13 added................................................15520
228.41--228.48 (Subpart E)  Added; eff. 11-13-95 through 11-13-00 
                                                                   53145
229  Revised.......................................................45100
    Fisheries list.................................................67063
229.2  (k) revised..................................................6039
229.4  (b)(2) introductory text and (i)(B) revised; (b)(2)(iii) 
        added.......................................................6039
229.6  (c)(2)(i) amended; (c)(6) removed; (c)(7) through (10) 
        redesignated as (c)(6) through (9)..........................6039
    Revised; eff. 1-1-96...........................................45104
229.7  (b) amended; (e) removed; (f) redesignated as (e)............6039
250  Removed.......................................................39272
270  Removed.......................................................39272
280  Authority citation revised....................................14384
280  Quotas........................................................51932
280.1--280.2 (Subpart A)  Heading added............................14384
280.1  Revised.....................................................14384
280.2  Amended.....................................................14384
280.3  Redesignated as 280.10......................................14385
280.4  Redesignated as 280.11......................................14385
280.10--280.11 (Subpart B)  Heading added..........................14385
280.10  Redesignated from 280.3 and revised........................14385
280.11  Redesignated from 280.4; (a) amended.......................14385
280.50--280.54 (Subpart C)  Added..................................14385
281  Quotas........................................................51932
282  Quotas........................................................51932
285  Temporary regulations...........................42469, 48052, 65597
    Quotas.........................................................51932
285.1  (c) revised.................................................38511
285.2  Amended..............................................14386, 38511
285.3  (j) and (k) revised; (q), (r) and (s) added.................38511
285.9  Removed.....................................................38512
285.20  (a)(1)(i) and (b)(3) revised...............................38512
285.21  (a), (b), (c) heading, (h), (i) and (m) revised; (c) 
        amended....................................................38512
285.22  (a), (b), (d), (e), (f) heading and (h) revised; (f) 
        introductory text amended..................................38512
285.23  (d) revised................................................14387
    (d) removed; (e) redesignated as (d); (a), (b) and new (d) 
revised............................................................38513
285.24  (a), (c), (d) and (e) revised..............................38513
285.25  (d) revised; (e) added.....................................38514
285.26  Revised....................................................14387
    Amended........................................................38514
285.27  Revised....................................................38514
285.29  (a) and (b)(1) revised.....................................14387
    (a) and (d) revised............................................38515
285.30  Revised....................................................14387
285.31  (a)(10), (14), (29) and (32) amended; (a)(18), (19), (31), 
        (36) and (37) revised......................................14388
    (a)(3), (4), (8), (13), (15), (30), (31), (34) and (37) 
revised; (a)(38) added.............................................38515

[[Page 456]]

285.32  (a) and (b) revised........................................38515
285.34  Added......................................................38515
285.50--285.59 (Subpart C)  Revised................................38516
285.53  (d) revised................................................57685
285.200--285.205 (Subpart F)  Added................................14388
Chapter III
301  Revised.......................................................14655
    Inseason adjustments.......26840, 31260, 33364, 33365, 34472, 36364, 
                         39153, 39663, 43563, 46774, 48672, 51735, 54818
    Technical correction...........................................40227
371  Inseason adjustments..........................................56959
380.23  (a), (c), (d), (e) introductory text, (f) through (j) and 
        (k) introductory text revised..............................43063
380.24  (d) introductory text, (2), (f) introductory text, (g)(1) 
        introductory text and (2) revised..........................43064
380.26  (a) through (i) revised....................................43064
380.27  (c) and (d) revised........................................43065
380.28  (m)(2) introductory text revised; (m)(2)(ii) added.........43065

                                  1996

  (Regulations published from January 1, 1996, through October 1, 1996)

50 CFR
                                                                   61 FR
                                                                    Page
Chapter II
215  Removed.......................................................11750
215.2  (d), (g) and (h) redesignated to 216.3......................11750
215.21--215.27 (Subpart C)  Redesignated as 216.81--216.87 
        (Subpart G)................................................11750
215.31--215.34 (Subpart D)  Redesignated as 216.71--216.74 
        (Subpart F)................................................11750
216.3  Amended.................................7429, 15887, 21933, 27794
    Amended; redesignated in part from 215.2.......................11750
216.13  Heading revised; (d) added.................................21933
216.24  (b), (d)(1), (2)(i)(A)(1), (2), (iii)(B) and (e)(7) 
        removed; (c), (d)(2)(ii)(C), (iii)(A), (e)(2)(i)(A) and 
        (5)(v)(B) revised; (d)(2)(v)(B) amended.....................7429
    Amended; (e)(3)(i)(E) added; (e)(3)(iii) footnote revised......27794
216.26  Heading, (b), (c) and (d) revised; introductory text and 
        (e) added..................................................21933
216.27  Added......................................................21933
216.31  Revised....................................................21935
216.32  Revised....................................................21935
216.33  Revised....................................................21935
216.34  Revised....................................................21936
216.35  Added......................................................21936
216.36  Added......................................................21937
216.37  Added......................................................21937
216.38  Added......................................................21937
216.39  Added......................................................21937
216.40  Added......................................................21938
216.41  Added......................................................21938
216.44  Added......................................................21939
216.71--216.74 (Subpart F)  Redesignated from 215.31--215.34 
        (Subpart D)................................................11750
216.81--216.87 (Subpart G)  Redesignated from 215.21--215.27 
        (Subpart C)................................................11750
216.90--216.95 (Subpart H)  Added..................................27794
216.101--216.108 (Subpart I)  Added; interim.......................15887
216.111--216.114 (Subpart J)  Redesignated from 228.11--228.14 
        (Subpart B); interim.......................................15887
216.113  Amended; interim..........................................15890
216.114  Amended; interim..........................................15890
216.121--216.126 (Subpart K)  Redesignated from 228.21--228.26 
        (Subpart C); interim.......................................15887
    Removed........................................................51214
216.123  Amended; interim..........................................15890
216.124  Amended; interim..........................................15890
216.125  Amended; interim..........................................15890
216.126  Amended; interim..........................................15890
216.141--216.148 (Subpart M)  Redesignated from 228.41--228.48 
        (Subpart E); interim.......................................15887
216.143  Amended; interim..........................................15890
216.144  Amended; interim..........................................15890
216.146  Amended; interim..........................................15890
216.147  Amended; interim..........................................15890
216.148  Amended; interim..........................................15890
216.151--216.157 (Subpart J)  Redesignated from 228.51--228.57 
        (Subpart F); interim.......................................15887
216.153  Amended; interim..........................................15890
216.154  Amended; interim..........................................15890
216.156  Amended; interim..........................................15890
216.157  Amended; interim..........................................15891
217  Technical correction...........................................6064

[[Page 457]]

    Restrictions...................................................33377
217.12  Amended.....................................................1848
222  Status reviews...................................................17
    Authority citation revised.....................................21939
222.23  (b) amended................................................21939
    (a) amended....................................................41522
227  Status reviews...................................................17
    Technical correction............................................6064
    Restrictions...................................................33377
227.72  (e)(2)(iii)(A) revised; (e)(2)(iii)(B) and (C) 
        redesignated as (e)(2)(iii)(C) and (D); new (e)(2)(iii)(B) 
        added.......................................................1848
    (e)(2)(iii) correctly revised; CFR correction..................10477
228  Removed.......................................................15887
228.11--228.14 (Subpart B)  Redesignated as 216.111--216.114 
        (Subpart J); interim..........................