[Title 50 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2016 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 50

Wildlife and Fisheries


________________________

Parts 228 to 599

                         Revised as of October 1, 2016

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2016
                    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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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 50:
          Chapter II--National Marine Fisheries Service, 
          National Oceanic and Atmospheric Administration, 
          Department of Commerce (Continued)                         3
          Chapter III--International Fishing and Related 
          Activities                                               143
          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      333
          Chapter V--Marine Mammal Commission                      407
  Finding Aids:
      Table of CFR Titles and Chapters........................     433
      Alphabetical List of Agencies Appearing in the CFR......     453
      List of CFR Sections Affected...........................     463

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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 50 CFR 228.1 refers 
                       to title 50, part 228, 
                       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, 2016), 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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

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.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed 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, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

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 Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

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

REPUBLICATION OF MATERIAL

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in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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CFR Sections Affected), The United States Government Manual, the Federal 
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register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2016.







[[Page ix]]



                               THIS TITLE

    Title 50--Fish and Wildlife is composed of thirteen volumes. The 
parts in these volumes are arranged in the following order: Parts 1-16; 
part 17 (17.1 to 17.95(a)), part 17 (17.95(b)), part (17.95(c) to (e)), 
part 17 (17.95(f) to end of 17.95), part 17 (17.96 to 17.98), part 17 
(17.99(a) to 17.99(h)), part 17 (17.99(i) to end of part 17), parts 18-
199, parts 200-227, parts 228-599, parts 600-659, and part 660 to end. 
The first nine volumes consist of parts 1-16, part 17 (17.1 to 
17.95(a)), part 17 (17.95(b)), part 17 (17.95(c) to (e)), part 17 
(17.95(f) to end of 17.95), part 17 (17.96 to 17.98), part 17 (17.99(a) 
to 17.99(h), part 17 (17.99(i) to end of part 17), and parts 18-199 and 
contain the current regulations issued under chapter I--United States 
Fish and Wildlife Service, Department of the Interior. The tenth volume 
(parts 200-227) contains the current regulations issued under chapter 
II--the National Marine Fisheries Service, National Oceanic and 
Atmospheric Administration. The eleventh volume (parts 228-599) contains 
the remaining current regulations issued under chapter II--National 
Marine Fisheries Service, National Oceanic and Atmospheric 
Administration, Department of Commerce; and the current regulations 
issued under 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 twelfth and thirteenth volumes (parts 600-
659 and part 660 to end) contain 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, 2016.

    Alphabetical listings of endangered and threatened wildlife and 
plants appear in Sec. Sec.  17.11 and 17.12.

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

    For this volume, Ann Worley was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of John Hyrum 
Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                    TITLE 50--WILDLIFE AND FISHERIES




                  (This book contains parts 228 to 599)

  --------------------------------------------------------------------
                                                                    Part

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

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  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
228             Notice and hearing on section 103(d) 
                    regulations.............................           5
229             Authorization for commercial fisheries under 
                    the Marine Mammal Protection Act of 1972          11
                          SUBCHAPTER D--WHALING
230             Whaling provisions..........................          61
SUBCHAPTER E--TRANSPORTATION AND LABELING OF FISH OR WILDLIFE [RESERVED]
                     SUBCHAPTER F--AID TO FISHERIES
253             Fisheries assistance programs...............          64
259             Capital construction fund...................          79
 SUBCHAPTER G--PROCESSED FISHERY PRODUCTS, PROCESSED PRODUCTS THEREOF, 
                AND CERTAIN OTHER PROCESSED FOOD PRODUCTS
260             Inspection and certification................          91
261             United States standards for grades..........         121
                SUBCHAPTER H--FISH AND SEAFOOD PROMOTION
270             Species-specific Seafood Marketing Councils.         123
                       SUBCHAPTERS I-J [RESERVED]
                     SUBCHAPTER K--CONTINENTAL SHELF
296             Fishermen's Contingency Fund................         135

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297-299

[Reserved]

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               SUBCHAPTER A_GENERAL PROVISIONS [RESERVED]





       SUBCHAPTER B_NORTH PACIFIC COMMERCIAL FISHERIES [RESERVED]





                       SUBCHAPTER C_MARINE MAMMALS





PART 228_NOTICE AND HEARING ON SECTION 103(d) REGULATIONS
--Table of Contents



Sec.
228.1 Basis and purpose.
228.2 Definitions.
228.3 Scope of regulations.
228.4 Notice of hearing.
228.5 Notification by interested persons.
228.6 Presiding officer.
228.7 Direct testimony submitted as written documents.
228.8 Mailing address.
228.9 Inspection and copying of documents.
228.10 Ex parte communications.
228.11 Prehearing conference.
228.12 Final agenda of the hearing.
228.13 Determination to cancel the hearing.
228.14 Rebuttal testimony and new issues of fact in final agenda.
228.15 Waiver of right to participate.
228.16 Conduct of the hearing.
228.17 Direct testimony.
228.18 Cross-examination.
228.19 Oral and written arguments.
228.20 Recommended decision, certification of the transcript and 
          submission of comments on the recommended decision.
228.21 Assistant Administrator's decision.

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

    Source: 65 FR 39560, June 27, 2000, unless otherwise noted.



Sec.  228.1  Basis and purpose.

    (a) Sections 101(a)(2), 101(a)(3)(A), and 101(b) of the Marine 
Mammal Protection Act of 1972 (16 U.S.C. 1371(a)(2), 1371(a)(3)(A), and 
1371(b)) and these regulations authorize the Assistant Administrator of 
the National Marine Fisheries Service, to:
    (1) Impose regulations governing the taking of marine mammals 
incidental to commercial fishing operations;
    (2) Waive the moratorium and to adopt regulations with respect to 
the taking and importing of animals from each species of marine mammals 
under the Assistant Administrator's jurisdiction;
    (3) Prescribe regulations governing the taking of depleted marine 
mammals by any Indian, Aleut or Eskimo, respectively. In prescribing 
regulations to carry out the provisions of said sections, the Act refers 
the Assistant Administrator to section 103 (16 U.S.C. 1373). In 
accordance with section 103(d), regulations must be made on the record 
after opportunity for an agency hearing on such regulations and, in the 
case of a waiver, on the determination by the Assistant Administrator to 
waive the moratorium pursuant to section 101(a)(3)(A) of the Act (16 
U.S.C. 1371(a)(3)(A)).
    (b) The purpose of this part is to establish rules of practice and 
procedure for all hearings conducted pursuant to section 103(d) of the 
Act.



Sec.  228.2  Definitions.

    (a) Party means, for the purposes of this subpart:
    (1) The Assistant Administrator or the Assistant Administrator's 
representative;
    (2) A person who has notified the Assistant Administrator by 
specified dates of his or her intent to participate in the hearing 
pursuant to Sec. Sec.  228.5 and 228.14(b).
    (b) Witness means, for the purpose of this part, any person who 
submits written direct testimony on the proposed regulations. A person 
may be both a party and a witness.



Sec.  228.3  Scope of regulations.

    The procedural regulations in this part govern the practice and 
procedure in hearings held under section 103(d) of the Act. These 
hearings will be governed by the provisions of 5 U.S.C. 556 and section 
557 of the Administrative Procedure Act. The regulations shall be 
construed to secure the just, speedy and inexpensive determination of 
all issues raised with respect to any waiver or regulation proposed 
pursuant to section 103(d) of the Act with full protection for the 
rights of all persons affected thereby.

[[Page 6]]



Sec.  228.4  Notice of hearing.

    (a) A notice of hearing on any proposed regulations shall be 
published in the Federal Register, together with the Assistant 
Administrator's proposed determination to waive the moratorium pursuant 
to section 101(a)(3)(A) of the Act (16 U.S.C. 1371(a)(3)(A)), where 
applicable.
    (b) The notice shall state:
    (1) The nature of the hearing;
    (2) The place and date of the hearing. The date shall not be less 
than 60 days after publication of notice of the hearing;
    (3) The legal authority under which the hearing is to be held;
    (4) The proposed regulations and waiver, where applicable, and a 
summary of the statements required by section 103(d) of the Act (16 
U.S.C. 1373(d));
    (5) Issues of fact which may be involved in the hearing;
    (6) If a draft Environmental Impact Statement is required, the date 
of publication of the draft and the place(s) where the draft and 
comments thereon may be viewed and copied;
    (7) Any written advice received from the Marine Mammal Commission;
    (8) The place(s) where records and submitted direct testimony will 
be kept for public inspection;
    (9) The final date for filing with the Assistant Administrator a 
notice of intent to participate in the hearing pursuant to Sec.  228.5;
    (10) The final date for submission of direct testimony on the 
proposed regulations and waiver, if applicable, and the number of copies 
required;
    (11) The docket number assigned to the case which shall be used in 
all subsequent proceedings; and
    (12) The place and date of the pre-hearing conference.



Sec.  228.5  Notification by interested persons.

    Any person desiring to participate as a party shall notify the 
Assistant Administrator, by certified mail, on or before the date 
specified in the notice.



Sec.  228.6  Presiding officer.

    (a) Upon publication of the notice of hearing pursuant to Sec.  
228.4, the Assistant Administrator shall appoint a presiding officer 
pursuant to 5 U.S.C. 3105. No individual who has any conflict of 
interest, financial or otherwise, shall serve as presiding officer in 
such proceeding.
    (b) The presiding officer, in any proceeding under this subpart, 
shall have power to:
    (1) Change the time and place of the hearing and adjourn the 
hearing;
    (2) Evaluate direct testimony submitted pursuant to these 
regulations, make a preliminary determination of the issues, conduct a 
prehearing conference to determine the issues for the hearing agenda, 
and cause to be published in the Federal Register a final hearing 
agenda;
    (3) Rule upon motions, requests and admissibility of direct 
testimony;
    (4) Administer oaths and affirmations, question witnesses and direct 
witnesses to testify;
    (5) Modify or waive any rule (after notice) when determining that no 
party will be prejudiced;
    (6) Receive written comments and hear oral arguments;
    (7) Render a recommended decision; and
    (8) Do all acts and take all measures, including regulation of media 
coverage, for the maintenance of order at and the efficient conduct of 
the proceeding.
    (c) In case of the absence of the original presiding officer or the 
original presiding officer's inability to act, the powers and duties to 
be performed by the original presiding officer under this subpart in 
connection with a proceeding may, without abatement of the proceeding, 
be assigned to any other presiding officer unless otherwise ordered by 
the Assistant Administrator.
    (d) The presiding officer may upon the presiding officer's own 
motion withdraw as presiding officer in a proceeding if the presiding 
officer deems himself or herself to be disqualified.
    (e) A presiding officer may be requested to withdraw at any time 
prior to the recommended decision. Upon the filing by an interested 
person in good faith of a timely and sufficient affidavit alleging the 
presiding officer's personal bias, malice, conflict of interest or other 
basis which might result in prejudice to a party, the hearing shall

[[Page 7]]

recess. The Assistant Administrator shall immediately determine the 
matter as a part of the record and decision in the proceeding, after 
making such investigation or holding such hearings, or both, as the 
Assistant Administrator may deem appropriate in the circumstances.



Sec.  228.7  Direct testimony submitted as written documents.

    (a) Unless otherwise specified, all direct testimony, including 
accompanying exhibits, must be submitted to the presiding officer in 
writing no later than the dates specified in the notice of the hearing 
(Sec.  228.4), the final hearing agenda (Sec.  228.12), or within 15 
days after the conclusion of the prehearing conference (Sec.  228.14) as 
the case may be. All direct testimony shall be in affidavit form and 
exhibits constituting part of such testimony, referred to in the 
affidavit and made a part thereof, must be attached to the affidavit. 
Direct testimony submitted with exhibits must state the issue to which 
the exhibit relates; if no such statement is made, the presiding officer 
shall determine the relevance of the exhibit to the issues published in 
the Federal Register.
    (b) The direct testimony submitted shall contain:
    (1) A concise statement of the witness' interest in the proceeding 
and his position regarding the issues presented. If the direct testimony 
is presented by a witness who is not a party, the witness shall state 
the witness' relationship to the party; and
    (2) Facts that are relevant and material.
    (c) The direct testimony may propose issues of fact not defined in 
the notice of the hearing and the reason(s) why such issues should be 
considered at the hearing.
    (d) Ten copies of all direct testimony must be submitted unless the 
notice of the hearing specifies otherwise.
    (e) Upon receipt, direct testimony shall be assigned a number and 
stamped with that number and the docket number.
    (f) Contemporaneous with the publication of the notice of hearing, 
the Assistant Administrator's direct testimony in support of the 
proposed regulations and waiver, where applicable, shall be available 
for public inspection as specified in the notice of hearing. The 
Assistant Administrator may submit additional direct testimony during 
the time periods allowed for submission of such testimony by witnesses.



Sec.  228.8  Mailing address.

    Unless otherwise specified in the notice of hearing, all direct 
testimony shall be addressed to the Presiding Officer, c/o Assistant 
Administrator, National Marine Fisheries Service, 1315 East-West 
Highway, Silver Spring, MD 20910. All affidavits and exhibits shall be 
clearly marked with the docket number of the proceedings.



Sec.  228.9  Inspection and copying of documents.

    Any document in a file pertaining to any hearing authorized by this 
subpart or any document forming part of the record of such a hearing may 
be inspected and/or copied in the Office of the Assistant Administrator, 
National Marine Fisheries Service, 1315 East-West Highway, Silver 
Spring, MD 20910-unless the file is in the care and custody of the 
presiding officer, in which case the presiding officer shall notify the 
parties as to where and when the record may be inspected.



Sec.  228.10  Ex parte communications.

    (a) After notice of a hearing is published in the Federal Register, 
all communications, whether oral or written, involving any substantive 
or procedural issue and directed either to the presiding officer or to 
the Assistant Administrator, Deputy Assistant Administrator, or Chief of 
the Marine Mammal Division, National Marine Fisheries Service, without 
reference to these rules of procedure, shall be deemed ex parte 
communications and are not to be considered part of the record for 
decision.
    (b) A record of oral conversations shall be made by the persons who 
are contacted. All communications shall be available for public viewing 
at the place(s) specified in the notice of hearing.
    (c) The presiding office shall not consult any person or party on 
any fact in issue or on the merits of the matter

[[Page 8]]

unless notice and opportunity is given for all parties to participate.



Sec.  228.11  Prehearing conference.

    (a) After an examination of all the direct testimony submitted 
pursuant to Sec.  228.7, the presiding officer shall make a preliminary 
determination of issues of fact which may be addressed at the hearing.
    (b) The presiding officer's preliminary determination shall be made 
available at the place or places provided in the notice of the hearing 
(Sec.  228.4(b)(8)) at least 5 days before the prehearing conference.
    (c) The purpose of the prehearing conference shall be to enable the 
presiding officer to determine, on the basis of the direct testimony 
submitted and prehearing discussions:
    (1) Whether the presiding officer's preliminary determination of 
issues of fact for the hearing has omitted any significant issues;
    (2) What facts are not in dispute;
    (3) Which witnesses may appear at the hearing; and
    (4) The nature of the interest of each party and which parties' 
interests are adverse.
    (d) Only parties may participate in the hearing conference and a 
party may appear in person or be represented by counsel.
    (e) Parties who do not appear at the prehearing conference shall be 
bound by the conference's determinations.



Sec.  228.12  Final agenda of the hearing.

    (a) After the prehearing conference, the presiding officer shall 
prepare a final agenda which shall be published in the Federal Register 
within 10 days after the conclusion of the conference. A copy of the 
final agenda shall be mailed to all parties.
    (b) The final agenda shall list:
    (1) All the issues which the hearing shall address, the order in 
which those issues shall be presented, and the direct testimony 
submitted which bears on the issues; and
    (2) A final date for submission of direct testimony on issues of 
fact not included in the notice of hearing if such issues are presented. 
The final agenda may also specify a final date for submission of direct 
testimony to rebut testimony previously submitted during the time 
specified in the notice of the hearing.
    (c) The presiding officer shall publish with the final agenda a list 
of witnesses who may appear at the hearing, a list of parties, the 
nature of the interest of each party, and which parties' interests are 
adverse on the issues presented.



Sec.  228.13  Determination to cancel the hearing.

    (a) If the presiding officer concludes that no issues of fact are 
presented by the direct testimony submitted, the presiding officer shall 
publish such conclusion and notice in the Federal Register that a 
hearing shall not be held and shall also publish a date for filing 
written comments on the proposed regulations. Written comments may 
include proposed findings and conclusions, arguments or briefs.
    (b) A person need not be a party to submit any written comments.
    (c) Promptly after expiration of the period for receiving written 
comments, the presiding officer shall make a recommended decision based 
on the record, which in this case shall consist of the direct testimony 
and written comments submitted. He shall transfer to the Assistant 
Administrator his recommended decision, the record and a certificate 
stating that the record contains all the written direct testimony and 
comments submitted. The Assistant Administrator shall then make a final 
decision in accordance with these regulations (Sec.  228.21).



Sec.  228.14  Rebuttal testimony and new issues of fact in final agenda.

    (a) Direct testimony to rebut testimony offered during the time 
period specified in the notice of hearing may be submitted pursuant to 
these regulations within fifteen days after the conclusion of the 
prehearing conference unless the presiding officer otherwise specifies 
in the final agenda.
    (b) If the final agenda presents issues not included in the notice 
of the hearing published pursuant to Sec.  228.4:
    (1) Any person interested in participating at the hearing on such 
issues presented shall notify the Assistant Administrator by certified 
mail of an

[[Page 9]]

intent to participate not later than 10 days after publication of the 
final agenda. Such person may present direct testimony or cross-examine 
witnesses only on such issues presented unless that person previously 
notified the Assistant Administrator pursuant to Sec.  228.5; and
    (2) Additional written direct testimony concerning such issues may 
be submitted within the time provided in the final agenda. Such direct 
testimony will comply with the requirements of Sec.  228.7.



Sec.  228.15  Waiver of right to participate.

    Persons who fail to notify the Assistant Administrator pursuant to 
Sec. Sec.  228.5 and 228.14 shall be deemed to have waived their right 
to participate as parties in any part of the hearing.



Sec.  228.16  Conduct of the hearing.

    (a) The hearing shall be held at the time and place fixed in the 
notice of the hearing, unless the presiding officer changes the time or 
place. If a change occurs, the presiding officer shall publish the 
change in the Federal Register and shall expeditiously notify all 
parties by telephone or by mail: Provided, that if that change in time 
or place of hearing is made less than 5 days before the date previously 
fixed for the hearing, the presiding officer shall also announce, or 
cause to be announced, the change at the time and place previously fixed 
for the hearing.
    (b) The presiding officer shall, at the commencement of the hearing, 
introduce into the record: the notice of hearing as published in the 
Federal Register; all subsequent documents published in the Federal 
Register; the draft Environmental Impact Statement if it is required and 
the comments thereon and agency responses to the comments; and a list of 
all parties. Direct testimony shall then be received with respect to the 
matters specified in the final agenda in such order as the presiding 
officer shall announce. With respect to direct testimony submitted as 
rebuttal testimony or in response to new issues presented by the 
prehearing conference, the presiding officer shall determine the 
relevancy of such testimony.
    (c) The hearing shall be publicly conducted and reported verbatim by 
an official reporter.
    (d) If a party objects to the admission or rejection of any direct 
testimony or to any other ruling of the presiding officer during the 
hearing, he or she shall state briefly the grounds of such objection, 
whereupon an automatic exception will follow if the objection is 
overruled by the presiding officer. The transcript shall not include 
argument or debate thereon except as ordered by the presiding officer. 
The ruling by the presiding officer on any objection shall be a part of 
the transcript and shall be subject to review at the same time and in 
the same manner as the Assistant Administrator's final decision. Only 
objections made before the presiding officer may subsequently be relied 
upon in the proceedings.
    (e) All motions and requests shall be addressed to, and ruled on by, 
the presiding officer, if made prior to his certification of the 
transcript or by the Assistant Administrator if made thereafter.



Sec.  228.17  Direct testimony.

    (a) Only direct testimony submitted by affidavit as provided in 
these regulations and introduced at the hearing by a witness shall be 
considered part of the record. Such direct testimony shall not be read 
into evidence but shall become a part of the record subject to exclusion 
of irrelevant and immaterial parts thereof;
    (b) The witness introducing direct testimony shall:
    (1) State his or her name, address and occupation;
    (2) State qualifications for introducing the direct testimony. If an 
expert, the witness shall briefly state the scientific or technical 
training which qualifies the witness as an expert;
    (3) Identify the direct testimony previously submitted in accordance 
with these regulations; and
    (4) Submit to appropriate cross and direct examination. Cross-
examination shall be by a party whose interests are adverse on the issue 
presented, to the witness', if the witness is a party, or to the 
interests of the party who presented the witness.

[[Page 10]]

    (c) A party shall be deemed to have waived the right to introduce 
direct testimony if such party fails to present a witness to introduce 
the direct testimony.
    (d) Official notice may be taken of such matters as are judicially 
noticed by the courts of the United States: Provided, that parties shall 
be given adequate notice, by the presiding officer, at the hearing, of 
matters so noticed and shall be given adequate opportunity to show that 
such facts are inaccurate or are erroneously noticed.



Sec.  228.18  Cross-examination.

    (a) The presiding officer may:
    (1) Require the cross-examiner to outline the intended scope of the 
cross-examination;
    (2) Prohibit parties from cross-examining witnesses unless the 
presiding officer has determined that the cross-examiner has an adverse 
interest on the facts at issue to the party-witness or the party 
presenting the witness. For the purposes of this subsection, the 
Assistant Administrator's or his or her representative's interest shall 
be considered adverse to all parties;
    (3) Limit the number of times any party or parties having a common 
interest may cross-examine an ``adverse'' witness on the same matter; 
and
    (4) Exclude cross-examination questions that are immaterial, 
irrelevant or unduly repetitious.
    (b) Any party shall be given an opportunity to appear, either in 
person or through an authorized counsel or representative, to cross-
examine witnesses. Before cross-examining a witness, the party or 
counsel shall state his or her name, address and occupation. If counsel 
cross-examines the witness, counsel shall state for the record the 
authority to act as counsel. Cross-examiners shall be assumed to be 
familiar with the direct testimony.
    (c) Any party or party's counsel who fails to appear at the hearing 
to cross-examine an ``adverse'' witness shall be deemed to have waived 
the right to cross-examine that witness.
    (d) Scientific, technical or commercial publications may only be 
utilized for the limited purposes of impeaching witnesses under cross-
examination unless previously submitted and introduced in accordance 
with these regulations.



Sec.  228.19  Oral and written arguments.

    (a) The presiding officer may, in his or her discretion, provide for 
oral argument at the end of the hearing. Such argument, when permitted, 
may be limited by the presiding officer to the extent necessary for the 
expeditious disposition of the proceeding.
    (b) The presiding officer shall announce at the hearing a reasonable 
period of time within which any interested person may file with the 
presiding officer any written comments on the proposed regulations and 
waiver, including proposed findings and conclusions and written 
arguments or briefs, which are based upon the record and citing where 
practicable the relevant page or pages of the transcript. If a party 
filing a brief desires the presiding officer to reconsider any objection 
made by such party to a ruling of the presiding officer, the party shall 
specifically identify such rulings by reference to the pertinent pages 
of the transcript and shall state their arguments thereon as a part of 
the brief.
    (c) Oral or written arguments shall be limited to issues arising 
from direct testimony on the record.



Sec.  228.20  Recommended decision, certification of the transcript and
submission of comments on the recommended decision.

    (a) Promptly after expiration of the period for receiving written 
briefs, the presiding officer shall make a recommended decision based on 
the record and transmit the decision to the Assistant Administrator. The 
recommended decision shall include:
    (1) A statement containing a description of the history of the 
proceedings;
    (2) Findings on the issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (b) The presiding officer shall also transmit to the Assistant 
Administrator the transcript of the hearing, the original and all copies 
of the direct testimony, and written comments. The presiding officer 
shall attach to the original transcript of the hearing a certificate 
stating that, to the best of his knowledge and belief, the transcript is

[[Page 11]]

a true transcript of the testimony given at the hearing except in such 
particulars as are specified.
    (c) Immediately after receipt of the recommended decision, the 
Assistant Administrator shall give notice thereof in the Federal 
Register, send copies of the recommended decision to all parties, and 
provide opportunity for the submission of comments. The recommended 
decision may be reviewed and/or copied in the office of the Assistant 
Administrator, National Marine Fisheries Service, 1315 East-West 
Highway, Silver Spring, MD 20910.
    (d) Within 20 days after the notice of receipt of the recommended 
decision has been published in the Federal Register, any interested 
person may file with the Assistant Administrator any written comments on 
the recommended decision. All comments, including recommendations from 
or consultation with the Marine Mammal Commission, must be submitted 
during the 20-day period to the Assistant Administrator at the 
previously mentioned address.



Sec.  228.21  Assistant Administrator's decision.

    (a) Upon receipt of the recommended decision and transcript and 
after the 20-day period for receiving written comments on the 
recommended decision has passed, the Assistant Administrator shall make 
a final decision on the proposed regulations and waiver, where 
applicable. The Assistant Administrator's decision may affirm, modify, 
or set aside, in whole or in part, the recommended findings, conclusions 
and decision of the presiding officer. The Assistant Administrator may 
also remand the hearing record to the presiding officer for a fuller 
development of the record.
    (b) The Assistant Administrator's decision shall include:
    (1) A statement containing a description of the history of the 
proceeding;
    (2) Findings on the issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (4) The Assistant Administrator's decision shall be published in the 
Federal Register. If the waiver is approved, the final adopted 
regulations shall be promulgated with the decision.



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

229.30 Basis.
229.31 Pacific Offshore Cetacean Take Reduction Plan.
229.32 Atlantic large whale take reduction plan regulations.
229.33 Harbor Porpoise Take Reduction Plan Regulations--New England.
229.34 Harbor Porpoise Take Reduction Plan--Mid-Atlantic.
229.35 Bottlenose Dolphin Take Reduction Plan.
229.36 Atlantic Pelagic Longline Take Reduction Plan (PLTRP).

Figure 1 to Part 229--Drift Gillnet Pinger Configuration and Extender 
          Requirements
229.37 False Killer Whale Take Reduction Plan.

    Authority: 16 U.S.C. 1361 et seq.; Sec.  229.32(f) also issued under 
16 U.S.C. 1531 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)

[[Page 12]]

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 except as provided for under Sec. Sec.  229.4(k) and 
229.5(f).
    (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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9086, Feb. 24, 1999]



Sec.  229.2  Definitions.

    In addition to the definitions contained in the Act and Sec.  216.3 
of this chapter, and unless otherwise defined in this chapter, the terms 
in this chapter have the following meaning:
    Act or MMPA means the Marine Mammal Protection Act of 1972, as 
amended (16 U.S.C. 1361 et seq.).
    American lobster or lobster means Homarus americanus.
    Anchored gillnet means any gillnet gear, including an anchored float 
gillnet, sink gillnet or stab net, that is set anywhere in the water 
column and which is anchored, secured, or weighted to the bottom of the 
sea. Also called a set gillnet.
    Assistant Administrator means the Assistant Administrator for 
Fisheries of the National Oceanic and Atmospheric Administration.
    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.
    Bitter end means the end of a line that detaches from a weak link.
    Bottom portion of the line means, for buoy lines, the portion of the 
line in the water column that is closest to the fishing gear.
    Breaking strength means the highest tensile force which an object 
can withstand before breaking.
    Bridle means the lines connecting a gillnet to an anchor or buoy 
line.
    Buoy line means a line connecting fishing gear in the water to a 
buoy at the surface of the water.
    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

[[Page 13]]

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 incidental serious injury or 
mortality 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 incidental serious injury or mortality 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 Assistant 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.
    Driftnet, drift gillnet, or drift entanglement gear means a gillnet 
or gillnets that is/are unattached to the ocean bottom and not anchored, 
secured or weighted to the bottom, regardless of whether attached to a 
vessel.
    Fisher or fisherman means the vessel owner or operator, or the 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 or to fish means any commercial fishing operation activity 
that involves:
    (1) The catching, taking, or harvesting of fish;
    (2) The attempted catching, taking, or harvesting of fish;
    (3) Any other activity that can reasonably be expected to result in 
the catching, taking, or harvesting of fish; or
    (4) Any operations at sea in support of, or in preparation for, any 
activity

[[Page 14]]

described in paragraphs (1), (2), or (3) of this definition.
    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 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.
    Float-line means the rope at the top of a gillnet from which the 
mesh portion of the net is hung.
    Gillnet means fishing gear consisting of a wall of webbing (meshes) 
or nets, designed or configured so that the webbing (meshes) or nets are 
placed in the water column, usually held approximately vertically, and 
are designed to capture fish by entanglement, gilling, or wedging. The 
term ``gillnet'' includes gillnets of all types, including but not 
limited to sink gillnets, other anchored gillnets (e.g., anchored float 
gillnets, stab, and set nets), and drift gillnets. Gillnets may or may 
not be attached to a vessel.
    Groundline, with reference to trap/pot gear, means a line connecting 
traps in a trap trawl, and, with reference to gillnet gear, means a line 
connecting a gillnet or gillnet bridle to an anchor.
    Hard lay lines mean lines that are at least as stiff as \5/16\ inch 
(0.8 cm) diameter line composed of polyester wrapped around a blend of 
polypropylene and polyethylene and 42 visible twists of strands per foot 
of line.
    Incidental means, with respect to an act, a non-intentional or 
accidental act 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.
    Insignificance threshold means the upper limit of annual incidental 
mortality and serious injury of marine mammal stocks by commercial 
fisheries that can be considered insignificant levels approaching a zero 
mortality and serious injury rate. An insignificance threshold is 
estimated as 10 percent of the Potential Biological Removal level for a 
stock of marine mammals. If certain parameters (e.g., maximum net 
productivity rate or the recovery factor in the calculation of the 
stock's potential biological removal level) can be estimated or 
otherwise modified from default values, the Assistant Administrator may 
use a modification of the number calculated from the simple formula for 
the insignificance threshold. The Assistant Administrator may also use a 
modification of the simple formula when information is insufficient to 
estimate the level of mortality and serious injury that would have an 
insignificant effect on the affected population stock and provide a 
rationale for using the modification.
    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.
    Large mesh gillnet means a gillnet constructed with a mesh size of 7 
inches (17.78 cm) to 18 inches (45.72 cm).
    Lead-line means the rope, weighted or otherwise, to which the bottom 
edge of a gillnet is attached.
    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

[[Page 15]]

of marine mammals during commercial fishing operations.
    Mesh size means the distance between inside knot to inside knot. 
Mesh size is measured as described in Sec.  648.80(f)(1) of this title.
    Mid-Atlantic coastal waters means waters bounded by the line defined 
by the following points: The southern shoreline of Long Island, New York 
at 7230" W, then due south to 3351" N lat., thence west to the North 
Carolina/South Carolina border.
    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.
    Modified pound net leader means a pound net leader that is affixed 
to or resting on the sea floor and made of a lower portion of mesh and 
an upper portion of only vertical lines such that the mesh size is equal 
to or less than 8 inches (20.3 cm) stretched mesh; at any particular 
point along the leader, the height of the mesh from the seafloor to the 
top of the mesh must be no more than one-third the depth of the water at 
mean lower low water directly above that particular point; the mesh is 
held in place by a bottom chain that forms the lowermost part of the 
pound net leader; the vertical lines extend from the top of the mesh up 
to a top line, which is a line that forms the uppermost part of the 
pound net leader; the vertical lines are equal to or greater than \5/16\ 
inch (0.8 cm) in diameter and strung vertically at a minimum of every 2 
feet (61 cm); and the vertical lines are hard lay lines.
    Nearshore pound net means a pound net with every part of the leader 
(from the most offshore pole at the pound end of the leader to the most 
inshore pole of the leader) in less than 14 feet (4.3 m) of water at any 
tidal condition.
    Negligible impact has the same meaning as in Sec.  216.103 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.
    Night means any time between one half hour before sunset and one 
half hour after sunrise.
    NMFS means the National Marine Fisheries Service.
    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.
    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.
    Offshore pound net means a pound net with any part of the leader 
(from the most offshore pole at the pound end of the leader to the most 
inshore pole of the leader) in water greater than or equal to 14 feet 
(4.3 m) at any tidal condition.
    Operator, with respect to any vessel, means the master, captain, or 
other individual in charge of that vessel.
    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.
    Pound net means a fixed entrapment gear attached to posts or stakes 
with three continuous sections from offshore to inshore consisting of:
    (1) A pound made of mesh netting that entraps the fish;
    (2) At least one heart made of a mesh netting that is generally in 
the shape of a heart and aids in funneling fish into the pound; and
    (3) A leader, which is a long, straight element consisting of mesh 
or vertical

[[Page 16]]

lines that directs the fish offshore towards the pound.
    Qualified individual means an individual ascertained by NMFS to be 
reasonably able, though training or experience, to identify a right 
whale. Such individuals include, but are not limited to, NMFS staff, 
U.S. Coast Guard and Navy personnel trained in whale identification, 
scientific research survey personnel, whale watch operators and 
naturalists, and mariners trained in whale species identification 
through disentanglement training or some other training program deemed 
adequate by NMFS.
    Regional Fishery Management Council means a regional fishery 
management council established under section 302 of the Magnuson Fishery 
Conservation and Management Act.
    Reliable report means a credible right whale sighting report based 
upon which a DAM zone would be triggered.
    Seine means a net that fishes vertically in the water, is pulled by 
hand or by power, and captures fish by encirclement and confining fish 
within itself or against another net, the shore or bank as a result of 
net design, construction, mesh size, webbing diameter, or method in 
which it is used. In some regions, the net is typically constructed with 
a capture bag in the center of the net which concentrates the fish as 
the net is closed.
    Serious injury means any injury that will likely result in 
mortality.
    Sink gillnet or stab net means any gillnet, anchored or otherwise, 
that is designed to be, or is fished on or near the bottom in the lower 
third of the water column.
    Sinking line means, for both groundlines and buoy lines, line that 
has a specific gravity greater than or equal to 1.030, and, for 
groundlines only, does not float at any point in the water column.
    Small mesh gillnet means a gillnet constructed with a mesh size of 
greater than 5 inches (12.7 cm) to less than 7 inches (17.78 cm).
    Spotter plane means a plane that is deployed for the purpose of 
locating schools of target fish for a fishing vessel that intends to set 
fishing gear on them.
    Stowed means traps/pots and gillnets that are unavailable for 
immediate use and further, all gillnets are stored in accordance with 
the following:
    (1) All nets are covered with canvas or other similar material and 
lashed or otherwise securely fastened to the deck, rail, or drum, and 
all buoys larger than 6 inches (15.24 cm) in diameter, high flyers, and 
anchors are disconnected; and
    (2) Any other method of stowage authorized in writing by the 
Regional Administrator and subsequently published in the Federal 
Register.
    Strategic stock means a marine mammal stock:
    (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.
    Sunrise means the time of sunrise as determined for the date and 
location in The Nautical Almanac, prepared by the U.S. Naval 
Observatory.
    Sunset means the time of sunset as determined for the date and 
location in The Nautical Almanac, prepared by the U.S. Naval 
Observatory.
    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.
    Tended gear or tend means fishing gear that is physically attached 
to a

[[Page 17]]

vessel in a way that is capable of harvesting fish, or to fish with gear 
attached to the vessel.
    Tie-down refers to twine used between the floatline and the lead 
line as a way to create a pocket or bag of netting to trap fish alive.
    Tie loops means the loops on a gillnet panel used to connect net 
panels to the buoy line, groundline, bridle or each other.
    Trap/Pot means any structure or other device, other than a net or 
longline, that is placed, or designed to be placed, on the ocean bottom 
and is designed for or is capable of, catching species including but not 
limited to lobster, crab (red, Jonah, rock, and blue), hagfish, finfish 
(black sea bass, scup, tautog, cod, haddock, pollock, redfish (ocean 
perch), and white hake), conch/whelk, and shrimp.
    Trap/pot trawl means two or more trap/pots attached to a single 
groundline.
    Up and down line means the line that connects the float-line and 
lead-line at the end of each gillnet net panel.
    U.S. waters means both state and Federal waters to the outer 
boundaries of the U.S. exclusive economic zone along the east coast of 
the United States from the Canadian/U.S. border southward to a line 
extending eastward from the southernmost tip of Florida on the Florida 
shore.
    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).
    Weak link means a breakable component of gear that will part when 
subject to a certain tension load.

[60 FR 45100, Aug. 30, 1995, as amended at 62 FR 39183, July 22, 1997; 
63 FR 66487, Dec. 2, 1998; 64 FR 7551, Feb. 16, 1999; 64 FR 9086, Feb. 
24, 1999; 65 FR 80377, Dec. 21, 2000; 67 FR 1141, Jan. 9, 2002; 67 FR 
1313, Jan. 10, 2002; 69 FR 6584, Feb. 11, 2004; 69 FR 43345, July 20, 
2004; 71 FR 24796, Apr. 26, 2006; 72 FR 34642, June 25, 2007; 72 FR 
57180, Oct. 5, 2007; 73 FR 51241, Oct. 2, 2008; 75 FR 7396, Feb. 19, 
2010; 79 FR 36610, June 27, 2014; 80 FR 6929, Feb. 9, 2015]



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 injury or mortality 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 retain any marine mammal incidentally taken 
in commercial fishing operations unless authorized by NMFS personnel, by 
designated contractors or an official observer, or by a scientific 
research permit that is in the possession of the vessel operator.
    (f) 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.
    (g) It is prohibited to violate any regulation in this part or any 
provision of section 118 of the Act.
    (h) It is prohibited to own, operate, or be on board a vessel 
subject to the Atlantic Large Whale Take Reduction Plan except if that 
vessel and all fishing gear comply with all applicable provisions of 
Sec.  229.32.
    (i) It is prohibited to fish for, catch, take, harvest or possess 
fish or wildlife while on board a vessel subject to the Atlantic Large 
Whale Take Reduction Plan, except if that vessel and all fishing gear is 
in compliance with all applicable provisions of Sec.  229.32.

[[Page 18]]

    (j) Any person or vessel claiming the benefit of any exemption or 
exception under Sec.  229.32 has the burden of proving that the 
exemption or exception, is applicable.
    (k)-(l) [Reserved]
    (m) It is prohibited to fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
sink gillnet gear or gillnet gear capable of catching multispecies from 
the areas and for the times specified in Sec.  229.33(a)(1), (a)(3), 
(a)(6), and (a)(8). This prohibition also applies to areas where pingers 
are required, unless the vessel owner or operator complies with the 
pinger provisions specified in Sec.  229.33 (a)(2) through (a)(5) and 
(a)(7). This prohibition does not apply to vessels fishing with a single 
pelagic gillnet (as described and used as set forth in Sec.  
648.81(f)(2)(ii) of this title).
    (n) It is prohibited to fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
gillnet gear from the areas and for the times as specified in Sec.  
229.34 (b)(1)(i), (b)(2)(i), (b)(3)(i), or (b)(4)(i).
    (o) It is prohibited to fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
any large mesh or small mesh gillnet gear from the areas and for the 
times specified in Sec.  229.34(b) unless the gear complies with the 
specified gear restrictions set forth in the provisions of paragraphs 
(b)(1)(ii) or (iii), (b)(2)(ii) or (iii), (b)(3)(ii) or (iii), or 
(b)(4)(ii) or (iii) of Sec.  229.34.
    (p) It is prohibited to fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
sink gillnet gear or gillnet gear capable of catching multispecies in 
areas where pingers are required, as specified under Sec.  229.33 (a)(2) 
through (a)(5) and (a)(7), unless the operator on board the vessel 
during fishing operations possesses and retains on board the vessel a 
valid pinger training authorization issued by NMFS as specified under 
Sec.  229.33(c).
    (q)-(r) [Reserved]
    (s) General Bottlenose Dolphin Take Reduction Plan. (1) It is 
prohibited to set, fish with, or possess on board a vessel unless 
stowed, or fail to remove, any gillnet or pound net from the waters 
specified in Sec.  229.35(c) unless the gear complies with the specified 
restrictions set forth in Sec.  229.35(d).
    (2) It is prohibited to set, fish with, or fail to remove a modified 
pound net leader in the Bottlenose Dolphin Pound Net Regulated Area 
unless the fisherman has on board the vessel a valid modified pound net 
leader compliance training certificate issued by NMFS.
    (t) It is prohibited to deploy or fish with pelagic longline gear in 
the Mid-Atlantic Bight unless the vessel:
    (1) Complies with the placard posting requirement specified in Sec.  
229.36(c); and
    (2) Complies with the gear restrictions specified in Sec.  
229.36(e).
    (u) It is prohibited to deploy or fish with pelagic longline gear in 
the Cape Hatteras Special Research Area unless the vessel is in 
compliance with the observer and research requirements specified in 
Sec.  229.36(d).
    (v) It is prohibited to deep-set from a vessel registered for use 
under a Hawaii longline limited access permit unless the vessel complies 
with the gear requirements specified in Sec.  229.37(c)(1) and (c)(2) .
    (w) It is prohibited to fish with longline gear in the Main Hawaiian 
Islands Longline Fishing Prohibited Area, as defined in Sec.  
229.37(d)(1).
    (x) It is prohibited to deep-set in the Southern Exclusion Zone, as 
defined in Sec.  229.37(d)(2), during the time the area is closed to 
deep-set longline fishing pursuant to Sec.  229.37(e).
    (y) It is prohibited to fish with longline gear from a vessel 
registered for use under a Hawaii longline limited access permit in 
violation of the marine mammal handling and release requirements at 
Sec.  229.37(f).

[60 FR 45100, Aug. 30, 1995, as amended at 62 FR 39184, July 22, 1997; 
63 FR 66487, Dec. 2, 1998; 64 FR 7552, Feb. 16, 1999; 64 FR 9086, Feb. 
24, 1999; 65 FR 80377, Dec. 21, 2000; 67 FR 1313, Jan. 10, 2002; 67 FR 
59477, Sept. 23, 2002; 71 FR 24796, Apr. 26, 2006; 72 FR 57180, Oct. 5, 
2007; 74 FR 23357, May 19, 2009; 75 FR 7396, Feb. 19, 2010; 77 FR 71284, 
Nov. 29, 2012; 79 FR 36610, June 27, 2014; 80 FR 6929, Feb. 9, 2015]



Sec.  229.4  Requirements for Category I and II fisheries.

    (a) General. (1) For a vessel owner or crew members to lawfully 
incidentally

[[Page 19]]

take marine mammals in the course of a commercial fishing operation in a 
Category I or II fishery, the owner or authorized representative of a 
fishing vessel or nonvessel fishing gear must have in possession a valid 
Certificate of Authorization. The owner of a fishing vessel or nonvessel 
fishing gear is responsible for obtaining a Certificate of 
Authorization.
    (2) The granting and administration of Authorization Certificates 
under this part will 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 
Authorization Certificates is integrated into a program, NMFS will 
publish a notice in the Federal Register announcing the integrated 
program and summarizing how an owner or authorized representative of a 
fishing vessel or non-fishing gear may register under that program or 
how registration will be achieved if no action is required on the part 
of the affected fisher. NMFS will make additional efforts to contact 
participants in the affected fishery via other appropriate means of 
notification.
    (b) Registration. (1) The owner of a vessel, or for nonvessel gear 
fisheries, the owner of gear, who participates in a Category I or II 
fishery is required to be registered for a Certificate of Authorization.
    (2) Unless a notice is published in the Federal Register announcing 
an integrated registration program, the owner of a vessel, or for 
nonvessel fishery, the owner of the gear must register for and receive 
an Authorization Certificate. To register, owners must submit the 
following information using the format specified by NMFS:
    (i) Name, address, and phone number of owner.
    (ii) 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.
    (iii) For a vessel fishery, vessel name, length, home port; U.S. 
Coast Guard documentation number or state registration number, and if 
applicable; state commercial vessel license number and for a nonvessel 
fishery, a description of the gear and state commercial license number, 
if applicable.
    (iv) A list of all Category I and II fisheries in which the fisher 
may actively engage during the calendar year.
    (v) A certification signed and dated by the owner of an authorized 
representative of the owner 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.''
    (vi) 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.
    (3) If a notice is published in the Federal Register announcing an 
integrated registration program, the owner of a vessel, or for nonvessel 
fishery, the owner of the gear may register by following the directions 
provided in that notice. If a person receives a registration to which he 
or she is not entitled or if the registration contains incorrect, 
inaccurate or incomplete information, the person shall notify NMFS 
within 10 days following receipt. If a fisher participating in a 
Category I or II fishery who expects to receive automatic registration 
does not receive that registration within the time specified in the 
notice announcing the integrated registration program, the person shall 
notify NMFS as directed in the notice or may apply for registration by 
submitting the information required under paragraph (b)(1)(i) through 
(b)(1)(vi) of this section.
    (c) Address. Unless the granting and administration of 
authorizations under this 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 and renewal

[[Page 20]]

forms should be sent to the NMFS Regional Offices as follows:
    (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: 562-980-4001;
    (4) Northeast Region, NMFS, 1 Blackburn Drive, Gloucester, MA 01930; 
telephone: 978-281-9254; or
    (5) Southeast Region, NMFS, 9721 Executive Center Drive North, St. 
Petersburg, FL 33702; telephone: 727-570-5312.
    (d) Issuance. (1) For integrated fisheries, an Authorization 
Certificate or other proof of registration will be issued annually to 
each fisher registered for that fishery.
    (2) For all other fisheries (i.e., non-integrated fisheries), NMFS 
will issue an Authorization Certificate and, if necessary, a decal to an 
owner or authorized representative who:
    (i) Submits a completed registration form and the required fee.
    (ii) Has complied with the requirements of this section and 
Sec. Sec.  229.6 and 229.7.
    (iii) Has submitted updated registration or renewal registration 
which includes a statement (yes/no) whether any marine mammals were 
killed or injured during the current or previous calendar year.
    (3) If a person receives a renewed Authorization Certificate or a 
decal to which he or she is not entitled, the person shall notify NMFS 
within 10 days following receipt.
    (e) Authorization Certificate and decal requirements. (1) If a decal 
has been issued under the conditions specified in paragraph (e)(2) of 
this section, the 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 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.
    (f) Reporting. Any Authorization Certificate holders must comply 
with the reporting requirements specified under Sec.  229.6.
    (g) 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 observer, or authorized otherwise by a 
scientific research permit that is in the possession of the operator.
    (h) Monitoring. Authorization Certificate holders must comply with 
the observer or other monitoring requirements specified under Sec.  
229.7.
    (i) 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.

[[Page 21]]

    (j) 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.
    (k) Take reduction plans and emergency regulations. Authorization 
Certificate holders must comply with any applicable take reduction plans 
and emergency regulations.
    (l) Expiration. Authorization Certificates expire at the end of each 
calendar year.

[60 FR 45100, Aug. 30, 1995, as amended at 62 FR 46, Jan. 2, 1997; 64 FR 
9086, Feb. 24, 1999]



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 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(d).
    (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 
commercial fishing operations 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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9087, Feb. 24, 1999]



Sec.  229.6  Reporting requirements.

    (a) Vessel owners or operators engaged in any commercial 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;
    (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 (a)(4) of this section except, 
instead of providing the vessel name and vessel registration number, 
participants in nonvessel fisheries must provide the gear permit number.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9087, Feb. 24, 1999]

[[Page 22]]



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 observe 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 participants in Category I and II 
fisheries. (1) If requested by NMFS or by a designated contractor 
providing observer services to NMFS, a vessel owner/operator 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 vessel owner/operator 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 vessel owner/operator and crew must cooperate with the 
observer in the performance of the observer's duties including:
    (i) Providing, at no cost to the observer, the United States 
government, or the designated observer provider, food, toilet, bathing, 
sleeping accommodations, and other amenities that are equivalent to 
those provided to the crew, unless other arrangements are approved in 
advance by the Regional Administrator;
    (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, retaining, and storing of marine mammal specimens, 
other protected species specimens, or target or non-target catch 
specimens, upon request by NMFS personnel, designated contractors, or 
the observer, if adequate facilities are available and if feasible;
    (vii) Notifying the observer in a timely fashion of when all 
commercial fishing operations are to begin and end;
    (viii) Not impairing or in any way interfering with the research or 
observations being carried out; and
    (ix) Complying with other guidelines or regulations that NMFS may 
develop to ensure the effective deployment and use of observers.
    (5) Marine mammals or other specimens identified in paragraph 
(c)(4)(vi) of this section, which are readily accessible to crew 
members, must be

[[Page 23]]

brought on board the vessel and retained for the purposes of scientific 
research if feasible and requested by NMFS personnel, designated 
contractors, or the observer. Specimens so collected and retained must, 
upon request by NMFS personnel, designated contractors, or the observer, 
be retained in cold storage on board the vessel, if feasible, until 
removed at the request of NMFS personnel, designated contractors, or the 
observer, retrieved by authorized personnel of NMFS, or released by the 
observer for return to the ocean. These biological specimens may be 
transported on board the vessel during the fishing trip and back to port 
under this authorization.
    (d) Observer requirements for participants in 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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9087, Feb. 24, 1999]



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 have been incidentally injured or 
killed by 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.
    (d) The revised final List of Fisheries will become effective no 
sooner than 30 days after publication in the Federal Register.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9087, Feb. 24, 1999]



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--
    (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

[[Page 24]]

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 
if recategorization of the fishery is warranted; 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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9087, Feb. 24, 1999]



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 or emergency regulation 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.
    (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

[[Page 25]]

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 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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9088, Feb. 24, 1999]



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. 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.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9088, Feb. 24, 1999]



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.



       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

[[Page 26]]

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 
paragraph (b) of this section whenever the Assistant Administrator 
determines there has been a significant change in the information or 
conditions used to determine such a list.
    (g) Southern sea otters. This subpart does not apply to the taking 
of Southern (California) sea otters.

[60 FR 45100, Aug. 30, 1995, as amended at 64 FR 9088, Feb. 24, 1999]



   Subpart C_Take Reduction Plan Regulations and Emergency Regulations



Sec.  229.30  Basis.

    Section 118(f)(9) of the Act authorizes the Director, NMFS, to 
impose regulations governing commercial fishing operations, when 
necessary, to implement a take reduction plan in order to

[[Page 27]]

protect or restore a marine mammal stock or species covered by such a 
plan.

[64 FR 9088, Feb. 24, 1999]



Sec.  229.31  Pacific Offshore Cetacean Take Reduction Plan.

    (a) Purpose and scope. The purpose of this section is to implement 
the Pacific Offshore Cetacean Take Reduction Plan. Paragraphs (b) 
through (d) of this section apply to all U.S. drift gillnet fishing 
vessels operating in waters seaward of the coast of California or 
Oregon, including adjacent high seas waters. For purposes of this 
section, the fishing season is defined as beginning May 1 and ending on 
January 31 of the following year.
    (b) Extenders. An extender is a line that attaches a buoy (float) to 
a drift gillnet's floatline. The floatline is attached to the top of the 
drift gillnet. All extenders (buoy lines) must be at least 6 fathoms (36 
ft; 10.9 m) in length during all sets. Accordingly, all floatlines must 
be fished at a minimum of 36 feet (10.9 m) below the surface of the 
water.
    (c) Pingers. (1) For the purposes of this paragraph (c), a pinger is 
an acoustic deterrent device which, when immersed in water, broadcasts a 
10 kHz (2 kHz) sound at 132 dB (4 dB) re 1 micropascal at 1 m, lasting 300 milliseconds 
( + 15 milliseconds), and repeating every 4 seconds ( + .2 seconds); and 
remains operational to a water depth of at least 100 fathoms (600 ft or 
182.88 m).
    (2) While at sea, operators of drift gillnet vessels with gillnets 
onboard must carry enough pingers on the vessel to meet the requirements 
set forth under paragraphs (c)(3) through(6) of this section.
    (3) Floatline. Pingers shall be attached within 30 ft (9.14 m) of 
the floatline and spaced no more than 300 ft (91.44 m) apart.
    (4) Leadline. Pingers shall be attached within 36 ft (10.97 m) of 
the leadline and spaced no more than 300 ft (91.44 m) apart.
    (5) Staggered Configuration. Pingers attached within 30 ft (9.14 m) 
of the floatline and within 36 ft (10.97 m) of the leadline shall be 
staggered such that the horizontal distance between them is no more than 
150 ft (45.5 m).
    (6) Any materials used to weight pingers must not change its 
specifications set forth under paragraph (c)(1) of this section.
    (7) The pingers must be operational and functioning at all times 
during deployment.
    (8) If requested, NMFS may authorize the use of pingers with 
specifications or pinger configurations differing from those set forth 
in paragraphs (c)(1) and (c)(3) of this section for limited, 
experimental purposes within a single fishing season.
    (d) Skipper education workshops. After notification from NMFS, 
vessel operators must attend a skipper education workshop before 
commencing fishing each fishing season. For the 1997/1998 fishing 
season, all vessel operators must have attended one skipper education 
workshop by October 30, 1997. NMFS may waive the requirement to attend 
these workshops by notice to all vessel operators.

[62 FR 51813, Oct. 3, 1997, as amended at 63 FR 27861, May 21, 1998; 64 
FR 3432, Jan. 22, 1999]



Sec.  229.32  Atlantic large whale take reduction plan regulations.

    (a)(1) Purpose and scope. The purpose of this section is to 
implement the Atlantic Large Whale Take Reduction Plan to reduce 
incidental mortality and serious injury of fin, humpback, and right 
whales in specific Category I and Category II commercial fisheries from 
Maine through Florida. Specific Category I and II commercial fisheries 
within the scope of the Plan are identified and updated in the annual 
List of Fisheries. The measures identified in the Atlantic Large Whale 
Take Reduction Plan are also intended to benefit minke whales, which are 
not designated as a strategic stock, but are known to be taken 
incidentally in gillnet and trap/pot fisheries. The gear types affected 
by this plan include gillnets (e.g., anchored, drift, and shark) and 
traps/pots. The Assistant Administrator may revise the requirements set 
forth in this section in accordance with paragraph (i) of this section.
    (2) Regulated waters. (i) The regulations in this section apply to 
all U.S. waters in the Atlantic except for the

[[Page 28]]

areas exempted in paragraph (a)(3) of this section.
    (ii) The six-mile line referred to in paragraph (c)(2)(iii) of this 
section is a line connecting the following points (Machias Seal to Isle 
of Shoals):

4431.98" N. lat., 679.72" W. long (Machias Seal)
443.42" N. lat., 6810.26" W. long (Mount Desert Island)
4340.98" N. lat., 6848.84" W. long (Matinicus)
4339.24" N. lat., 6918.54" W. long (Monhegan)
4329.4" N. lat., 705.88" W. long (Casco Bay)
4255.38" N. lat., 7028.68" W. long (Isle of Shoals)

    (iii) The pocket waters referred to in paragraph (c)(2)(iii) of this 
section are defined as follows:

West of Monhegan Island in the area north of the line 4342.17" N. lat., 
          6934.27" W. long and 4342.25" N. lat., 6919.3" W. long
East of Monhegan Island in the area located north of the line 4344" N. 
          lat., 6915.08" W. long and 4348.17" N. lat., 698.02" W. 
          long
South of Vinalhaven Island in the area located west of the line 
          4352.31" N. lat., 6840" W. long and 4358.12" N. lat., 
          6832.95" W. long
South of Bois Bubert Island in the area located northwest of the line 
          4419.27" N. lat., 6749.5" W. long and 4423.67" N. lat., 
          6740.5" W. long

    (3) Exempted waters. (i) The regulations in this section do not 
apply to waters landward of the 72 COLREGS demarcation lines 
(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 with the exception of the COLREGS lines for 
Casco Bay (Maine), Portsmouth Harbor (New Hampshire), Gardiners Bay and 
Long Island Sound (New York), and the state of Massachusetts.
    (ii) Other exempted waters.

                                  Maine

    The regulations in this section do not apply to waters landward of a 
line connecting the following points (Quoddy Narrows/US-Canada border to 
Odiornes Pt., Portsmouth, New Hampshire):
4449.67" N. lat., 6657.77" W. long. (R N ``2'', Quoddy Narrows)
4448.64" N. lat., 6656.43" W. long. (G ``1'' Whistle, West Quoddy 
          Head)
4447.36" N. lat., 6659.25" W. long. (R N ``2'', Morton Ledge)
4445.51" N. lat., 6702.87" W. long. (R ``28M'' Whistle, Baileys 
          Mistake)
4437.70" N. lat., 6709.75" W. long. (Obstruction, Southeast of Cutler)
4427.77" N. lat., 6732.86" W. long. (Freeman Rock, East of Great Wass 
          Island)
4425.74" N. lat., 6738.39" W. long. (R ``2SR'' Bell, Seahorse Rock, 
          West of Great Wass Island)
4421.66" N. lat., 6751.78" W. long. (R N ``2'', Petit Manan Island)
4419.08" N. lat., 6802.05" W. long. (R ``2S'' Bell, Schoodic Island)
4413.55" N. lat., 6810.71" W. long. (R ``8BI'' Whistle, Baker Island)
4408.36" N. lat., 6814.75" W. long. (Southern Point, Great Duck 
          Island)
4359.36" N. lat., 6837.95" W. long. (R ``2'' Bell, Roaring Bull Ledge, 
          Isle Au Haut)
4359.83" N. lat., 6850.06" W. long. (R ``2A'' Bell, Old Horse Ledge)
4356.72" N. lat., 6904.89" W. long. (G ``5TB'' Bell, Two Bush Channel)
4350.28" N. lat., 6918.86" W. long. (R ``2 OM'' Whistle, Old Man 
          Ledge)
4348.96" N. lat., 6931.15" W. long. (GR C ``PL'', Pemaquid Ledge)
4343.64" N. lat., 6937.58" W. long. (R ``2BR'' Bell, Bantam Rock)
4341.44" N. lat., 6945.27" W. long. (R ``20ML'' Bell, Mile Ledge)
4336.04" N. lat., 7003.98" W. long. (RG N ``BS'', Bulwark Shoal)
4331.94" N. lat., 7008.68" W. long. (G ``1'', East Hue and Cry)
4327.63" N. lat., 7017.48" W. long. (RW ``WI'' Whistle, Wood Island)
4320.23" N. lat., 7023.64" W. long. (RW ``CP'' Whistle, Cape Porpoise)
4304.06" N. lat., 7036.70" W. long. (R N ``2MR'', Murray Rock)
4302.93" N. lat., 7041.47" W. long. (R ``2KR'' Whistle, Kittery Point)
4302.55" N. lat., 7043.33" W. long. (Odiornes Pt., Portsmouth, New 
          Hampshire)

                              New Hampshire

    New Hampshire state waters are exempt from the minimum number of 
traps per trawl requirement in paragraph (c)(2)(iii) of this section. 
Harbor waters landward of the following lines are exempt from all the 
regulations in this section.
A line from 4253.691" N. lat., 7048.516" W. long. to 4253.516" N. 
          lat., 7048.748" W. long. (Hampton Harbor)
A line from 4259.986" N. lat., 7044.654" W. long. to 4259.956" N., 
          7044.737" W. long. (Rye Harbor)

                              Rhode Island

    Rhode Island state waters are exempt from the minimum number of 
traps per trawl requirement in paragraph (c)(2)(iii) of this section. 
Harbor waters landward of the following lines are exempt from all the 
regulations in this section.

[[Page 29]]

A line from 4122.441" N. lat., 7130.781" W. long. to 4122.447" N. 
          lat., 7130.893" W. long. (Pt. Judith Pond Inlet)
A line from 4121.310" N. lat., 7138.300" W. long. to 4121.300" N. 
          lat., 7138.330" W. long. (Ninigret Pond Inlet)
A line from 4119.875" N. lat., 7143.061" W. long. to 4119.879" N. 
          lat., 7143.115" W. long. (Quonochontaug Pond Inlet)
A line from 4119.660" N. lat., 7145.750" W. long. to 4119.660" N. 
          lat., 7145.780" W. long. (Weekapaug Pond Inlet)
A line from 4126.550" N. lat., 7126.400" W. long. to 4126.500" N. 
          lat, 7126.505" W. long. (Pettaquamscutt Inlet)

                                New York

    The regulations in this section do not apply to waters landward of a 
line that follows the territorial sea baseline through Block Island 
Sound (Watch Hill Point, RI, to Montauk Point, NY).

                              Massachusetts

    The regulations in this section do not apply to waters landward of 
the first bridge over any embayment, harbor, or inlet in Massachusetts. 
The following Massachusetts state waters are exempt from the minimum 
number of traps per trawl requirement in paragraph (c)(2)(iii) of this 
section:
    From the New Hampshire border to 70 W longitude south of Cape Cod, 
waters in EEZ Nearshore Management Area 1 and the Outer Cape Lobster 
Management Area (as defined in the American Lobster Fishery regulations 
under Sec.  697.18 of this title), from the shoreline to 3 nautical 
miles from shore, and including waters of Cape Cod Bay southeast of a 
straight line connecting 41 55.8" N lat., 708.4" W long. and 4147.2" 
N lat., 7019.5" W long.
    From 70 W longitude south of Cape Cod to the Rhode Island border, 
all Massachusetts state waters in EEZ Nearshore Management Area 2 and 
the Outer Cape Lobster Management Area (as defined in the American 
Lobster Fishery regulations under Sec.  697.18 of this title), including 
federal waters of Nantucket Sound west of 70 W longitude.

                             South Carolina

    The regulations in this section do not apply to waters landward of a 
line connecting the following points from 3234.717" N. lat., 8008.565" 
W. long. to 3234.686" N. lat., 8008.642" W. long. (Captain Sams Inlet)

    (4) Sinking groundline exemption. The fisheries regulated under this 
section are exempt from the requirement to have groundlines composed of 
sinking line if their groundline is at a depth equal to or greater than 
280 fathoms (1,680 ft or 512.1 m).
    (5) Net panel weak link and anchoring exemption. The anchored 
gillnet fisheries regulated under this section are exempt from the 
requirement to install weak links in the net panel and anchor each end 
of the net string if the float-line is at a depth equal to or greater 
than 280 fathoms (1,680 ft or 512.1 m).
    (6) Island buffer. Those fishing in waters within \1/4\ nautical 
miles of the following Maine islands are exempt from the minimum number 
of traps per trawl requirement in paragraph (c)(2)(iii) of this section: 
Monhegan Island, Matinicus Island Group (Metinic Island, Small Green 
Island, Large Green Island, Seal Island, Wooden Ball Island, Matinicus 
Island, Ragged Island) and Isles of Shoals Island Group (Duck Island, 
Appledore Island, Cedar Island, Smuttynose Island).
    (b) Gear marking requirements--(1) Specified areas. The following 
areas are specified for gear marking purposes: Northern Inshore State 
Trap/Pot Waters, Cape Cod Bay Restricted Area, Massachusetts Restricted 
Area, Stellwagen Bank/Jeffreys Ledge Restricted Area, Northern Nearshore 
Trap/Pot Waters Area, Great South Channel Restricted Trap/Pot Area, 
Great South Channel Restricted Gillnet Area, Great South Channel Sliver 
Restricted Area, Southern Nearshore Trap/Pot Waters Area, Offshore Trap/
Pot Waters Area, Other Northeast Gillnet Waters Area, Mid/South Atlantic 
Gillnet Waters Area, Other Southeast Gillnet Waters Area, Southeast U.S. 
Restricted Areas, and Southeast U.S. Monitoring Area.
    (i) Jordan Basin. The Jordan Basin Restricted Area is bounded by the 
following points connected by straight lines in the order listed:

------------------------------------------------------------------------
                     Point                        N. Lat.      W. Long.
------------------------------------------------------------------------
JBRA1.........................................        4315"        6850"
JBRA2.........................................        4335"        6820"
JBRA3.........................................        4325"        6805"
JBRA4.........................................        4305"        6820"
JBRA5.........................................        4305"        6835"
JBRA1.........................................        4315"        6850"
------------------------------------------------------------------------

    (ii) Jeffreys Ledge Restricted Area--The Jeffreys Ledge Restricted 
Area is bounded by the following points connected by a straight line in 
the order listed:

[[Page 30]]



------------------------------------------------------------------------
                     Point                        N. Lat.      W. Long.
------------------------------------------------------------------------
JLRA1.........................................        4315"        7025"
JLRA2.........................................        4315"        7000"
JLRA3.........................................        4250"        7000"
JLRA4.........................................        4250"        7025"
JLRA1.........................................        4315"        7025"
------------------------------------------------------------------------

    (2) Markings. All specified gear in specified areas must be marked 
with the color code shown in paragraph (b)(3) of this section. The color 
of the color code must be permanently marked on or along the line or 
lines specified below under paragraphs (b)(2)(i) and (ii) of this 
section. Each color mark of the color codes must be clearly visible when 
the gear is hauled or removed from the water, including if the color of 
the rope is the same as or similar to the respective color code. The 
rope must be marked at least three times (top, middle, bottom) and each 
mark must total 12-inch (30.5 cm) in length. If the mark consists of two 
colors then each color mark may be 6-inch (15.25 cm) for a total mark of 
12-inch (30.5 cm). In marking or affixing the color code, the line may 
be dyed, painted, or marked with thin colored whipping line, thin 
colored plastic, or heat-shrink tubing, or other material; or a thin 
line may be woven into or through the line; or the line may be marked as 
approved in writing by the Assistant Administrator. A brochure 
illustrating the techniques for marking gear is available from the 
Regional Administrator, NMFS, Greater Atlantic Region upon request.
    (i) Buoy line markings. All buoy lines must be marked as stated 
above. Shark gillnet gear in the Southeast U.S. Restricted Area S, 
Southeast U.S. Monitoring Area and Other Southeast Gillnet Waters, 
greater than 4 feet (1.22 m) long must be marked within 2 feet (0.6 m) 
of the top of the buoy line (closest to the surface), midway along the 
length of the buoy line, and within 2 feet (0.6 m) of the bottom of the 
buoy line.
    (ii) Net panel markings. Shark gillnet gear net panels in the 
Southeast U.S. Restricted Area S, Southeast U.S. Monitoring Area and 
Other Southeast Gillnet Waters is required to be marked. The net panel 
must be marked along both the floatline and the leadline at least once 
every 100 yards (91.4 m).
    (iii) Surface buoy markings. Trap/pot and gillnet gear regulated 
under this section must mark all surface buoys to identify the vessel or 
fishery with one of the following: The owner's motorboat registration 
number, the owner's U.S. vessel documentation number, the Federal 
commercial fishing permit number, or whatever positive identification 
marking is required by the vessel's home-port state. When marking of 
surface buoys is not already required by state or Federal regulations, 
the letters and numbers used to mark the gear to identify the vessel or 
fishery must be at least 1 inch (2.5 cm) in height in block letters or 
arabic numbers in a color that contrasts with the background color of 
the buoy. A brochure illustrating the techniques for marking gear is 
available from the Regional Administrator, NMFS, Greater Atlantic Region 
upon request.
    (3) Color code. Gear must be marked with the appropriate colors to 
designate gear types and areas as follows:

                            Color Code Scheme
------------------------------------------------------------------------
          Plan management area                        Color
------------------------------------------------------------------------
                              Trap/Pot Gear
------------------------------------------------------------------------
Massachusetts Restricted Area..........  Red.
Northern Nearshore.....................  Red.
Northern Inshore State.................  Red.
Stellwagen Bank/Jeffreys Ledge           Red.
 Restricted Area.
Great South Channel Restricted Area      Red.
 overlapping with LMA 2 and/or Outer
 Cape.
Exempt RI state waters (single traps)..  Red and Blue.
Exempt MA state waters in LMA 1 (single  Red and White.
 traps).
Exempt MA state waters in LMA 2 (single  Red and Black.
 traps).
Exempt MA state waters in Outer Cape     Red and Yellow.
 (single traps).
Isles of Shoals, ME (single traps).....  Red and Orange.
Southern Nearshore.....................  Orange.
Southeast Restricted Area North (State   Blue and Orange.
 Waters).
Southeast Restricted Area North          Green and Orange.
 (Federal Waters).
Offshore...............................  Black.
Great South Channel Restricted Area      Black.
 overlapping with LMA 2/3 and/or LMA 3.
Jordan Basin...........................  Black and Purple (LMA 3); Red
                                          and and Purple (LMA 1).
Jeffreys Ledge.........................  Red and Green.
------------------------------------------------------------------------
                     Gillnet excluding shark gillnet
------------------------------------------------------------------------
Cape Cod Bay Restricted Area...........  Green.
Stellwagen Bank/Jeffreys Ledge           Green.
 Restricted Area.

[[Page 31]]

 
Great South Channel Restricted Area....  Green.
Great South Channel Restricted Sliver    Green.
 Area.
Other Northeast Gillnet Waters.........  Green.
Jordan Basin...........................  Green and Yellow.
Jeffreys Ledge.........................  Green and Black.
Mid/South Atlantic Gillnet Waters......  Blue.
Southeast US Restricted Area South.....  Yellow.
Other Southeast Gillnet Waters.........  Yellow.
------------------------------------------------------------------------
         Shark Gillnet (with webbing of 5 or greater)
------------------------------------------------------------------------
Southeast US Restricted Area South.....  Green and Blue.
Southeast Monitoring Area..............  Green and Blue.
Other Southeast Waters.................  Green and Blue.
------------------------------------------------------------------------

    (c) Restrictions applicable to trap/pot gear in regulated waters--
(1) Universal trap/pot gear requirements. In addition to the gear 
marking requirements listed in paragraph (b) and the area-specific 
measures listed in paragraphs (c)(2) through (10) of this section, all 
trap/pot gear in regulated waters, including the Northern Inshore State 
Trap/Pot Waters Area, must comply with the universal gear requirements 
listed below.\1\
---------------------------------------------------------------------------

    \1\ Fishermen are also encouraged to maintain their buoy lines to be 
as knot-free as possible. Splices are considered to be less of an 
entanglement threat and are thus preferable to knots.
---------------------------------------------------------------------------

    (i) No buoy line floating at the surface. No person or vessel may 
fish with trap/pot gear that has any portion of the buoy line floating 
at the surface at any time when the buoy line is directly connected to 
the gear at the ocean bottom. If more than one buoy is attached to a 
single buoy line or if a high flyer and a buoy are used together on a 
single buoy line, floating line may be used between these objects.
    (ii) No wet storage of gear. Trap/pot gear must be hauled out of the 
water at least once every 30 days.
    (iii) Groundlines. All groundlines must be composed entirely of 
sinking line. The attachment of buoys, toggles, or other floatation 
devices to groundlines is prohibited.
    (2) Area specific gear requirements. Trap/pot gear must be set 
according to the requirements outlined below and in the table in 
paragraph (c)(2)(iii) of this section.
    (i) Single traps and multiple-trap trawls. All traps must be set 
according to the configuration outlined in the Table (c)(2)(iii) of this 
section. Trawls up to and including 5 or fewer traps must only have one 
buoy line unless specified otherwise in Table (c)(2)(iii) of this 
section.
    (ii) Buoy line weak links. All buoys, flotation devices and/or 
weights (except traps/pots, anchors, and leadline woven into the buoy 
line), such as surface buoys, high flyers, sub-surface buoys, toggles, 
window weights, etc., must be attached to the buoy line with a weak link 
placed as close to each individual buoy, flotation device and/or weight 
as operationally feasible and that meets the following specifications:
    (A) The breaking strength of the weak links must not exceed the 
breaking strength listed in paragraph (c)(2)(iii) of this section for a 
specified management area.
    (B) The weak link must be chosen from the following list approved by 
NMFS: swivels, plastic weak links, rope of appropriate breaking 
strength, hog rings, rope stapled to a buoy stick, or other materials or 
devices approved in writing by the Assistant Administrator. A brochure 
illustrating the techniques for making weak links is available from the 
Regional Administrator, NMFS, Greater Atlantic Region upon request.
    (C) Weak links must break cleanly leaving behind the bitter end of 
the line. The bitter end of the line must be free of any knots when the 
weak link breaks. Splices are not considered to be knots for the 
purposes of this provision.
    (iii) Table of Area Specific Gear Requirements

----------------------------------------------------------------------------------------------------------------
                                                                   Minimum number traps/
              Location                        Mgmt area                    trawl            Weak link strength
----------------------------------------------------------------------------------------------------------------
ME State and Pocket Waters \1\.....  Northern Inshore State.....  2 (1 endline).........  <=600 lbs.
ME Zones A-G (3-6 miles) \ 1\......  Northern Nearshore.........  3 (1 endline).........  <=600 lbs.
ME Zones A-C (6-12 miles) \1\......  Northern Nearshore.........  5 (1 endline).........  <=600 lbs.
ME Zones D-G (6-12 miles) \1\......  Northern Nearshore.........  10....................  <=600 lbs.

[[Page 32]]

 
ME Zones A-E (12 + miles)..........  Northern Nearshore and       15....................  <=600 lbs (<=1500 lbs
                                      Offshore.                                            in offshore, 2,000
                                                                                           lbs if red crab trap/
                                                                                           pot).
ME Zones F-G (12 + miles)..........  Northern Nearshore and       15 (Mar 1-Oct 31) 20    <=600 lbs (<=1500 lbs
                                      Offshore.                    (Nov 1-Feb 28/29).      in offshore, 2,000
                                                                                           lbs if red crab trap/
                                                                                           pot).
MA State Waters \2\................  Northern Inshore State and   No minimum number of    <=600 lbs.
                                      Massachusetts Restricted     traps per trawl.
                                      Area.                        Trawls up to and
                                                                   including 3 or fewer
                                                                   traps must only have
                                                                   one buoy line.
Other MA State Waters..............  Northern Inshore State and   2 (1 endline) Trawls    <=600 lbs.
                                      Massachusetts Restricted     up to and including 3
                                      Area.                        or fewer traps must
                                                                   only have one buoy
                                                                   line.
NH State Waters....................  Northern Inshore State.....  No minimum trap/trawl.  <=600 lbs.
LMA 1 (3-12 miles).................  Northern Nearshore and       10....................  <=600 lbs.
                                      Massachusetts Restricted
                                      Area and Stellwagen Bank/
                                      Jeffreys Ledge Restricted
                                      Area.
LMA 1 (12 + miles).................  Northern Nearshore.........  20....................  <=600 lbs.
LMA1/OC Overlap (0-3 miles)........  Northern Inshore State and   No minimum number of    <=600 lbs.
                                      Massachusetts Restricted     traps per trawl.
                                      Area.
OC (0-3 miles).....................  Northern Inshore State and   No minimum number of    <=600 lbs.
                                      Massachusetts Restricted     traps per trawl.
                                      Area.
OC (3-12 miles)....................  Northern Nearshore and       10....................  <=600 lbs.
                                      Massachusetts Restricted
                                      Area.
OC (12 + miles)....................  Northern Nearshore and       20....................  <=600 lbs.
                                      Great South Channel
                                      Restricted Area.
RI State Waters....................  Northern Inshore State.....  No minimum number of    <=600 lbs.
                                                                   traps per trawl..
LMA 2 (3-12 miles).................  Northern Nearshore.........  10....................  <=600 lbs.
LMA 2 (12 + miles).................  Northern Nearshore and       20....................  <=600 lbs.
                                      Great South Channel
                                      Restricted Area.
LMA 2/3 Overlap (12 + miles).......  Offshore and Great South     20....................  <=1500 lbs (2,000 lbs
                                      Channel Restricted Area.                             if red crab trap/
                                                                                           pot).
LMA 3 (12 + miles).................  Offshore waters North of 40  20....................  <=1500 lbs (2,000 lbs
                                      and Great South Channel                              if red crab trap/
                                      Restricted Area.                                     pot).
LMA 4,5,6..........................  Southern Nearshore.........  ......................  <=600 lbs.
FL State Waters....................  Southeast US Restricted      1.....................  <=200 lbs.
                                      Area North \i\.
GA State Waters....................  Southeast US Restricted      1.....................  <=600 lbs.
                                      Area North \3\.
SC State Waters....................  Southeast US Restricted      1.....................  <=600 lbs.
                                      Area North \3\.
Federal Waters off FL, GA, SC......  Southeast US Restricted      1.....................  <=600 lbs.
                                      Area North \3\.
----------------------------------------------------------------------------------------------------------------
\1\ The pocket waters and 6-mile line as defined in paragraphs (a)(2)(ii)-(a)(2)(iii) of this section.
\2\ MA State waters as defined as paragraph (a)(3)(iii) of this section.
\3\ See Sec.   229.32(f)(1) for description of area.

    (3) Massachusetts Restricted Area--(i) Area. The Massachusetts 
restricted area is bounded by the following points connected by straight 
lines in the order listed, and bounded on the west by the shoreline of 
Cape Cod, Massachusetts.

------------------------------------------------------------------------
             Point                     N. lat.             W. long.
------------------------------------------------------------------------
MRA1...........................  4212"                7044"
MRA2...........................  4212"                7030"
MRA3...........................  4230"                7030"
MRA4...........................  4230"                6945"
MRA5...........................  4156.5"              6945"
MRA6...........................  4121.5"              6916"
MRA7...........................  4115.3"              6957.9"
MRA8...........................  4120.3"              7000"
MRA9...........................  4140.2"              7000"
------------------------------------------------------------------------

    (ii) Closure. From February 1 to April 30, it is prohibited to fish 
with, set, or possess trap/pot gear in this area unless stowed in 
accordance with Sec.  229.2.
    (iii) Area-specific gear or vessel requirements. From May 1 through 
January 31, no person or vessel may fish with or possess trap/pot gear 
in the Massachusetts Restricted Area unless that gear complies with the 
gear marking requirements specified in paragraph (b) of this section, 
the universal trap/pot gear requirements specified in paragraph (c)(1) 
of this section, and the area-specific requirements listed in

[[Page 33]]

(c)(2) of this section, or unless the gear is stowed as specified in 
Sec.  229.2.
    (4) Great South Channel Restricted Trap/Pot Area--(i) Area. The 
Great South Channel Restricted Trap/Pot Area consists of the area 
bounded by the following points.

------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
GSC1...........................  4140"                6945"
GSC2...........................  410"                 6905"
GSC3...........................  4138"                6813"
GSC4...........................  4210"                6831"
------------------------------------------------------------------------

    (ii) Closure. From April 1 through June 30, it is prohibited to fish 
with, set, or possess trap/pot gear in this area unless stowed in 
accordance with Sec.  229.2.
    (iii) Area-specific gear or vessel requirements. From July 1 through 
March 31, no person or vessel may fish with or possess trap/pot gear in 
the Great South Channel Restricted Trap/Pot Area unless that gear 
complies with the gear marking requirements specified in paragraph (b) 
of this section, the universal trap/pot gear requirements specified in 
paragraph (c)(1) of this section, and the area-specific requirements 
listed in (c)(2) of this section, or unless the gear is stowed as 
specified in Sec.  229.2.
    (5) Stellwagen Bank/Jeffreys Ledge Restricted Area--(i) Area. The 
Stellwagen Bank/Jeffreys Ledge Restricted Area includes all Federal 
waters of the Gulf of Maine, except those designated as the 
Massachusetts Restricted Area in paragraph (c)(3) of this section, that 
lie south of 4315" N. lat. and west of 7000" W. long.
    (ii) Year round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess trap/pot gear in the Stellwagen Bank/
Jeffreys Ledge Restricted Area unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, the 
universal trap/pot gear requirements specified in paragraph (c)(1) of 
this section, and the area-specific requirements listed in paragraph 
(c)(2) of this section, or unless the gear is stowed as specified in 
Sec.  229.2.
    (6) Offshore Trap/Pot \4\ Waters Area--(i) Area. The Offshore Trap/
Pot Waters Area includes all Federal waters of the EEZ Offshore 
Management Area 3, including the area known as the Area 2/3 Overlap and 
Area 3/5 Overlap as defined in the American Lobster Fishery regulations 
at Sec.  697.18 of this title, with the exception of the Great South 
Channel Restricted Trap/Pot Area and Southeast Restricted Area, and 
extending south along the 100-fathom (600-ft or 182.9-m) depth contour 
from 3514" N. lat. south to 2751" N. lat., and east to the eastern 
edge of the EEZ.
---------------------------------------------------------------------------

    \4\ Fishermen using red crab trap/pot gear should refer to Sec.  
229.32(c)(10) for the restrictions applicable to red crab trap/pot 
fishery.
---------------------------------------------------------------------------

    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess trap/pot gear in the Offshore Trap/
Pot Waters Area that overlaps an area from the U.S./Canada border south 
to a straight line from 4118.2" N. lat., 7151.5" W. long. (Watch Hill 
Point, RI) south to 4000" N. lat., and then east to the eastern edge of 
the EEZ, unless that gear complies with the gear marking requirements 
specified in paragraph (b) of this section, the universal trap/pot gear 
requirements specified in paragraph (c)(1) of this section, and the 
area-specific requirements listed in (c)(2) of this section, or unless 
the gear is stowed as specified in Sec.  229.2.
    (iii) Seasonal area-specific gear or vessel requirements. From 
September 1 to May 31, no person or vessel may fish with or possess 
trap/pot gear in the Offshore Trap/Pot Waters Area that overlaps an area 
bounded on the north by a straight line from 4118.2" N. lat., 7151.5" 
W. long. (Watch Hill Point, RI) south to 4000" N. lat. and then east to 
the eastern edge of the EEZ, and bounded on the south by a line at 
3200" N. lat., and east to the eastern edge of the EEZ, unless that 
gear complies with the gear marking requirements specified in paragraph 
(b) of this section, the universal trap/pot gear requirements specified 
in paragraph (c)(1) of this section, and area-specific requirements in 
(c)(2) or unless the gear is stowed as specified in Sec.  229.2.
    (iv) Seasonal area-specific gear or vessel requirements. From 
November 15 to

[[Page 34]]

April 15, no person or vessel may fish with or possess trap/pot gear in 
the Offshore Trap/Pot Waters Area that overlaps an area from 3200" N. 
lat. south to 2900" N. lat. and east to the eastern edge of the EEZ, 
unless that gear complies with the gear marking requirements specified 
in paragraph (b) of this section, the universal trap/pot gear 
requirements specified in paragraph (c)(1) of this section, the area-
specific requirements in paragraph (c)(2) of this section or unless the 
gear is stowed as specified in Sec.  229.2.
    (v) Seasonal area-specific gear or vessel requirements. From 
December 1 to March 31, no person or vessel may fish with or possess 
trap/pot gear in the Offshore Trap/Pot Waters Area that overlaps an area 
from 2900" N. lat. south to 2751" N. lat. and east to the eastern edge 
of the EEZ, unless that gear complies with the gear marking requirements 
specified in paragraph (b) of this section, the universal trap/pot gear 
requirements specified in paragraph (c)(1) of this section, the area-
specific requirements in paragraph (c)(2) in this section, or unless the 
gear is stowed as specified in Sec.  229.2.
    (vi) [Reserved]
    (7) Northern Inshore State Trap/Pot Waters Area--(i) Area. The 
Northern Inshore State Trap/Pot Waters Area includes the state waters of 
Rhode Island, Massachusetts, New Hampshire, and Maine, with the 
exception of Massachusetts Restricted Area and those waters exempted 
under paragraph (a)(3) of this section. Federal waters west of 7000" N. 
lat. in Nantucket Sound are also included in the Northern Inshore State 
Trap/Pot Waters Area.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess trap/pot gear in the Northern Inshore 
State Trap/Pot Waters Area unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, the 
universal trap/pot gear requirements specified in paragraph (c)(1) of 
this section, the area-specific requirements in (c)(2) of this section 
or unless the gear is stowed as specified in Sec.  229.2.
    (8) Northern Nearshore Trap/Pot Waters Area--(i) Area. The Northern 
Nearshore Trap/Pot Waters Area includes all Federal waters of EEZ 
Nearshore Management Area 1, Area 2, and the Outer Cape Lobster 
Management Area (as defined in the American Lobster Fishery regulations 
at 50 CFR 697.18 of this title), with the exception of the Great South 
Channel Restricted Trap/Pot Area, Massachusetts Restricted Area, 
Stellwagen Bank/Jeffreys Ledge Restricted Area, and Federal waters west 
of 7000" N. lat. in Nantucket Sound (included in the Northern Inshore 
State Trap/Pot Waters Area) and those waters exempted under paragraph 
(a)(3) of this section.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess trap/pot gear in the Northern 
Nearshore Trap/Pot Waters Area unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, the 
universal trap/pot gear requirements specified in paragraph (c)(1) of 
this section, the area-specific requirements in paragraph (c)(2) of this 
section, or unless the gear is stowed as specified in Sec.  229.2.
    (9) Southern Nearshore \5\ Trap/Pot Waters Area--(i) Area. The 
Southern Nearshore Trap/Pot Waters Area includes all state and Federal 
waters which fall within EEZ Nearshore Management Area 4, EEZ Nearshore 
Management Area 5, and EEZ Nearshore Management Area 6 (as defined in 
the American Lobster Fishery regulations in 50 CFR 697.18, and excluding 
the Area 3/5 Overlap), and inside the 100-fathom (600-ft or 182.9-m) 
depth contour line from 3530" N. lat. south to 2751" N. lat. and 
extending inshore to the shoreline or exemption line, with the exception 
of those waters exempted under paragraph (a)(3) of this section and 
those waters in the Southeast Restricted Area defined in paragraph 
(f)(1) of this section.
---------------------------------------------------------------------------

    \5\ Fishermen using red crab trap/pot gear should refer to Sec.  
229.32(c)(10) for the restrictions applicable to red crab trap/pot 
fishery.
---------------------------------------------------------------------------

    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess trap/pot gear in the Southern 
Nearshore Trap/Pot Waters Area that is east of a straight line from 
4118.2" N. lat., 7151.5" W. long. (Watch Hill Point, RI) south to

[[Page 35]]

4000" N. lat., unless that gear complies with the gear marking 
requirements specified in paragraph (b) of this section, the universal 
trap/pot gear requirements specified in paragraph (c)(1) of this 
section, the area-specific requirements in paragraph (c)(2) of this 
section or unless the gear is stowed as specified in Sec.  229.2.
    (iii) Seasonal area-specific gear or vessel requirements. From 
September 1 to May 31, no person or vessel may fish with or possess 
trap/pot gear in the Southern Nearshore Trap/Pot Waters Area that 
overlaps an area bounded on the north by a straight line from 4118.2" 
N. lat., 7151.5" W. long. (Watch Hill Point, RI) south to 4000" N. 
lat. and then east to the eastern edge of the EEZ, and bounded on the 
south by 3200" N. lat., and east to the eastern edge of the EEZ, unless 
that gear complies with the gear marking requirements specified in 
paragraph (b) of this section, the universal trap/pot gear requirements 
in paragraph (c)(1) of this section, the area-specific requirements in 
paragraph (c)(2) of this section or unless the gear is stowed as 
specified in Sec.  229.2.
    (iv) Seasonal area-specific gear or vessel requirements. From 
November 15 to April 15, no person or vessel may fish with or possess 
trap/pot gear in the Southern Nearshore Trap/Pot Waters Area that 
overlaps an area from 3200" N. lat. south to 2900" N. lat. and east to 
the eastern edge of the EEZ, unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, the 
universal trap/pot gear requirements specified in paragraph (c)(1) of 
this section, the area-specific requirements in paragraph (c)(2) of this 
section or unless the gear is stowed as specified in Sec.  229.2.
    (v) Seasonal area-specific gear or vessel requirements. From 
December 1 to March 31, no person or vessel may fish with or possess 
trap/pot gear in the Southern Nearshore Trap/Pot Waters Area that 
overlaps an area from 2900" N. lat. south to 2751" N. lat. and east to 
the eastern edge of the EEZ, unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, the 
universal trap/pot gear requirements specified in paragraph (c)(1) of 
this section, the area-specific requirements in (c)(2) of this section 
or unless the gear is stowed as specified in Sec.  229.2.
    (vi) [Reserved]
    (10) Restrictions applicable to the red crab trap/pot fishery--(i) 
Area. The red crab trap/pot fishery is regulated in the waters 
identified in paragraphs (c)(6)(i) and (c)(9)(i) of this section.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess red crab trap/pot gear in the area 
identified in paragraph (c)(10)(i) of this section that overlaps an area 
from the U.S./Canada border south to a straight line from 41 18.2" N. 
lat., 7151.5" W. long. (Watch Hill Point, RI) south to 4000" N. lat., 
and then east to the eastern edge of the EEZ, unless that gear complies 
with the gear marking requirements specified in paragraph (b) of this 
section, the universal trap/pot gear requirements specified in paragraph 
(c)(1) of this section, the area-specific requirements in paragraph 
(c)(2) of this section or unless the gear is stowed as specified in 
Sec.  229.2.
    (iii) Seasonal area-specific gear or vessel requirements. From 
September 1 to May 31, no person or vessel may fish with or possess red 
crab trap/pot gear in the area identified in paragraph (c)(10)(i) of 
this section that overlaps an area bounded on the north by a straight 
line from 4118.2" N. lat., 7151.5" W. long. (Watch Hill Point, RI) 
south to 4000" N. lat. and then east to the eastern edge of the EEZ, 
and bounded on the south by a line at 3200" N. lat., and east to the 
eastern edge of the EEZ, unless that gear complies with the gear marking 
requirements specified in paragraph (b) of this section, the universal 
trap/pot gear requirements specified in paragraph (c)(1) of this 
section, the area-specific requirements in (c)(2) of this section or 
unless the gear is stowed as specified in Sec.  229.2.
    (iv) Seasonal area-specific gear or vessel requirements. From 
November 15 to April 15, no person or vessel may fish with or possess 
red crab trap/pot gear in the area identified in paragraph (c)(11)(i) of 
this section that overlaps an area from 3200" N. lat. south to 2900" 
N. lat. and east to the eastern

[[Page 36]]

edge of the EEZ, unless that gear complies with the gear marking 
requirements specified in paragraph (b) of this section, the universal 
trap/pot gear requirements specified in paragraph (c)(1) of this 
section, the area-specific requirements in paragraph (c)(2) of this 
section or unless the gear is stowed as specified in Sec.  229.2.
    (v) Seasonal area-specific gear or vessel requirements. From 
December 1 to March 31, no person or vessel may fish with or possess red 
crab trap/pot gear in the area identified in paragraph (c)(11)(i) of 
this section that overlaps an area from 2900" N. lat. south to 2751" 
N. lat. and east to the eastern edge of the EEZ, unless that gear 
complies with the gear marking requirements specified in paragraph (b) 
of this section, the universal trap/pot gear requirements specified in 
paragraph (c)(1) of this section, the area-specific requirements in 
(c)(2) of this section or unless the gear is stowed as specified in 
Sec.  229.2.
    (vi) [Reserved]
    (d) Restrictions applicable to anchored gillnet gear--(1) Universal 
anchored gillnet gear requirements. In addition to the area-specific 
measures listed in paragraphs (d)(3) through (d)(8) of this section, all 
anchored gillnet gear in regulated waters must comply with the universal 
gear requirements listed below.\6\
---------------------------------------------------------------------------

    \6\ Fishermen are also encouraged to maintain their buoy lines to be 
as knot-free as possible. Splices are considered to be less of an 
entanglement threat and are thus preferable to knots.
---------------------------------------------------------------------------

    (i) No buoy line floating at the surface. No person or vessel may 
fish with anchored gillnet gear that has any portion of the buoy line 
floating at the surface at any time when the buoy line is directly 
connected to the gear at the ocean bottom. If more than one buoy is 
attached to a single buoy line or if a high flyer and a buoy are used 
together on a single buoy line, sinking and/or neutrally buoyant line 
must be used between these objects.
    (ii) No wet storage of gear. Anchored gillnet gear must be hauled 
out of the water at least once every 30 days.
    (iii) Groundlines. All groundlines must be composed entirely of 
sinking line unless exempted from this requirement under paragraph 
(a)(4) of this section. The attachment of buoys, toggles, or other 
floatation devices to groundlines is prohibited.
    (2) Area specific gear restrictions. No person or vessel may fish 
with or possess anchored gillnet gear in Areas referenced in paragraphs 
(d)(3) through (d)(8) of this section, unless that gear complies with 
the gear requirements specified in paragraph (d)(1) of this section, and 
the area specific requirements listed below, or unless the gear is 
stowed as specified in Sec.  229.2.
    (i) Buoy line weak links. All buoys, flotation devices and/or 
weights (except gillnets, anchors, and leadline woven into the buoy 
line), such as surface buoys, high flyers, sub-surface buoys, toggles, 
window weights, etc., must be attached to the buoy line with a weak link 
placed as close to each individual buoy, flotation device and/or weight 
as operationally feasible and that meets the following specifications:
    (A) The weak link must be chosen from the following list approved by 
NMFS: Swivels, plastic weak links, rope of appropriate breaking 
strength, hog rings, rope stapled to a buoy stick, or other materials or 
devices approved in writing by the Assistant Administrator. A brochure 
illustrating the techniques for making weak links is available from the 
Regional Administrator, NMFS, Greater Atlantic Region upon request.
    (B) The breaking strength of the weak links must not exceed 1,100 lb 
(499.0 kg).
    (C) Weak links must break cleanly leaving behind the bitter end of 
the line. The bitter end of the line must be free of any knots when the 
weak link breaks. Splices are not considered to be knots for the 
purposes of this provision.
    (ii) Net panel weak links. The breaking strength of each weak link 
must not exceed 1,100 lb (499.0 kg). The weak link requirements apply to 
all variations in panel size. All net panels in a string must contain 
weak links that meet one of the following two configurations unless 
exempted from this requirement under paragraph (a)(5) of this section:
    (A) Configuration 1. (1) The weak link must be chosen from the 
following list

[[Page 37]]

approved by NMFS: Plastic weak links or rope of appropriate breaking 
strength. If rope of appropriate breaking strength is used throughout 
the floatline or as the up and down line, or if no up and down line is 
present, then individual weak links are not required on the floatline or 
up and down line. A brochure illustrating the techniques for making weak 
links is available from the Regional Administrator, NMFS, Greater 
Atlantic Region upon request; and
    (2) One weak link must be placed in the center of each of the up and 
down lines at both ends of the net panel; and
    (3) One weak link must be placed as close as possible to each end of 
the net panels on the floatline; and
    (4) For net panels of 50 fathoms (300 ft or 91.4 m) or less in 
length, one weak link must be placed in the center of the floatline; or
    (5) For net panels greater than 50 fathoms (300 ft or 91.4 m) in 
length, one weak link must be placed at least every 25 fathoms (150 ft 
or 45.7 m) along the floatline.
    (B) Configuration 2. (1) The weak link must be chosen from the 
following list approved by NMFS: Plastic weak links or rope of 
appropriate breaking strength. If rope of appropriate breaking strength 
is used throughout the floatline or as the up and down line, or if no up 
and down line is present, then individual weak links are not required on 
the floatline or up and down line. A brochure illustrating the 
techniques for making weak links is available from the Regional 
Administrator, NMFS, Greater Atlantic Region upon request; and
    (2) One weak link must be placed in the center of each of the up and 
down lines at both ends of the net panel; and
    (3) One weak link must be placed between the floatline tie loops 
between net panels; and
    (4) One weak link must be placed where the floatline tie loops 
attaches to the bridle, buoy line, or groundline at the end of a net 
string; and
    (5) For net panels of 50 fathoms (300 ft or 91.4 m) or less in 
length, one weak link must be placed in the center of the floatline; or
    (6) For net panels greater than 50 fathoms (300 ft or 91.4 m) in 
length, one weak link must be placed at least every 25 fathoms (150 ft 
or 45.7 m) along the floatline.
    (iii) Anchoring systems. All anchored gillnets, regardless of the 
number of net panels, must be secured at each end of the net string with 
a burying anchor (an anchor that holds to the ocean bottom through the 
use of a fluke, spade, plow, or pick) having the holding capacity equal 
to or greater than a 22-lb (10.0-kg) Danforth-style anchor unless 
exempted from this requirement under paragraph (a)(5) of this section. 
Dead weights do not meet this requirement. A brochure illustrating the 
techniques for rigging anchoring systems is available from the Regional 
Administrator, NMFS, Greater Atlantic Region.
    (3) Cape Cod Bay Restricted Area--(i) Area. The Cape Cod Bay 
restricted area is bounded by the following points and on the south and 
east by the interior shoreline of Cape Cod, Massachusetts.

------------------------------------------------------------------------
            Point                    N. lat.              W. long.
------------------------------------------------------------------------
CCB1........................  4146.8"               7030"
CCB2........................  4212"                 7030"
CCB3........................  4212"                 7015"
CCB4........................  4204.8"               7010"
------------------------------------------------------------------------

    (ii) Closure. During January 1 through May 15 of each year, no 
person or vessel may fish with or possess anchored gillnet gear in the 
Cape Cod Bay Restricted Area unless the Assistant Administrator 
specifies gear restrictions or alternative fishing practices in 
accordance with paragraph (i) of this section and the gear or practices 
comply with those specifications, or unless the gear is stowed as 
specified in Sec.  229.2. The Assistant Administrator may waive this 
closure for the remaining portion of the winter restricted period in any 
year through a notification in the Federal Register if NMFS determines 
that right whales have left the restricted area and are unlikely to 
return for the remainder of the season.
    (iii) Area-specific gear or vessel requirements. From May 16 through 
December 31 of each year, no person or vessel may fish with or possess 
anchored gillnet gear in the Cape Cod Bay Restricted Area unless that 
gear complies with the gear marking requirements specified in paragraph 
(b) of this section, the universal anchored gillnet

[[Page 38]]

gear requirements specified in paragraph (d)(1) of this section, and the 
area-specific requirements listed in paragraph (d)(2) of this section, 
or unless the gear is stowed as specified in Sec.  229.2.
    (4) Great South Channel Restricted Gillnet Area--(i) Area. The Great 
South Channel Restricted Gillnet Area consists of the area bounded by 
lines connecting the following four points:

------------------------------------------------------------------------
             Point                     N. lat.             W. long.
------------------------------------------------------------------------
GSC1...........................  4102.2"              6902"
GSC2...........................  4143.5"              6936.3"
GSC3...........................  4210"                6831"
GSC4...........................  4138"                6813"
------------------------------------------------------------------------

    (ii) Closure. From April 1 through June 30 of each year, no person 
or vessel may fish with or possess anchored gillnet gear in the Great 
South Channel Restricted Gillnet Area unless the Assistant Administrator 
specifies gear restrictions or alternative fishing practices in 
accordance with paragraph (i) of this section and the gear or practices 
comply with those specifications, or unless the gear is stowed as 
specified in Sec.  229.2.
    (iii) Area-specific gear or vessel requirements. From July 1 through 
March 31 of each year, no person or vessel may fish with or possess 
anchored gillnet gear in the Great South Channel Restricted Gillnet Area 
unless that gear complies with the gear marking requirements specified 
in paragraph (b) of this section, the universal anchored gillnet gear 
requirements specified in paragraph (d)(1) of this section, and the 
area-specific requirements listed in paragraph (d)(2) of this section or 
unless the gear is stowed as specified in Sec.  229.2.
    (5) Great South Channel Sliver Restricted Area--(i) Area. The Great 
South Channel Sliver Restricted Area consists of the area bounded by 
lines connecting the following points:

------------------------------------------------------------------------
             Point                     N. lat.             W. long.
------------------------------------------------------------------------
GSCRA1.........................  4102.2"              6902"
GSCRA2.........................  4143.5"              6936.3"
GSCRA3.........................  4140"                6945"
GSCRA4.........................  4100"                6905"
------------------------------------------------------------------------

    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess anchored gillnet gear in the Great 
South Channel Sliver Restricted Area unless that gear complies with the 
gear marking requirements specified in paragraph (b) of this section, 
the universal anchored gillnet gear requirements specified in paragraph 
(d)(1) of this section, and the area-specific requirements listed in 
paragraph (d)(2) of this section or unless the gear is stowed as 
specified in Sec.  229.2.
    (6) Stellwagen Bank/Jeffreys Ledge Restricted Area--(i) Area. The 
Stellwagen Bank/Jeffreys Ledge Restricted Area includes all Federal 
waters of the Gulf of Maine, except those designated as the Cape Cod Bay 
Restricted Area in paragraph (d)(3) of this section that lie south of 
4315" N. lat. and west of 7000" W. long.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess anchored gillnet gear in the 
Stellwagen Bank/Jeffreys Ledge Restricted Area unless that gear complies 
with the gear marking requirements specified in paragraph (b) of this 
section, the universal anchored gillnet gear requirements specified in 
paragraph (d)(1) of this section, and the area-specific requirements 
listed in paragraph (d)(2) of this section or unless the gear is stowed 
as specified in Sec.  229.2.
    (7) Other Northeast Gillnet Waters Area--(i) Area. The Other 
Northeast Gillnet Waters Area consists of all state and Federal U.S. 
waters from the U.S./Canada border to Long Island, NY, at 7230" W. 
long. south to 3633.03" N. lat. and east to the eastern edge of the 
EEZ, with the exception of the Cape Cod Bay Restricted Area, Stellwagen 
Bank/Jeffreys Ledge Restricted Area, Great South Channel Restricted 
Gillnet Area, Great South Channel Sliver Restricted Area, and exempted 
waters listed in paragraph (a)(3) of this section.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess anchored gillnet gear in the Other 
Northeast Gillnet Waters Area that overlaps an area from the U.S./Canada 
border south to a straight line from 4118.2" N. lat., 7151.5" W. long. 
(Watch Hill Point, RI) south to 4000" N. lat. and then east to the 
eastern edge of the EEZ, unless

[[Page 39]]

that gear complies with the gear marking requirements specified in 
paragraph (b) of this section, the universal anchored gillnet gear 
requirements specified in paragraph (d)(1) of this section, and the 
area-specific requirements listed in paragraph (d)(2) of this section or 
unless the gear is stowed as specified in Sec.  229.2.
    (iii) Seasonal area-specific gear or vessel requirements. From 
September 1 to May 31, no person or vessel may fish with or possess 
anchored gillnet gear in the Other Northeast Gillnet Waters Area that is 
south of a straight line from 4118.2" N. lat., 71 51.5" W. long. 
(Watch Hill Point, RI) south to 4000" N. lat. and then east to the 
eastern edge of the EEZ, unless that gear complies with the gear marking 
requirements specified in paragraph (b) of this section, the universal 
anchored gillnet gear requirements specified in paragraph (d)(1) of this 
section, and the area-specific requirements listed in paragraph (d)(2) 
of this section or unless the gear is stowed as specified in Sec.  
229.2.
    (8) Mid/South Atlantic Gillnet Waters--(i) Area. The Mid/South 
Atlantic Gillnet Waters consists of all U.S. waters bounded on the north 
from Long Island, NY, at 7230" W. long. south to 3633.03" N. lat. and 
east to the eastern edge of the EEZ, and bounded on the south by 3200" 
N. lat., and east to the eastern edge of the EEZ. When the Mid/South 
Atlantic Gillnet Waters Area overlaps the Southeast U.S. Restricted Area 
and its restricted period as specified in paragraphs (f)(1) and (f)(2) 
of this section, then the closure and exemption for the Southeast U.S. 
Restricted Area as specified in paragraph (f)(2) of this section 
applies.
    (ii) Area-specific gear or vessel requirements. From September 1 
through May 31, no person or vessel may fish with or possess anchored 
gillnet gear in the Mid/South Atlantic Gillnet Waters unless that gear 
complies with the gear marking requirements specified in paragraph (b) 
of this section, the universal anchored gillnet gear requirements 
specified in paragraph (d)(1) of this section, and the following area-
specific requirements, or unless the gear is stowed as specified in 
Sec.  229.2. When the Mid/South Atlantic Gillnet Waters Area overlaps 
the Southeast U.S. Restricted Area and its restricted period as 
specified in paragraphs (f)(1) and (f)(2) of this section, then the 
closure and exemption for the Southeast U.S. Restricted Area as 
specified in paragraph (f)(2) of this section applies.
    (A) Buoy line weak links. All buoys, flotation devices and/or 
weights (except gillnets, anchors, and leadline woven into the buoy 
line), such as surface buoys, high flyers, sub-surface buoys, toggles, 
window weights, etc., must be attached to the buoy line with a weak link 
placed as close to each individual buoy, flotation device and/or weight 
as operationally feasible and that meets the following specifications:
    (1) The weak link must be chosen from the following list approved by 
NMFS: Swivels, plastic weak links, rope of appropriate breaking 
strength, hog rings, rope stapled to a buoy stick, or other materials or 
devices approved in writing by the Assistant Administrator. A brochure 
illustrating the techniques for making weak links is available from the 
Regional Administrator, NMFS, Greater Atlantic Region upon request.
    (2) The breaking strength of the weak links must not exceed 1,100 lb 
(499.0 kg).
    (3) Weak links must break cleanly leaving behind the bitter end of 
the line. The bitter end of the line must be free of any knots when the 
weak link breaks. Splices are not considered to be knots for the 
purposes of this provision.
    (B) Net panel weak links. The weak link requirements apply to all 
variations in panel size. All net panels must contain weak links that 
meet the following specifications unless exempted under paragraph (a)(5) 
of this section:
    (1) The breaking strength for each of the weak links must not exceed 
1,100 lb (499.0 kg).
    (2) The weak link must be chosen from the following list approved by 
NMFS: Plastic weak links or rope of appropriate breaking strength. If 
rope of appropriate breaking strength is used throughout the floatline 
then individual weak links are not required. A brochure illustrating the 
techniques

[[Page 40]]

for making weak links is available from the Regional Administrator, 
NMFS, Greater Atlantic Region upon request.
    (3) Weak links must be placed in the center of the floatline of each 
gillnet net panel up to and including 50 fathoms (300 ft or 91.4 m) in 
length, or at least every 25 fathoms (150 ft or 45.7 m) along the 
floatline for longer panels.
    (C) Additional anchoring system and net panel weak link 
requirements. All gillnets must return to port with the vessel unless 
the gear meets the following specifications:
    (1) Anchoring systems. All anchored gillnets, regardless of the 
number of net panels, must be secured at each end of the net string with 
a burying anchor (an anchor that holds to the ocean bottom through the 
use of a fluke, spade, plow, or pick) having the holding capacity equal 
to or greater than a 22-lb (10.0-kg) Danforth-style anchor unless 
exempted under paragraph (a)(5) of this section. Dead weights do not 
meet this requirement. A brochure illustrating the techniques for 
rigging anchoring systems is available from the Regional Administrator, 
NMFS, Greater Atlantic Region upon request.
    (2) Net panel weak links. Net panel weak links must meet the 
specifications in this paragraph. The breaking strength of each weak 
link must not exceed 1,100 lb (499.0 kg). The weak link requirements 
apply to all variations in panel size. All net panels in a string must 
contain weak links that meet one of the following two configurations 
found in paragraph (d)(2)(ii)(A) or (d)(2)(ii)(B) of this section.
    (3) Additional provision for North Carolina. All gillnets set 300 
yards (274.3 m) or less from the shoreline in North Carolina must meet 
the anchoring system and net panel weak link requirements in paragraphs 
(d)(8)(ii)(C)(1) and (d)(8)(ii)(C)(2) of this section, or the following:
    (i) The entire net string must be less than 300 yards (274.3 m) from 
shore.
    (ii) The breaking strength of each weak link must not exceed 600 lb 
(272.2 kg). The weak link requirements apply to all variations in panel 
size.
    (iii) All net panels in a string must contain weak links that meet 
one of the following two configuration specifications found in paragraph 
(d)(2)(ii)(A) or (d)(2)(ii)(B) of this section.
    (iv) Regardless of the number of net panels, all anchored gillnets 
must be secured at the offshore end of the net string with a burying 
anchor (an anchor that holds to the ocean bottom through the use of a 
fluke, spade, plow, or pick) having a holding capacity equal to or 
greater than an 8-lb (3.6-kg) Danforth-style anchor, and at the inshore 
end of the net string with a dead weight equal to or greater than 31 lb 
(14.1 kg).
    (e) Restrictions applicable to drift gillnet gear--(1) Cape Cod Bay 
Restricted Area--(i) Area. The Cape Cod Bay Restricted Area is bounded 
by the following points and on the south and east by the interior 
shoreline of Cape Cod, Massachusetts.

------------------------------------------------------------------------
            Point                    N. lat.              W. long.
------------------------------------------------------------------------
CCB1........................  4146.8"               7030"
CCB2........................  4212"                 7030"
CCB3........................  4212"                 7015"
CCB4........................  4204.8"               7010"
------------------------------------------------------------------------

    (ii) Closure. From January 1 through April 30 of each year, no 
person or vessel may fish with or possess drift gillnet gear in the Cape 
Cod Bay Restricted Area unless the Assistant Administrator specifies 
gear restrictions or alternative fishing practices in accordance with 
paragraph (e)(1)(i) of this section and the gear or practices comply 
with those specifications, or unless the gear is stowed as specified in 
Sec.  229.2. The Assistant Administrator may waive this closure for the 
remaining portion of the winter restricted period in any year through a 
notification in the Federal Register if NMFS determines that right 
whales have left the restricted area and are unlikely to return for the 
remainder of the season.
    (iii) Area-specific gear or vessel requirements. From May 1 through 
December 31 of each year, no person or vessel may fish with or possess 
drift gillnet gear in the Cape Cod Bay Restricted Area unless that gear 
complies with the gear marking requirements specified in paragraph (b) 
of this section, or unless the gear is stowed as specified in Sec.  
229.2. Additionally, no person or vessel may fish with or possess drift 
gillnet

[[Page 41]]

gear at night in the Cape Cod Bay Restricted Area unless that gear is 
tended, or unless the gear is stowed as specified in Sec.  229.2. During 
that time, all drift gillnet gear set by that vessel in the Cape Cod Bay 
Restricted Area must be removed from the water and stowed on board the 
vessel before a vessel returns to port.
    (2) Great South Channel Restricted Gillnet Area--(i) Area. The Great 
South Channel Restricted Gillnet Area consists of the area bounded by 
lines connecting the following four points:

------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
GSC1...........................  4102.2"              6902"
GSC2...........................  4143.5"              6936.3"
GSC3...........................  4210"                6831"
GSC4...........................  4138"                6813"
------------------------------------------------------------------------

    (ii) Closure. From April 1 through June 30 of each year, no person 
or vessel may set, fish with or possess drift gillnet gear in the Great 
South Channel Restricted Gillnet Area unless the Assistant Administrator 
specifies gear restrictions or alternative fishing practices in 
accordance with paragraph (i) of this section and the gear or practices 
comply with those specifications, or unless the gear is stowed as 
specified in Sec.  229.2.
    (iii) Area-specific gear or vessel requirements. From July 1 through 
March 31 of each year, no person or vessel may fish with or possess 
drift gillnet gear in the Great South Channel Restricted Gillnet Area 
unless that gear complies with the gear marking requirements specified 
in paragraph (b) of this section, or unless the gear is stowed as 
specified in Sec.  229.2. Additionally, no person or vessel may fish 
with or possess drift gillnet gear at night in the Great South Channel 
Restricted Gillnet Area unless that gear is tended, or unless the gear 
is stowed as specified in Sec.  229.2. During that time, all drift 
gillnet gear set by that vessel in the Great South Channel Restricted 
Gillnet Area must be removed from the water and stowed on board the 
vessel before a vessel returns to port.
    (3) Great South Channel Sliver Restricted Area--(i) Area. The Great 
South Channel Sliver Restricted Area consists of the area bounded by 
lines connecting the following points:

------------------------------------------------------------------------
             Point                     N. lat.             W. long.
------------------------------------------------------------------------
GSCRA1.........................  4102.2"              6902"
GSCRA2.........................  4143.5"              6936.3"
GSCRA3.........................  4140"                6945"
GSCRA4.........................  4100"                6905"
------------------------------------------------------------------------

    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess drift gillnet gear in the Great South 
Channel Sliver Restricted Gillnet Area unless that gear complies with 
the gear marking requirements specified in paragraph (b) of this 
section, or unless the gear is stowed as specified in Sec.  229.2. 
Additionally, no person or vessel may fish with or possess drift gillnet 
gear at night in the Great South Channel Sliver Restricted Area unless 
that gear is tended, or unless the gear is stowed as specified in Sec.  
229.2. During that time, all drift gillnet gear set by that vessel in 
the Great South Channel Sliver Restricted Area must be removed from the 
water and stowed on board the vessel before a vessel returns to port.
    (4) Stellwagen Bank/Jeffreys Ledge Restricted Area--(i) Area. The 
Stellwagen Bank/Jeffreys Ledge Restricted Area includes all Federal 
waters of the Gulf of Maine, except those designated the Cape Cod Bay 
Restricted Area in paragraph (e)(1), that lie south of 4315" N. lat. 
and west of 7000" W. long.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess drift gillnet gear in the Stellwagen 
Bank/Jeffreys Ledge Restricted Area unless that gear complies with the 
gear marking requirements specified in paragraph (b) of this section, or 
unless the gear is stowed as specified in Sec.  229.2. Additionally, no 
person or vessel may fish with or possess drift gillnet gear at night in 
the Stellwagen Bank/Jeffreys Ledge Area unless that gear is tended, or 
unless the gear is stowed as specified in Sec.  229.2. During that time, 
all drift gillnet gear set by that vessel in the Stellwagen Bank/
Jeffreys Ledge Restricted Area must be removed from the water and stowed 
on board the vessel before a vessel returns to port.
    (5) Other Northeast Gillnet Waters Area--(i) Area. The Other 
Northeast Gillnet Waters Area consists of all state and Federal U.S. 
waters from the U.S./Canada border to Long Island, NY,

[[Page 42]]

at 7230" W. long. south to 3633.03" N. lat. and east to the eastern 
edge of the EEZ, with the exception of the Cape Cod Bay Restricted Area, 
Stellwagen Bank/Jeffreys Ledge Restricted Area, Great South Channel 
Restricted Gillnet Area, Great South Channel Sliver Restricted Area, and 
exempted waters listed in paragraph (a)(3) of this section.
    (ii) Year-round area-specific gear or vessel requirements. No person 
or vessel may fish with or possess drift gillnet gear in the Other 
Northeast Gillnet Waters Area unless that gear complies with the gear 
marking requirements specified in paragraph (b) of this section, or 
unless the gear is stowed as specified in Sec.  229.2. Additionally, no 
person or vessel may fish with or possess drift gillnet gear at night in 
the Other Northeast Gillnet Waters Area unless that gear is tended, or 
unless the gear is stowed as specified in Sec.  229.2. During that time, 
all drift gillnet gear set by that vessel in the Other Northeast Gillnet 
Waters Area must be removed from the water and stowed on board the 
vessel before a vessel returns to port.
    (iii) Seasonal area-specific gear or vessel requirements. From 
September 1 to May 31, no person or vessel may fish with or possess 
drift gillnet gear in the Other Northeast Gillnet Waters Area that is 
south of a straight line from 4118.2" N. lat., 7151.5" W. long. (Watch 
Hill Point, RI) south to 4000" N. lat. and then east to the eastern 
edge of the EEZ, unless that gear complies with the gear marking 
requirements specified in paragraph (b) of this section, or unless the 
gear is stowed as specified in Sec.  229.2. Additionally, no person or 
vessel may fish with or possess drift gillnet gear at night in the Other 
Northeast Gillnet Waters Area unless that gear is tended, or unless the 
gear is stowed as specified in Sec.  229.2. During that time, all drift 
gillnet gear set by that vessel in the Other Northeast Gillnet Waters 
Area must be removed from the water and stowed on board the vessel 
before a vessel returns to port.
    (6) Mid/South Atlantic Gillnet Waters Area--(i) Area. The Mid/South 
Atlantic Gillnet Waters consists of all U.S. waters bounded on the north 
from Long Island, NY at 7230" W. long. south to 3633.03" N. lat. and 
east to the eastern edge of the EEZ, and bounded on the south by 3200" 
N. lat., and east to the eastern edge of the EEZ. When the Mid/South 
Atlantic Gillnet Waters Area overlaps the Southeast U.S. Restricted Area 
and its restricted period as specified in paragraphs (f)(1) and (f)(2) 
of this section, then the closure and exemption for the Southeast U.S. 
Restricted Area as specified in paragraph (f)(2) of this section 
applies.
    (ii) Area-specific gear or vessel requirements. From September 1 
through May 31, no person or vessel may fish with or possess drift 
gillnet gear at night in the Mid/South Atlantic Gillnet Waters Area 
unless:
    (A) The gear complies with gear marking requirements specified in 
paragraph (b) of this section;
    (B) The gear is tended; and
    (C) All gear is removed from the water and stowed on board the 
vessel before a vessel returns to port. No person or vessel may possess 
drift gillnet at night in the Mid/South Atlantic Gillnet Waters unless 
the gear is stowed as specified in Sec.  229.2. When the Mid/South 
Atlantic Gillnet Waters Area overlaps the Southeast U.S. Restricted Area 
and its restricted period as specified in paragraphs (f)(1) and (f)(2) 
of this section, then the closure and exemption for the Southeast U.S. 
Restricted Area as specified in paragraph (f)(2) of this section 
applies.
    (f) Restrictions applicable to the Southeast U.S. Restricted Area--
(1) Area. The Southeast U.S. Restricted Area consists of the area 
bounded by straight lines connecting the following points in the order 
stated from south to north:

------------------------------------------------------------------------
             Point                     N. lat.             W. long.
------------------------------------------------------------------------
SERA1..........................  2751"                (\1\)
SERA2..........................  2751"                8000"
SERA3..........................  3200"                8000"
SERA4..........................  3236"                7852"
SERA5..........................  3251"                7836"
SERA6..........................  3315"                7824"
SERA7..........................  3327"                7804"
SERA8..........................  (\2\)                7833.9"
------------------------------------------------------------------------
\1\ Florida shoreline.
\2\ South Carolina shoreline.

    (i) Southeast U.S. Restricted Area N. The Southeast U.S. Restricted 
Area N consists of the Southeast U.S. Restricted Area from 2900" N. 
lat. northward.

[[Page 43]]

    (ii) Southeast U.S. Restricted Area S. The Southeast U.S. Restricted 
Area S consists of the Southeast U.S. Restricted Area southward of 
2900" N. lat.
    (2) Restricted periods, closure, and exemptions--(i) Restricted 
periods. The restricted period for the Southeast U.S. Restricted Area N 
is from November 15 through April 15, and the restricted period for the 
Southeast U.S. Restricted Area S is from December 1 through March 31.
    (ii) Closure for gillnets. (A) Except as provided under paragraph 
(f)(2)(v) of this section, fishing with or possessing gillnet in the 
Southeast U.S. Restricted Area N during the restricted period is 
prohibited.
    (B) Except as provided under paragraph (f)(2)(iii) of this section 
and (f)(2)(iv) of this section, fishing with gillnet in the Southeast 
U.S. Restricted Area S during the restricted period is prohibited.
    (iii) Exemption for Southeastern U.S. Atlantic shark gillnet 
fishery. Fishing with gillnet for sharks with webbing of 5 inches (12.7 
cm) or greater stretched mesh is exempt from the restrictions under 
paragraph (f)(2)(ii)(B) of this section if:
    (A) The gillnet is deployed so that it encloses an area of water;
    (B) A valid commercial directed shark limited access permit has been 
issued to the vessel in accordance with 50 CFR Sec.  635.4(e) and is on 
board;
    (C) No net is set at night or when visibility is less than 500 yards 
(1,500 ft, 460 m);
    (D) The gillnet is removed from the water before night or 
immediately if visibility decreases below 500 yards (1,500 ft, 460 m);
    (E) Each set is made under the observation of a spotter plane;
    (F) No gillnet is set within 3 nautical miles (5.6 km) of a right, 
humpback, or fin whale;
    (G) The gillnet is removed immediately from the water if a right, 
humpback, or fin whale moves within 3 nautical miles (5.6 km) of the set 
gear;
    (H) The gear complies with the gear marking requirements specified 
in paragraph (b) of this section; and
    (I) The operator of the vessel calls the Southeast Fisheries Science 
Center Panama City Laboratory in Panama City, FL, not less than 48 hours 
prior to departing on any fishing trip in order to arrange for observer 
coverage. If the Panama City Laboratory requests that an observer be 
taken on board a vessel during a fishing trip at any time from December 
1 through March 31 south of 2900" N. lat., no person may fish with such 
gillnet aboard that vessel in the Southeast U.S. Restricted Area S 
unless an observer is on board that vessel during the trip.
    (iv) Exemption for Spanish Mackerel component of the Southeast 
Atlantic gillnet fishery. Fishing with gillnet for Spanish mackerel is 
exempt from the restrictions under paragraph (f)(2)(ii)(B) of this 
section from December 1 through December 31, and from March 1 through 
March 31 if:
    (A) Gillnet mesh size is between 3.5 inches (8.9 cm) and 4\7/8\ 
inches (12.4 cm) stretched mesh;
    (B) A valid commercial vessel permit for Spanish mackerel has been 
issued to the vessel in accordance with Sec.  622.4(a)(2)(iv) of this 
title and is on board;
    (C) No person may fish with, set, place in the water, or have on 
board a vessel a gillnet with a float line longer than 800 yards (2,400 
ft, 732 m);
    (D) No person may fish with, set, or place in the water more than 
one gillnet at any time;
    (E) No more than two gillnets, including any net in use, may be 
possessed at any one time; provided, however, that if two gillnets, 
including any net in use, are possessed at any one time, they must have 
stretched mesh sizes (as allowed under the regulations) that differ by 
at least .25 inch (.64 cm);
    (F) No person may soak a gillnet for more than 1 hour. The soak 
period begins when the first mesh is placed in the water and ends either 
when the first mesh is retrieved back on board the vessel or the 
gathering of the gillnet is begun to facilitate retrieval on board the 
vessel, whichever occurs first; providing that, once the first mesh is 
retrieved or the gathering is begun, the retrieval is continuous until 
the gillnet is completely removed from the water;
    (G) No net is set at night or when visibility is less than 500 yards 
(1,500 ft, 460 m);

[[Page 44]]

    (H) The gillnet is removed from the water before night or 
immediately if visibility decreases below 500 yards (1,500 ft, 460 m);
    (I) No net is set within 3 nautical miles (5.6 km) of a right, 
humpback, or fin whale;
    (J) The gillnet is removed immediately from the water if a right, 
humpback, or fin whale moves within 3 nautical miles (5.6 km) of the set 
gear; and
    (K) The gear complies with the gear marking requirements specified 
in paragraph (b) of this section, the universal anchored gillnet gear 
requirements specified in paragraph (d)(1) of this section, and the 
area-specific requirements for anchored gillnets specified in paragraphs 
(d)(8)(ii)(A) through (d)(8)(ii)(D) of this section for the Mid/South 
Atlantic Gillnet Waters.
    (v) Exemption for vessels in transit with gillnet aboard. Possession 
of gillnet aboard a vessel in transit is exempt from the restrictions 
under paragraph (f)(2)(ii)(A) of this section if: All nets are covered 
with canvas or other similar material and lashed or otherwise securely 
fastened to the deck, rail, or drum; and all buoys, high flyers, and 
anchors are disconnected from all gillnets. No fish may be possessed 
aboard such a vessel in transit.
    (vi) Restrictions for trap/pot gear. Fishing with trap/pot gear in 
the Southeast U.S. Restricted Area N during the restricted period is 
allowed if:
    (A) Trap/pot gear is not fished in a trap/pot trawl;
    (B) All buoys or flotation devices are attached to the buoy line 
with a weak link that meets the requirements of paragraph (c)(2)(ii) of 
this section. The weak link has a maximum breaking strength of 600 lbs 
(272 kg) except in Florida State waters where the maximum breaking 
strength is 200 lbs (91kg);
    (C) The buoy line has a maximum breaking strength of 2,200 lbs (998 
kg) except in Florida State waters where the maximum breaking strength 
is 1,500 lbs (630 kg);
    (D) The entire buoy line must be free of objects (e.g., weights, 
floats, etc.) except where it attaches to the buoy and trap/pot;
    (E) The buoy line is made of sinking line;
    (F) The gear complies with gear marking requirements as specified in 
paragraph (b) of this section; and
    (G) Trap/pot gear that is deployed in the EEZ (as defined in Sec.  
600.10 of this title) is brought back to port at the conclusion of each 
fishing trip.
    (g) Restrictions applicable to the Other Southeast Gillnet Waters--
(1) Area. The Other Southeast Gillnet Waters Area includes all waters 
bounded by 3200" N. lat. on the north (near Savannah, GA), 2646.50" N. 
lat. on the south (near West Palm Beach, FL), 8000" W. long. on the 
west, and the EEZ boundary on the east.
    (2) Closure for gillnets. Fishing with or possessing gillnet gear in 
the Other Southeast Gillnet Waters Area north of 2900" N. lat. from 
November 15 through April 15 or south of 2900" N. lat. from December 1 
through March 31 is allowed if one of the following exemptions applies:
    (i) Exemption for Southeastern U.S. Atlantic shark gillnet fishery. 
Fishing with or possessing gillnet gear with webbing of 5 inches (12.7 
cm) or greater stretched mesh is allowed if:
    (A) The gear is marked as required in paragraph (b) of this section.
    (B) No net is set within 3 nautical miles (5.6 km) of a right, 
humpback, or fin whale; and
    (C) The gear is removed immediately from the water if a right, 
humpback, or fin whale moves within 3 nautical miles (5.6 km) of the set 
gear.
    (ii) Exemption for Southeast Atlantic gillnet fishery. Fishing with 
or possessing gillnet gear is allowed if:
    (A) The gear is marked as required in paragraph (b) of this section; 
or
    (B) The gear is fished south of 2751" N.
    (iii) Exemption for vessels in transit with gillnet aboard. 
Possession of gillnet gear aboard a vessel in transit is allowed if:
    (A) All nets are covered with canvas or other similar material and 
securely fastened to the deck, rail, or drum; and
    (B) All buoys, high flyers, and anchors are disconnected from all 
gillnets.
    (h) Restrictions applicable to the Southeast U.S. Monitoring Area--
(1) Area. The

[[Page 45]]

Southeast U.S. Monitoring Area consists of the area from 2751" N. lat. 
(near Sebastian Inlet, FL) south to 2646.50" N. lat. (near West Palm 
Beach, FL), extending from the shoreline or exemption line out to 8000" 
W. long.
    (2) Restrictions for Southeastern U.S. Atlantic shark gillnet 
fishery. Fishing with or possessing gillnet gear with webbing of 5 
inches (12.7 cm) or greater stretched mesh from December 1 through March 
31 is allowed if:
    (i) The gear complies with the gear marking requirements specified 
in paragraph (b) of this section;
    (ii) The vessel owner/operator is in compliance with the vessel 
monitoring system (VMS) requirements found in 50 CFR 635.69; and
    (iii) The vessel owner/operator and crew are in compliance with 
observer requirements found in Sec.  229.7.
    (3) Restrictions for Southeastern U.S. Atlantic shark gillnet 
fishery vessels in transit. Possession of gillnet gear with webbing of 5 
inches (12.7 cm) or greater stretched mesh aboard a vessel in transit 
from December 1 through March 31 is allowed if:
    (i) All gear is stowed as specified in 50 CFR 229.2; and
    (ii) The vessel owner/operator is in compliance with the vessel 
monitoring system (VMS) requirements found in 50 CFR 635.69.
    (i) Other provisions. In addition to any other emergency authority 
under the Marine Mammal Protection Act, the Endangered Species Act, the 
Magnuson-Stevens Fishery Conservation and Management Act, or other 
appropriate authority, the Assistant Administrator may take action under 
this section in the following situations:
    (1) Entanglements in critical habitat or restricted areas. If a 
serious injury or mortality of a right whale occurs in the Cape Cod Bay 
Restricted Area from January 1 through May 15, in the Great South 
Channel Restricted Area from April 1 through June 30, the Southeast U.S. 
Restricted Area N from November 15 to April 15, or the Southeast U.S. 
Restricted Area S from December 1 through March 31 as the result of an 
entanglement by trap/pot or gillnet gear allowed to be used in those 
areas and times, the Assistant Administrator shall close that area to 
that gear type (i.e., trap/pot or gillnet) for the rest of that time 
period and for that same time period in each subsequent year, unless the 
Assistant Administrator revises the restricted period in accordance with 
paragraph (i)(2) of this section or unless other measures are 
implemented under paragraph (i)(2) of this section.
    (2) Other special measures. The Assistant Administrator may, in 
consultation with the Take Reduction Team, revise the requirements of 
this section through a publication in the Federal Register if:
    (i) NMFS verifies that certain gear characteristics are both 
operationally effective and reduce serious injuries and mortalities of 
endangered whales;
    (ii) New gear technology is developed and determined to be 
appropriate;
    (iii) Revised breaking strengths are determined to be appropriate;
    (iv) New marking systems are developed and determined to be 
appropriate;
    (v) NMFS determines that right whales are remaining longer than 
expected in a closed area or have left earlier than expected;
    (vi) NMFS determines that the boundaries of a closed area are not 
appropriate;
    (vii) Gear testing operations are considered appropriate; or
    (viii) Similar situations occur.

[79 FR 36610, June 27, 2014; 79 FR 49718, Aug. 22, 2014, as amended at 
79 FR 73852, Dec. 12, 2014; 80 FR 30375, May 28, 2015]



Sec.  229.33  Harbor Porpoise Take Reduction Plan Regulations--New England.

    (a) Restrictions--(1) Northeast Closure Area--(i) Area restrictions. 
From August 15 through September 13, it is prohibited to fish with, set, 
haul back, possess on board a vessel unless stowed in accordance with 
Sec.  229.2, or fail to remove sink gillnet gear or gillnet gear capable 
of catching multispecies from the Northeast Closure Area. This 
restriction does not apply to vessels fishing with a single pelagic 
gillnet (as described and used as set forth in Sec.  648.81(f)(2)(ii) of 
this title).
    (ii) Area boundaries. The Northeast Closure Area is bounded by 
straight lines connecting the following points in the order stated:

[[Page 46]]



                         Northeast Closure Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
NE1............................  4427.3"...........  6855.0" (ME
                                                      shoreline)
NE2............................  4329.6"...........  6855.0"
NE3............................  4404.4"...........  6748.7"
NE4............................  4406.9"...........  6752.8"
NE5............................  4431.2"...........  6702.7"
NE6............................  4445.8"...........  6702.7" (ME
                                                      shoreline)
------------------------------------------------------------------------

    (2) Mid-Coast Management Area--(i) Area restrictions. From September 
15 through May 31, it is prohibited to fish with, set, haul back, 
possess on board a vessel unless stowed in accordance with Sec.  229.2, 
or fail to remove sink gillnet gear or gillnet gear capable of catching 
multispecies from the Mid-Coast Management Area, unless the gillnet gear 
is equipped with pingers in accordance with paragraphs (b) and (c) of 
this section. This prohibition does not apply to vessels fishing with a 
single pelagic gillnet (as described and used as set forth in Sec.  
648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Mid-Coast Management Area is the area 
bounded by straight lines connecting the following points in the order 
stated:

                        Mid-Coast Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
MC1............................  4230.0"...........  7050.1" (MA
                                                      shoreline)
MC2............................  4230.0"...........  7015.0"
MC3............................  4240.0"...........  7015.0"
MC4............................  4240.0"...........  7000.0"
MC5............................  4300.0"...........  7000.0"
MC6............................  4300.0"...........  6930.0"
MC7............................  4330.0"...........  6930.0"
MC8............................  4330.0"...........  6900.0"
MC9............................  4417.8"...........  6900.0" (ME
                                                      shoreline)
------------------------------------------------------------------------

    (3) Massachusetts Bay Management Area--(i) Area restrictions. From 
November 1 through February 28/29 and from April 1 through May 31, it is 
prohibited to fish with, set, haul back, possess on board a vessel 
unless stowed in accordance with Sec.  229.2, or fail to remove sink 
gillnet gear or gillnet gear capable of catching multispecies from the 
Massachusetts Bay Management Area, unless the gillnet gear is equipped 
with pingers in accordance with paragraphs (b) and (c) of this section. 
From March 1 through March 31, it is prohibited to fish with, set, haul 
back, possess on board a vessel unless stowed in accordance with Sec.  
229.2, or fail to remove sink gillnet gear or gillnet gear capable of 
catching multispecies from the Massachusetts Bay Management Area. These 
restrictions do not apply to vessels fishing with a single pelagic 
gillnet (as described in Sec.  648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Massachusetts Bay Management Area is 
bounded by straight lines connecting the following points in the order 
stated:

                    Massachusetts Bay Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
MB1............................  4230.0"...........  7050.1" (MA
                                                      shoreline)
MB2............................  4230.0"...........  7030.0"
MB3............................  4215.0"...........  7030.0"
MB4............................  4215.0"...........  7000.0"
MB5............................  4200.0"...........  7000.0"
MB6............................  4200.0"...........  7001.2" (MA
                                                      shoreline)
MB7............................  4200.0"...........  7004.8" (MA
                                                      shoreline)
MB8............................  4200.0"...........  7042.2" (MA
                                                      shoreline)
------------------------------------------------------------------------

    (4) Stellwagen Bank Management Area--(i) Area restrictions. From 
November 1 through May 31, it is prohibited to fish with, set, haul 
back, possess on board a vessel unless stowed in accordance with Sec.  
229.2, or fail to remove sink gillnet gear or gillnet gear capable of 
catching multispecies from the Stellwagen Bank Management Area, unless 
the gillnet gear is equipped with pingers in accordance with paragraphs 
(b) and (c) of this section. This restriction does not apply to vessels 
fishing with a single pelagic gillnet (as described in Sec.  
648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Stellwagen Bank Management Area is bounded 
by straight lines connecting the following points in the order stated:

                     Stellwagen Bank Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
SB1............................  4230.0"...........  7030.0"
SB2............................  4230.0"...........  7015.0"
SB3............................  4215.0"...........  7015.0"
SB4............................  4215.0"...........  7030.0"
SB1............................  4230.0"...........  7030.0"
------------------------------------------------------------------------

    (5) Southern New England Management Area--(i) Area restrictions. 
From December 1 through May 31, it is prohibited to fish with, set, haul 
back, possess on

[[Page 47]]

board a vessel unless stowed in accordance with Sec.  229.2, or fail to 
remove sink gillnet gear or gillnet gear capable of catching 
multispecies from the Southern New England Management Area, unless the 
gillnet gear is equipped with pingers in accordance with paragraphs (b) 
and (c) of this section. This prohibition does not apply to vessels 
fishing with a single pelagic gillnet (as described in Sec.  
648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Southern New England Management Area is 
bounded by straight lines connecting the following points in the order 
stated:

                  Southern New England Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
SNE1...........................  Western boundary as specified \1\.
SNE2...........................  4000.0"...........  7230.0"
SNE3...........................  4000.0"...........  6930.0"
SNE4...........................  4215.0"...........  6930.0"
SNE5...........................  4215.0"...........  7000.0"
SNE6...........................  4158.3"...........  7000.0" (MA
                                                      shoreline)
------------------------------------------------------------------------
\1\ Bounded on the west by a line running from the Rhode Island
  shoreline at 4118.2" N. lat. and 7151.5" W. long. (Watch Hill, RI),
  southwesterly through Fishers Island, NY, to Race Point, Fishers
  Island, NY; and from Race Point, Fishers Island, NY; southeasterly to
  the intersection of the 3-nautical mile line east of Montauk Point;
  southwesterly along the 3-nautical mile line to the intersection of
  7230.0" W. long.

    (6) Cape Cod South Closure Area--(i) Area restrictions. From March 1 
through March 31, it is prohibited to fish with, set, haul back, possess 
on board a vessel unless stowed in accordance with Sec.  229.2, or fail 
to remove sink gillnet gear or gillnet gear capable of catching 
multispecies from the Cape Cod South Closure Area. This prohibition does 
not apply to vessels fishing with a single pelagic gillnet (as described 
in Sec.  648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Cape Cod South Closure Area is bounded by 
straight lines connecting the following points in the order stated:

                       Cape Cod South Closure Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
CCS1...........................  4119.6"...........  7145.0" (RI
                                                      shoreline)
CCS2...........................  4040.0"...........  7145.0"
CCS3...........................  4040.0"...........  7030.0"
CCS4...........................  4120.9"...........  7030.0"
CCS5...........................  4123.1"...........  7030.0"
CCS6...........................  4133.1"...........  7030.0" (MA
                                                      shoreline)
------------------------------------------------------------------------

    (7) Offshore Management Area--(i) Area restrictions. From November 1 
through May 31, it is prohibited to fish with, set, haul back, possess 
on board a vessel unless stowed in accordance with Sec.  229.2, or fail 
to remove sink gillnet gear or gillnet gear capable of catching 
multispecies from the Offshore Management Area, unless the gillnet gear 
is equipped with pingers in accordance with paragraphs (b) and (c) of 
this section. This restriction does not apply to vessels fishing with a 
single pelagic gillnet (as described in Sec.  648.81(f)(2)(ii) of this 
title).
    (ii) Area boundaries. The Offshore Management Area is bounded by 
straight lines connecting the following points in the order stated:

                        Offshore Management Area
------------------------------------------------------------------------
             Point                   N. Lat.              W. Long.
------------------------------------------------------------------------
OFS1..........................  4250.0"..........  6930.0"
OFS2..........................  4310.0"..........  6910.0"
OFS3..........................  4310.0"..........  6740.0"
OFS4..........................  4305.8"..........  6740.0" (EEZ
                                                    boundary)
OFS5..........................  4253.1"..........  6744.5" (EEZ
                                                    boundary)
OFS6..........................  4247.3"..........  6740.0" (EEZ
                                                    boundary)
OFS7..........................  4210.0"..........  6740.0"
OFS8..........................  4210.0"..........  6930.0"
OFS1..........................  4250.0"..........  6930.0"
------------------------------------------------------------------------

    (8) Cashes Ledge Closure Area--(i) Area restrictions. During the 
month of February, it is prohibited to fish with, set, haul back, 
possess on board a vessel unless stowed in accordance with Sec.  229.2, 
or fail to remove sink gillnet gear or gillnet gear capable of catching 
multispecies from the Cashes Ledge Closure Area. This restriction does 
not apply to vessels fishing with a single pelagic gillnet (as described 
in Sec.  648.81(f)(2)(ii) of this title).
    (ii) Area boundaries. The Cashes Ledge Closure Area is bounded by 
straight lines connecting the following points in the order stated:

                        Cashes Ledge Closure Area
------------------------------------------------------------------------
             Point                   N. Lat.              W. Long.
------------------------------------------------------------------------
CL1...........................  4230.0"..........  6900.0"
CL2...........................  4230.0"..........  6830.0"
CL3...........................  4300.0"..........  6830.0"
CL4...........................  4300.0"..........  6900.0"
CL1...........................  4230.0"..........  6900.0"
------------------------------------------------------------------------


[[Page 48]]

    (b) Pingers--(1) Pinger specifications. For the purposes of this 
subpart, a pinger is an acoustic deterrent device which, when immersed 
in water, broadcasts a 10 kHz (plus or minus 2 kHz) sound at 132 dB 
(plus or minus 4 dB) re 1 micropascal at 1 m, lasting 300 milliseconds 
(plus or minus 15 milliseconds), and repeating every 4 seconds (plus or 
minus 0.2 seconds).
    (2) Pinger attachment. An operating and functional pinger must be 
attached at each end of a string of gillnets and at the bridle of every 
net, or every 300 feet (91.4 m or 50 fathoms), whichever is closer.
    (c) Pinger training and authorization. The operator of a vessel may 
not fish with, set, haul back, possess on board a vessel unless stowed 
in accordance with Sec.  229.2, or fail to remove sink gillnet gear or 
gillnet gear capable of catching multispecies in closed areas where 
pingers are required as specified under paragraph (b) of this section, 
unless the operator has satisfactorily received pinger training and 
possesses and retains on board the vessel a valid pinger training 
authorization issued by NMFS.
    (d) [Reserved]
    (e) Research permits. An exemption to the requirements set forth in 
this section may be acquired for the purposes of conducting scientific 
or gear research within the restricted areas described in this section. 
A scientific research permit must be acquired through NMFS's existing 
permit application process, administered by NMFS.
    (f) Other special measures. The Assistant Administrator may, after 
consultation with the Take Reduction Team, revise the requirements of 
this section through notification published in the Federal Register if:
    (1) NMFS determines that pinger operating effectiveness in the 
commercial fishery is inadequate to reduce bycatch below the stock's PBR 
level.
    (2) NMFS determines that the boundary or timing of a closed area is 
inappropriate, or that gear modifications (including pingers) are not 
reducing bycatch to below the PBR level.

[75 FR 7396, Feb. 19, 2010, as amended at 78 FR 61826, Oct. 4, 2013]



Sec.  229.34  Harbor Porpoise Take Reduction Plan Regulations--Mid-Atlantic.

    (a)(1) Regulated waters. The regulations in this section apply to 
all waters in the Mid-Atlantic bounded on the east by 7230" W. long. at 
the southern coast of Long Island, NY at 4050.1" N. lat. and on the 
south by the NC/SC border (3351.1" N. lat.), except for the areas 
exempted in paragraph (a)(2) of this section.
    (2) Exempted waters. The regulations within this section are not 
applicable to waters landward of the first bridge over any embayment, 
harbor, or inlet, or to waters landward of the following lines:

New York
 4045.70" N., 7245.15" W. to 4045.72" N., 7245.30" W. (Moriches Bay 
Inlet)
 4037.32" N., 7318.40" W. to 4038.00" N., 7318.56" W. (Fire Island 
Inlet)
 4034.40" N., 7334.55" W. to 4035.08" N., 7335.22" W. (Jones Inlet)
New Jersey/Delaware
 3945.90" N., 7405.90" W. to 3945.15" N., 7406.20" W. (Barnegat 
Inlet)
 3930.70" N., 7416.70" W. to 3926.30" N., 7419.75" W. (Beach Haven 
to Brigantine Inlet)
 3856.20" N., 7451.70" W. to 3856.20" N., 7451.90" W. (Cape May 
Inlet)

    All marine and tidal waters landward of the 72 COLREGS demarcation 
line (International Regulations for Preventing Collisions at Sea, 1972), 
as depicted or noted on nautical charts published by NOAA (Coast Charts 
1:80,000 scale), and as described in 33 CFR part 80. (Delaware Bay)

Maryland/Virginia
 3819.48" N., 7505.10" W. to 3819.35" N., 7505.25" W. (Ocean City 
Inlet)

    All marine and tidal waters landward of the 72 COLREGS demarcation 
line (International Regulations for Preventing Collisions at Sea, 1972), 
as depicted or noted on nautical charts published by NOAA (Coast Charts 
1:80,000 scale), and as described in 33 CFR part 80. (Chincoteague to 
Ship Shoal Inlet)

 3711.10" N., 7549.30" W. to 3710.65" N., 7549.60" W. (Little Inlet)
 3707.00" N., 7553.75" W. to 3705.30" N., 7556." W. (Smith Island 
Inlet)

North Carolina


[[Page 49]]


    All marine and tidal waters landward of the 72 COLREGS demarcation 
line (International Regulations for Preventing Collisions at Sea, 1972), 
as depicted or noted on nautical charts published by NOAA (Coast Charts 
1:80,000 scale), and as described in 33 CFR part 80.
    (b) Restrictions--(1) Waters off New Jersey Management Area. The 
Waters off New Jersey Management Area is bounded by straight lines 
connecting the following points in the order stated:

                  Waters Off New Jersey Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
WNJ1...........................  4050.1"...........  7230.0" (NY
                                                      shoreline)
WNJ2...........................  3847.0"...........  7230.0"
WNJ3...........................  3847.0"...........  7505.0" (DE
                                                      shoreline)
------------------------------------------------------------------------

    (i) Closure. From April 1 through April 20, it is prohibited to fish 
with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any large mesh gillnet 
gear from the Waters off New Jersey Management Area.
    (ii) Gear limitations and requirements--large mesh gillnet gear. 
From January 1 through April 30, except during April 1 through April 20, 
as described in paragraph (b)(1)(i) of this section, no person may fish 
with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any large mesh gillnet 
gear in the Waters off New Jersey Management Area, unless the gear 
complies with the specified gear characteristics described in paragraphs 
(b)(1)(ii)(A) through (F) of this section. During this period, no vessel 
may enter or remain in the Waters off New Jersey Management Area with 
large mesh gillnet gear on board, unless the gear complies with the 
specified gear characteristics described in paragraphs (b)(1)(ii)(A) 
through (F) of this section, or is stowed in accordance with Sec.  
229.2. In order to comply with these specified gear characteristics, the 
gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 4,800 ft 
(1,463.0 m).
    (B) Twine size. The twine is at least 0.035 inches (0.90 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.44 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel, or deployed by the vessel, does not exceed 80.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 16.
    (F) Tie-down system. The gillnet gear is equipped with tie-downs 
spaced not more than 24 ft (7.3 m) apart along the floatline, and each 
tie-down is not more than 48 inches (18.90 cm) in length from the point 
where it connects to the floatline to the point where it connects to the 
lead line.
    (iii) Gear limitations and requirements--small mesh gillnet gear. 
From January 1 through April 30, no person may fish with, set, haul 
back, possess on board a vessel unless stowed in accordance with Sec.  
229.2, or fail to remove any small mesh gillnet gear in the Waters off 
New Jersey Management Area unless the gear complies with the specified 
gear characteristics described in paragraphs (b)(1)(iii)(A) through (F) 
of this section. During this period, no vessel may enter or remain in 
the Waters off New Jersey Management Area with small mesh gillnet gear 
on board, unless the gear complies with the specified gear 
characteristics described in paragraphs (b)(1)(iii)(A) through (F) of 
this section, or is stowed in accordance with Sec.  229.2. In order to 
comply with these specified gear characteristics, the gear must have all 
the following characteristics:
    (A) Floatline length. The floatline is not more than 3,000 ft (914.4 
m) in length.
    (B) Twine size. The twine is at least 0.031 inches (0.81 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.4 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 45.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 10.

[[Page 50]]

    (F) Tie-down system. Tie-downs are prohibited.
    (2) Mudhole North Management Area. The Mudhole North Management Area 
is bounded by straight lines connecting the following points in the 
order stated:

                      Mudhole North Management Area
------------------------------------------------------------------------
             Point                     N. Lat.             W. Long.
------------------------------------------------------------------------
MN1............................  4028.1"...........  7400.0" (NJ
                                                      shoreline)
MN2............................  4030.0"...........  7400.0"
MN3............................  4030.0"...........  7320.0"
MN4............................  4005.0"...........  7320.0"
MN5............................  4005.0"...........  7402.0" (NJ
                                                      shoreline)
------------------------------------------------------------------------

    (i) Closures. From February 15 through March 15, it is prohibited to 
fish with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any large or small mesh 
gillnet gear from the Mudhole North Management Area. In addition, from 
April 1 through April 20, it is prohibited to fish with, set, haul back, 
possess on board a vessel unless stowed in accordance with Sec.  229.2, 
or fail to remove any large mesh gillnet gear from the Mudhole North 
Management Area.
    (ii) Gear limitations and requirements--large mesh gillnet gear. 
From January 1 through April 30, except during February 15 through March 
15 and April 1 through April 20 as described in paragraph (b)(2)(i) of 
this section, no person may fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
any large mesh gillnet gear in the Mudhole North Management Area unless 
the gear complies with the specified gear characteristics described in 
paragraphs (b)(2)(ii)(A) through (F) of this section. During this 
period, no vessel may enter or remain in the Mudhole North Management 
Area with large mesh gillnet gear on board, unless the gear complies 
with the specified gear characteristics described in paragraphs 
(b)(2)(ii)(A) through (F) of this section, or is stowed in accordance 
with Sec.  229.2. In order to comply with these specified gear 
characteristics, the gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 3,900 ft 
(1,188.7 m).
    (B) Twine size. The twine is at least 0.035 inches (0.90 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.44 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 80.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 13.
    (F) Tie-down system. The gillnet gear is equipped with tie-downs 
spaced not more than 24 ft (7.3 m) apart along the floatline, and each 
tie-down is not more than 48 inches (18.90 cm) in length from the point 
where it connects to the floatline to the point where it connects to the 
lead line.
    (iii) Gear limitations and requirements--small mesh gillnet gear. 
From January 1 through April 30, except during February 15 through March 
15 as described in paragraph (b)(2)(i) of this section, no person may 
fish with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any small mesh gillnet 
gear in the Mudhole North Management Area unless the gear complies with 
the specified gear characteristics described in paragraphs 
(b)(2)(iii)(A) through (F) of this section. During this period, no 
vessel may enter or remain in the Mudhole North Management Area with 
small mesh gillnet gear on board unless the gear complies with the 
specified gear characteristics described in paragraphs (b)(2)(iii)(A) 
through (F) of this section, or is stowed in accordance with Sec.  
229.2. In order to comply with these specified gear characteristics, the 
gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 3,000 ft (914.4 
m) in length.
    (B) Twine size. The twine is at least 0.031 inches (0.81 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.4 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 45.

[[Page 51]]

    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 10.
    (F) Tie-down system. Tie-downs are prohibited.
    (3) Mudhole South Management Area. The Mudhole South Management Area 
is bounded by straight lines connecting the following points in the 
order stated:

                      Mudhole South Management Area
------------------------------------------------------------------------
              Point                       N. Lat.            W. Long.
------------------------------------------------------------------------
MS1..............................  4005.0".............  7331.0"
MS2..............................  4005.0".............  7300.0"
MS3..............................  3951.0".............  7300.0"
MS4..............................  3951.0".............  7331.0"
MS1..............................  4005.0".............  7331.0"
------------------------------------------------------------------------

    (i) Closures. From February 1 through March 15, it is prohibited to 
fish with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any large or small mesh 
gillnet gear in the Mudhole South Management Area. In addition, from 
April 1 through April 20, it is prohibited to fish with, set, haul back, 
possess on board a vessel unless stowed in accordance with Sec.  229.2, 
or fail to remove any large mesh gillnet gear from the Mudhole South 
Management Area.
    (ii) Gear limitations and requirements--large mesh gillnet gear. 
From January 1 through April 30, except during February 1 through March 
15 and April 1 through April 20 as described in paragraph (b)(3)(i) of 
this section, no person may fish with, set, haul back, possess on board 
a vessel unless stowed in accordance with Sec.  229.2, or fail to remove 
any large mesh gillnet gear in the Mudhole South Management Area unless 
the gear complies with the specified gear characteristics described in 
paragraphs (b)(3)(ii)(A) through (F) of this section. During this 
period, no vessel may enter or remain in the Mudhole South Management 
Area with large mesh gillnet gear on board, unless the gear complies 
with the specified gear characteristics described in paragraphs 
(b)(3)(ii)(A) through (F) of this section, or is stowed in accordance 
with Sec.  229.2. In order to comply with these specified gear 
characteristics, the gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 3,900 ft 
(1,188.7 m).
    (B) Twine size. The twine is at least 0.035 inches (0.90 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.44 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 80.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 13.
    (F) Tie-down system. The gillnet gear is equipped with tie-downs 
spaced not more than 24 ft (7.3 m) apart along the floatline, and each 
tie-down is not more than 48 inches (18.90 cm) in length from the point 
where it connects to the floatline to the point where it connects to the 
lead line.
    (iii) Gear limitations and requirements--small mesh gillnet gear. 
From January 1 through April 30 of each year, except during February 1 
through March 15 as described in paragraph (b)(3)(i) of this section, no 
person may fish with, set, haul back, possess on board a vessel unless 
stowed in accordance with Sec.  229.2, or fail to remove any small mesh 
gillnet gear in the Mudhole South Management Area unless the gear 
complies with the specified gear characteristics described in paragraphs 
(b)(3)(iii)(A) through (F) of this section. During this period, no 
vessel may enter or remain in the Mudhole South Management Area with 
small mesh gillnet gear on board unless the gear complies with the 
specified gear characteristics described in paragraphs (b)(3)(iii)(A) 
through (F) of this section, or is stowed in accordance with Sec.  
229.2. In order to comply with these specified gear characteristics, the 
gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 3,000 ft (914.4 
m) in length.
    (B) Twine size. The twine is at least 0.031 inches (0.81 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.4 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 45.

[[Page 52]]

    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 10.
    (F) Tie-down system. Tie-downs are prohibited.
    (4) Southern Mid-Atlantic Management Area. The Southern Mid-Atlantic 
Management Area is bounded by straight lines connecting the following 
points in the order stated:

                  Southern Mid-Atlantic Management Area
------------------------------------------------------------------------
             Point                   N. Lat.              W. Long.
------------------------------------------------------------------------
SMA1..........................  3847.0"..........  7505.0" (DE
                                                    shoreline)
SMA2..........................  3847.0"..........  7230.0"
SMA3..........................  3351.1"..........  7230.0"
SMA4..........................  3351.1"..........  7832.5" (NC/SC
                                                    border)
------------------------------------------------------------------------

    (i) Closures. From February 15 through March 15, it is prohibited to 
fish with, set, haul back, possess on board a vessel unless stowed in 
accordance with Sec.  229.2, or fail to remove any large mesh gillnet 
gear from the Southern Mid-Atlantic Management Area.
    (ii) Gear limitations and requirements--large mesh gillnet gear. 
From February 1 through April 30, except during February 15 through 
March 15 as described in paragraph (b)(4)(i) of this section, no person 
may fish with, set, haul back, possess on board a vessel unless stowed 
in accordance with Sec.  229.2, or fail to remove any large mesh gillnet 
gear in the Southern Mid-Atlantic Management Area unless the gear 
complies with the specified gear characteristics described in paragraphs 
(b)(4)(ii)(A) through (F) of this section. During this period, no vessel 
may enter or remain in the Southern Mid-Atlantic Management Area with 
large mesh gillnet gear on board, unless the gear complies with the 
specified gear characteristics described in paragraphs (b)(4)(ii)(A) 
through (F) of this section, or is stowed in accordance with Sec.  
229.2. In order to comply with these specified gear characteristics, the 
gear must have all the following characteristics:
    (A) Floatline length. The floatline is not more than 3,900 ft 
(1,188.7 m) in length.
    (B) Twine size. The twine is at least 0.035 inches (0.90 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.4 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 80.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 13.
    (F) Tie-down system. The gillnet gear is equipped with tie-downs 
spaced not more than 24 ft (7.3 m) apart along the floatline, and each 
tie-down is not more than 48 inches (18.90 cm) in length from the point 
where it connects to the floatline to the point where it connects to the 
lead line.
    (iii) Gear limitations and requirements--small mesh gillnet gear. 
From February 1 through April 30, no person may fish with, set, haul 
back, possess on board a vessel unless stowed in accordance with Sec.  
229.2, or fail to remove any small mesh gillnet gear in the Southern 
Mid-Atlantic Management Area unless the gear complies with the specified 
gear characteristics described in paragraphs (b)(4)(iii)(A) through (F) 
of this section. During this period, no vessel may enter or remain in 
the Southern Mid-Atlantic Management Area with small mesh gillnet gear 
on board, unless the gear complies with the specified gear 
characteristics described in paragraphs (b)(4)(iii)(A) through (F) of 
this section, or is stowed in accordance with Sec.  229.2. In order to 
comply with these specified gear characteristics, the gear must have all 
the following characteristics:
    (A) Floatline length. The floatline is no longer than 2,118 ft 
(645.6 m).
    (B) Twine size. The twine is at least 0.031 inches (0.81 mm) in 
diameter.
    (C) Size of nets. Individual nets or net panels are not more than 
300 ft (91.4 m or 50 fathoms) in length.
    (D) Number of nets. The total number of individual nets or net 
panels for a vessel, including all nets on board the vessel, hauled by 
the vessel or deployed by the vessel, does not exceed 45.
    (E) Number of nets per string. The total number of nets or net 
panels in a net string does not exceed 7.
    (F) Tie-down system. Tie-downs are prohibited.

[[Page 53]]

    (c) Research permits. An exemption to the requirements set forth in 
this section may be acquired for the purposes of conducting scientific 
or gear research within the restricted areas described in this section. 
A scientific research permit must be acquired through NMFS' existing 
permit application process, administered by NMFS.
    (d) Other special measures. The Assistant Administrator may revise 
the requirements of this section through notification published in the 
Federal Register if NMFS determines that the boundary or timing of a 
closed area is inappropriate, or that gear modifications are not 
reducing bycatch to below the stock's PBR level.

[75 FR 7399, Feb. 19, 2010]



Sec.  229.35  Bottlenose Dolphin Take Reduction Plan.

    (a) Purpose and scope. The purpose of this section is to implement 
the Bottlenose Dolphin Take Reduction Plan (BDTRP) to reduce incidental 
mortality and serious injury of strategic stocks of bottlenose dolphins 
within the Western North Atlantic coastal morphotype in specific 
Category I and II commercial fisheries from New Jersey through Florida. 
Specific Category I and II commercial fisheries within the scope of the 
BDTRP are indentified and updated in the annual List of Fisheries. Gear 
restricted by this section includes small, medium, and large mesh 
gillnets and pound nets. The geographic scope of the BDTRP is all tidal 
and marine waters within 6.5 nautical miles (12 km) of shore from the 
New York-New Jersey border southward to Cape Hatteras, North Carolina, 
and within 14.6 nautical miles (27 km) of shore from Cape Hatteras, 
southward to, and including the east coast of Florida down to the 
fishery management council demarcation line between the Atlantic Ocean 
and the Gulf of Mexico (as described in Sec.  600.105 of this title).
    (b) Definitions. In addition to the definitions contained in the 
Act, Sec.  216.3 and Sec.  229.2 of this chapter, the terms defined in 
this section shall have the following definitions, even if a contrary 
definition exists in the Act, Sec.  216.3, or Sec.  229.2:
    Beach means landward of and including the mean low water line.
    Beach/water interface means the mean low water line.
    Bottlenose Dolphin Pound Net Regulated Area means all Virginia 
marine waters of the Atlantic Ocean within 3 nautical miles (5.56 km) of 
shoreline and all adjacent tidal waters, bounded on the north by 
3801.6" N. (Maryland/Virginia border) and on the south by 3633" N 
(Virginia/North Carolina border); and all southern Virginia waters of 
the mainstem Chesapeake Bay bounded on the south and west by the Hampton 
Roads Bridge Tunnel across the James River and the Coleman Memorial 
Bridge across the York River; and north and east by the following points 
connected by straight lines in the order listed:

------------------------------------------------------------------------
             Point                          Area description
------------------------------------------------------------------------
1.............................  Where 3719.0" N. lat. meets the
                                 shoreline of the Severn River fork,
                                 near Stump Point, Virginia (western
                                 portion of Mobjack Bay), which is
                                 approximately 7626.75" W. long.
2.............................  3719.0" N. lat., 7613.0" W. long.
3.............................  3713.0" N. lat., 7613.0" W. long.
4.............................  Where 3713.0" N. lat. meets the eastern
                                 shoreline of Chesapeake Bay, Virginia,
                                 near Elliotts Creek, which is
                                 approximately 7600.75" W. long.
------------------------------------------------------------------------

    Large mesh gillnet means a gillnet constructed with a mesh size 
greater than or equal to 7-inches (17.8 cm) stretched mesh.
    Medium mesh gillnet means a gillnet constructed with a mesh size of 
greater than 5-inches (12.7 cm) to less than 7-inches (17.8 cm) 
stretched mesh.
    New Jersey, Delaware, and Maryland State waters means the area 
consisting of all marine and tidal waters, within 3 nautical miles (5.56 
km) of shore, bounded on the north by 40o 30" N. (New York/New Jersey 
border at the coast) and on the south by 38o 01.6" N. (Maryland/Virginia 
border at the coast).
    Night means any time between one hour after sunset and one hour 
prior to sunrise.
    Northern North Carolina State waters means the area consisting of 
all marine and tidal waters, within 3 nautical miles (5.56 km) of shore, 
bounded on the north by 36 33" N. (Virginia/North Carolina border at 
the coast) and on the south by 34 35.4" N. (Cape Lookout, North 
Carolina).
    Northern Virginia State waters means the area consisting of all 
marine and

[[Page 54]]

tidal waters, within 3 nautical miles (5.56 km) of shore, bounded on the 
north by 38 01.6" N. (Virginia/Maryland border at the coast) and on the 
south by 37 07.23" N. (Cape Charles Light on Smith Island in the 
Chesapeake Bay mouth).
    Small mesh gillnet means a gillnet constructed with a mesh size of 
less than or equal to 5-inches (12.7 cm) stretched mesh.
    South Carolina, Georgia, and Florida waters means the area 
consisting of all marine and tidal waters, within 14.6 nautical miles 
(27 km) of shore, bounded on the north by a line extending in a 
direction of 13534"55 from true north from the North Carolina/South 
Carolina border at 3351"07.9 N. and 7832"32.6 W., and on the south 
by the fishery management council demarcation line between the Atlantic 
Ocean and the Gulf of Mexico (as described in Sec.  600.105 of this 
title).
    Southern North Carolina State waters means the area consisting of 
all marine and tidal waters, within 3 nautical miles (5.56 km) of shore, 
bounded on the north by 3435.4" N. (Cape Lookout, North Carolina), and 
on the south by a line extending in a direction of 13534"55 from true 
north from the North Carolina/South Carolina border at 3351"07.9 N. 
and 7832"32.6 W.
    Southern Virginia State waters means the area consisting of all 
marine and tidal waters, within 3 nautical miles (5.56 km) of shore, 
bounded on the north by 37 07.23" N. (Cape Charles Light on Smith 
Island in the Chesapeake Bay mouth) and on the south by 36 33" N. 
(Virginia/North Carolina border at the coast).
    (c) BDTRP regulated waters--(1) Gillnets. The regulations pertaining 
to gillnets in this section apply to New Jersey, Delaware, and Maryland 
State waters; Northern North Carolina State waters; Northern Virginia 
State waters; South Carolina, Georgia, and Florida waters; Southern 
North Carolina State waters; and Southern Virginia State waters as 
defined in Sec.  229.35(b), except for the waters identified in Sec.  
229.34(a)(2), with the following modification and addition. From 
Chincoteague to Ship Shoal Inlet in Virginia (37 52" N. 75 24.30" W. 
to 37 11.90" N. 75 48.30" W) and South Carolina, Georgia, and Florida 
waters, those waters landward 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 are excluded from the regulations.
    (2) Pound nets. The regulations pertaining to pound nets in this 
section apply to the Bottlenose Dolphin Pound Net Regulated Area.
    (d) Regional management measures--(1) New Jersey, Delaware, and 
Maryland State waters--(i) Medium and large mesh gillnets. From June 1 
through October 31, in New Jersey, Delaware, and Maryland state waters, 
no person may fish with any medium or large mesh anchored gillnet gear 
at night unless such person remains within 0.5 nautical mile (0.93 km) 
of the closest portion of each gillnet and removes all such gear from 
the water and stows it on board the vessel before the vessel returns to 
port.
    (ii) [Reserved]
    (2) Virginia state waters--(i) Medium and large mesh gillnets. From 
June 1 through October 31, in Southern Virginia State waters and 
Northern Virginia State waters, no person may fish with any medium or 
large mesh anchored gillnet gear at night unless such person remains 
within 0.5 nautical mile (0.93 km) of the closest portion of each 
gillnet and removes all such gear from the water and stows it on board 
the vessel before the vessel returns to port.
    (ii) Pound nets. (A) Year-round, any offshore pound net in the 
Bottlenose Dolphin Pound Net Regulated Area must use a modified pound 
net leader.
    (B) Year-round, any nearshore and offshore pound nets set in the 
Bottlenose Dolphin Pound Net Regulated Area must have all three 
continuous sections as defined in 50 CFR 229.2, except that one or more 
sections may be missing for a maximum period of 10 days for purposes of 
setting, removing, and/or repairing pound nets.
    (C) The pound net licensee and the vessel operator of any offshore 
pound net set in the Bottlenose Dolphin Pound Net Regulated Area must 
have completed modified pound net leader compliance training and possess 
on

[[Page 55]]

board the vessel a valid modified pound net leader compliance training 
certificate issued by NMFS. NMFS retains discretion to provide 
exemptions in limited circumstances where appropriate. Notice will be 
given by NMFS announcing the times and locations of modified pound net 
leader compliance training.
    (3) Southern Virginia State waters--(i) Large mesh gillnets. From 
November 1 through December 31, in Southern Virginia State waters, no 
person may fish with, possess on board a vessel unless stowed, or fail 
to remove from the water, any large mesh gillnet gear at night.
    (ii) [Reserved]
    (4) Northern North Carolina State waters--(i) Small mesh gillnets. 
From May 1 through October 31, in Northern North Carolina State waters, 
no person may fish with any small mesh gillnet gear longer than 1,000 
feet (304.8 m).
    (ii) Medium mesh gillnets. From November 1 through April 30 of the 
following year, in Northern North Carolina State waters, no person may 
fish with any medium mesh gillnet at night.
    (iii) Large mesh gillnets. (A) From April 15 through December 15, in 
Northern North Carolina State waters, no person may fish with any large 
mesh gillnet.
    (B) From December 16 through April 14 of the following year, in 
Northern North Carolina State waters, no person may fish with any large 
mesh gillnet without tie-downs at night.
    (5) Southern North Carolina State waters--(i) Medium mesh gillnets. 
From November 1 through April 30 of the following year, in Southern 
North Carolina State waters, no person may fish with any medium mesh 
gillnet at night.
    (ii) Large mesh gillnets. (A) From April 15 through December 15, in 
Southern North Carolina State waters, no person may fish with any large 
mesh gillnet.
    (B) From December 16 through April 14 of the following year, in 
Southern North Carolina State waters, no person may fish, possess on 
board unless stowed, or fail to remove from the water, any large mesh 
gillnet at night.
    (6) South Carolina, Georgia, and Florida waters--(i) Gillnets. Year-
round, in South Carolina, Georgia, and Florida waters, no person may 
fish with any gillnet gear unless such person remains within 0.25 
nautical miles (0.46 km) of the closest portion of the gillnet. Gear 
shall be removed from the water and stowed on board the vessel before 
the vessel returns to port.
    (ii) [Reserved]

[71 FR 24796, Apr. 26, 2006, as amended at 73 FR 77533, Dec. 19, 2008; 
77 FR 45270, July 31, 2012; 80 FR 6929, Feb. 9, 2015]



Sec.  229.36  Atlantic Pelagic Longline Take Reduction Plan (PLTRP).

    (a) Purpose and scope. The purpose of this section is to implement 
the PLTRP to reduce incidental mortality and serious injury of long-
finned and short-finned pilot whales and Risso's dolphins in the 
Atlantic pelagic longline fishery off the U.S. east coast, a component 
of the Atlantic Ocean, Caribbean, Gulf of Mexico large pelagics longline 
fishery.
    (1) Persons subject to this section. The regulations in this section 
apply to the owner and operator of any vessel that has been issued or is 
required to be issued an Atlantic HMS tunas, swordfish, or shark permit 
under Sec.  635.4 of this title and that has pelagic longline gear 
onboard as described under Sec.  635.21(c) of this title.
    (2) Geographic scope. The geographic scope of the PLTRP is the 
Atlantic Federal EEZ off the U.S. East Coast. The regulations specified 
in paragraphs (b) through (d) of this section apply throughout the 
Atlantic Federal EEZ off the U.S. East Coast. The regulation specified 
in paragraph (e) of this section applies to all U.S. Atlantic pelagic 
longline vessels operating in the EEZ portion of the Mid-Atlantic Bight.
    (b) Definitions. In addition to the definitions contained in the 
MMPA and Sec. Sec.  216.3 and 229.2 of this chapter, the following 
definitions apply.
    (1) Cape Hatteras Special Research Area (CHSRA) means all waters 
inside and including the rectangular boundary described by the following 
lines: 35 N. lat., 75 W. long., 36 25' N. lat., and 74 35' W. long.
    (2) Mid-Atlantic Bight means the area bounded by straight lines 
connecting

[[Page 56]]

the mid-Atlantic states' internal waters and extending to 71 W. long. 
between 35 N. lat. and 43 N. lat.
    (3) Observer means an individual authorized by NMFS, or a designated 
contractor, placed aboard a commercial fishing vessel to record 
information on marine mammal interactions, fishing operations, marine 
mammal life history information, and other scientific data; to collect 
biological specimens; and to perform other scientific investigations.
    (4) Pelagic longline has the same meaning as in Sec.  635.2 of this 
title.
    (c) Marine Mammal Handling and Release Placard. The placard, 
``Marine Mammal Handling/Release Guidelines: A Quick Reference for 
Atlantic Pelagic Longline Gear,'' must be kept posted inside the 
wheelhouse and on the working deck. You may contact the NMFS Southeast 
Regional Office at (727) 824-5312 to request additional copies of the 
placard.
    (d) CHSRA--(1) Special observer requirements. If you deploy or fish 
with pelagic longline gear in the CHSRA, or intend to do so, you must 
call NMFS Southeast Fisheries Science Center (SEFSC), 1-888-254-2558, at 
least 48 hours, but no more than 96 hours, prior to embarking on your 
fishing trip. This requirement is in addition to any existing selection 
and notification requirement for observer coverage by the Pelagic 
Observer Program. If, upon calling in, you are informed by the NMFS 
SEFSC that no observer will be assigned and that no special research 
requirements will apply for that trip, then you need not wait until your 
stated date and time of departure and may depart on your fishing trip 
immediately. If you are assigned an observer, you must take the observer 
during that fishing trip. If you do not take the observer, you are 
prohibited from deploying or fishing with pelagic longline gear in the 
CHSRA for that fishing trip. You must comply with all provisions of 
Sec.  229.7, Monitoring of incidental mortalities and serious injuries. 
In addition, all provisions of 50 CFR 600.746, Observers, apply. No 
waivers will be granted under Sec.  229.7(c)(3) or Sec.  600.746(f). A 
vessel that would otherwise be required to carry an observer, but is 
inadequate or unsafe for purposes of carrying an observer and for 
allowing operation of normal observer functions, is prohibited from 
deploying or fishing with pelagic longline gear in the CHSRA.
    (2) Special research requirements. In addition to observing normal 
fishing activities, observers may conduct additional scientific 
investigations aboard your vessel designed to support the goals of the 
PLTRP. The observer will inform you of the specific additional 
investigations that may be conducted during your trip. An observer may 
direct you to modify your fishing behavior, gear, or both. Instead of 
carrying an observer, you may be required to carry and deploy gear 
provided by NMFS or an observer or modify your fishing practices. By 
calling in per Sec.  229.36(d)(1), you are agreeing to take an observer. 
You are also acknowledging you are both willing and able to participate 
in research, as per this paragraph, in the CHSRA consistent with the 
PLTRP without any compensation. If you are assigned any special research 
requirements, you must participate in the research for the duration of 
the assignment. If you do not participate in the research, you are 
prohibited from deploying or fishing with pelagic longline gear in the 
CHSRA for that fishing trip.
    (3) Exception for transit. If pelagic longline gear is appropriately 
stowed, a vessel may transit through the CHSRA without meeting the 
observer and research requirements specified in Sec.  229.36(d)(1) and 
Sec.  229.36(d)(2). For the purpose of this paragraph, transit means 
non-stop progression through the area. Pelagic longline gear is 
appropriately stowed if all gangions, hooks, and buoys are disconnected 
from the mainline; hooks are not baited; longline left on the drum is 
covered with a tarp; and all other gear components are either stowed 
below deck or secured on deck and covered with a tarp.
    (e) Gear restrictions. No person may deploy a pelagic longline that 
exceeds 20 nautical miles (nm) (37.04 km) in length in the Mid-Atlantic 
Bight, including in the CHSRA, unless they have a written letter of 
authorization from the Director, NMFS Southeast Fishery Science Center 
to use a pelagic

[[Page 57]]

longline exceeding 20 nm (37.04 km) in the CHSRA in support research for 
reducing bycatch of marine mammals in the pelagic longline fishery.

[74 FR 23358, May 19, 2009]



Sec.  229.37  False Killer Whale Take Reduction Plan.

    (a) Purpose and scope. The purpose of this section is to implement 
the False Killer Whale Take Reduction Plan to reduce mortality and 
serious injury of the Hawaii Pelagic and Hawaii Insular stocks of false 
killer whales in the Hawaii-based deep-set and shallow-set pelagic 
longline fisheries. The requirements in this section apply to vessel 
owners and operators, and vessels registered for use with Hawaii 
longline limited access permits issued under Sec.  665.801(b) of this 
title.
    (b) Definitions. In addition to the definitions contained in Sec.  
229.2, terms in this section have the following meanings:
    (1) Deep-set or Deep-setting has the same meaning as the definition 
at Sec.  665.800 of this title.
    (2) Longline gear has the same meaning as the definition at Sec.  
665.800 of this title.
    (c) Gear requirements. (1) While deep-setting, the owner and 
operator of a vessel registered for use under a Hawaii longline limited 
access permit must use only hooks meeting the following specifications:
    (i) Circle hook with hook shank containing round wire that can be 
measured with a caliper or other appropriate gauge, with a wire diameter 
not to exceed 4.5 mm (0.177 in); and
    (ii) Offset not to exceed 10 degrees.
    (2) While deep-setting, owners and operators of vessels registered 
for use under a valid Hawaii longline limited access permit must use 
leaders and branch lines that all have a diameter of 2.0 mm or larger if 
the leaders and branch lines are made of monofilament nylon. If any 
other material is used for a leader or branch line, that material must 
have a breaking strength of at least 400 lb (181 kg).
    (d) Prohibited area management. (1) Main Hawaiian Islands Longline 
Fishing Prohibited Area. Longline fishing is prohibited in the portion 
of the EEZ around Hawaii bounded by straight lines connecting the 
following coordinated in the order listed:

------------------------------------------------------------------------
                      Point                         N. lat.    W. long.
------------------------------------------------------------------------
A...............................................       1805"      15540"
B...............................................       1820"      15625"
C...............................................       2000"      15730"
D...............................................       2040"      16140"
E...............................................       2140"      16155"
F...............................................       2300"      16130"
G...............................................       2305"      15930"
H...............................................       2255"      15730"
I...............................................       2130"      15530"
J...............................................       1950"      15350"
K...............................................       1900"      15405"
A...............................................       1805"      15540"
------------------------------------------------------------------------

    (2) Southern Exclusion Zone. Deep-set longline fishing is prohibited 
in the Southern Exclusion Zone when the zone is closed to protect false 
killer whales pursuant to the procedures outlined in paragraph (e) of 
this section. The Southern Exclusion Zone is the portion of the EEZ 
around Hawaii bounded by 165 00" W. longitude on the west, 154 30" W. 
longitude on the east, the Papahanaumokuakea Marine National Monument 
and the Main Hawaiian Islands Longline Fishing Prohibited Area on the 
north, and the EEZ boundary on the south.
    (e) Southern Exclusion Zone trigger and procedures. (1) The 
Assistant Administrator will publish in the Federal Register the 
expected observer coverage for a fishing year, the potential biological 
removal level for the Hawaii Pelagic stock of false killer whales, and 
the associated trigger calculated using the specifications in paragraph 
(e)(2) of this section. This trigger will remain in effect until 
superseded by publication of a revised trigger.
    (2) As used in this section, trigger means the number of observed 
false killer whale mortalities or serious injuries in the deep-set 
longline fishery that occur in the EEZ around Hawaii, and that serves as 
the bycatch threshold for closing the Southern Exclusion Zone to deep-
set longline fishing. The trigger is calculated as the larger of these 
two values:
    (i) Two; or
    (ii) The smallest number of observed false killer whale mortalities 
or serious injuries that, when extrapolated based on the percentage 
observer coverage in the deep-set longline fishery

[[Page 58]]

for that year, exceeds the Hawaii Pelagic false killer whale stock's 
potential biological removal level.
    (3) Unless otherwise subject to paragraph (e)(4) of this section, if 
there is an observed false killer whale mortality or serious injury in 
the EEZ around Hawaii on a declared deep-set longline trip that meets 
the established trigger for a given fishing year, the Southern Exclusion 
Zone will be closed to deep-set longline fishing until the end of that 
fishing year.
    (4) If during the same calendar year following closure of the 
Southern Exclusion Zone in accordance with paragraph (e)(3) of this 
section, there is one observed false killer whale mortality or serious 
injury on a declared deep-set longline trip anywhere in the EEZ around 
Hawaii, then NMFS shall immediately convene the False Killer Whale Take 
Reduction Team.
    (5) If in the subsequent calendar year following closure of the 
Southern Exclusion Zone in accordance with paragraph (e)(3) of this 
section, there is an observed false killer whale mortality or serious 
injury in the EEZ around Hawaii on a declared deep-set longline trip 
that meets the established trigger for a given fishing year, the 
Southern Exclusion Zone will be closed to deep-set longline fishing 
until the area is reopened by the Assistant Administrator as per 
criteria in paragraph (e)(7) of this section.
    (6) Upon determining that closing the Southern Exclusion Zone is 
warranted pursuant to the procedures in paragraphs (e)(1) through (e)(5) 
of this section, the Assistant Administrator will provide notice to 
Hawaii longline permit holders and the False Killer Whale Take Reduction 
Team, publish a notice in the Federal Register, and post information on 
the NMFS Pacific Islands Regional Office web site. The notice will 
announce that the fishery will be closed beginning at a specified date, 
which is not earlier than 7 days and not later than 15 days, after the 
date of filing the closure notice for public inspection at the Office of 
the Federal Register.
    (7) Reopening criteria. If the Southern Exclusion Zone is closed 
pursuant to the procedure in paragraphs (e)(1) through (e)(6) of this 
section, the Assistant Administrator would reopen the Southern Exclusion 
Zone if one or more of the follow criteria were met:
    (i) The Assistant Administrator determines, upon consideration of 
the False Killer Whale Take Reduction Team's recommendations and 
evaluation of all relevant circumstances, that reopening of the Southern 
Exclusion Zone is warranted;
    (ii) In the 2-year period immediately following the date of the 
Southern Exclusion Zone closure, the deep-set longline fishery has zero 
observed false killer whale incidental mortalities and serious injuries 
within the remaining open areas of the EEZ around Hawaii;
    (iii) In the 2-year period immediately following the date of the 
closure, the deep-set longline fishery has reduced its total rate of 
false killer whale incidental mortality and serious injury (including 
the EEZ around Hawaii, the high seas, and the EEZ around Johnston Atoll 
(but not Palmyra Atoll) by an amount equal to or greater than the rate 
that would be required to reduce false killer whale incidental mortality 
and serious injury within the EEZ around Hawaii to below the Hawaii 
Pelagic false killer whale stock's potential biological removal level; 
or
    (iv) The average estimated level of false killer whale incidental 
mortality and serious injury in the deep-set longline fishery within the 
remaining open areas of the EEZ around Hawaii for up to the 5 most 
recent years is below the potential biological removal level for the 
Hawaii Pelagic stock of false killer whales at that time.
    (8) Upon determining that reopening the Southern Exclusion Zone is 
warranted pursuant to the procedures in paragraph (e)(7) of this 
section, the Assistant Administrator will provide notice to Hawaii 
longline permit holders and the False Killer Whale Take Reduction Team, 
publish a notice in the Federal Register, and post information on the 
NMFS Pacific Islands Regional Office web site. The notice will announce 
that the fishery will be reopened beginning at a specified date, which 
is not earlier than 7 days and not later than 15 days, after the date of 
filing the closure notice for public inspection at the Office of the 
Federal Register.

[[Page 59]]

    (f) Marine mammal handling and release. (1) Each year, both the 
owner and the operator of a vessel registered for use with a longline 
permit issued under Sec.  665.801 of this title must attend and be 
certified for completion of a workshop conducted by NMFS on interaction 
mitigation techniques for sea turtles, seabirds, and marine mammals, as 
required under Sec.  665.814 of this title.
    (2) Longline vessel operators (captains) must supervise and be in 
visual and/or verbal contact with the crew during any handling or 
release of marine mammals.
    (3) A NMFS-approved placard setting forth marine mammal handling 
and/or release procedures must be posted on the longline vessel in a 
conspicuous place that is regularly accessible and visible to the crew.
    (4) A NMFS-approved placard instructing vessel crew to notify the 
captain in the event of a marine mammal interaction must be posted on 
the longline vessel in a conspicuous place that is regularly accessible 
and visible to the crew.

[77 FR 71285, 71286, Nov. 29, 2012, as amended at 77 FR 71286, 71286, 
Nov. 29, 2012]

[[Page 60]]



   Sec. Figure 1 to Part 229--Drift Gillnet Pinger Configuration and 
                          Extender Requirements
[GRAPHIC] [TIFF OMITTED] TR22JA99.001


[64 FR 3434, Jan. 22, 1999]


[[Page 61]]



                          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 62]]

    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 63]]

    (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.



 SUBCHAPTER E_TRANSPORTATION AND LABELING OF FISH OR WILDLIFE [RESERVED]



[[Page 64]]



                      SUBCHAPTER F_AID TO FISHERIES





PART 253_FISHERIES ASSISTANCE PROGRAMS--Table of Contents



                            Subpart A_General

Sec.
253.1 Purpose.

                   Subpart B_Fisheries Finance Program

253.10 General definitions.
253.11 General FFP credit standards and requirements.
253.12 Credit application.
253.13 Initial investigation and approval.
253.14 Loan documents.
253.15 Recourse against other parties.
253.16 Actual cost.
253.17 Insurance.
253.18 Closing.
253.19 Dual-use CCF.
253.20 Fees.
253.21 Demand by guaranteed noteholder and payment.
253.22 Program operating guidelines.
253.23 Default and liquidation.
253.24 Enforcement violations and adverse actions.
253.25 Other administrative requirements.
253.26 Traditional loans.
253.27 IFQ financing.
253.28 Halibut sablefish IFQ loans.
253.29 CDQ loans.
253.30 Crab IFQ loans.
253.31-253.49 [Reserved]

                 Subpart C_Interjurisdictional Fisheries

253.50 Definitions.
253.51 Apportionment.
253.52 State projects.
253.53 Other funds.
253.54 Administrative requirements.

    Authority: 46 U.S.C. 53701 and 16 U.S.C. 4101 et seq.

    Source: 75 FR 78623, Dec. 16, 2010, unless otherwise noted.



                            Subpart A_General



Sec.  253.1  Purpose.

    (a) The regulations in this part pertain to fisheries assistance 
programs. Subpart B of this part governs the Fisheries Finance Program 
(FFP or the Program), which makes capacity neutral long-term direct 
fisheries and aquaculture loans. The FFP conducts all credit 
investigations, makes all credit determinations and holds and services 
all credit collateral.
    (b) Subpart C of this part implements Public Law 99-659 (16 U.S.C. 
4100 et seq.), which has two objectives:
    (1) Promote and encourage State activities in support of the 
management of interjurisdictional fishery resources identified in 
interstate or Federal fishery management plans; and
    (2) 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 executive 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 Finance Program



Sec.  253.10  General definitions.

    The terms used in this subpart have the following meanings:
    Act means Chapter 537 of Title 46 of the U.S. Code, (46 U.S.C. 
53701-35), as may be amended from time to time.
    Actual cost means the sum of all amounts for a project paid by an 
obligor (or related person), as well as all amounts that the Program 
determines the obligor will become obligated to pay, as such amounts are 
calculated by Sec.  253.16.
    Applicant means the individual or entity applying for a loan (the 
prospective obligor).
    Application means the documents provided to or requested by NMFS 
from an applicant to apply for a loan.
    Application fee means 0.5 percent of the dollar amount of financing 
requested.
    Approval in principle letter (AIP) means a written communication 
from NMFS to the applicant expressing the

[[Page 65]]

agency's commitment to provide financing for a project, subject to all 
applicable regulatory and Program requirements and in accordance with 
the terms and conditions contained in the AIP.
    Aquaculture facility means land, structures, appurtenances, 
laboratories, water craft built in the U.S., and any equipment used for 
the hatching, caring for, or growing fish, under controlled 
circumstances for commercial purposes, as well as the unloading, 
receiving, holding, processing, or distribution of such fish.
    Capital Construction Fund (CCF), as described under 46 U.S.C. 53501-
17, allows owners of eligible vessels to reserve capital for replacement 
vessels, additional vessels, reconstruction of vessels, or reconstructed 
vessels, built in the United States and documented under the laws of the 
United States, for operation in the fisheries of the United States.
    Captain means a vessel operator or a vessel master.
    Charter fishing means fishing from a vessel carrying a ``passenger 
for hire,'' as defined in 46 U.S.C. 2101(21a), such passenger being 
engaged in recreational fishing, from whom consideration is provided as 
a condition of carriage on the vessel, whether directly or indirectly 
flowing to the owner, charterer, operator, agent, or any other person 
having an interest in the vessel.
    Citizen means a ``citizen of the United States,'' as described in 46 
U.S.C. 104, or an entity who is a citizen for the purpose of documenting 
a vessel in the coastwise trade under 46 U.S.C. 50501.
    Crewman means any individual, other than a captain, a passenger for 
hire, or a fisheries observer working on a vessel that is engaged in 
fishing.
    Demand means a noteholder's request that a debtor or guarantor pay a 
note's full principal and interest balance.
    Facility means a fishery or an aquaculture facility.
    Fish means finfish, mollusks, crustaceans and all other forms of 
aquatic animal and plant life, other than marine mammals and birds.
    Fisheries harvest authorization means any transferable permit, 
license or other right, approval, or privilege to engage in fishing.
    Fishery facility means land, land structures, water craft that do 
not engage in fishing, and equipment used for transporting, unloading, 
receiving, holding, processing, preserving, or distributing fish for 
commercial purposes (including any water craft used for charter 
fishing).
    Fishing means:
    (1) The catching, taking, or harvesting of fish;
    (2) The attempted catching, taking, or harvesting of fish;
    (3) Any other activity which can reasonably be expected to result in 
the catching, taking, or harvesting of fish;
    (4) Any operations at sea in support of, or in preparation for, any 
activity described in paragraphs (1) through (3) of this section.
    (5) Fishing does not include any scientific research activity which 
is conducted by a scientific research vessel.
    Fishing industry for the purposes of this part, means the broad 
sector of the national economy comprised of persons or entities that are 
engaged in or substantially associated with fishing, including 
aquaculture, charter operators, guides, harvesters, outfitters, 
processors, suppliers, among others, without regard to the location of 
their activity or whether they are engaged in fishing for wild stocks or 
aquaculture.
    Guarantee means a guarantor's contractual promise to repay 
indebtedness if an obligor fails to repay as agreed.
    Guarantee fee means one percent of a guaranteed note's average 
annual unpaid principal balance.
    Guaranteed note means a promissory note from an obligor to a 
noteholder, the repayment of which the United States guarantees.
    IFQ means Individual Fishing Quota, which is a Federal permit under 
a limited access system to harvest a quantity of fish, expressed by a 
unit or units representing a percentage of the total allowable catch of 
a fishery that may be received or held for exclusive use by a person. 
IFQ does not include community development quotas.
    Noteholder means a guaranteed note payee.
    Obligor means a party primarily liable for payment of the principal 
of or

[[Page 66]]

interest on an obligation, used interchangeably with the terms ``note 
payor'' or ``notemaker.''
    Origination year means the year in which an application for a loan 
is accepted for processing.
    Program means the Fisheries Finance Program, Financial Services 
Division, National Marine Fisheries Service, National Oceanic and 
Atmospheric Administration, U.S. Department of Commerce.
    Project means:
    (1) The refinancing or construction of a new fishing vessel or the 
financing or refinancing of a fishery or aquaculture facility or the 
refurbishing or purchase of an existing vessel or facility, including, 
but not limited to, architectural, engineering, inspection, delivery, 
outfitting, and interest costs, as well as the cost of any consulting 
contract the Program requires;
    (2) The purchase or refinance of any limited access privilege, IFQ, 
fisheries access right, permit, or other fisheries harvest 
authorization, for which the actual cost of the purchase of such 
authorization would be eligible under the Act for direct loans;
    (3) Activities (other than fishing capacity reduction, as set forth 
in part 600.1000 of this title) that assist in the transition to reduced 
fishing capacity;
    (4) Technologies or upgrades designed to improve collection and 
reporting of fishery-dependent data, to reduce bycatch, to improve 
selectivity or reduce adverse impacts of fishing gear, or to improve 
safety; or
    (5) Any other activity that helps develop the U.S. fishing industry, 
including, but not limited to, measures designed or intended to improve 
a vessel's fuel efficiency, to increase fisheries exports, to develop an 
underutilized fishery, or to enhance financial stability, financial 
performance, growth, productivity, or any other business attribute 
related to fishing or fisheries.
    RAM means the Restricted Access Management division in the Alaska 
Regional Office of NMFS or the office that undertakes the duties of this 
division to issue or manage quota shares.
    Refinancing means newer debt that either replaces older debt or 
reimburses applicants for previous expenditures.
    Refinancing/assumption fee means a one time fee assessed on the 
principal amount of an existing FFP note to be refinanced or assumed.
    Refurbishing means any reconstruction, reconditioning, or other 
improvement of existing vessels or facilities, but does not include 
routine repairs or activities characterized as maintenance.
    Security documents mean all documents related to the collateral 
securing the U.S. Note's repayment and all other assurances, 
undertakings, and contractual arrangements associated with financing or 
guarantees provided by NMFS.
    Underutilized fishery means any stock of fish (a) harvested below 
its optimum yield or (b) limited to a level of harvest or cultivation 
below that corresponding to optimum yield by the lack of aggregate 
facilities.
    U.S. means the United States of America and, for citizenship 
purposes, includes the fifty states, Commonwealth of Puerto Rico, 
American Samoa, the Territory of the U.S. Virgin Islands, Guam, the 
Republic of the Marshal Islands, the Federated States of Micronesia, the 
Commonwealth of the Northern Mariana Islands, and 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 obligor to the 
United States.
    Useful life means the period during which project property will, as 
determined by the Program, remain economically productive.
    Vessel means any vessel documented under U.S. law and used for 
fishing.
    Wise use means the development, advancement, management, 
conservation, and protection of fishery resources, that is not 
inconsistent with the National Standards for Fishery Conservation and 
Management (16 U.S.C. 1851) and any other relevant criteria, as may be 
specified in applicable statutes, regulations, Fishery Management Plans, 
or NMFS guidance.

[[Page 67]]



Sec.  253.11  General FFP credit standards and requirements.

    (a) Principal. Unless explicitly stated otherwise in these 
regulations or applicable statutes, the amount of any loan may not 
exceed 80 percent of actual cost, as such term is described in Sec.  
253.16; provided that the Program may approve an amount that is less, in 
accordance with its credit determination.
    (b) Interest rate. Each loan's annual interest rate will be 2 
percent greater than the U.S. Department of Treasury's cost of borrowing 
public funds of an equivalent maturity at the time the loan closes.
    (c) Ability and experience requirements. An obligor and the majority 
of its principals must demonstrate the ability, experience, resources, 
character, reputation, and other qualifications the Program deems 
necessary for successfully operating the project property and protecting 
the Program's interest in the project.
    (d) Lending restrictions. Unless it can document that unique or 
extraordinary circumstances exist, the Program will not provide 
financing:
    (1) For venture capital purposes; or
    (2) To an applicant who cannot document successful fishing industry 
ability and experience of a duration, degree, and nature that the 
Program deems necessary to successfully repay the requested loan.
    (e) Income and expense projections. The Program, using conservative 
income and expense projections for the project property's operation, 
must determine that projected net earnings can service all debt, 
properly maintain the project property, and protect the Program's 
interest against risks of loss, including the industry's cyclical 
economics.
    (f) Working capital. The Program must determine that a project has 
sufficient initial working capital to achieve net earnings projections, 
fund all foreseeable contingencies, and protect the Program's interest 
in the project. In making its determination, the Program will use a 
conservative assessment of an applicant's financial condition, and at 
the Program's discretion, some portion of projected working capital 
needs may be met by something other than current assets minus 
liabilities (i.e., by a line or letter of credit, non-current assets 
readily capable of generating working capital, a guarantor with 
sufficient financial resources, etc.).
    (g) Audited financial statements. Audited financial statements will 
ordinarily be required for any obligor with large or financially complex 
operations, as determined by the program, whose financial condition the 
Program believes cannot be otherwise assessed with reasonable certainty.
    (h) Consultant services. Expert consulting services may be necessary 
to help the Program assess a project's economic, technical, or financial 
feasibility. The Program will notify the applicant if an expert is 
required. The Program will select and employ the necessary consultant, 
but require the applicant to reimburse the Program for any fees charged 
by the consultant. In the event that an application requires expert 
consulting services, the loan will not be closed until the applicant 
fully reimburses the Program for the consulting fees. This cost may, at 
the Program's discretion, be included in the amount of the note. For a 
declined application, the Program may reimburse itself from the 
application fee as described in Sec.  253.12, including any portion 
known as the commitment fee that could otherwise be refunded to the 
applicant.
    (i) Property inspections. The Program may require adequate condition 
and valuation inspection of all property used as collateral as the basis 
for assessing the property's worth and suitability for lending. The 
Program may also require these at specified periods during the life of 
the loan. These must be conducted by competent and impartial inspectors 
acceptable to the Program. Inspection cost(s) will be at an applicant's 
expense. Those occurring before application approval may be included in 
actual cost, as actual cost is described in Sec.  253.16.
    (j) Collateral. The Program shall have first lien(s) on all primary 
project property pledged as collateral. The Program, at its discretion, 
may request additional collateral and will consider any additional 
collateral in its credit determinations.
    (k) No additional liens. All primary project property pledged as 
collateral,

[[Page 68]]

including any additional collateral, shall be free of additional liens, 
unless the Program, at the request of the applicant, expressly waives 
this requirement in writing.
    (l) General FFP credit standards apply. Unless explicitly stated 
otherwise in these rules, all FFP direct lending is subject to the above 
general credit standards and requirements found in Sec. Sec.  253.12 
through 253.30. The Program may adjust collateral, guarantee and other 
requirements to reflect individual credit risks.
    (m) Adverse legal proceedings. The Program, at its own discretion, 
may decline or hold in abeyance any loan approval or disbursement(s) to 
any applicant found to have outstanding lawsuits, citations, hearings, 
liabilities, appeals, sanctions or other pending actions whose negative 
outcome could significantly impact, in the opinion of the Program, the 
financial circumstances of the applicant.



Sec.  253.12  Credit application.

    (a) Applicant. (1) An applicant must be a U.S. citizen and be 
eligible to document a vessel in the coastwise trade: and
    (2) Only the legal title holder of project property, or its parent 
company (or the lessee of an appropriate long-term lease) may apply for 
a loan; and
    (3) An applicant and the majority of its principals must generally 
have the ability, experience, resources, character, reputation, and 
other qualifications the Program deems necessary for successfully 
operating, utilizing, or carrying out the project and protecting the 
Program's interest; and
    (4) Applicants should apply to the appropriate NMFS Regional 
Financial Services Branch to be considered.
    (b) Application fee. An application fee of 0.5 percent of the dollar 
amount of an application is due when the application is formally 
accepted. Upon submission, 50 percent of the application fee, known as 
the ``filing fee,'' is non-refundable; the remainder, known as the 
``commitment fee,'' may be refunded if the Program declines an 
application or an applicant withdraws its application before the Program 
issues an AIP letter, as described in Sec.  253.13(e). The Program will 
not issue an AIP letter if any of the application fee remains unpaid. No 
portion of the application fee shall be refunded once the Program issues 
an AIP letter.
    (c) False statement. A false statement on an application is grounds 
for denial or termination of funds, grounds for possible punishment by a 
fine or imprisonment as provided in 18 U.S.C. 1001 and an event of a 
security default.



Sec.  253.13  Initial investigation and approval.

    (a) The Program shall undertake a due diligence investigation of 
every application it receives to determine if, in the Program's sole 
judgment, the application is both:
    (1) Eligible for a loan because it meets applicable loan 
requirements; and
    (2) Qualified for a loan because the project is deemed an acceptable 
credit risk.
    (b) The Program will approve eligible and qualified applicants by 
evaluating the information obtained during the application and 
investigation process.
    (c) Among other investigations, applicants may be subject to a 
background check, fisheries violations check and credit review. 
Background checks are intended to reveal if any key individuals 
associated with the applicant have been convicted of or are presently 
facing criminal charges such as fraud, theft, perjury, or other matters 
which significantly reflect on the applicant's honesty or financial 
integrity.
    (d) The Program, at its own discretion, may decline or delay 
approval of any loans or disbursements to any applicant found to have 
outstanding citations, notices of violations, or other pending legal 
actions or unresolved claims.
    (e) The Program may place any terms and conditions on such approvals 
that the Program, in its sole discretion, deems necessary and 
appropriate.
    (f) Credit decision. (1) The Program shall issue to approved 
applicants an AIP letter, which shall describe the terms and conditions 
of the loan, including (but not limited to) loan amounts, maturities, 
additional collateral, repayment sources or guarantees.

[[Page 69]]

Such terms and conditions are at the Program's sole discretion and shall 
also be incorporated in security documents that the Program prepares. An 
applicant's non-acceptance of any terms and conditions may result in an 
applicant's disqualification.
    (2) Any application the Program deems ineligible or unqualified will 
be declined.



Sec.  253.14  Loan documents.

    (a) U.S. Note. (1) The U.S. Note will be in the form the Program 
prescribes.
    (2) The U.S. Note evidences the obligor's indebtedness to the United 
States.
    (i) For financing approved after October 11, 1996, the U.S. Note 
evidences the obligor's actual indebtedness to the U.S.; and
    (ii) For financing originating before October 11, 1996, that 
continues to be associated with a Guaranteed Note, the U.S. Note shall 
evidence the obligor's actual indebtedness to the U.S. upon the 
Program's payment of any or all of the sums due under the Guaranteed 
Note or otherwise disbursed on the obligor's behalf.
    (iii) The U.S. Note will, among other things, contain provisions to 
add to its principal balance all amounts the Program advances or incurs, 
including additional interest charges and costs incurred to protect its 
interest or accommodate the obligor.
    (3) The U.S. Note shall be assignable by the Program, at its sole 
discretion.
    (b) Security documents. (1) Each security document will be in the 
form the Program prescribes.
    (2) The Program will, at a minimum, require the pledge of adequate 
collateral, generally in the form of a security interest or mortgage 
against all property associated with a project or security as otherwise 
required by the Program.
    (3) The Program will require such other security as it deems 
necessary and appropriate, given the circumstances of each obligor and 
the project.
    (4) The security documents will, among other things, contain 
provisions to secure the repayment of all additional amounts the Program 
advances or incurs to protect its interest or accommodate the obligor, 
including additional interest charges and fees.



Sec.  253.15  Recourse against parties.

    (a) Form. Recourse by borrowers or guarantors may be by a repayment 
guarantee, irrevocable letter of credit, additional tangible or 
intangible collateral, or other form acceptable to the Program.
    (b) Principals accountable. The principal parties in interest, who 
ultimately stand most to benefit from the project, will ordinarily be 
held financially accountable for the project's performance. The Program 
may require recourse against:
    (1) All major shareholders of a closely-held corporate obligor;
    (2) The parent corporation of a subsidiary corporate obligor;
    (3) The related business entities of the obligor if the Program 
determines that the obligor lacks substantial pledged assets other than 
the project property or is otherwise lacking in any credit factor 
required to approve the application;
    (4) Any or all major limited partners;
    (5) Non-obligor spouses of applicants or obligors in community 
property states; and/or
    (6) Against any others it deems necessary to protect its interest.
    (c) Recourse against parties. Should the Program determine that a 
secondary means of repayment from other sources is necessary (including 
the net worth of parties other than the obligor), the Program may 
require secured or unsecured recourse against any such secondary 
repayment sources.
    (d) Recourse unavailable. Where appropriate recourse is unavailable, 
the conservatively projected net liquidating value of the obligor's 
assets (as such assets are pledged to the Program) must, in the 
Program's credit judgment, substantially exceed all projected Program 
exposure or other risks of loss.



Sec.  253.16  Actual cost.

    Actual cost shall be determined as follows:
    (a) The actual cost of a vessel shall be the sum of:
    (1) The total cost of the project depreciated on a straight-line 
basis, over

[[Page 70]]

the project property's useful life, using a 10-percent salvage value; 
and
    (2) The current market value of appurtenant limited access 
privileges or transferable limited access privileges vested in the name 
of the obligor, the subject vessel or their owners, provided that such 
privileges are utilized by or aboard the subject vessel and will be 
pledged as collateral for the subject FFP financing.
    (b) The actual cost of a facility shall be the sum of:
    (1) The total cost of the project, not including land, depreciated 
on a straightline basis over the Project Property's useful life, using a 
10-percent salvage value;
    (2) The current market value of the land that will be pledged as 
collateral for the subject FFP financing, provided that such land is 
utilized by the facility; and
    (3) The net present value of the payments due under a long term 
lease of land or marine use rights, provided that they meet the 
following requirements:
    (i) The project property must be located at such leased space or 
directly use such marine use rights;
    (ii) Such lease or marine use right must have a duration the Program 
deems sufficient; and
    (iii) The lease or marine use right must be assigned to the Program 
such that the Program may foreclose and transfer such lease to another 
party.
    (c) The actual cost of a transferable limited access privilege shall 
be determined as follows:
    (1) For financing the purchase of limited access privileges, the 
actual cost shall be the purchase cost.
    (2) For refinancing limited access privileges, the actual cost shall 
be the current market value.
    (d) The actual cost of any Project that includes any combination of 
items described in paragraphs (a), (b) or (c) of this section shall be 
the sum of such calculations.



Sec.  253.17  Insurance.

    (a) All insurable collateral property and other risks shall be 
continuously insured so long as any balance of principal or interest on 
a Program loan or guarantee remains outstanding.
    (b) Insurers must be acceptable to the Program.
    (c) Insurance must be in such forms and amounts and against such 
risks the Program deems necessary to protect the United States' 
interest.
    (d) Insurance must be endorsed to include the requirements the 
Program deems necessary and appropriate.
    (1) Normally and as appropriate, the Program will be named as an 
additional insured, mortgagee, or loss payee, for the amount of its 
interest; any waiver of this requirement must be in writing;
    (2) Cancellation will require adequate advance written notice;
    (3) The Program will be adequately protected against other insureds' 
breaches of policy warranties, negligence, omission, etc., in the case 
of marine insurance, vessel seaworthiness will be required;
    (4) The insured must provide coverage for any other risk or casualty 
the Program may require.



Sec.  253.18  Closing.

    (a) Approval in principle letters. Every closing will be in strict 
accordance with a final approval in principle letter.
    (b) Contracts. Promissory notes, security documents, and any other 
documents the Program may require will be on standard Program forms that 
may not be altered without Program written approval. The Program will 
ordinarily prepare all contracts, except certain pledges involving real 
property or other matters involving local law, which will be prepared by 
each obligor's attorney at the direction and approval of the Program.
    (c) Additional requirements. At its discretion the Program may 
require services from applicant's attorneys, other contractors or 
agents. Real property services required from an applicant's attorney or 
agent may include, but are not limited to: Title search, title 
insurance, mortgage and other document preparation, document execution 
and recording, escrow and disbursement, and legal opinions and other 
assurances. The Program will notify the applicant in advance if any such 
services

[[Page 71]]

are required of the applicant's attorneys, contractors or other agents. 
Applicants are responsible for all attorney's fees, as well as those of 
any other private contractor. Attorneys and other contractors must be 
satisfactory to the Program.
    (d) Closing schedules. The Program will not be liable for adverse 
interest-rate fluctuations, loss of commitments, or other consequences 
of an inability by any of the parties to meet the closing schedule.



Sec.  253.19  Dual-use CCF.

    The Program may require the pledge of a CCF account or annual 
deposits of 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 gives the Program control of CCF withdrawals, 
recourse against CCF deposits, ensures an emergency refurbishing reserve 
(tax-deferred) for project property, and provides additional collateral.



Sec.  253.20  Fees.

    (a) Application fee. See Sec. Sec.  253.10 and 253.12(b).
    (b) Guarantee fee. For existing Guaranteed Loans, an annual 
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 guarantee fee 
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. The Program will assess a fee of 
one quarter of one (1) percent of the note to be refinanced or assumed. 
This fee is due upon application for refinancing or assumption of a 
guaranteed or direct loan. Upon submission, the fee shall be non-
refundable. The Program may waive a refinancing or assumption fee's 
payment when the refinancing or assumption's primary purpose will 
benefit the United States.
    (d) Where payable. Fees are payable by check to ``U.S. Department of 
Commerce/NOAA.'' Other than those collected at application or closing, 
fees are payable by mailing checks to the ``U.S. Department of Commerce, 
National Oceanic and Atmospheric Administration, National Marine 
Fisheries Service,'' to such address as the Program may designate. To 
ensure proper crediting, each check should include the official case 
number the Program assigns.



Sec.  253.21  Demand by guaranteed noteholder and payment.

    Every demand by the guaranteed noteholder must be delivered in 
writing to the Program and 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. The only period during which a 
guaranteed noteholder can make demand for a payment default begins on 
the thirty-first day of the payment default and continues through the 
ninetieth day of a payment default. The noteholder must possess evidence 
of the demand's timely delivery.



Sec.  253.22  Program operating guidelines.

    The Program may issue policy and administrative guidelines, as the 
need arises.



Sec.  253.23  Default and liquidation.

    Upon default under the terms of any note, guarantee, security 
agreement, mortgage, or other security document the Program shall take 
remedial actions including, but not limited to, where appropriate, 
retaking or arrest of collateral, foreclosure, restructuring, debarment, 
referral for debt collection, or liquidation as it deems best able to 
protect the U.S. Government's interest.



Sec.  253.24  Enforcement violations and adverse actions.

    (a) Compliance with applicable law. All applicants and Program 
participants shall comply with applicable law.
    (b) Applicant disqualification. (1) Any issuance of any citation or 
Notice of Violation and Assessment by NMFS enforcement or other 
enforcement authority may constitute grounds for the Program to:
    (i) Delay application or approval processing;
    (ii) Delay loan closing;

[[Page 72]]

    (iii) Delay disbursement of loan proceeds;
    (iv) Disqualify an applicant or obligor; or
    (v) Declare default.
    (2) The Program will not approve loans or disburse funds to any 
applicant found to have an outstanding, final and unappealable fisheries 
fine or other unresolved penalty until either: Such fine is paid or 
penalty has been resolved; or the applicant enters into an agreement to 
pay the penalty and makes all payments or installments as they are due. 
Failure to pay or resolve any such fine or penalty in a reasonable 
period of time will result in the applicant's disqualification.
    (c) Foreclosure in addition to other penalties. In the event that a 
person with an outstanding balance on a Program loan or guarantee 
violates any ownership, lease, use, or other provision of applicable 
law, such person may be subject to foreclosure of property, in addition 
to any fines, sanctions, or other penalties.



Sec.  253.25  Other administrative requirements.

    (a) Debt Collection Act. In accordance with the provisions of the 
Debt Collection Improvement Act of 1996, a person may not obtain any 
Federal financial assistance in the form of a loan (other than a 
disaster loan) or loan guarantee if the person has an outstanding debt 
(other than a debt under the Internal Revenue Code of 1986) with any 
Federal agency which is in a delinquent status, as determined under 
standards prescribed by the Secretary of the Treasury.
    (b) Certifications. Applicants must submit a completed Form CD-511, 
``Certifications Regarding Debarment, Suspension and Other 
Responsibility Matters; Drug-Free Workplace Requirements and Lobbying,'' 
or its equivalent or successor form, if any.
    (c) Taxpayer identification. An applicant classified for tax 
purposes as an individual, limited liability company, partnership, 
proprietorship, corporation, or legal entity is required to submit along 
with the application a taxpayer identification number (TIN) (social 
security number, employer identification number as applicable, or 
registered foreign organization number). Recipients who either fail to 
provide their TIN or provide an incorrect TIN may have application 
processing or funding suspended until the requirement is met.
    (d) Audit inquiry. An audit of a Program loan may be conducted at 
any time. Auditors, selected at the discretion of the Program or other 
agency of the United States, shall have access to any and all books, 
documents, papers and records of the obligor or any other party to a 
financing that the auditor(s) deem(s) pertinent, whether written, 
printed, recorded, produced or reproduced by any mechanical, magnetic or 
other process or medium.
    (e) Paperwork Reduction Act. The application requirements contained 
in these rules have been approved under OMB control number 0648-0012. 
The applications for the halibut/sablefish QS crew member eligibility 
certificate have been approved under OMB control number 0648-0272. 
Notwithstanding any other provisions of law, no person is required to 
respond to, nor shall any person be subject to a penalty for failure to 
comply with, a collection of information subject to the requirements of 
the Paperwork Reduction Act unless that collection of information 
displays a currently valid OMB control number.



Sec.  253.26  Traditional loans.

    (a) Eligible projects. Financing or refinancing up to 80 percent of 
a project's actual cost shall be available to any citizen who is 
determined to be eligible and qualified under the Act and these rules, 
except--
    (1) The Program will not finance the cost of new vessel 
construction.
    (2) The Program will not finance a vessel refurbishing project that 
materially increases an existing vessel's harvesting capacity.
    (b) Financing or refinancing. (1) Projects, other than those 
specified in paragraphs (a) (1) and (a)(2) of this section, may be 
financed, as well as refinanced.
    (2) Notwithstanding paragraph (a)(1) of this section, the Program 
may refinance the construction cost of a vessel whose construction cost 
has already been financed (or otherwise paid) prior to the submission of 
a loan application.

[[Page 73]]

    (3) Notwithstanding paragraph (a)(2) of this section, the Program 
may refinance the refurbishing cost of a vessel whose initial 
refurbishing cost has already been financed (or otherwise paid) prior to 
the submission of a loan application.
    (4) The Program may finance or refinance the purchase or 
refurbishment of any vessel or facility for which the Secretary has:
    (i) Accelerated and/or paid outstanding debts or obligations;
    (ii) Acquired; or
    (iii) Sold at foreclosure.
    (c) Existing vessels and facilities. The Program may finance the 
purchase of an existing vessel or existing fishery facility if such 
vessel or facility will be refurbished in the United States and will be 
used in the fishing industry.
    (d) Fisheries modernization. Notwithstanding any of this part, the 
Program may finance or refinance any:
    (1) Activities that assist in the transition to reduced fishing 
capacity; or
    (2) Technologies or upgrades designed to:
    (i) Improve collection and reporting of fishery-dependent data;
    (ii) Reduce bycatch;
    (iii) Improve selectivity;
    (iv) Reduce adverse impacts of fishing gear; or
    (v) Improve safety.
    (e) Guaranty transition. Upon application by the obligor, any 
guaranteed loans originated prior to October 11, 1996, may be refinanced 
as direct loans, regardless of the original purpose of the guaranteed 
loan.
    (f) Maturity. Maturity may not exceed 25 years, but shall not exceed 
the project property's useful life. The Program, at its sole discretion, 
may set a shorter maturity period.
    (g) Credit standards. Traditional loans are subject to all Program 
general credit standards and requirements. Collateral, guarantee and 
other requirements may be adjusted in accordance with the Program's 
assessment of individual credit risks.



Sec.  253.27  IFQ financing.

    The Program may finance or refinance the project cost of purchasing, 
including the reimbursement of obligors for expenditures previously made 
for purchasing, individual fishing quotas in accordance with the 
applicable sections of the Magnuson-Stevens Fishery Conservation and 
Management Act or any other statute.



Sec.  253.28  Halibut sablefish IFQ loans.

    (a) Specific definitions. For the purposes of this section, the 
following definitions apply:
    (1) Entry-level fishermen means fishermen who do not own any IFQ in 
the year they apply for a loan.
    (2) Fishermen who fish from small vessels means fishermen wishing to 
purchase IFQ for use on Category B, Category C, or Category D vessels, 
but who do not own, in whole or in part, any Category A or Category B 
vessels, as such vessels are defined in 50 CFR 679.40(a)(5) of this 
title.
    (3) Halibut sablefish quota share means a halibut or sablefish 
permit, the face amount of which is used as the basis for the annual 
calculation of a person's halibut or sablefish IFQ, also abbreviated as 
``HSQS'' or ``halibut/sablefish QS.''
    (4) Halibut/Sablefish IFQ means the annual catch limit of halibut or 
sablefish that may be harvested by a person who is lawfully allocated 
halibut or sablefish quota share, a harvest privilege for a specific 
portion of the total allowable catch of halibut or sablefish.
    (b) Entry level fishermen. The Program may finance up to 80 percent 
of the cost of purchasing HSQS by an entry level fisherman who:
    (1) Does not own any halibut/sablefish QS during the origination 
year;
    (2) Applies for a loan to purchase a quantity of halibut/sablefish 
QS that is not greater than the equivalent of 8,000 lb. (3,628.7 kg) of 
IFQ during the origination year;
    (3) Possesses the appropriate transfer eligibility documentation 
duly issued by RAM for HSQS;
    (4) Intends to be present aboard the vessel, as may be required by 
applicable regulations; and
    (5) Meets all other Program eligibility, qualification, lending and 
credit requirements.
    (c) Fishermen fishing from small vessels. The Program may finance up 
to 80 percent of the cost of purchasing HSQS by a fisherman who fishes 
from a small

[[Page 74]]

vessel, provided that any such fisherman shall:
    (1) Apply for a loan to purchase halibut or sablefish QS for use on 
vessel Categories B, C, or D, as defined under 50 CFR 679.40(a)(5) of 
this title;
    (2) Not own an aggregate quantity of halibut/sablefish QS (including 
the loan QS) of more than the equivalent of 50,000 lb. (22,679.6 kg) of 
IFQ during the origination year;
    (3) Not own, in whole or in part, directly or indirectly (including 
through stock or other ownership interest) any vessel of the type that 
would have been assigned Category A or Category B HSQS under 50 CFR 
679.40(a)(5);
    (4) Possess the appropriate transfer eligibility documentation duly 
issued by the RAM for HSQS;
    (5) Intend to be present aboard the vessel, as may be required by 
applicable regulations, as IFQ associated with halibut/sablefish QS 
financed by the loan is harvested; and
    (6) Meet all other Program eligibility, qualification, lending and 
credit requirements.
    (d) Refinancing. (1) The Program may refinance any existing debts 
associated with HSQS an applicant currently holds, provided that--
    (i) The HSQS being refinanced would have been eligible for Program 
financing at the time the applicant purchased it, and
    (ii) The applicant meets the Program's applicable lending 
requirements.
    (2) The refinancing is in an amount up to 80 percent of HSQS' 
current market value; however, the Program will not disburse any amount 
that exceeds the outstanding principal balance, plus accrued interest 
(if any), of the existing HSQS debt being refinanced.
    (3) In the event that the current market value of HSQS and principal 
loan balance do not meet the 80 percent requirement in paragraph (d)(2) 
of this section, applicants seeking refinancing may be required to 
provide additional down payment.
    (e) Maturity. Loan maturity may not exceed 25 years, but may be 
shorter depending on credit and other considerations.
    (f) Repayment. Repayment will be by equal quarterly installments of 
principal and interest.
    (g) Security. Although quota share(s) will be the primary collateral 
for a HSQS loan, the Program may require additional security pledges to 
maintain the priority of the Program's security interest. The Program, 
at its option, may also require all parties with significant ownership 
interests to personally guarantee loan repayment for any applicant that 
is a corporation, partnership, or other entity. Subject to the Program's 
credit risk determination, some projects may require additional 
security, collateral, or credit enhancement.
    (h) Crew member transfer eligibility certification. The Program will 
accept RAM certification as proof that applicants are eligible to hold 
HSQS. The application of any person determined by RAM to be unable to 
receive such certification will be declined. Applicants who fail to 
obtain appropriate transfer eligibility certification within 45 working 
days of the date of application may lose their processing priority.
    (i) Program credit standards. HSQS loans, regardless of purpose, are 
subject to all Program general credit standards and requirements. 
Collateral, guarantee and other requirements may be adjusted to 
individual credit risks.



Sec.  253.29  CDQ loans.

    (a) FFP actions. The Program may finance or refinance up to 80 
percent of a project's actual cost.
    (b) Eligible projects. Eligible projects include the purchase of all 
or part of ownership interests in fishing or processing vessels, 
shoreside fish processing facilities, permits, quota, and cooperative 
rights in any of the Bering Sea and Aleutian Islands fisheries.
    (c) Eligible entities. The following communities, in accordance with 
applicable law and regulations are eligible to participate in the loan 
program:
    (1) The villages of Akutan, Atka, False Pass, Nelson Lagoon, 
Nikolski, and Saint George through the Aleutian Pribilof Island 
Community Development Association.
    (2) The villages of Aleknagik, Clark's Point, Dillingham, Egegik, 
Ekuk,

[[Page 75]]

Ekwok, King Salmon/Savonoski, Levelock, Manokotak, Naknek, Pilot Point, 
Port Heiden, Portage Creek, South Naknek, Togiak, Twin Hills, and 
Ugashik through the Bristol Bay Economic Development Corporation.
    (3) The village of Saint Paul through the Central Bering Sea 
Fishermen's Association.
    (4) The villages of Chefornak, Chevak, Eek, Goodnews Bay, Hooper 
Bay, Kipnuk, Kongiganak, Kwigillingok, Mekoryuk, Napakiak, Napaskiak, 
Newtok, Nightmute, Oscarville, Platinum, Quinhagak, Scammon Bay, Toksook 
Bay, Tuntutuliak, and Tununak through the Coastal Villages Region Fund.
    (5) The villages of Brevig Mission, Diomede, Elim, Gambell, Golovin, 
Koyuk, Nome, Saint Michael, Savoonga, Shaktoolik, Stebbins, Teller, 
Unalakleet, Wales, and White Mountain through the Norton Sound Economic 
Development Corporation.
    (6) The villages of Alakanuk, Emmonak, Grayling, Kotlik, Mountain 
Village, and Nunam Iqua through the Yukon Delta Fisheries Development 
Association.
    (7) Any new groups established by applicable law.
    (d) Loan terms. (1) CDQ loans may have terms up to thirty years, but 
shall not exceed the project property's useful life. The Program, at its 
sole discretion, may set a shorter maturity period.
    (2) CDQ loans are subject to all Program general credit standards 
and requirements. Collateral, guarantee and other requirements may be 
adjusted to individual credit risks.



Sec.  253.30  Crab IFQ loans.

    (a) Specific definitions. For the purposes of this section, the 
following definitions apply:
    (1) Crab means those crab species managed under the Fishery 
Management Plan for Bering Sea/Aleutian Island (BSAI) King and Tanner 
Crab.
    (2) Crab FMP means the Fishery Management Plan for BSAI King and 
Tanner Crab.
    (3) Crab quota share means a BSAI King and Tanner Crab permit, the 
base amount of which is used as a basis for the annual calculation of a 
person's Crab IFQ, also abbreviated as ``Crab QS.''
    (b) Crab captains or crewmen. The Program may finance up to 80 
percent of the cost of purchasing Crab QS by a citizen:
    (1) Who is or was:
    (i) A captain of a crab fishing vessel, or
    (ii) A crew member of a crab fishing vessel;
    (2) Who has been issued the appropriate documentation of eligibility 
by RAM;
    (3) Whose aggregate holdings of QS will not exceed any limit on Crab 
QS holdings that may be in effect in the Crab FMP implementing 
regulations or applicable statutes in effect at the time of loan 
closing; and will not hold either individually or collectively, based on 
the initial QS pool, as published in 50 CFR part 680, Table 8; and
    (4) Who, at the time of initial application, meets all other 
applicable eligibility requirements to fish for crab or hold Crab QS 
contained in the Crab FMP implementing regulations or applicable 
statutes in effect at the time of loan closing.
    (c) Refinancing. (1) The Program may refinance any existing debts 
associated with Crab QS that an applicant currently holds, provided 
that:
    (i) The Crab QS being refinanced would have been eligible for 
Program financing at the time the applicant purchased it;
    (ii) The applicant meets the Program's applicable lending 
requirements; and
    (iii) The applicant would meet the requirements found in the Crab 
FMP implementing regulations at the time any such refinancing loan would 
close.
    (2) The Program may refinance an amount up to 80 percent of Crab 
QS's current market value; however, the Program will not disburse any 
amount that exceeds the outstanding principal balance, plus accrued 
interest (if any), of the existing Crab QS debt being refinanced.
    (3) In the event that the current market value of Crab QS and 
current principal balance do not meet the 80 percent requirement in 
paragraph (c)(2) of

[[Page 76]]

this section, applicants seeking refinancing may be required to provide 
additional down payment.
    (d) Maturity. Loan maturity may not exceed 25 years, but may be 
shorter depending on credit and other considerations.
    (e) Repayment. Repayment schedules will be set by the loan 
documents.
    (f) Security. Although the quota share will be the primary 
collateral for a Crab QS loan, the Program may require additional 
security pledges to maintain the priority of the Program's security 
interest. The Program, at its option, may also require all parties with 
significant ownership interests to personally guarantee loan repayment 
for any applicant that is a corporation, partnership, or other entity. 
Subject to the Program's credit risk determination, some projects may 
require additional security, collateral, or credit enhancement.
    (g) Crew member transfer eligibility certification. The Program will 
accept RAM transfer eligibility certification as proof that applicants 
are eligible to hold Crab QS. The application of any person determined 
by RAM to be unable to receive such certification will be declined. 
Applicants who fail to obtain appropriate transfer eligibility 
certification within 45 working days of the date of application may lose 
their processing priority.
    (h) Crab Quota Share Ownership Limitation. A program obligor must 
comply with all applicable maximum amounts, as may be established by 
NMFS regulations, policy or North Pacific Fishery Management Council 
action.
    (i) Program credit standards. Crab QS loans are subject to all 
Program general credit standards and requirements. Collateral, guarantee 
and other requirements may be adjusted to individual credit risks.



Sec. Sec.  253.31-253.49  [Reserved]



                 Subpart C_Interjurisdictional Fisheries



Sec.  253.50  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.

[[Page 77]]

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



Sec.  253.51  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] TR16DE10.000

[GRAPHIC] [TIFF OMITTED] TR16DE10.001

    (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.

[[Page 78]]

    (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.  253.52  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 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

[[Page 79]]

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.  263.53  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.  253.601(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.
    (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.  253.54  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.

[[Page 80]]

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.
    (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]

[[Page 81]]

                   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,
    (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),

[[Page 82]]

    (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 
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

[[Page 83]]

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:
    (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.
    (e) Safety projects. The acquisition and installation of safety 
equipment for a qualified vessel and vessel modifications whose central 
purpose is materially increasing the safety of a qualified vessel or the 
acquisition and installation of equipment required by law or regulation 
that materially increases the safety of a qualified vessel shall, 
regardless of cost, be treated as reconstruction for the purpose of 
qualifying a CCF withdrawal for such expenditure, shall be exempt from 
having to meet conditional fishery requirements for reconstruction as 
set forth in Sec.  259.32, and shall be exempt from all qualifying tests 
for reconstruction set forth in paragraph (b) of this section, with the 
following exceptions:
    (1) A safety improvement shall be required to meet both conditional 
fishery requirements and all qualifying tests for reconstruction if it 
serves the dual purpose of safety 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 a safety improvement that is 
to be paid for from the CCF must be classifiable and treated as a 
capital expenditure for Internal Revenue Service purposes;
    (3) Safety improvement projects whose clear and central purpose is 
restricted to complying with the requirements of the Commercial Fishing 
Industry Vessel Safety Act of 1988 (Public Law 100-424 Sec. 1, 102 stat. 
1585 (1988) (codified in scattered sections of 46

[[Page 84]]

U.S.C.)) shall, without further documentation, be considered to fall 
within this paragraph (e). Satisfactory documentation will be required 
for all other projects proposed to be considered as falling within this 
paragraph (e). Projects not required by law or regulation whose central 
purpose clearly involves something other than an improvement that 
materially increases the safety of a vessel will not be considered to 
fall within this paragraph (e).

[39 FR 33675, Sept. 19, 1974, as amended at 46 FR 54563, Nov. 3, 1981; 
62 FR 331, Jan. 3, 1997]



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 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

[[Page 85]]

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 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

[[Page 86]]

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 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.,

[[Page 87]]

filing an amended tax return, if appropriate). The Secretary will 
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), must be executed 
and entered into by the party, and submitted to the Secretary, before 
the end of Period (bb) or

[[Page 88]]

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 (Party) the following annual deposit

[[Page 89]]

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 90]]

    (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 Sec. Sec.  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 Sec. Sec.  259.30 through 
259.38 are adopted. These Sec. Sec.  259.30 through 259.38 are 
applicable to all Interim CCF Agreements entered into before the date 
these Sec. Sec.  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 Sec. Sec.  259.30 through 259.38 are adopted.
    (e) These Sec. Sec.  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 91]]



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 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 92]]

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 93]]

    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 94]]

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 95]]

    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 96]]



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 97]]

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

[[Page 98]]

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.



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

[[Page 99]]

another inspector or licensed sampler is not available in the area where 
the product is located.



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 100]]



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 101]]

    (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 102]]



                                                                           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   3,600 or less    3,601-14,400   14,401-48,000   48,001-96,000  156,001-228,000   228,001-300,000   300,001-420,000      Over 420,000
 that of a No. 300 size can (300 x 407)..                                                  96,001-156,000
 
                 group 2
 
Any type of container of a volume equal     2,400 or less    2,401-12,000   12,001-24,000   24,001-48,000   72,001-108,000   108,001-168,000   168,001-240,000      Over 240,000
 to or exceeding that of a No. 300 size                                                     48,001-72,000
 can, but not exceeding that of a No. 3
 cylinder size can (404 x 700)...........
 
                 group 3
 
Any type of container of a volume           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
 exceeding that of a No. 3 cylinder size
 can, but not exceeding that of a No. 12
 size can (603 x 812)....................
 
                 group 4
 
Any type of container of a volume             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
 exceeding that of a No. 12 size can, but                                                                                                                            Over 28,000
 not exceeding that of a 5-gallon
 container...............................
 
                 group 5
 
Any type of container of a volume              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
 exceeding that of a 5-gallon container..
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 103]]

 
                                                                                    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    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
 net weight..............................
 
                 group 2
 
Any type of container over 1 pound but      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
 not over 4 pounds net weight............
 
                 group 3
 
Any type of container over 4 pounds but       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
 not over 10 pounds net weight...........
 
                 group 4
 
Any type of container over 10 pounds but      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
 not over 100 pounds net weight..........
 
                 group 5
 
Any type of container over 100 pounds net      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
 weight..................................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Single sampling plans \1\
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Sample size (number of sample units) \2\.               3               6              13              21               29                38                48                60              72

[[Page 104]]

 
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  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
                                                       less
 
                   group 2
 
Any type of container over 12 ounces but not       3,600 or  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
 over 60 ounces..............................          less
 
                   group 3
 
Any type of container over 60 ounces but not       1,800 or   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
 over 160 ounces.............................          less
 
                   group 4
 
Any type of container over 160 ounces but not   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
 over 10 gallons or 100 pounds whichever is
 applicable..................................
 
                   group 5
 
Any type of container over 10 gallons or 100     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
 pounds whichever is applicable..............
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Single sampling plans \2\
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Sample size (number of sample units) \3\.....             3             6              13               21                29                38                48                60            72

[[Page 105]]

 
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   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
 net weight.............................
 
                 group 2
 
Any type of container over 1 pound but       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
 not over 6 pounds net weight...........
 
                 group 3
 
Any type of container over 6 pounds but      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
 not over 20 pounds net weight..........
 
                 group 4
 
Any type of container over 20 pounds but      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
 not over 100 pounds net weight.........
 
                 group 5
 
Any type of container over 100 pounds         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
 net weight.............................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    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               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.


[[Page 106]]


                                                     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   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r   nc    c    r
 acceptance numbers, c,
    and rejection numbers, r,       4    0    2    8    0    3   10    0    3   12    0    4   14    0    4   16    0    4   18    0    5   22    0    5
     for multiple sampling.
                                    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 107]]



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 108]]



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.

[[Page 109]]

The policies and procedures are available 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

[[Page 110]]

an inspector as meeting the requirements of such quality or grade 
classification as may be approved by the Secretary.

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
    (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

[[Page 111]]

[GRAPHIC] [TIFF OMITTED] TC01JY91.070

                                Figure 10
    (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.

[[Page 112]]

    (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 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

[[Page 113]]

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.
    (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

[[Page 114]]

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.
    (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

[[Page 115]]

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]

   Requirements for Plants Operating Under Continuous Inspection on a 
                           Contract Basis \1\
---------------------------------------------------------------------------

    \1\ Compliance 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

[[Page 116]]

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 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;

[[Page 117]]

    (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;
    (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

[[Page 118]]

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 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

[[Page 119]]

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 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 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

[[Page 120]]

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 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. Sec.  260.96 to 
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

[[Page 121]]

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]



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



Sec. Sec.  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

[[Page 122]]

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 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 123]]



                 SUBCHAPTER H_FISH AND SEAFOOD PROMOTION





PART 270_SPECIES-SPECIFIC SEAFOOD MARKETING COUNCILS--Table of Contents



Sec.
270.1 Scope.
270.2 Definitions.
270.3 Submission of application.
270.4 Review of application.
270.5 Conduct of referendum.
270.6 Sector participants eligible to vote.
270.7 Results of referendum.
270.8 Nomination and appointment of Council members.
270.9 Terms, vacancies and removal of Council members.
270.10 Responsibilities of a Council.
270.11 Responsibilities of NMFS.
270.12 Notice of Council meetings.
270.13 Books, records and reports.
270.14 Update of sector participant data.
270.15 Quality standards.
270.16 Deposit of funds.
270.17 Authority to impose assessments.
270.18 Method of imposing assessments.
270.19 Notice of assessment.
270.20 Payment of assessments.
270.21 Petition of objection.
270.22 Refunds.
270.23 Dissolution of Councils.

    Authority: 16 U.S.C. 4001-4017

    Source: 72 FR 18111, Apr. 11, 2007, unless otherwise noted.



Sec.  270.1  Scope.

    This part 270 describes matters pertaining to the establishment, 
representation, organization, practices, procedures, and termination of 
Seafood Marketing Councils.



Sec.  270.2  Definitions.

    The following terms and definitions are in addition to or amplify 
those contained in the Fish and Seafood Promotion Act of 1986:
    Act means the Fish and Seafood Promotion Act of 1986 (Public Law 99-
659) and any subsequent amendments.
    Consumer education means actions undertaken to inform consumers of 
matters related to the consumption of fish and fish products.
    Council means a Seafood Marketing Council for one or more species of 
fish and fish products of that species established under section 210 of 
the Act (16 U.S.C. 4009).
    Expenditure means monetary or material worth of fishery products. 
Expenditure is determined at the point a receiver obtains product from a 
harvester or an importer obtains product from a foreign supplier. Value 
may be expressed in monetary units (the price a receiver pays to a 
harvester or an importer pays to a foreign supplier).
    Fiscal year means any 12-month period as NMFS may determine for each 
Council.
    Fish means finfish, mollusks, crustaceans, and all other forms of 
aquatic animal life used for human consumption; the term does not 
include marine mammals and seabirds.
    Harvester means any person in the business of catching or growing 
fish for purposes of sale in domestic or foreign markets.
    Importer means any person in the business of importing fish or fish 
products from another country into the United States and its 
territories, as defined by the Act, for commercial purposes, or who acts 
as an agent, broker, or consignee for any person or nation that 
produces, processes or markets fish or fish products outside of the 
United States for sale or for other commercial purposes in the United 
States.
    Marketer means any person in the business of selling fish or fish 
products in the wholesale, export, retail, or restaurant trade, but 
whose primary business function is not the processing or packaging of 
fish or fish products in preparation for sale.
    Marketing and promotion means any activity aimed at encouraging the 
consumption of fish or fish products or expanding or maintaining 
commercial markets for fish or fish products.
    Member means any person serving on any Council.
    Participant means a member of a sector or business identified in an 
application for a Council charter as being subject to the referendum or 
assessment process.
    Person means any individual, group of individuals, association, 
proprietorship, partnership, corporation, cooperative, or any private 
entity of the U.S. fishing industry organized or existing

[[Page 124]]

under the laws of the United States or any state, commonwealth, 
territory or possession of the United States who meets the eligibility 
requirements as defined in a proposed charter to vote in a referendum.
    Processor means any person in the business of preparing or packaging 
fish or fish products (including fish of the processor's own harvesting) 
for sale in domestic or foreign markets.
    Receiver means any person who owns fish processing vessels and any 
person in the business of acquiring (taking title to) fish directly from 
harvesters.
    Research means any type of research designed to advance the image, 
desirability, usage, marketability, production, quality and safety of 
fish and fish products.
    Secretary means the Secretary of Commerce, or the Secretary's 
designee.
    Sector means
    (1) The sector consisting of harvesters;
    (2) The sector consisting of importers;
    (3) The sector consisting of marketers;
    (4) The sector consisting of processors;
    (5) The sector consisting of receivers; or
    (6) The consumer sector consisting of persons professionally engaged 
in the dissemination of information pertaining to the nutritional 
benefits and preparation of fish and fish products;
    Sector participant means any individual, group of individuals, 
association, proprietorship, partnership, corporation, cooperative, or 
any private entity of the U.S. fishing industry organized or existing 
under the laws of the United States or any state, commonwealth, 
territory or possession of the United States who meets the eligibility 
requirements as defined in a proposed charter to vote in a referendum.
    Species means a fundamental category of taxonomic classification, 
ranking after genus, and consisting of animals that possess common 
characteristic(s) distinguishing them from other similar groups.
    Value means monetary or material worth of fishery products. Value is 
the difference between what a receiver is willing to pay for a product 
provided by a harvester and its market price or an importer is willing 
to pay for a product from a foreign supplier and its market price. Value 
may be expressed in monetary units representing consumer surplus or 
producer surplus.



Sec.  270.3  Submission of application.

    (a) Persons who meet the minimum requirements for sector 
participants as described in the proposed charter may file an 
application with NMFS for a charter for a Seafood Marketing Council for 
one or more species of fish and fish products of that species. One 
signed original and two copies of the completed application package must 
be submitted to the Assistant Administrator for Fisheries, National 
Marine Fisheries Service, NOAA, 1315 East-West Highway, Silver Spring, 
MD 20910. Applications should not be bound.
    (b) The application consists of four parts:
    (1) A document requesting NMFS to establish a Council;
    (2) A proposed charter under which the proposed Council will 
operate;
    (3) A list of eligible referendum participants; and
    (4) Analytical documentation addressing requirements of applicable 
law.
    (c) Content of application--(1) Application or requesting document. 
The application or requesting document submitted by the applicants to 
NMFS requesting that the Council be established, to the extent 
practicable, must include the signatures or corporate certifications, of 
no less than three sector participants representing each sector 
identified in accordance with paragraph (c)(2)(v) of this section and 
who, according to the available data, collectively accounted for, in the 
12-month period immediately preceding the month in which the application 
was filed, not less than 10 percent of the value of the fish or fish 
products specified in the charter that were handled during such period 
in each sector by those who meet the eligibility requirements to vote in 
the referendum as defined by the application. The application must also 
include a statement that, if established, the Council will have 
sufficient resources (e.g., cash, donated office space, services, 
supplies,

[[Page 125]]

etc.) available for initial administrative expenditures pending 
collection of assessments.
    (2) Proposed charter. A proposed charter must contain, at a minimum, 
the following information:
    (i) The name of the Council and a provision proclaiming its 
establishment;
    (ii) A declaration of the purposes and objectives of the Council;
    (iii) A description of the species of fish and fish products, 
including the scientific and common name(s), for which the Council will 
implement marketing and promotion plans under the Act. (The American 
Fisheries Society's ``List of Common and Scientific Names of Fishes from 
the United States and Canada'' (latest edition) or where available, an 
appropriate volume of its ``List of Common and Scientific Names of 
Aquatic Invertebrates of the United States and Canada'' (latest edition) 
should be used as the authority for all scientific and common names.);
    (iv) A description of the geographic area (state(s)) within the 
United States covered by the Council;
    (v) The identification of each sector and the number and terms of 
representatives for each sector that will be voting members on the 
Council. (The number of Council members should be manageable, while 
ensuring equitable geographic representation. The term for members will 
be 3 years. Initially, to ensure continuity, half of the members' terms 
will be 2 years and half will be 3 years. Reappointments are 
permissible.);
    (vi) The identification of those sectors (which must include a 
sector consisting of harvesters, a sector consisting of receivers, and, 
if subject to assessment, a sector consisting of importers), eligible to 
vote in the referendum to establish the Council;
    (vii) For each sector described under paragraph (c)(2)(v) of this 
section, a threshold level specifying the minimum requirements, as 
measured by income, volume of sales, or other relevant factors, that a 
person engaging in business in the sector must meet in order to 
participate in a referendum;
    (viii) A description of the rationale and procedures for determining 
assessment rates as provided in Sec.  270.18, based on a fixed amount 
per unit of weight or measure, or on a percentage of value of the 
product handled;
    (ix) The proposed rate or rates that will be imposed by the Council 
on receivers and, if subject to assessment, importers during its first 
year of operation;
    (x) The maximum amount by which an assessment rate for any period 
may be raised above the rate applicable for the immediately preceding 
period;
    (xi) The maximum rate or rates that can be imposed by a Council on 
receivers or importers during the operation of the Council;
    (xii) The maximum limit on the amount any one sector participant may 
be required to pay under an assessment for any period;
    (xiii) The procedures for providing refunds to sector participants 
subject to assessment who request the same in accordance with the time 
limits specified Sec.  270.22;
    (xiv) A provision setting forth the voting procedures by which votes 
may be cast by proxy;
    (xv) A provision that the Council will have voting members 
representing the harvesting, receiving and, if subject to assessment, 
importing sectors;
    (xvi) A provision setting forth the definition of a quorum for 
making decisions on Council business and the procedures for selecting a 
chairperson of the Council;
    (xvii) A provision that members of the Council will serve without 
compensation, but will be reimbursed for reasonable expenses incurred in 
performing their duties as members of the Council;
    (xviii) A provision containing a requirement for submission to NMFS 
the criteria and supporting data for evaluating the annual and/or multi-
year performance of proposed marketing plans and the Council's 
performance;
    (xix) A provision containing a requirement for submission of 
documentation as requested by NMFS for purposes of evaluating 
performance of proposed marking plans and the Council's related 
performance;
    (xx) Where adequate funds are not available, a provision containing 
the

[[Page 126]]

minimum number of participants needed for sustained operations that 
cannot receive assessment refunds;
    (xxi) A provision acknowledging that NMFS will have the right to 
participate in Council meetings;
    (xxii) A provision that the Council will conduct its activities in 
accordance with applicable NMFS requirements and that NMFS has final 
approval authority over proposed marketing plans and Council actions;
    (xxiii) A provision containing a requirement for the Council to 
arrange for a complete audit report to be conducted by an independent 
public accountant and submitted to NMFS at the end of each fiscal year;
    (xxiv) A provision containing a requirement for the Council to 
conduct a market assessment based on economic, market, social and 
demographic, and biological information as deemed necessary by NMFS; and
    (xxv) A provision containing a requirement for the Council to update 
the list of referendum participants on an annual basis.
    (3) List of referendum participants. The list of referendum 
participants, to the extent practicable, must identify the business name 
and address of all sector participants that the applicants believe meet 
the requirements for eligibility to vote in the referendum on the 
adoption of the proposed charter.
    (i) The list should include all sectors in which a sector 
participant meets the eligibility requirements to vote in a referendum. 
If a sector participant has more than one place of business located 
within the geographic area of the Council, all such places should be 
listed and the primary place of business should be designated. The 
agency will provide appropriate information in its possession of a non-
proprietary nature to assist the applicants in developing the list of 
sector participants.
    (ii) [Reserved]
    (4) Analytical documentation. The applicant must address the 
requirements of the Act, implementing regulations, and other applicable 
law, i.e., E.O. 12866, Regulatory Flexibility Act, National 
Environmental Policy Act, and other law as NMFS determines appropriate.



Sec.  270.4  Review of application.

    Within 180 days of receipt of the application to establish a 
Council, NMFS will:
    (a) Determine if the application is complete and complies with all 
of the requirements set out in Sec.  270.3 and complies with all 
provisions of the Act and other applicable laws.
    (b) Identify, to the extent practicable, those sector participants 
who meet the requirements for eligibility to participate in the 
referendum to establish the Council. NMFS may require additional 
information from the applicants or proposed participants in order to 
verify eligibility. NMFS may add names to or delete names from the list 
of sector participants believed eligible by the applicants until the 
time of the referendum based on additional information received.
    (c) If NMFS finds minor deficiencies in an application that can be 
corrected within the 180-day review period, NMFS will advise the 
applicants in writing of what must be submitted by a specific date to 
correct the minor deficiencies.
    (d) If NMFS makes a final negative determination, on an application, 
NMFS will advise the applicant in writing of the reason for the 
determination. The applicant may submit another application at any time 
thereafter. NMFS then has 180 days from receipt of the new application 
to render a final determination on its acceptability.



Sec.  270.5  Conduct of referendum.

    (a) Upon making affirmative determinations under Sec.  270.4, NMFS, 
within 90 days after the date of the last affirmative determination, 
will conduct a referendum on the adoption of the proposed charter.
    (b) NMFS will estimate the cost of conducting the referendum, notify 
the applicants, and request that applicants post a bond or provide other 
applicable security, such as a cashierSec.  s check, to cover costs of 
the referendum.
    (c) NMFS will initially pay all costs of a referendum to establish a 
Council. Within two years after establishment, the Council must 
reimburse NMFS for the total actual costs of the referendum from 
assessments collected by

[[Page 127]]

the Council. If a referendum fails to result in establishment of a 
Council, NMFS will immediately recover all expenses incurred for 
conducting the referendum from the bond or security posted by 
applicants. In either case, such expenses will not include salaries of 
government employees or other administrative overhead, but will be 
limited to those additional direct costs incurred in connection with 
conducting the referendum.
    (d) No less than 30 days prior to holding a referendum, NMFS will:
    (1) Publish in the Federal Register the text of the proposed charter 
and the most complete list available of sector participants eligible to 
vote in the referendum; and
    (2) Provide for public comment, including the opportunity for a 
public meeting.



Sec.  270.6  Sector participants eligible to vote.

    (a) Any participant who meets the minimum requirements as measured 
by income, volume of sales or other relevant factors specified in the 
approved charter may vote in a referendum.
    (b) Only one vote may be cast by each participant who is eligible to 
vote, regardless of the number of individuals that make up such 
``participant'' and how many sectors the participant is engaged in. The 
vote may be made by any responsible officer, owner, or employee 
representing a participant.



Sec.  270.7  Results of referendum.

    (a) Favorable vote to establish a Council. NMFS will, by order of 
publication in the Federal Register, establish the Council and approve 
an acceptable proposed charter, if the referendum votes which are cast 
in favor of the proposed charter constitute a majority of the sector 
participants voting in each and every sector. Further, according to the 
best available data, the majority must collectively account for, in the 
12-month period immediately preceding the month in which the proposed 
charter was filed, at least 66 percent of the value of the fish and fish 
products described in the proposed charter handled during such period in 
each sector by those who meet the eligibility requirements to vote in 
the referendum as defined by the applicants.
    (b) Unfavorable vote to establish a Council. If a referendum fails 
to pass in any sector of the proposed Council, NMFS will not establish 
the Council or approve the proposed charter. NMFS will immediately 
recover the cost of conducting the referendum according to Sec.  
270.5(c).
    (c) Notification of referendum results. NMFS will notify the 
applicants of the results of the referendum and publish the results of 
the referendum in the Federal Register.



Sec.  270.8  Nomination and appointment of Council members.

    (a) Within 30 days after a Council is established, NMFS will solicit 
nominations for Council members from the sectors represented on the 
Council in accordance with the approved charter. If the harvesters and 
receivers represented on the Council are engaged in business in two or 
more states, but within the geographic area of the Council, the 
nominations made under this section must, to the extent practicable, 
result in equitable representation for those states. Nominees must be 
knowledgeable and experienced with regard to the activities of, or have 
been actively engaged in the business of, the sector that such person 
will represent on the Council. Therefore, a resume will be required for 
each nominee.
    (b) In accordance with 16 U.S.C. 4009(f), NMFS will, within 60 days 
after the end of the 30-day period, appoint the members of the Council 
from among the nominees.



Sec.  270.9  Terms, vacancies, and removal of Council members.

    (a) A Council term is for 3 years, except for initial appointments 
to a newly established Council where:
    (1) Half of the Council member terms will be 2 years; and
    (2) Half of the Council member terms will be 3 years.
    (b) A vacancy on a Council will be filled, within 60 days after the 
vacancy occurs, in the same manner in which the original appointment was 
made. A member appointed to fill a vacancy occurring before the 
expiration of the

[[Page 128]]

term for which the member's predecessor was appointed will be appointed 
only for the remainder of such term.
    (c) Any person appointed under the Act who consistently fails or 
refuses to perform his or her duties properly and/or participates in 
acts of dishonesty or willful misconduct with respect to 
responsibilities under the Act will be removed from the Council by NMFS 
if two-thirds of the members of the Council recommend action. All 
requests from a Council to NMFS for removal of a Council member must be 
in writing and accompanied by a statement of the reasons upon which the 
recommendation is based.



Sec.  270.10  Responsibilities of a Council.

    (a) Each Council will:
    (1) Implement all terms of its approved charter;
    (2) Prepare and submit to NMFS, for review and approval under Sec.  
270.11(a)(1), a marketing and promotion plan and amendments to the plan 
which contain descriptions of the projected consumer education, 
research, and other marketing and promotion activities of the Council;
    (3) Implement and administer an approved marketing and promotion 
plan and amendments to the plan;
    (4) Determine the assessment to be made under Sec.  270.18 and 
administer the collection of such assessments to finance Council 
expenses described in paragraph (b) of this section;
    (5) Receive, investigate and report to NMFS accounts of violations 
of rules or orders relating to assessments collected under Sec.  270.20, 
or quality standard requirements established under Sec.  270.15;
    (6) Prepare and submit to NMFS, for review and approval a budget (on 
a fiscal year basis) of the anticipated expenses and disbursements of 
the Council, including
    (i) All administrative and contractual expenses;
    (ii) The probable costs of consumer education, research, and other 
marketing and promotion plans or projects;
    (iii) The costs of the collection of assessments; and
    (iv) The expense of repayment of the costs of each referendum 
conducted in regard to the Council.
    (7) Comply with NMFS requirements, and prepare and submit to NMFS 
for review, evaluation, and verification of results and analysis an 
annual market assessment and related analytical documentation that is 
based on economic, market, social, demographic, and biological 
information as deemed necessary by NMFS;
    (8) Maintain books and records, prepare and submit to NMFS reports 
in accordance with respect to the receipt and disbursement of funds 
entrusted to it, and submit to NMFS a completed audit report conducted 
by an independent auditor at the end of each fiscal year;
    (9) Reimburse NMFS for the expenses incurred for the conduct of the 
referendum to establish the Council or any subsequent referendum to 
terminate the Council that fails;
    (10) Prepare and submit to NMFS report or proposals as the Council 
determines appropriate to further the purposes of the Act.
    (b) Funds collected by a Council under Sec.  270.17 will be used by 
the Council for--
    (1) Research, consumer education, and other marketing and promotion 
activities regarding the quality and marketing of fish and fish 
projects;
    (2) Other expenses, as described in Sec.  270.10(a)(1);
    (3) Such other expenses for the administration, maintenance, and 
functioning of the Council as may be authorized by NMFS; and
    (4) Any reserve fund established under paragraph (e)(4) of this 
section and any administrative expenses incurred by NMFS specified as 
reimbursable under this part.
    (c) Marketing and promotion plans and amendments to such plans 
prepared by a Council under paragraph (a)(2) of this section will be 
designed to increase the general demand for fish and fish products 
described in accordance with Sec.  270.3(c)(2)(iii) by encouraging, 
expanding, and improving the marketing, promotion and utilization of 
such fish and fish products, in domestic or foreign markets, or both, 
through consumer education, research,

[[Page 129]]

and other marketing and promotion activities.
    (d) Consumer education and other marketing and promotion activities 
carried out by a Council under a marketing and promotion plan and 
amendments to a plan may not contain references to any private brand or 
trade name and will avoid the use of deceptive acts or practices in 
promoting fish or fish products or with respect to the quality, value, 
or use of any competing product or group of products.
    (e) Authority of a Council. A Council may:
    (1) Sue and be sued;
    (2) Enter into contracts;
    (3) Employ and determine the salary of an executive director who 
may, with the approval of the Council employ and determine the salary of 
such additional staff as may be necessary;
    (4) Establish a reserve fund from monies collected and received 
under Sec.  270.17 to permit an effective and sustained program of 
research, consumer education, and other marketing and promotion 
activities regarding the quality and marketing of fish and fish products 
in years when production and assessment income may be reduced, but the 
total reserve fund may not exceed the amount budgeted for the current 
fiscal year of operation.
    (f) Amendment of a charter. A Council may submit to NMFS amendments 
to the text of the Council's charter. Any proposed amendments to a 
charter will be approved or disapproved in the same manner as the 
original charter was approved under Sec.  270.4 and Sec.  270.5 with the 
exception of Sec.  270.4(b).



Sec.  270.11  Responsibilities of NMFS.

    (a) In addition to the duties prescribed under 16 U.S.C. 4009, NMFS 
will:
    (1) Participate in Council meetings and review, for consistency with 
the provisions of 50 CFR part 270 and other applicable law, and approve 
or disapprove, marketing and promotion plans and budgets within 60 days 
after their submission by a Council;
    (2) Immediately notify a Council in writing of the disapproval of a 
marketing and promotion plan or budget, together with reasons for such 
disapproval;
    (3) Issue orders and amendments to such orders that are necessary to 
implement quality standards under Sec.  270.15;
    (4) Promulgate regulations necessary to carry out the purposes of 
this chapter;
    (5) Enforce the provisions of the Act;
    (6) Make all appointments to Councils in accordance with Sec.  270.8 
and the approved Council charter;
    (7) Approve the criteria and time frames under which a Council's 
performance will be evaluated; and
    (8) Implement the provisions of 16 U.S.C. 4001 et seq. in accordance 
with the available financial and management resources NMFS determines 
can be utilized.
    (b) NMFS may provide, on a reimbursable or other basis, such 
administrative or technical assistance as a Council may request for 
purposes of the initial organization and subsequent operation of the 
Council. However, a Council is responsible for the cost of preparing and 
submitting information (e.g., reports, evaluation data, etc.) requested 
by NMFS.



Sec.  270.12  Notice of Council meetings.

    The Council will give NMFS the same notice of its meetings as it 
gives to its members. NMFS will have the right to participate in all 
Council meetings.



Sec.  270.13  Books, records and reports.

    (a) The Council must submit to NMFS the following documents 
according to the schedule approved in the Council's charter:
    (1) A marketing assessment and promotion plan;
    (2) A financial report with respect to the receipt and disbursement 
of funds;
    (3) An audit report conducted by an independent public accountant; 
and
    (4) Other reports or data NMFS determines necessary to evaluate the 
Council's performance and verify the results of the market assessment 
and promotion plan..
    (b) All Council records, reports, and data must be maintained by the 
Council for a minimum of 3 years, even if the Council is terminated.

[[Page 130]]



Sec.  270.14  Update of sector participant data.

    The Council will submit to NMFS at the end of each fiscal year an 
updated list of sector participants who meet the minimum requirements 
for eligibility to participate in a referendum as stated in the approved 
charter.



Sec.  270.15  Quality standards.

    (a) Each Council may develop and submit to NMFS for approval or, 
upon the request of a Council, NMFS will develop quality standards for 
the species of fish or fish products described in the approved charter. 
Any quality standard developed under this paragraph must be consistent 
with the purposes of the Act.
    (b) A quality standard developed under paragraph (a) of this section 
may be adopted by a Council by a majority of its members following a 
referendum conducted by the Council among sector participants of the 
concerned sector(s). In order for a quality standard to be brought 
before Council members for adoption, the majority of the sector 
participants of the concerned sector(s) must vote in favor of the 
standard. Further, according to the best available data, the majority 
must collectively account for, in the 12-month period immediately 
preceding the month in which the referendum is held, not less than 66 
percent of the value of the fish or fish products described in the 
charter that were handled during such period in that sector by those who 
meet the eligibility requirements to vote in the referendum as defined 
by the petitioners.
    (c) The Council must submit a plan to conduct the referendum on the 
quality standards to NMFS for approval at least 60 days in advance of 
such referendum date. The plan must consist of the following:
    (1) Date(s) for conducting the referendum;
    (2) Method (by mail or in person);
    (3) Copy of the proposed notification to sector participants 
informing them of the referendum;
    (4) List of sector participants eligible to vote;
    (5) Name of individuals responsible for conducting the referendum;
    (6) Copy of proposed ballot package to be used in the referendum; 
and
    (7) Date(s) and location of ballot counting.
    (d) An official observer appointed by NMFS will be allowed to be 
present at the ballot counting and any other phase of the referendum 
process, and may take whatever steps NMFS deems appropriate to verify 
the validity of the process and results of the referendum.
    (e) Quality standards developed under this section of the 
regulations must, at a minimum, meet Food and Drug Administration (FDA) 
minimum requirements for fish and fish products for human consumption.
    (f) Quality standards must be consistent with applicable standards 
of the U.S. Department of Commerce (National Oceanic and Atmospheric 
Administration) or other recognized Federal standards and/or 
specifications for fish and fish products.
    (g) No quality standard adopted by a Council may be used in the 
advertising or promotion of fish or fish products as being inspected by 
the United States Government unless the standard requires sector 
participants to be in the U.S. Department of Commerce voluntary seafood 
inspection program.
    (h) The intent of quality standards must not be to discriminate 
against importers who are not members of the Council.
    (i) Quality standards must not be developed for the purpose of 
creating non-tariff barriers. Such standards must be compatible with 
U.S. obligations under the General Agreement on Tariffs and Trade, or 
under other international standards deemed acceptable by NMFS.
    (j) The procedures applicable to the adoption and the operation of 
quality standards developed under this subchapter also apply to 
subsequent amendments or the termination of such standards.
    (k) With respect to a quality standard adopted under this section, 
the Council must develop and file with NMFS an official identifier in 
the form of a symbol, stamp, label or seal that will be used to indicate 
that a fish or fish product meets the quality standard at the time the 
official identifier is

[[Page 131]]

affixed to the fish or fish product, or is affixed to or printed on the 
packaging material of the fish or fish product. The use of such 
identifier is governed by Sec.  270.15.



Sec.  270.16  Deposit of funds.

    All funds collected or received by a Council under this section must 
be deposited in an appropriate account in the name of the Council 
specified in its charter. Funds eligible to be collected or received by 
a Council must be limited to those authorized under the Act.
    (a) Pending disbursement, under an approved marketing plan and 
budget, funds collected through assessments authorized by the Act must 
be deposited in any interest-bearing account or certificate of deposit 
of a bank that is a member of the Federal Reserve System, or in 
obligations fully guaranteed as to principal and interest by the United 
States Government.
    (b) The Council may, however, pending disbursement of these funds, 
invest in risk-free, short-term, interest-bearing instruments.
    (1) Risk-free. All investments must be insured or fully 
collateralized with Federal Government securities. In the absence of 
collateral, accounts established at financial institutions should, in 
aggregate, total less than $100,000 to assure both principal and 
interest are federally insured in full.
    (2) Short-term. Generally, all investments should be for a 
relatively short time period (one year or less) to assure that the 
principal is maintained and readily convertible to cash.
    (3) Collateralization. Investments exceeding the $100,000 insurance 
coverage level must be fully collateralized by the financial 
institution.
    (i) Collateral must be pledged at face value and must be pledged 
prior to sending funds to the institution.
    (ii) Government securities are acceptable collateral. Declining 
balance, mortgage backed securities such as Government National Mortgage 
Association (GNMA) and Federal National Mortgage Association (FNMA) are 
not acceptable collateral.
    (iii) If an account has been established, collateral may be held at 
the local Federal Reserve Bank. Otherwise, another depository must hold 
the collateral.



Sec.  270.17  Authority to impose assessments.

    A Council will impose and administer the collection of the 
assessments that are necessary to pay for all expenses incurred by the 
Council in carrying out its functions under 50 CFR part 270.



Sec.  270.18  Method of imposing assessments.

    Assessments will be imposed on sector participants in the receiving 
sector or the importing sector or both as specified in an approved 
Council charter. Assessment rates will be based on value that may be 
expressed in monetary units or units of weight or volume.
    (a) An assessment on sector participants in the receiving sector 
will be in the form of a percentage of the value or a fixed amount per 
unit of weight or volume of the fish described in the charter when 
purchased by such receivers from fish harvesters.
    (b) An assessment on sector participants who own fish processing 
vessels and harvest the fish described in the charter will be in the 
form of a percentage of the value or on a fixed amount per unit of 
weight or volume of the fish described in the charter that is no less 
than the value if such fish had been purchased by a receiver other than 
the owner of the harvesting vessel.
    (c) An assessment on sector participants in the importing sector 
will be in the form of a percentage of the value that an importer pays 
to a foreign supplier, as determined for the purposes of the customs 
laws, or a fixed amount per unit of weight or volume, of the fish or 
fish products described in the charter when entered or withdrawn from 
warehouse for consumption, in the customs territory of the United States 
by such sector participants.
    (d) A Council may not impose an assessment on any person that was 
not eligible to vote in the referendum establishing the Council by 
reason of failure to meet the requirements specified under unless that 
person, after the date on which the referendum is held, meets the 
requirements of section.

[[Page 132]]

    (e) Any person may make voluntary payments or in-kind contributions 
to a Council for purposes of assisting the Council in carrying out its 
functions.



Sec.  270.19  Notice of assessment.

    (a) The Council must serve each person subject to assessment with 
notice that the assessment is due. The notice of assessment must 
contain:
    (1) A specific reference to the provisions of the Act, regulations, 
charter and referendum that authorize the assessment;
    (2) The amount of the assessment;
    (3) The period of time covered by the assessment;
    (4) The date the assessment is due and payable, which will not be 
earlier than 30 days from the date of the notice;
    (5) The form(s) of payment; and
    (6) To whom and where the payment must be made.
    (b) The notice must advise such person of his or her right to seek 
review of the assessment by filing a written petition of objection with 
NMFS at any time during the time period to which the assessment applies, 
including the right to request a hearing on the petition. The notice 
must state that the petition of objection must be filed in accordance 
with the procedures in Sec.  270.21.
    (c) The notice must also advise such persons of his or her right to 
a refund of the assessment as provided in Sec.  270.22. The notice must 
state that a refund may be requested for not less than 90 days from such 
collection, and provide that the Council will make the refund within 60 
days after the request for the refund is requested.



Sec.  270.20  Payment of assessments.

    Persons subject to an assessment would be required to pay the 
assessment on or before the date due, unless they have demanded a refund 
or filed a petition of objection with NMFS under Sec.  270.21. However, 
persons who have demanded a refund under Sec.  270.22 or filed a 
petition of objection under Sec.  270.21 may submit proof of these 
actions in leu of payment. In the case of a petition of objection, NMFs 
will inform the Council and the petitioner of its finding at which time 
petitioner must pay the revised assessment if applicable.



Sec.  270.21  Petition of objection.

    (a) Filing a petition. Any person issued a notice of assessment 
under Sec.  270.19 may request that NMFS modify or take other 
appropriate action regarding the assessment or promotion plan by filing 
a written petition of objection with NMFS. Petitions of objection may be 
filed:
    (1) Only if the petitioner determines one or more of the following 
criteria is not in accordance with the law:
    (i) The assessment;
    (ii) The plan upon which the assessment is based; or
    (iii) Any obligation imposed on the petitioner under the plan.
    (2) Only during the time period to which the assessment applies.
    (b) Contents of the petition of objection. A petition must be 
addressed to Assistant Administrator for Fisheries, National Marine 
Fisheries Service, 1315 East-West Highway, Silver Spring, MD 20910, and 
must contain the following:
    (1) The petitioner's correct name, address, and principal place of 
business. If the petitioner is a corporation, this must be stated, 
together with the date and state of incorporation, and the names, 
addresses, and respective positions of its officers; if a partnership, 
the date and place of formation and the name and address of each 
partner;
    (2) The grounds upon which the petition of objection is based, 
including the specific terms or provisions of the assessment, the 
marketing and promotion plan, or obligation imposed by the plan, to 
which the petitioner objects;
    (3) A full statement of the facts upon which the petition is based, 
set forth clearly and concisely, accompanied by any supporting 
documentation;
    (4) The specific relief requested; and
    (5) A statement as to whether or not the petitioner requests a 
hearing.
    (c) Notice to Council. NMFS will promptly furnish the appropriate 
Council with a copy of the petition of objection.

[[Page 133]]

    (d) Opportunity for informal hearing. (1) Any person filing a 
petition of objection may request an informal hearing on the petition. 
The hearing request must be submitted with the petition of objection.
    (2) If a request for hearing is timely filed, or if NMFS determines 
that a hearing is advisable, NMFS will so notify the petitioner and the 
Council. NMFS will establish the applicable procedures, and designate 
who will be responsible for conducting a hearing. The petitioner, the 
Council, and any other interested party, may appear at the hearing in 
person or through a representative, and may submit any relevant 
materials, data, comments, arguments, or exhibits. NMFS may consolidate 
two or more hearing requests into a single proceeding.
    (3) Final decision. Following the hearing, or if no hearing is held, 
as soon as practicable, NMFS will decide the matter and serve written 
notice of the decision on the petitioner and the Council. NMFS's 
decision will be based on a consideration of all relevant documentation 
and other evidence submitted, and will constitute the final 
administrative decision and order of the agency. NMFS will have the 
discretion to waive collection of a contested assessment or revise, 
modify, or alter the assessment amount based on a Council method of 
assessment.



Sec.  270.22  Refunds.

    (a) Notwithstanding any other provision of the Act, any person who 
pays an assessment under the Act may demand and must promptly receive 
from the Council a refund of such assessment. A demand for refund must 
be made in accordance with procedures in the approved charter and within 
such time as will be prescribed by the Council and approved by NMFS. 
Procedures to provide such a refund must be established before any such 
assessment may be collected. Such procedures must allow any person to 
request a refund 90 days or more from such collection, and provide that 
such refund must be made within 60 days after demand for such refund is 
made.
    (b) Once a refund has been requested by a sector participant and 
paid by the Council, that sector participant may no longer participate 
in a referendum or other business of the Council during the remainder of 
the assessment rate period. Future assessments will only be sent to such 
a sector participant at the request of the sector participant. If 
assessments are paid during a future assessment rate period and no 
refund is requested, that sector participant may again participate in a 
referendum or other business of the Council.



Sec.  270.23  Dissolution of Councils.

    (a) Petition for termination. (1) A petition to terminate a Council 
may be filed with NMFS by no less than three sector participants in any 
one sector. Any petition filed under this subsection must be accompanied 
by a written document explaining the reasons for such petition.
    (2) If NMFS determines that a petition filed under paragraph (a)(1) 
of this section is accompanied by the signatures, or corporate 
certifications, of no less than three sector participants in the sector 
referred to in paragraph (a)(1) of this section who collectively 
accounted for, in the 12-month period immediately preceding the month in 
which the petition was filed, not less than 20 percent of the value of 
the fish or fish products described in Sec.  270.3(c)(2)(iii) that were 
handled by that sector during the period, NMFS within 90 days after the 
determination, will conduct a referendum for termination of the Council 
among all sector participants in that sector.
    (3) Not less than 30 days prior to holding a referendum, NMFS will 
publish an announcement in the Federal Register of the referendum, 
including an explanation of the reasons for the petition for termination 
filed under paragraph (a)(1) of this section and any other relevant 
information NMFS considers appropriate.
    (4) If the referendum votes which are cast in favor of terminating 
the Council constitute a majority of the sector participants voting and 
the majority, in the period in paragraph (a)(2) of this section, 
collectively accounted for not less than 66 percent of the value of such 
fish and fish products that were handled during such period by the 
sector in paragraph (a)(1) of this section,

[[Page 134]]

NMFS will by order of publication terminate the Council effective as of 
a date by which the affairs of the Council may be concluded on an 
orderly basis.
    (5) NMFS initially will pay all costs of a referendum conducted in 
Sec.  270.23. Prior to conducting such a referendum, NMFS will require 
petitioners to post a bond or other security acceptable to NMFS in an 
amount which NMFS determines to be sufficient to pay any expenses 
incurred for the conduct of the referendum.
    (6) If a referendum conducted under Sec.  270.23 fails to result in 
the termination of the Council, NMFS will immediately recover the amount 
of the bond posted by the petitioners under Sec.  270.23(a)(5).
    (7) If a referendum conducted under this subsection results in the 
termination of the Council, NMFS will recover the expenses incurred for 
the conduct of the referendum from the account established by the 
Council. If the amount remaining in such account is insufficient for 
NMFS to recover all expenses incurred for the conduct of the referendum, 
NMFS will recover the balance of the expenses from the petitioners that 
posted a bond under paragraph (a)(5) of this section.
    (b) Payment of remaining funds. If a Council is terminated under 
section Sec.  270.23(a)(4), NMFS, after recovering all expenses incurred 
for the conduct of the referendum under paragraph (a) of this section, 
will take such action as is necessary and practicable to ensure that 
moneys remaining in the account established by the Council under Sec.  
270.17 are paid on a prorated basis to the sector participants from whom 
those moneys were collected under Sec.  270.20.



                        SUBCHAPTER I	J [RESERVED]



[[Page 135]]



                     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 within a one-quarter mile radius of obstructions so recorded 
or marked are presumed to involve negligence or fault of the claimant);

[[Page 136]]

    (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 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

[[Page 137]]

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 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

[[Page 138]]

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 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,

[[Page 139]]

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 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

[[Page 140]]

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.



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

[[Page 141]]

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.

                        PARTS 297	299 [RESERVED]

[[Page 143]]



        CHAPTER III--INTERNATIONAL FISHING AND RELATED ACTIVITIES




  --------------------------------------------------------------------
Part                                                                Page
300             International fisheries regulations.........         145
301-399

[Reserved]

[[Page 145]]



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 [Reserved]

                Subpart C_Eastern Pacific Tuna Fisheries

300.20 Purpose and scope.
300.21 Definitions.
300.22 Eastern Pacific fisheries recordkeeping and written reports.
300.23 Eastern Pacific fisheries - Persons and vessels exempted.
300.24 Prohibitions.
300.25 Eastern Pacific fisheries management.
300.26 Vessel monitoring system (VMS).
300.27 Incidental catch and tuna retention requirements.

                 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.
300.45 Vessel Monitoring System.
300.46 Transshipping requirements.

                   Subpart E_Pacific Halibut Fisheries

300.60 Purpose and scope.
300.61 Definitions.
300.62 Annual management measures.
300.63 Catch sharing plan and domestic management measures in Area 2A.
300.64 Fishing by U.S. treaty Indian tribes.
300.65 Catch sharing plan and domestic management measures in waters in 
          and off Alaska.
300.66 Prohibitions.
300.67 Charter halibut limited access program.

Figure 1 to Subpart E of Part 300--Boundaries for Sitka Sound Local Area 
          Management Plan (LAMP)
Figure 2 to Subpart E of Part 300--Southern Southeast Alaska Rural and 
          Non-Rural Areas
Figure 3 to Subpart E of Part 300--Northern Southeast Alaska Rural and 
          Non-Rural Areas
Figure 4 to Subpart E of Part 300--Prince William Sound Rural and Non-
          Rural Areas
Figure 5 to Subpart E of Part 300--Anchorage, Matanuska-Susitna, and 
          Kenai Rural and Non-Rural Areas
Figure 6 to Subpart E of Part 300--Alaska Peninsula and Aleutian Islands 
          Rural and Non-Rural Areas
Figure 7 to Subpart E of Part 300--Western and Central Alaska Rural and 
          Non-Rural Areas
Table 1 to Subpart E of Part 300--Determination of Commission Regulatory 
          Area 2C Annual Commercial Allocation From the Annual Combined 
          Catch Limit for Halibut
Table 2 to Subpart E of Part 300--Determination of Commission Regulatory 
          Area 3A Annual Commercial Allocation From the Annual Combined 
          Catch Limit for Halibut
Table 3 to Subpart E of Part 300--Determination of Commission Regulatory 
          Area 2C Annual Charter Halibut Allocation From the Annual 
          Combined Catch Limit
Table 4 to Subpart E of Part 300--Determination of Commission Regulatory 
          Area 3A Annual Charter Halibut Allocation From the Annual 
          Combined Catch Limit

        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.

[[Page 146]]

300.107 Reporting and recordkeeping requirements.
300.108 Vessel and gear identification.
300.109 Gear disposal.
300.110 Mesh size.
300.112 Harvesting permits.
300.113 Scientific observers.
300.114 Dealer permits and preapproval.
300.115 Appointment of a designated representative.
300.116 Requirements for a vessel monitoring system for U.S. vessels.
300.117 Prohibitions.
300.118 Facilitation of enforcement and inspection.
300.119 Penalties.

Figure 1 to Subpart G of Part 300--Boundaries of the Statistical 
          Reporting Area in the Southern Ocean
Figure 2 to Subpart G of Part 300--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.
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.

                Subpart L_Pacific Albacore Tuna Fisheries

300.170 Purpose and scope.
300.171 Definitions.
300.172 Vessel list.
300.173 Vessel identification.
300.174 Logbook reports.
300.175 Hail-in and hail-out reports.
300.176 Prohibitions.

 Subpart M_International Trade Documentation and Tracking Programs for 
                        Highly Migratory Species

300.180 Purpose and scope.
300.181 Definitions.
300.182 International fisheries trade permit.
300.183 Permit holder reporting and recordkeeping requirements.
300.184 Species subject to permitting, documentation, reporting, and 
          recordkeeping requirements.
300.185 Documentation, reporting and recordkeeping requirements for 
          consignment documents and re-export certificates.
300.186 Completed and approved documents.
300.187 Validation requirements.
300.188 Ports of entry.
300.189 Prohibitions.

          Subpart N_Identification and Certification of Nations

300.200 Purpose and scope.
300.201 Definitions.
300.202 Identification and certification of nations engaged in illegal, 
          unreported, or unregulated fishing activities.
300.203 Identification and certification of nations engaged in bycatch 
          of protected living marine resources.
300.204 Identification and certification of nations whose vessels are 
          engaged in shark catch.
300.205 Effect of certification.
300.206 Denial of port privileges and import restrictions on fish or 
          fish products.
300.207 Alternative procedures for nations identified as having vessels 
          engaged in IUU fishing activities that are not certified in 
          this subpart.
300.208 Alternative procedures for nations identified as having vessels 
          engaged in bycatch of PLMRs that are not certified in this 
          subpart.
300.209 Alternative procedures for nations identified as having vessels 
          engaged in shark catch that are not certified in this subpart.

[[Page 147]]

  Subpart O_Western and Central Pacific Fisheries for Highly Migratory 
                                 Species

300.210 Purpose and scope.
300.211 Definitions.
300.212 Vessel permit endorsements.
300.213 Vessel information.
300.214 Compliance with laws of other nations.
300.215 Observers.
300.216 Transshipping, bunkering and net sharing.
300.217 Vessel identification.
300.218 Reporting and recordkeeping requirements.
300.219 Vessel monitoring system.
300.220 Confidentiality of information.
300.221 Facilitation of enforcement and inspection.
300.222 Prohibitions.
300.223 Purse seine fishing restrictions.
300.224 Longline fishing restrictions.
300.225 Eastern High Seas Special Management Area.
300.226 Oceanic whitetip shark and silky shark.
300.227 Framework for catch and fishing effort limits.

                  Subpart P_Vessels on IUU Vessel Lists

300.300 Purpose and scope.
300.301 Definitions.
300.302 Port entry by foreign, listed IUU vessels.
300.303 Port access by foreign, listed IUU vessels.
300.304 Prohibitions.

    Subpart Q_International Trade Documentation and Tracking Programs

300.320 Purpose and scope.
300.321 Definitions.
300.322 International Fisheries Trade Permit.
300.323 Reporting requirements.
300.324 Prohibitions.

                      Subpart R_High Seas Fisheries

300.330 Purpose.
300.331 Definitions.
300.332 Issuing offices.
300.333 Vessel permits.
300.334 Fisheries authorized on the high seas.
300.335 Bottom fishing.
300.336 Vessel identification.
300.337 Requirements for Enhanced Mobile Transceiver Units (EMTUs).
300.338 Observers.
300.339 Transshipment on the high seas.
300.340 Prohibitions.
300.341 Reporting.

    Authority: 16 U.S.C. 951 et seq., 16 U.S.C. 1801 et seq., 16 U.S.C. 
5501 et seq., 16 U.S.C. 2431 et seq., 31 U.S.C. 9701 et seq.

    Source: 61 FR 35550, July 5, 1996, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 300 appear at 64 FR 
44431, Aug. 16, 1999, and at 76 FR 59305, Sept. 26, 2011.



                            Subpart A_General

    Authority: 16 U.S.C. 2431 et seq., 31 U.S.C. 9701 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.

[[Page 148]]

    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.
    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-Stevens Act means the Magnuson-Stevens 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 International Affairs.
    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.
    Regional Administrator means the Administrator of one of the six 
NMFS Regions, described in Table 1 of Sec.  600.502 of this title, or a 
designee.
    Science and Research Director means the Director of one of the six 
NMFS Fisheries Science Centers described in Table 1 of Sec.  600.502 of 
this title, or a designee, also known as the Science Director.
    Secretary means the Secretary of Commerce or a designee.
    USCG means the United States Coast Guard.

[[Page 149]]

    Yellowfin tuna means any fish of the species Thunnus albacares 
(synonomy: Neothunnus macropterus).

[61 FR 35550, July 5, 1996, as amended at 76 FR 59305, Sept. 26, 2011]



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 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 fish imported, exported 
or re-exported in violation of this part.
    (p) Import, export, or re-export any fish regulated under this part 
without a valid International Fisheries Trade Permit as required under 
Sec.  300.322 or applicable shipment documentation as required under 
Sec.  300.323.
    (q) Violate any provision of any statute implemented by this part.
    (r) Attempt to do any of the foregoing.

[61 FR 35550, July 5, 1996, as amended at 81 FR 51133, Aug. 3, 2016]



Sec.  300.5  Facilitation of enforcement.

    (a) Compliance. The operator of, or any other person aboard, any 
fishing

[[Page 150]]

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.
    (1) For the purposes of this section ``freeboard'' means the working 
distance between the top rail of the gunwale of a vessel and the water's 
surface. Where cut-outs are provided in the bulwarks for the purpose of 
boarding personnel, freeboard means the distance between the threshold 
of the bulwark cut-out and the water's surface.
    (2) For the purposes of this section, ``pilot ladder'' means a 
flexible ladder constructed and approved to meet the U.S. Coast Guard 
standards for pilot ladders at 46 CFR subpart 163.003 entitled Pilot 
Ladder.
    (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 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 fishing vessels with a freeboard of 4 feet (1.25 m) 
or less, provide, when requested by an authorized officer or CCAMLR 
inspector, a pilot ladder capable of being used for the purpose of 
enabling the authorized officer or CCAMLR inspector to embark and 
disembark the vessel safely. The pilot ladder must be maintained in good 
condition and kept clean.
    (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 pilot 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

[[Page 151]]

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.''

[61 FR 35550, July 5, 1996, as amended at 73 FR 67809, Nov. 17, 2008]

Subpart B [Reserved]



                Subpart C_Eastern Pacific Tuna Fisheries

    Authority: 16 U.S.C. 951 et seq.



Sec.  300.20  Purpose and scope.

    The regulations in this subpart are issued under the authority of 
the Tuna Conventions Act of 1950, as amended, (Act) and apply to persons 
and vessels subject to the jurisdiction of the United States. The 
regulations implement recommendations and other decisions of the Inter-
American Tropical Tuna Commission (IATTC) for the conservation and 
management of stocks of tunas and tuna-like species and other species of 
fish taken by vessels fishing for tunas and tuna-like species in the 
IATTC Convention Area.

[81 FR 50403, Aug. 1, 2016]



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 (Convention), and the Convention for the Strengthening of the 
Inter-American Tropical Tuna Commission Established by the 1949 
Convention between the United States of America and the Republic of 
Costa Rica (Antigua Convention), the terms used in this subpart have the 
following meanings. If a term is defined differently in Sec.  300.2, in 
the Act, or in the Antigua Convention, the definition in this section 
shall apply.
    Bigeye tuna means the species Thunnus obesus.
    Commercial with respect to commercial fishing, means fishing in 
which the fish harvested, either in whole or in part, are intended to 
enter commerce through sale, barter or trade.
    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.
    Convention Area or IATTC Convention Area means:
    (1) For the purpose of Sec.  300.22(b), all waters of the Pacific 
Ocean within the area bounded by the west coast of the Americas and by 
50 N. latitude from the coast of North America to its intersection with 
150 W. longitude, then 150 W. longitude to its intersection with 50 
S. latitude, and then 50 S. latitude to its intersection with the coast 
of South America; and
    (2) For the purpose of all other sections and paragraphs of this 
subpart, all waters of the Pacific Ocean within the area bounded by the 
west coast of the Americas and by 50 N. latitude from the coast of 
North America to its intersection with 150 W. longitude, then 150 W. 
longitude to its intersection with 4 S. latitude, then 4 S. to its 
intersection with 130 W. longitude, then 130 W. longitude to its 
intersection with 50 S. latitude, and then 50 S. latitude to its 
intersection with the coast of South America.
    Data buoy means, for the purpose of Sec.  300.25, a floating device, 
either drifting or anchored, which is deployed by one or more 
governmental or recognized scientific organizations or entities for the 
purpose of electronically collecting and measuring environmental data, 
and not for the purpose of fishing activities, and which has been 
reported to the IATTC by a Member or Cooperating non-Member of the 
Commission.
    Fish aggregating device (FAD) means a manmade raft or other floating 
object used to attract tuna and make them available to fishing vessels.

[[Page 152]]

    Fishing trip means a period that a fishing vessel spends at sea 
between port visits and during which any fishing occurs.
    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.
    Floating object means any natural object or FAD around which fishing 
vessels may catch tuna.
    Force majeure means, for the purpose of Sec.  300.25, a situation in 
which a vessel is disabled by mechanical and/or structural failure, fire 
or explosion.
    Incidental catch or incidental species means species caught while 
fishing with the primary purpose of catching a different species. An 
incidental catch is expressed as a percentage of the weight of the total 
fish on board.
    Land or Landing means to begin transfer of fish from a fishing 
vessel. Once transfer begins, all fish on board the vessel are counted 
as part of the landing.
    Longline gear means a type of fishing gear consisting of a main line 
that exceeds 1 nautical mile in length, is suspended horizontally in the 
water column anchored, floating, or attached to a vessel, and from which 
branch or dropper lines with hooks are attached.
    Mobulid ray means any animal in the family Mobulidae, which includes 
manta rays (Manta spp.) and devil rays (Mobula spp.).
    Observer means an individual placed aboard a fishing vessel under 
the IATTC observer program or any other international observer program 
in which the United States may participate.
    Overall length means registered length, or the horizontal distance 
between the outboard side of the foremost part of the stem and the 
outboard side of the aftermost part of the stern, excluding rudders, 
outboard motor brackets, and other similar fittings and attachments for 
a single-hull vessel; for a multi-hull vessel, it is the horizontal 
distance between the outboard side of the foremost part of the stem of 
the foremost hull and the outboard side of the aftermost part of the 
stern of the aftermost hull, excluding fittings or attachments (See 46 
CFR 69.203).
    Regional Administrator means the Regional Administrator for the West 
Coast Region, National Marine Fisheries Service, or a designee.
    Regional Vessel Register (hereafter referred to as Vessel Register) 
means the regional register of vessels authorized to fish for tuna and 
tuna-like species in the Convention Area, as established by the Inter-
American Tropical Tuna Commission in June 2000.
    South Pacific Tuna Treaty means the Treaty on Fisheries Between the 
Governments of Certain Pacific Island States and the Government of the 
United States of America (50 CFR part 300, subpart D).
    Sustainable Fisheries Division (SFD) means the Assistant Regional 
Administrator for the Sustainable Fisheries Division, West Coast Region, 
National Marine Fisheries Service, or a designee.
    Tender vessel means a vessel that does not engage in purse seine 
fishing but tends to FADs in support of tuna fishing operations.
    Transship means to unload fish from a vessel that caught fish to 
another vessel.
    Transshipment receiving vessel means any vessel, boat, ship, or 
other craft that is used to receive fish from a fishing vessel.
    Trip limit means the total allowable amount of a species by weight 
of fish that may be retained on board, transshipped, or landed from a 
single fishing trip by a vessel that harvests tuna or tuna-like species.
    Tuna means any fish of the genus Thunnus and the species Euthynnus 
(Katsuwonus) pelamis.
    Vessel monitoring system (VMS) means an automated, remote system 
that provides information about a vessel's identity, location and 
activity, for the purposes of routine monitoring, control, surveillance 
and enforcement of area and time restrictions and other fishery 
management measures.
    VMS unit, sometimes known as a ``mobile transmitting unit,'' means a 
transceiver or communications device, including all hardware and 
software

[[Page 153]]

that is carried and operated on a vessel as part of a VMS.

[61 FR 35550, July 5, 1996, as amended at 64 FR 29133, May 28, 1999; 64 
FR 44430, Aug. 16, 1999; 69 FR 67277, Nov. 17, 2004; 70 FR 19010, Apr. 
12, 2005; 74 FR 1618, Jan. 13, 2009; 74 FR 61050, Nov. 23, 2009; 76 FR 
287, Jan. 4, 2011; 76 FR 68337, Nov. 4, 2011; 79 FR 19489, Apr. 9, 2014; 
80 FR 38989, July 8, 2015; 80 FR 60538, Oct. 7, 2015; 81 FR 24504, Apr. 
26, 2016; 81 FR 50403, Aug. 1, 2016]



Sec.  300.22  Eastern Pacific fisheries recordkeeping and written reports.

    (a) Logbooks. (1) The master or other person in charge of a 
commercial fishing vessel or commercial passenger fishing vessel (CPFV) 
authorized to fish for tuna and tuna-like species in the Convention 
Area, or a person authorized in writing to serve as the agent for either 
person, must keep an accurate log of operations conducted from the 
fishing vessel. For vessels greater than 400 st (362.8 mt) carrying 
capacity that are authorized to purse seine for tuna in the Convention 
Area, the log must include 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 and submitted at the request of the IATTC shall be sufficient 
to comply with this paragraph, provided the items of information 
specified by the IATTC are accurately entered in the log. For purse 
seine vessels of 400 st (362.8 mt) carrying capacity or less and for 
non-purse seine vessels, maintaining and submitting any logbook required 
by existing state or federal regulation shall be sufficient to comply 
with this paragraph.
    (2) Whale shark encirclement reporting. The owner and operator of a 
purse seine fishing vessel of the United States that encircles a whale 
shark (Rhincodon typus) while commercially fishing in the Convention 
Area must ensure that the incident is recorded on the log that is 
required by this paragraph (a). The log must include the following 
information: The number of individual whale sharks with which the vessel 
interacted, details of how and why the encirclement happened, where it 
occurred, steps taken to ensure safe release, and an assessment of the 
life status of the whale shark upon release (including whether the 
animal was released alive, but subsequently died), as may be further 
specified by NMFS.
    (b) Vessel Register. The Vessel Register shall include, consistent 
with resolutions of the IATTC, all commercial fishing vessels and CPFVs 
authorized to fish for tuna and tuna-like species in the Convention 
Area. Except as provided under paragraph (b)(1) of this section, tuna 
purse seine vessels must be listed on the Vessel Register and 
categorized as active under paragraph (b)(4)(i) of this section in order 
to fish for tuna and tuna-like species in the Convention Area.
    (1) Exception. Once per year, a vessel that is permitted and 
authorized under an alternative international tuna purse seine fisheries 
management regime in the Pacific Ocean may exercise an option to fish 
with purse seine gear to target tuna in the Convention Area without 
being listed on the Vessel Register and without being categorized as 
active under paragraph (b)(4)(i) of this section, for a fishing trip 
that does not exceed 90 days in duration. No more than 32 of such trips 
are allowed each calendar year. After the commencement of the 32nd such 
trip, the Regional Administrator shall announce, in the Federal Register 
and by other appropriate means, that no more such trips are allowed for 
the remainder of the calendar year. Under Sec.  216.24(b)(6)(iii)(C) of 
this title, vessel assessment fees must be paid for vessels exercising 
this option.
    (2) Requirements for inclusion of purse seine vessels on the vessel 
register. The tuna purse seine portion of the Vessel Register shall 
include, consistent with resolutions of the IATTC, only vessels that 
fished in the Convention Area prior to June 28, 2002. Inclusion on the 
tuna purse seine portion of the Vessel Register is valid through 
December 31 of each year. New tuna purse seine vessels may be added to 
the Vessel Register at any time to replace those previously removed by 
the Regional Administrator, provided that the total capacity of the 
replacement vessel or vessels does not exceed that of the tuna purse 
seine vessel or vessels being replaced.

[[Page 154]]

    (3) Vessel information. (i) Information on each commercial fishing 
vessel or CPFV authorized to use purse seine, longline, drift gillnet, 
harpoon, troll, rod and reel, or pole and line fishing gear to fish for 
tuna and tuna-like species in the Convention Area for sale shall be 
collected by the Regional Administrator to conform to IATTC resolutions 
governing the Vessel Register. This information initially includes, but 
is not limited to, the vessel name and registration number; the name and 
business address of the owner(s) and managing owner(s); a photograph of 
the vessel with the registration number legible; previous vessel name(s) 
and previous flag (if known and if any); port of registry; International 
Radio Call Sign; vessel length, beam, and moulded depth; gross tonnage, 
fish hold capacity in cubic meters, and carrying capacity in metric tons 
and cubic meters; engine horsepower; date and place where built; and 
type of fishing method or methods used. The required information shall 
be collected as part of existing information collections as described in 
this and other parts of the CFR.
    (ii) IMO numbers. For the purpose of this section, an ``IMO number'' 
is the unique six or seven digit number issued for a vessel under the 
ship identification number scheme adopted by the International Maritime 
Organization (IMO) and managed by the entity identified by the IMO 
(currently IHS Maritime) and is also known as a Lloyd's Register number.
    (iii) Requirement for IMO number. The owner of a fishing vessel of 
the United States used for commercial fishing for tuna and tuna-like 
species in the IATTC Convention Area shall ensure that an IMO number has 
been issued for the vessel if the vessel's Certificate of Documentation 
issued under 46 CFR part 67 indicates that the vessel's total internal 
volume is 100 gross register tons or greater. A vessel owner may request 
that an IMO number be issued for a vessel by following the instructions 
given by the administrator of the IMO ship identification number scheme; 
those instructions are currently available on the Web site of IHS 
Maritime.
    (iv) Request for exemption. In the event that a fishing vessel 
owner, after following the instructions given by the designated manager 
of the IMO ship identification number scheme, is unable to ensure that 
an IMO number is issued for the fishing vessel, the fishing vessel owner 
may request an exemption from the requirement from the West Coast 
Regional Administrator. The request must be sent by mail to NMFS West 
Coast Region, 501 W. Ocean Blvd., Suite 4200, Long Beach, CA 90802, and 
must include the vessel's name, the vessel's official number, a 
description of the steps taken to request an IMO number, and a 
description of any responses from the administrator of the IMO ship 
identification number scheme.
    (v) Exemption process. Upon receipt of a request for an exemption 
under paragraph (b)(3)(iv) of this section, the West Coast Regional 
Administrator will, to the extent he or she determines appropriate, 
assist the fishing vessel owner in requesting an IMO number. If the West 
Coast Regional Administrator determines that the fishing vessel owner 
has followed all appropriate procedures and yet is unable to obtain an 
IMO number for the fishing vessel, he or she will issue an exemption 
from the requirements of paragraph (b)(3)(iii) of this section for the 
vessel and its owner and notify the owner of the exemption. The West 
Coast Regional Administrator may limit the duration of the exemption. 
The West Coast Regional Administrator may rescind an exemption at any 
time. If an exemption is rescinded, the fishing vessel owner must comply 
with the requirements of paragraph (b)(3)(iii) of this section within 30 
days of being notified of the rescission. If the ownership of a fishing 
vessel changes, an exemption issued to the former fishing vessel owner 
becomes void.
    (4) Purse seine vessel register status. For a purse seine vessel to 
be listed on the Vessel Register and to be categorized as either 
``active'' or ``inactive'' in the following calendar year, the vessel 
owner or managing owner must submit to the Regional Administrator the 
required permit applications, written notifications, and fees as 
described under Sec.  216.24(b) of this title and under paragraphs 
(b)(4)(i) and (b)(4)(iii) of this section.

[[Page 155]]

    (i) Active status. As early as August 1 of each year, vessel owners 
or managing owners may request that a purse seine vessel qualified to be 
listed on the Vessel Register under paragraph (b)(2) of this section be 
categorized as active for the following calendar year. To request a 
purse seine vessel in excess of 400 st (362.8 mt) carrying capacity be 
listed on the Vessel Register and be categorized as active, the vessel 
owner or managing owner must submit to the Regional Administrator the 
vessel permit application and payment of the permit application fee and 
vessel assessment fee. To request a purse seine vessel of 400 st (362.8 
mt) carrying capacity or less be listed on the Vessel Register and be 
categorized as active, the vessel owner or managing owner must submit to 
the Regional Administrator written notification including, but not 
limited to, a vessel photograph, the vessel information as described 
under paragraph (b)(3) of this section, and the owner or managing 
owner's signature and business telephone and fax numbers. If a purse 
seine vessel of 400 st (362.8 mt) carrying capacity or less is required 
by the Agreement on the IDCP to carry an observer, the vessel owner or 
managing owner must also submit payment of the vessel assessment fee to 
the Regional Administrator. Vessel permit applications and written 
notifications must be submitted by fax to (562) 980-4047. The Regional 
Administrator must receive the vessel permit application or written 
notification and payment of the permit application fee and vessel 
assessment fee no later than September 15 for vessels for which a DML 
was requested for the following year and no later than November 30 for 
vessels for which a DML was not requested for the following year. 
Submission of the vessel permit application or written notification and 
payment of the vessel assessment fee and permit application fee will be 
interpreted by the Regional Administrator as a request for a vessel to 
be categorized as active. The following restrictions apply to active 
status:
    (A) The cumulative carrying capacity of all purse seine vessels 
categorized as active on the Vessel Register may not exceed 31,775 cubic 
meters in a given year;
    (B) A purse seine vessel may not be added to active status on the 
Vessel Register unless the captain of the vessel has obtained a valid 
operator permit under Sec.  216.24(b)(2) of this title;
    (C) Requests for active status will be prioritized according to the 
following hierarchy:
    (1) Requests received for vessels that were categorized as active in 
the previous year, unless the request for active status was determined 
to be frivolous by the Regional Administrator under paragraph (b)(4)(ii) 
of this section;
    (2) Requests received for vessels that were categorized as inactive 
under paragraph (b)(4)(iii) of this section in the previous year;
    (3) Requests for vessels not described in paragraphs (b)(4)(i)(C)(1) 
or (2) of this section will be prioritized on a first-come, first-served 
basis according to the date and time stamp printed by the incoming fax 
machine upon receipt, provided that the associated vessel assessment fee 
is paid by the applicable deadline described in Sec.  216.24(b)(6)(iii) 
of this title; and
    (4) Requests received from owners or managing owners of vessels that 
were determined by the Regional Administrator to have made a frivolous 
request for active status under paragraph (b)(4)(ii) of this section.
    (ii) Frivolous requests for active status. (A) Except as described 
under paragraph (b)(4)(ii)(B) of this section, requests for active 
status under paragraph (b)(4)(i) of this section will be considered 
frivolous if, for a vessel categorized as active in a given calendar 
year:
    (1) Less than 20 percent of the vessel's total landings, by weight, 
in that same year is comprised of tuna harvested by purse seine in the 
Convention Area; or
    (2) The vessel did not fish for tuna at all in the Convention Area 
in that same year.
    (B) Exceptions. Requests described under paragraph (b)(4)(ii)(A) of 
this section will not be considered frivolous requests if:
    (1) The vessel's catch pattern fell within the criteria described in 
pargraph (b)(4)(ii)(A) as a result of force majeure or other 
extraordinary

[[Page 156]]

circumstances as determined by the Regional Administrator; or
    (2) The vessel's carrying capacity is 400 st (362.8 mt) or less and 
landings of tuna caught by the vessel in the Convention Area comprise 50 
percent or less of the vessel's total landings, by weight, for a given 
calendar year.
    (iii) Inactive status. From August 1 through November 30 of each 
year, vessel owners or managing owners may request that purse seine 
vessels qualified to be listed on the Vessel Register under paragraph 
(b)(2) of this section be categorized as inactive for the following 
calendar year. To request a purse seine vessel in excess of 400 st 
(362.8 mt) carrying capacity be listed on the Vessel Register and 
categorized as inactive for the following calendar year, the vessel 
owner or managing owner must submit to the Regional Administrator 
payment of the associated vessel assessment fee. Payment of the vessel 
assessment fee consistent with inactive status will be interpreted by 
the Regional Administrator as a request for the vessel to be categorized 
as inactive. To request a purse seine vessel of 400 st (362.8 mt) 
carrying capacity or less be listed on the Vessel Register and 
categorized as inactive for the following calendar year, the vessel 
owner or managing owner must submit by mail to the Regional 
Administrator a written notification including, but not limited to, the 
vessel name and registration number and the vessel owner or managing 
owner's name, signature, business address, and business telephone and 
fax numbers. Payment of the vessel assessment fee is not required for 
vessels of 400 st (362.8 mt) carrying capacity or less to be categorized 
as inactive. At any time during the year, a vessel owner or managing 
owner may request that a purse seine vessel qualified to be listed on 
the Vessel Register under paragraph (b)(2) of this section be 
categorized as inactive for the remainder of the calendar year. To 
request a purse seine vessel in excess of 400 st (362.8 mt) carrying 
capacity be listed on the Vessel Register and categorized as inactive 
for the remainder of the calendar year, the vessel owner or managing 
owner must submit to the Regional Administrator payment of the 
associated vessel assessment fee. To request a purse seine vessel of 400 
st (362.8 mt) carrying capacity or less be listed on the Vessel Register 
and categorized as inactive for the remainder of the calendar year, the 
vessel owner or managing owner must submit to the Regional Administrator 
written notification as described in this paragraph (payment of the 
vessel assessment fee is not required).
    (5) Removal from the vessel register. A vessel may be removed from 
the Vessel Register by the Regional Administrator:
    (i) If the vessel has sunk;
    (ii) Upon written request by the vessel's owner or managing owner;
    (iii) Following a final agency action on a permit sanction for a 
violation;
    (iv) For failure to pay a penalty or for default on a penalty 
payment agreement resulting from a final agency action for a violation;
    (v) If the U.S. Maritime Administration or the U.S. Coast Guard 
notifies NMFS that:
    (A) The owner has submitted an application for transfer of the 
vessel to foreign registry and flag; or
    (B) The documentation for the vessel will be or has been deleted for 
any reason.
    (vi) If the vessel does not have a valid state registration or U.S. 
Coast Guard certificate of documentation;
    (vii) For tuna purse seine vessels, upon receipt of written 
notification from the owner or managing owner of the intent to transfer 
the vessel to foreign registry and flag, as described in paragraph 
(b)(8) of this section; or
    (viii) For tuna purse seine vessels, if the request for active 
status on the Vessel Register has been determined to be a frivolous 
request.
    (6) Process for Removal from the Vessel Register. When a vessel is 
removed from the Vessel Register under paragraph (b)(5) of this section, 
the Regional Administrator shall promptly notify the vessel owner in 
writing of the removal and the reasons therefor. For a removal from the 
Vessel Register under Sec.  300.22(b)(5)(iii), the Regional 
Administrator will not accept a request to reinstate the vessel to the 
Vessel Register for the term of the permit sanction. For a removal from 
the Vessel Register

[[Page 157]]

under Sec.  300.22(b)(5)(iv), the Regional Administrator will not accept 
a request to reinstate the vessel to the Vessel Register until such time 
as payment is made on the penalty or penalty agreement, or such other 
duration as NOAA and the vessel owner may agree upon.
    (7) Procedures for replacing purse seine vessels removed from the 
Vessel Register. (i) A purse seine vessel in excess of 400 st (362.8 mt) 
carrying capacity that was previously listed on the Vessel Register, but 
not included for a given year or years, may be added back to the Vessel 
Register and categorized as inactive at any time during the year, 
provided the owner or managing owner of the vessel pays the vessel 
assessment fee associated with inactive status. A purse seine vessel of 
400 st (362.8 mt) carrying capacity or less that was previously listed 
on the Vessel Register, but not included for a given year or years, may 
be added back to the Vessel Register and categorized as inactive at any 
time during the year, provided the owner or managing owner of the vessel 
submits written notification as described in paragraph (b)(4)(iii) of 
this section.
    (ii) A purse seine vessel may be added to the Vessel Register and 
categorized as active in order to replace a vessel removed from active 
status under paragraph (b)(5) of this section, provided the total 
carrying capacity of the active vessels does not exceed 31,775 cubic 
meters and the owner submits a complete request under paragraph 
(b)(7)(iv) or (b)(7)(v) of this section.
    (iii) After a purse seine vessel categorized as active is removed 
from the Vessel Register, the Regional Administrator will notify owners 
or managing owners of vessels categorized as inactive that replacement 
capacity is available on the active list of the Vessel Register. In the 
event that owners of inactive vessels do not request to replace a 
removed vessel, the Regional Administrator will notify owners of vessels 
eligible for, but not included on, the Vessel Register that replacement 
capacity is available on the active list of the Vessel Register.
    (iv) Vessel owners or managing owners may request a purse seine 
vessel of 400 st (362.8 mt) carrying capacity or less be categorized as 
active to replace a vessel or vessels removed from the Vessel Register 
by submitting to the Regional Administrator written notification as 
described in paragraph (b)(4)(i) of this section and, only if the vessel 
is required by the Agreement on the IDCP to carry an observer, payment 
of the vessel assessment fee within 10 business days after submission of 
the faxed written notification. The replacement vessel will be eligible 
to be categorized as active on the Vessel Register if it has a carrying 
capacity equal to or less than the vessel or vessels being replaced. 
Payments received will be subject to a 10 percent surcharge for vessels 
that were listed as active on the Vessel Register in the previous 
calendar year, but not listed as inactive at the beginning of the 
calendar year for which active status was requested.
    (v) Vessel owners or managing owners may request a purse seine 
vessel in excess of 400 st (362.8 mt) carrying capacity be categorized 
as active to replace a vessel or vessels removed from the Vessel 
Register by submitting to the Regional Administrator the vessel permit 
application as described under Sec.  216.24(b) of this title and payment 
of the vessel assessment fee and permit application fee within 10 
business days after submission of the faxed vessel permit application 
for the replacement vessel. The replacement vessel will be eligible to 
be categorized as active on the Vessel Register if it has a carrying 
capacity equal to or less than the vessel or vessels being replaced, and 
the captain of the replacement vessel possesses an operator permit under 
Sec.  216.24(b) of this title. Payments received will be subject to a 10 
percent surcharge for vessels that were listed as active on the Vessel 
Register in the previous calendar year, but not listed as inactive at 
the beginning of the calendar year for which active status was 
requested.
    (vi) The Regional Administrator will forward requests to replace 
vessels removed from the Vessel Register within 15 days of receiving 
each request.
    (8) The owner or managing owner of a purse seine vessel listed on 
the Vessel Register must provide written notification to the Regional 
Administrator prior to submitting an application for

[[Page 158]]

transfer of the vessel to foreign registry and flag. Written 
notification must be submitted by mail and received by the Regional 
Administrator at least 10 business days prior to submission of the 
application for transfer. The written notification must include the 
vessel name and registration number; the expected date that the 
application for transfer will be submitted; and the vessel owner or 
managing owner's name and signature. Vessels that require approval by 
the U.S. Maritime Administration prior to transfer of the vessel to 
foreign registry and flag will not be subject to the notification 
requirement described in this paragraph.

[61 FR 35550, July 5, 1996, as amended at 66 FR 49320, Sept. 27, 2001; 
70 FR 19010, Apr. 12, 2005; 74 FR 1618, Jan. 13, 2009; 76 FR 287, Jan. 
4, 2011; 76 FR 68337, Nov. 4, 2011; 79 FR 56018, Sept. 18, 2014; 81 FR 
1879, Jan. 14, 2016; 81 FR 36184, June 6, 2016]



Sec.  300.23  Eastern Pacific fisheries - 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.

[61 FR 35550, July 5, 1996, as amended at 74 FR 1620, Jan. 13, 2009]



Sec.  300.24  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) Land any species of tuna during the closed season for that 
species in excess of the amount allowed by the Regional Administrator.
    (b) Fish on floating objects in the Convention Area using any gear 
type specified by the Regional Administrator's notification of closure 
issued under Sec.  300.25.
    (c) Use tender vessels in the Convention Area.
    (d) Transship purse seine-caught tuna at sea within the Convention 
Area.
    (e) Fail to retain any bigeye, skipjack, or yellowfin tuna caught by 
a fishing vessel of the United States of class size 4-6 using purse 
seine gear in the Convention Area as required under Sec.  300.27(a).
    (f) When using purse seine gear to fish for tuna in the Convention 
Area, fail to release any non-tuna species as soon as practicable after 
being identified on board the vessel during the brailing operation as 
required in Sec.  300.27(b).
    (g) Land any non-tuna fish species taken in a purse seine set in the 
Convention Area.
    (h) Fail to use the sea turtle handling, release, and resuscitation 
procedures in Sec.  300.27(c).
    (i) Fail to report information when requested by the Regional 
Administrator under Sec.  300.22.
    (j) Fail to provide written notification as described under Sec.  
300.22(b)(8) to the Regional Administrator at least 10 business days 
prior to submission of an application to transfer a purse seine vessel 
listed on the Vessel Register to foreign registry and flag, unless 
transfer of the vessel requires approval by the U.S. Maritime 
Administration.
    (k) Use a fishing vessel over 24 meters in length to retain on 
board, transship, or land bigeye tuna captured by longline gear in the 
Convention Area or to fish in contravention of Sec.  300.25(b)(4)(i) or 
(ii).
    (l) Use a fishing vessel over 24 meters in length to fish in the 
Pacific Ocean using longline gear both inside and outside the Convention 
Area on the same fishing trip in contravention of Sec.  
300.25(b)(4)(iii).
    (m) Fail to stow gear as required in Sec.  300.25(b)(4)(iv) or 
(f)(7).
    (n) Use a fishing vessel of class size 4-6 to fish with purse seine 
gear in the Convention Area in contravention of Sec.  300.25(f)(1), 
(f)(2), (f)(5), or (6).
    (o) Use a U.S. longline or purse seine fishing vessel used to fish 
for HMS within one nautical mile of an anchored data buoy while the 
fishing vessel is in the Convention Area in contravention of Sec.  
300.25(g)(1).
    (p) Use a U.S. fishing vessel used for fishing for HMS, or any gear, 
equipment, or watercraft deployed by such a fishing vessel, to interact 
with a data buoy in the Convention Area in contravention of Sec.  
300.25(g)(2).
    (q) Remove from the water a data buoy and place it on board or tow a

[[Page 159]]

data buoy with a U.S. fishing vessel used for fishing for HMS while the 
vessel is in the Convention Area without authorization by the owner of 
the data buoy or the owner's authorized representative in contravention 
of Sec.  300.25(g)(3).
    (r) In the event of an entanglement of a data buoy with a U.S. 
fishing vessel, or its fishing gear, equipment, or associated 
watercraft, used for fishing for HMS in the Convention Area, fail to 
promptly remove the data buoy with as little damage to the data buoy and 
its mooring and anchor lines as possible, in contravention of Sec.  
300.25(g)(4).
    (s) Fail to take all reasonable measures to avoid fishing gear 
entanglement or interaction with drifting data buoys in contravention of 
Sec.  300.25(g)(5).
    (t) Use a U.S. fishing vessel to fish for HMS in the Convention Area 
and retain on board, transship, land, store, sell, or offer for sale any 
part or whole carcass of an oceanic whitetip shark (Carcharhinus 
longimanus) or fail to release unharmed, to the extent practicable, all 
oceanic whitetip sharks when brought alongside the vessel in 
contravention of Sec.  300.27(d).
    (u) Use a United States commercial fishing vessel in the Convention 
Area to target, retain on board, transship or land Pacific bluefin tuna 
in contravention of Sec.  300.25(h)(3) and (5).
    (v) Fail to maintain, submit, or ensure submission of a log that 
includes all the information required in Sec.  300.22(a).
    (w) Set or attempt to set a purse seine on or around a whale shark 
(Rhincodon typus) in contravention of Sec.  300.27(e).
    (x) Fail to release a whale shark encircled in a purse seine net of 
a fishing vessel as required in Sec.  300.27(f).
    (y) Fail to install, activate, or operate a VMS unit as required in 
Sec.  300.26(c).
    (z) In the event of VMS unit failure or interruption; fail to repair 
or replace a VMS unit; fail to notify the Special-Agent-In-Charge, NOAA 
Office of Law Enforcement, Pacific Islands Division (or designee); and 
follow the instructions provided; or otherwise fail to act as provided 
in Sec.  300.26(c)(4).
    (aa) Disable, destroy, damage or operate improperly a VMS unit 
installed under Sec.  300.26, or attempt to do any of the same, or fail 
to ensure that its operation is not impeded or interfered with, as 
provided in Sec.  300.26(e).
    (bb) Fail to make a VMS unit installed under Sec.  300.26 or the 
position data obtained from it available for inspection, as provided in 
Sec.  300.26 (f) and (g).
    (cc) To retain on board, transship, store, land, sell, or offer for 
sale any part or whole carcass of a mobulid ray, as described in Sec.  
300.27(g).
    (dd) Fail to handle or release a mobulid ray as required in Sec.  
300.27(h).

[61 FR 35550, July 5, 1996, as amended at 64 FR 29133, May 28, 1999; 64 
FR 44430, Aug. 16, 1999; 66 FR 49320, Sept. 27, 2001. Redesignated and 
amended at 69 FR 67277, Nov. 17, 2004; 74 FR 1620, Jan. 13, 2009; 74 FR 
61051, Nov. 23, 2009; 76 FR 68337, Nov. 4, 2011; 76 FR 68337, Nov. 4, 
2011; 78 FR 33243, June 4, 2013; 79 FR 28451, May 16, 2014; 79 FR 56018, 
Sept. 18, 2014; 80 FR 38989, July 8, 2015; 80 FR 60538, Oct. 7, 2015; 81 
FR 50403, Aug. 1, 2016]



Sec.  300.25  Eastern Pacific fisheries management.

    (a) IATTC recommendations and decisions. The Secretary of Commerce, 
in consultation with the Secretary of State and, with respect to 
enforcement measures, the U.S. Coast Guard, may promulgate such 
regulations as may be necessary to carry out the U.S. international 
obligations under the Convention, Antigua Convention, and the Act, 
including recommendations and other decisions adopted by the IATTC.
    (b) Tuna catch limits in the longline fishery in the Convention 
Area. (1) Fishing seasons for all tuna species begin on January 1 and 
end either on December 31 or when NMFS closes the fishery for a specific 
species.
    (2) For each of the calendar years 2014, 2015, and 2016, there is a 
limit of 500 metric tons of bigeye tuna that may be captured and landed 
by longline gear in the Convention Area by fishing vessels of the United 
States that are over 24 meters in overall length.
    (3) NMFS will monitor bigeye tuna landings with respect to the limit 
established under paragraph (b)(2) of this section using data submitted 
in logbooks and other available information. After NMFS determines that 
the limit in any year is expected to be

[[Page 160]]

reached by a specific future date, and at least 7 calendar days in 
advance of that date, NMFS will publish a notice in the Federal Register 
announcing that the limit has been reached and that the restrictions 
described in paragraph (b)(4) of this section will be in effect through 
the end of the calendar year.
    (4) Once an announcement is made pursuant to paragraph (b)(3) of 
this section, the following restrictions will apply during the period 
specified in the announcement:
    (i) A fishing vessel of the United States over 24 meters in overall 
length may not be used to retain on board, transship, or land bigeye 
tuna captured by longline gear in the Convention Area, except as 
follows:
    (A) Any bigeye tuna already on board a fishing vessel upon the 
effective date of the prohibitions may be retained on board, 
transshipped, and/or landed, to the extent authorized by applicable laws 
and regulations, provided that they are landed within 14 days after the 
prohibitions become effective.
    (B) In the case of a vessel that has declared to NMFS, pursuant to 
Sec.  665.23(a) of this title, that the current trip type is shallow-
setting, the 14-day limit is waived, but the number of bigeye tuna 
retained on board, transshipped, or landed must not exceed the number on 
board the vessel upon the effective date of the prohibitions, as 
recorded by the NMFS observer on board the vessel.
    (ii) Bigeye tuna caught by longline gear used on a vessel of the 
United States over 24 meters in overall length in the Convention Area 
may not be transshipped to a fishing vessel unless that fishing vessel 
is operated in compliance with a valid permit issued under Sec.  660.707 
or Sec.  665.21 of this title.
    (iii) A fishing vessel of the United States over 24 meters in 
overall length, other than a vessel for which a declaration has been 
made to NMFS, pursuant to Sec.  665.23(a) of this title, that the 
current trip is shallow-setting, may not be used to fish in the Pacific 
Ocean using longline gear both inside and outside the Convention Area 
during the same fishing trip, with the exception of a fishing trip 
during which the prohibitions were put into effect as announced under 
paragraph (b)(3) of this section.
    (iv) If a fishing vessel of the United States over 24 meters in 
overall length--other than a vessel for which a declaration has been 
made to NMFS, pursuant to Sec.  665.23(a) of this title, that the 
current trip type is shallow-setting--is used to fish in the Pacific 
Ocean using longline gear outside the Convention Area and the vessel 
enters the Convention Area at any time during the same fishing trip, the 
longline gear on the fishing vessel must be stowed in a manner so as not 
to be readily available for fishing; specifically, the hooks, branch or 
dropper lines, and floats used to buoy the mainline must be stowed and 
not available for immediate use, and any power-operated mainline hauler 
on deck must be covered in such a manner that it is not readily 
available for use.
    (c) Use of tender vessels. No person subject to these regulations 
may use a tender vessel in the Convention Area.
    (d) Transshipments at sea. No person subject to these regulations 
may transship purse seine-caught tuna from one vessel to another vessel 
at sea within the Convention Area.
    (e) Purse seine closures in the Convention Area. (1) A fishing 
vessel of the United States of class size 4-6 (more than 182 metric tons 
carrying capacity) may not be used to fish with purse seine gear in the 
Convention Area for 62 days in each of the years 2014, 2015, and 2016 
during one of the following two periods:
    (i) From 0000 hours UTC on July 29 to 2400 hours UTC on September 
28, or
    (ii) From 0000 hours UTC on November 18 to 2400 hours UTC on January 
18 of the following year.
    (2) A vessel owner, manager, or association representative of a 
vessel that is subject to the requirements of paragraph (f)(1) of this 
section must in 2014, 2015, and 2016 provide written notification to the 
Regional Administrator declaring to which one of the two closure periods 
identified in paragraph (f)(1) of this section his or her vessel will 
adhere in that year. This written notification must be submitted by fax 
at (562) 980-4047 or email at RegionalAdministrator

[[Page 161]]

[email protected] and must be received no later than July 1 in each of 
the years 2014, 2015, and 2016. The written notification must include 
the vessel name and registration number, the closure dates that will be 
adhered to by that vessel, and the vessel owner or managing owner's 
name, signature, business address, and business telephone number.
    (3) If written notification is not submitted per paragraph (f)(2) of 
this section for a vessel subject to the requirements under paragraph 
(f)(1) of this section, that vessel must adhere to the closure period 
under paragraph (f)(1)(ii) of this section.
    (4) Request for exemption due to force majeure. A request for 
exemption due to force majeure must be made to the Sustainable Fisheries 
Division by fax at (562) 980-4047 or emailed to RegionalAdministrator 
[email protected]. The request must include the name and official number 
of the vessel, vessel owner or manager's name and signature, and 
evidence to support the request, which may include but is not limited to 
photographs, repair bills, certificates of departure from port, and in 
the case of a marine casualty, a completed copy of the U.S. Coast Guard 
Form CG-2692A (See 46 CFR 4.05-10).
    (i) If accepted by the Sustainable Fisheries Division, the request 
for exemption due to force majeure will be forwarded to the IATTC 
Director. If declined by the Sustainable Fisheries Division, within 10 
days of the date that rejection, the applicant may give additional 
information or documentation to the Regional Administrator with a 
request that the initial decision be reconsidered by fax at (562) 980-
4047 or email to RegionalAdministrator [email protected]; the Regional 
Administrator shall respond within 14 business days.
    (ii) If the request for an exemption due to force majeure is 
accepted by the IATTC, the vessel must observe a closure period of 30 
consecutive days in the same year during which the force majeure event 
occurred, in one of the two closure periods described in paragraph 
(f)(1) of this section.
    (5) A vessel of class size 4 (182 to 272 metric tons carrying 
capacity) may make one fishing trip of up to 30 days duration during the 
specified closure period in paragraph (f)(1) of this section, provided 
that the vessel carries an observer of the On-Board Observer Program of 
the Agreement on the International Dolphin Conservation Program during 
the entire fishing trip.
    (6) A fishing vessel of the United States of class size 4-6 (more 
than 182 metric tons carrying capacity) may not be used from 0000 hours 
on September 29 to 2400 hours on October 29 in the years 2014, 2015, and 
2016 to fish with purse seine gear within the area bounded at the east 
and west by 96 and 110 W. longitude and bounded at the north and south 
by 4 N. and 3 S. latitude.
    (7) At all times while a vessel is in a time/area closed period 
established under paragraphs (f)(1) or (f)(6) of this section, unless 
fishing under exceptions established under paragraphs (f)(4) or (f)(5) 
of this section, the fishing gear of the vessel must be stowed in a 
manner as not to be readily available for fishing. In particular, the 
boom must 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 must be tied down; and 
launches must be secured.
    (f) Restrictions on fishing in proximity to data buoys. (1) A 
longline or purse seine fishing vessel of the United States may not be 
used to fish for HMS within one nautical mile of an anchored data buoy 
in the Convention Area. The one-nautical-mile distance shall be measured 
from the data buoy to the nearest portion of the fishing vessel or items 
associated with the fishing vessel, such as gear or watercraft deployed 
by the fishing vessel, to the data buoy. This prohibition shall not 
apply if and when the fishing vessel is operated as part of a scientific 
research program that has received specific authorization by the IATTC 
or is conducting work on behalf of the IATTC.
    (2) A fishing vessel of the United States used to fish for HMS, or 
any fishing gear, equipment, or watercraft deployed by such a fishing 
vessel, may not be used to interact with a data buoy while the fishing 
vessel is in the Convention Area. Interact with a data

[[Page 162]]

buoy means to engage in conduct that could impair the functioning of a 
data buoy through actions that include but that are not limited to the 
following: encircling the buoy with fishing gear; tying up to or 
attaching the vessel, or any fishing gear, part or portion of the 
fishing vessel, including equipment such as watercraft, to a data buoy 
or its mooring; or cutting a data buoy anchor line.
    (3) A vessel operator, crew member, or other persons on board a 
fishing vessel of the United States that is used to fish for HMS may not 
remove a data buoy or any parts thereof from the water and place it on 
board the fishing vessel or tow a data buoy when in the Convention Area 
unless authorized to do so by the owner of the data buoy or an 
authorized representative or agent of the owner. When practicable, 
advance written authorization must be available onboard a U.S. fishing 
vessel that has taken on board or tows a data buoy. In all other cases, 
a written document (e.g., fax, email) verifying the authorization must 
be obtained by the vessel owner or operator within 15 days of landing.
    (4) In the event that a fishing vessel of the United States that is 
used to fish for HMS or any of its fishing gear, equipment, or 
associated watercraft, becomes entangled with a data buoy while the 
fishing vessel is in the Convention Area, the owner and operator of the 
fishing vessel must promptly remove the entangled fishing vessel, 
fishing gear, equipment, or associated watercraft with as little damage 
to the data buoy and its mooring and anchor lines as possible.
    (5) A vessel operator, crew member, or other persons on board a 
fishing vessel of the United States that is used to fish for HMS must 
take all reasonable measures to avoid fishing gear entanglement or 
interaction with drifting data buoys.
    (g) Pacific bluefin tuna commercial catch limits in the eastern 
Pacific Ocean for 2015-2016. The following is applicable to the U.S. 
commercial fishery for Pacific bluefin tuna in the Convention Area in 
the years 2015 and 2016.
    (1) For the calendar year 2015, all commercial fishing vessels of 
the United States combined may capture, retain, transship, or land no 
more than 425 metric tons in the Convention Area.
    (2) In 2016, NMFS will publish a notice in the Federal Register 
announcing the 2016 catch limit. For the calendar year 2016, all 
commercial fishing vessels of the United States combined may capture, 
retain on board, transship, or land no more than the 2016 catch limit. 
The 2016 catch limit is calculated by adding any amount of the 425 
metric ton catch limit that was not caught in 2015, as determined by 
NMFS, to 175 metric tons, except as follows:
    (i) If 175 metric tons or less are caught in 2015, as determined by 
NMFS, then the 2016 catch limit is 425 metric tons;
    (ii) If in 2015, greater than 300 metric tons and up to 400 metric 
tons are caught, as determined by NMFS, then the 2016 catch limit is 200 
metric tons; or
    (iii) If greater than 425 metric tons are caught in 2015, as 
determined by NMFS, then the 2016 catch limit is calculated by 
subtracting the amount caught in 2015 from 600 metric tons.
    (3) In 2015 and 2016, a 25 metric ton trip limit will be in effect 
until NMFS anticipates that catch will be within 50 metric tons of the 
catch limits, after which a 2 metric ton trip limit will be in effect 
upon publication of a notice in the Federal Register by NMFS.
    (4) After NMFS determines that the catch limits under paragraphs 
(h)(1) and (2) of this section are expected to be reached by a future 
date, NMFS will publish a fishing closure notice in the Federal Register 
announcing the effective date that additional targeting, retaining on 
board, transshipping or landing Pacific bluefin tuna in the Convention 
Area shall be prohibited as described in paragraph (h)(5) of this 
section.
    (5) Beginning on the date announced in the fishing closure notice 
published under paragraph (h)(4) of this section through the end of the 
calendar year, a commercial fishing vessel of the United States may not 
be used to target, retain on board, transship, or land Pacific bluefin 
tuna captured in the Convention Area, with the exception that any 
Pacific bluefin tuna already on board a fishing vessel on the effective

[[Page 163]]

date of the notice may be retained on board, transshipped, and/or 
landed, to the extent authorized by applicable laws and regulations, 
provided such Pacific bluefin tuna is landed within 14 days after the 
effective date published in the fishing closure notice.

[64 FR 44431, Aug. 16, 1999, as amended at 66 FR 49320, Sept. 27, 2001. 
Redesignated at 69 FR 67277, Nov. 17, 2004; 74 FR 1620, Jan. 13, 2009; 
74 FR 61051, Nov. 23, 2009; 76 FR 68338, Nov. 4, 2011; 76 FR 68338, Nov. 
4, 2011; 78 FR 33243, June 4, 2013; 79 FR 19489, Apr. 9, 2014; 79 FR 
28451, May 16, 2014; 79 FR 56019, Sept. 18, 2014; 80 FR 38989, July 8, 
2015; 81 FR 50403, Aug. 1, 2016]



Sec.  300.26  Vessel monitoring system (VMS).

    (a) Assistant Director (AD), NOAA Office of Law Enforcement, Pacific 
Islands Division (or designee) and VMS Helpdesk contact information and 
business hours. (1) The contact information for the AD for the purpose 
of this section: 1845 Wasp Blvd., Building 176, Honolulu, HI 96818; 
telephone: (808) 725-6100; facsimile: 808-725-6199; email: 
[email protected]; business hours: Monday through Friday, except Federal 
holidays, 8 a.m. to 4:30 p.m., Hawaii Standard Time.
    (2) The contact information for the NOAA Office of Law Enforcement's 
VMS Helpdesk is telephone: (888) 219-9228, ext. 2; email: 
[email protected]. The business hours of the VMS Helpdesk are Monday 
through Friday, except Federal holidays, 7 a.m. to 11 p.m., Eastern 
Time.
    (b) Applicability. This section applies to any U.S. commercial 
fishing vessel that is 24 meters or more in overall length and engaging 
in fishing activities for tuna or tuna-like species in the Convention 
Area, and for which either of the following permits is required: Pacific 
highly migratory species permit under Sec.  660.707, or high seas 
fishing permit under Sec.  300.13 of this part.
    (c) Provisions for Installation, Activation and Operation--(1) VMS 
Unit Installation. The vessel owner or operator must obtain and have 
installed on the fishing vessel, in accordance with instructions 
provided by the AD and the VMS unit manufacturer, a VMS unit that is 
type-approved by NOAA for fisheries in the IATTC Convention Area. The 
vessel owner or operator shall arrange for a NOAA-approved mobile 
communications service provider to receive and relay transmissions from 
the VMS unit to NOAA at a default reporting interval of at least once 
per hour. NOAA, the USCG, and other authorized entities are authorized 
to receive and relay transmissions from the VMS unit. The NOAA OLE VMS 
Helpdesk is available to provide instructions for VMS installation and a 
list of the current type-approved VMS units and mobile communication 
service providers.
    (2) VMS Unit Activation. If the VMS unit has not yet been activated 
as described in this paragraph, or if the VMS unit has been newly 
installed or reinstalled, or if the mobile communications service 
provider has changed since the previous activation, or if directed by 
the AD, the vessel owner or operator must, prior to leaving port:
    (i) Turn on the VMS unit to make it operational;
    (ii) Submit a written activation report to the AD, via mail, 
facsimile or email, that includes the vessel's name; the vessel's 
official number; the VMS unit manufacturer and identification number; 
and telephone, facsimile or email contact information for the vessel 
owner or operator; and
    (iii) Receive verbal or written confirmation from the AD that the 
proper VMS unit transmissions are being received from the VMS unit.
    (3) VMS Unit Operation. The vessel owner and operator shall 
continuously operate the VMS unit at all times, except that the VMS unit 
may be shut down while the vessel is in port or otherwise not at sea, or 
if, after the end of the fishing season, the vessel will no longer be 
engaging in fishing activities in the Convention Area for which either a 
Pacific highly migratory species permit or a high seas fishing permit is 
required, provided that the owner or operator:
    (i) Prior to shutting down the VMS unit, reports to the AD or the 
NOAA Office of Law Enforcement's VMS Helpdesk via facsimile, email, or 
web-form the following information: The intent to shut down the VMS 
unit; the vessel's name; the vessel's official number; an estimate for 
when the vessel's VMS may be turned back on; and

[[Page 164]]

telephone, facsimile or email contact information for the vessel owner 
or operator. In addition, the vessel owner or operator shall receive 
verbal or written confirmation from the AD before shutting down the VMS 
unit after the end of the fishing season; and
    (ii) When turning the VMS unit back on, report to the AD or the NOAA 
Office of Law Enforcement's VMS Helpdesk, via mail, facsimile or email, 
the following information: That the VMS unit has been turned on; the 
vessel's name; the vessel's official number; and telephone, facsimile or 
email contact information for the vessel owner or operator; and
    (iii) Prior to leaving port, receive verbal or written confirmation 
from the AD that proper transmissions are being received from the VMS 
unit.
    (4) Failure of VMS unit. If the VMS unit has become inoperable or 
transmission of automatic position reports from the VMS unit has been 
interrupted, or if notified by NOAA or the USCG that automatic position 
reports are not being received from the VMS unit or that an inspection 
of the VMS unit has revealed a problem with the performance of the VMS 
unit, the vessel owner or operator shall comply with the following 
requirements:
    (i) If the vessel is at port: The vessel owner or operator shall 
repair or replace the VMS unit and ensure it is operable before the 
vessel leaves port.
    (ii) If the vessel is at sea: The vessel owner, operator, or 
designee shall contact the AD by telephone, facsimile, or email at the 
earliest opportunity during the AD's business hours and identify the 
caller and vessel. The vessel operator shall follow the instructions 
provided by the AD which could include, but are not limited to, ceasing 
fishing, stowing fishing gear, returning to port, and/or submitting 
periodic position reports at specified intervals by other means; and 
repair or replace the VMS unit and ensure it is operable before starting 
the next trip.
    (5) Related VMS Requirements. Installing, carrying and operating a 
VMS unit in compliance with the requirements in part 300 of this title, 
part 660 of this title, or part 665 of this title relating to the 
installation, carrying, and operation of VMS units shall be deemed to 
satisfy the requirements of this paragraph (c), provided that the VMS 
unit is operated continuously and at all times while the vessel is at 
sea, unless the AD authorizes a VMS unit to be shut down as described in 
paragraph (c)(3) of this section, the VMS unit and mobile communications 
service providers are type-approved by NOAA for fisheries in IATTC 
Convention Area, and the specific requirements of paragraph (c)(4) of 
this section are followed. If the VMS unit is owned by NOAA, the 
requirement under paragraph (c)(4) of this section to repair or replace 
the VMS unit will be the responsibility of NOAA, but the vessel owner 
and operator shall be responsible for ensuring that the VMS unit is 
operable before leaving port or starting the next trip.
    (d) Costs. The vessel owner and operator shall be responsible for 
all costs associated with the purchase, installation and maintenance of 
the VMS unit and for all charges levied by the mobile communications 
service provider as necessary to ensure the transmission of automatic 
position reports to NOAA as required in paragraph (c) of this section. 
However, if NOAA is paying for the VMS-associated costs because the VMS 
unit is carried and operated under a requirement of part 300 of this 
title, part 660 of this title, or part 665 of this title, the vessel 
owner and operator shall not be responsible for costs that those 
regulations specify are the responsibility of NOAA. In addition, NOAA is 
responsible for the cost of any temporary increase in the default 
reporting interval to support active enforcement investigations of 
specific vessels.
    (e) Tampering. The vessel owner and operator must ensure that the 
VMS unit is not tampered with, disabled, destroyed, damaged or 
maintained improperly, and that its operation is not impeded or 
interfered with.
    (f) Inspection. The vessel owner and operator must make the VMS 
unit, including its antenna, connectors and antenna cable, available for 
inspection by authorized officers.
    (g) Access to data. The vessel owner and operator must make the 
vessel's position data obtained from the VMS unit or other means 
immediately and always available for inspection by

[[Page 165]]

NOAA personnel, USCG personnel, and authorized officers.

[80 FR 60538, Oct. 7, 2015]



Sec.  300.27  Incidental catch and tuna retention requirements.

    (a) Tuna retention requirements for purse seine vessels. Bigeye, 
skipjack, and yellowfin tuna caught in the Convention Area by a fishing 
vessel of the United States of class size 4-6 (more than 182 metric tons 
carrying capacity) using purse seine gear must be retained on board and 
landed, except for fish deemed unfit for human consumption for reasons 
other than size. This requirement shall not apply to the last set of a 
trip if the available well capacity is insufficient to accommodate the 
entire catch.
    (b) Release requirements for non-tuna species on purse seine 
vessels. All purse seine vessels must release all shark, billfish, ray 
(not including mobulid rays, which are subject to paragraph (g) of this 
section), dorado (Coryphaena hippurus), and other non-tuna fish species, 
except those being retained for consumption aboard the vessel, as soon 
as practicable after being identified on board the vessel during the 
brailing operation.
    (c) Sea turtle handling and release. All purse seine vessels must 
apply special sea turtle handling and release requirements, as follows:
    (1) Whenever a sea turtle is sighted in the net, a speedboat shall 
be stationed close to the point where the net is lifted out of the water 
to assist in release of the sea turtle;
    (2) If a sea turtle is entangled in the net, net roll shall stop as 
soon as the sea turtle comes out of the water and shall not resume until 
the sea turtle has been disentangled and released;
    (3) If, in spite of the measures taken under paragraphs (c)(1) and 
(c)(2) of this section, a sea turtle is accidentally brought on board 
the vessel alive and active, the vessel's engine shall be disengaged and 
the sea turtle shall be released as quickly as practicable;
    (4) If a sea turtle brought on board under paragraph (c)(3) of this 
section is alive but comatose or inactive, the resuscitation procedures 
described in Sec.  223.206(d)(1)(i)(B) of this title shall be used 
before release of the turtle.
    (d) Oceanic whitetip shark restrictions. The crew, operator, or 
owner of a fishing vessel of the United States used to fish for HMS in 
the Convention Area shall be prohibited from retaining on board, 
transshipping, landing, storing, selling, or offering for sale any part 
or whole carcass of an oceanic whitetip shark (Carcharhinus longimanus) 
and must release unharmed, to the extent practicable, all oceanic 
whitetip sharks when brought alongside the vessel.
    (e) Whale shark restrictions for purse seine vessels. Owners, 
operators, and crew of fishing vessels of the United States commercially 
fishing for tuna in the Convention Area may not set or attempt to set a 
purse seine on or around a whale shark (Rhincodon typus) if the animal 
is sighted prior to the commencement of the set or the attempted set.
    (f) Whale shark release. The crew, operator, and owner of a fishing 
vessel of the United States commercially fishing for tuna in the 
Convention Area must release as soon as possible, any whale shark that 
is encircled in a purse seine net, and must ensure that all reasonable 
steps are taken to ensure its safe release.
    (g) Mobulid ray restrictions. The crew, operator, and owner of a 
U.S. commercial fishing vessel is prohibited from retaining on board, 
transshipping, storing, landing, selling, or offering for sale any part 
or whole carcass of a mobulid ray that is caught in the IATTC Convention 
Area, except as provided in the following sentence. In the case of any 
mobulid ray caught in the IATTC Convention Area on an observed purse 
seine vessel that is not seen during fishing operations and is delivered 
into the vessel hold, the mobulid ray may be stored on board and landed, 
but the vessel owner or operator must show the whole mobulid ray to the 
on-board observer at the point of landing for recording purposes, and 
then dispose of the mobulid ray at the direction of the responsible 
government authority. In U.S. ports the responsible governmental 
authority is the NOAA Office of Law Enforcement divisional office 
nearest to the port, or other authorized personnel. Mobulid rays that 
are caught and landed in this manner may

[[Page 166]]

not be sold or bartered, but may be donated for purposes of domestic 
human consumption consistent with relevant laws and policies.
    (h) Mobulid ray handling and release. The crew, operator, and owner 
of a U.S. commercial fishing vessel must promptly release unharmed, to 
the extent practicable, any mobulid ray (whether live or dead) caught in 
the IATTC Convention Area as soon as it is seen in the net, on the hook, 
or on the deck, without compromising the safety of any persons. If a 
mobulid ray is live when caught, the crew, operator, and owner of a U.S. 
commercial fishing vessel must use the release procedures described in 
the following two paragraphs.
    (1) No mobulid ray may be gaffed, no mobulid ray may be lifted by 
the gill slits or spiracles or by using bind wire against or inserted 
through the body, and no holes may be punched through the bodies of 
mobulid ray (e.g., to pass a cable through for lifting the mobulid ray).
    (2) Applicable to purse seine operations, large mobulid rays must be 
brailed out of the net by directly releasing the mobulid ray from the 
brailer into the ocean. Large mobulid rays that cannot be released 
without compromising the safety of persons or the mobulid ray before 
being landed on deck, must be returned to the water as soon as possible, 
either utilizing a ramp from the deck connecting to an opening on the 
side of the boat, or lowered with a sling or net, using a crane if 
available. The minimum size for the sling or net must be at least 25 
feet in diameter.

[81 FR 50403, Aug. 1, 2016]



                 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 of the laws of Pacific Island 
Parties in the following table and any regulations or other instruments 
having the force of law implemented pursuant to these laws:

------------------------------------------------------------------------
         Pacific Island Party                         Laws
------------------------------------------------------------------------
AUSTRALIA                              Antarctic Marine Living Resources
                                        Conservation Act, 1981.
                                       Fisheries Management Act, 1991.
                                       Fisheries Administration Act,
                                        1991.
                                       Statutory Fishing Rights Charge
                                        Act, 1991.
                                       Fisheries Legislation
                                        (Consequential Provisions) Act,
                                        1991.
                                       Foreign Fishing Licences Levy
                                        Act, 1991.
                                       Fishing Levy Act, 1991.
                                       Fisheries Agreements (Payments)
                                        Act, 1991.
                                       Torres Strait Fisheries Act,
                                        1984.
                                       Whale Protection Act, 1980.
COOK ISLANDS                           Exclusive Economic Zone (Foreign
                                        Fishing Craft) Regulations,
                                        1979.
                                       Territorial Sea and Exclusive
                                        Economic Zone Act, 1977.
                                       Marine Resources Act, 1989.
FEDERATED STATES OF MICRONESIA         Titles 18 and 24 of the Code of
                                        the Federated States of
                                        Micronesia, as amended by Public
                                        Law Nos. 2-28, 2-31, 3-9, 3-10,
                                        3-34, and 3-80.
FIJI                                   Fisheries Act (Cap. 158).
                                       Fisheries Regulations (Cap. 158).
                                       Marine Spaces Act (Cap. 158A).
                                       Marine Spaces (Foreign Fishing
                                        Vessels) Regulations, 1979.

[[Page 167]]

 
KIRIBATI                               Fisheries Ordinance, 1979.
                                       Fisheries (Amendment) Act, 1984.
                                       Marine Zones (Declaration) Act,
                                        1983.
                                       Fisheries (Pacific Island States'
                                        Treaty with the United States)
                                        Act 1988.
MARSHALL ISLANDS                       Title 33, Marine Resources Act,
                                        as amended by P.L. 1989-56, P.L.
                                        1991-43, and P.L. 1992-25 of the
                                        Marshall Islands Revised Code.
NAURU                                  Interpretation Act, 1971.
                                       Interpretation Act (Amendment)
                                        Act No. 1 1975.
                                       Interpretation Act (Amendment)
                                        Act No. 2 1975.
                                       Marine Resources Act, 1978.
NEW ZEALAND                            Antarctic Marine Living Resources
                                        Act, 1981.
                                       Continental Shelf Act, 1964.
                                       Conservation Act, 1987.
                                       Driftnet Prohibition Act, 1991.
                                       Exclusive Economic Zone (Foreign
                                        Fishing Craft) Regulations,
                                        1978.
                                       Fishing Industry Board Act, 1963.
                                       Fisheries Act, 1983.
                                       Marine Mammals Protection Act,
                                        1978.
                                       Marine Reserves Act, 1971.
                                       Marine Pollution Act, 1974.
                                       Meat Act, 1964.
                                       Territorial Sea and Exclusive
                                        Economic Zone Act, 1977.
                                       Tokelau (Territorial Sea and
                                        Exclusive Economic Zone) Act,
                                        1977.
                                       Submarine Cables and Pipelines
                                        Protection Act, 1966.
                                       Sugar Loaf Islands Marine
                                        Protected Area Act, 1991.
                                       Wildlife Act, 1953.
NIUE                                   Niue Fish Protection Ordinance
                                        1965.
                                       Sunday Fishing Prohibition Act
                                        1980.
                                       Territorial Sea and Exclusive
                                        Economic Zone Act 1978.
PALAU                                  Palau National Code, Title 27.
PAPUA NEW GUINEA                       Fisheries Act (Cap 214).
                                       Fisheries Regulations (Cap 214).
                                       Fisheries (Torres Strait
                                        Protected Zone) Act, 1984.
                                       National Seas Act (Cap 361).
                                       Tuna Resources Management Act
                                        (Cap 224).
                                       Whaling Act (Cap 225).
SOLOMON ISLANDS                        Delimitation of Marine Waters
                                        Act, 1978.
                                       Fisheries Act, 1972.
                                       Fisheries Limits Act, 1977.
                                       Fisheries Regulations, 1972.
                                       Fisheries (Foreign Fishing
                                        Vessels) Regulations, 1981.
                                       Fisheries (United States of
                                        America) (Treaty) Act 1988.
TONGA                                  Fisheries Act, 1989.
TUVALU                                 Fisheries Act (Cap 45).
                                       Fisheries (Foreign Fishing
                                        Vessel) Regulations, 1982.
                                       Marine Zones (Declaration) Act,
                                        1983.
                                       Foreign Fishing Vessels Licensing
                                        (US Treaty) Order 1987.
VANUATU                                Fisheries Act 1982 (Cap 158).
                                       Fisheries Regulations, 1983.
                                       Maritime Zones Act 1981 (Cap
                                        138).
SAMOA                                  Exclusive Economic Zone Act,
                                        1977.
                                       Territorial Sea Act, 1971.
                                       Fisheries Act, 1988.
------------------------------------------------------------------------

    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 areas in the following table, as 
depicted on charts provided by the Regional Administrator and as further 
described in additional information that may be provided by the Regional 
Administrator:

[[Page 168]]



------------------------------------------------------------------------
         Pacific Island Party                         Area
------------------------------------------------------------------------
AUSTRALIA                              All waters within the seaward
                                        boundary of the Australian
                                        Fishing Zone (AFZ) west of a
                                        line connecting the point of
                                        intersection of the outer limit
                                        of the AFZ by the parallel of
                                        latitude 25 30" South with the
                                        point of intersection of the
                                        meridian of longitude 151 East
                                        by the outer limit of the AFZ
                                        and all waters south of the
                                        parallel of latitude 25 30"
                                        South.
COOK ISLANDS                           Territorial Sea.
FEDERATED STATES OF MICRONESIA         Three nautical mile territorial
                                        sea and nine nautical mile
                                        exclusive fishery zone and on
                                        all named banks and reefs as
                                        depicted on the following
                                        charts:
                                       DMAHTC NO 81019 (2nd. ed., Mar.
                                        1945; revised 7/17/72; corrected
                                        through NM 3/78 of 21 June
                                        1978).
                                       DMAHTC NO 81023 (3rd. ed., 7 Aug.
                                        1976).
                                       DMAHTC NO 81002 (4th. ed., 26
                                        Jan. 1980; corrected through NM
                                        4/80).
FIJI                                   Internal waters, archipelagic
                                        waters and territorial seas of
                                        Fiji and Rotuma and its
                                        Dependencies.
KIRIBATI                               Within archipelagic waters as
                                        established in accordance with
                                        Marine Zones (Declaration) Act
                                        1983; within 12 nautical miles
                                        drawn from the baselines from
                                        which the territorial seas is
                                        measured; and within 2 nautical
                                        miles of any anchored fish
                                        aggregating device within the
                                        Kiribati exclusive economic zone
                                        for which notification of its
                                        location shall be given by
                                        geographical coordinates.
MARSHALL ISLANDS                       12 nautical mile territorial sea
                                        and area within two nautical
                                        miles of any anchored fish
                                        aggregating device within the
                                        Marshall Islands exclusive
                                        economic zone for which
                                        notification of its location
                                        shall be given by geographical
                                        coordinates.
NAURU                                  The territorial waters as defined
                                        by Nauru Interpretation Act,
                                        1971, Section 2.
NEW ZEALAND                            Territorial waters; waters within
                                        6 nautical miles of outer
                                        boundary of territorial waters;
                                        all waters to west of New
                                        Zealand main islands and south
                                        of 39 South latitude; all waters
                                        to east of New Zealand main
                                        islands south of 40 South
                                        latitude; and in respect of
                                        Tokelau: areas within 12
                                        nautical miles of all island and
                                        reef baselines; twelve and one
                                        half nautical miles either side
                                        of a line joining Atafu and
                                        Nukunonu and Faka'ofo; and
                                        coordinates as follows:
                                       Atafu: 835"10 S, 17229"30 W
                                       Nukunonu: 906"25 S, 17152"10 W
                                        911"30 S, 17147"00 W
                                       Faka'ofo: 922"30 S, 17116"30 W
NIUE                                   Territorial sea and within 3
                                        nautical miles of Beveridge
                                        Reef, Antiope Reef and Haran
                                        Reef as depicted by appropriate
                                        symbols on NZ 225F (chart
                                        showing the territorial sea and
                                        exclusive economic zone of Niue
                                        pursuant to the Niue Territorial
                                        Sea and Exclusive Economic Zone
                                        Act of 1978).
PALAU                                  Within 12 nautical miles of all
                                        island baselines in the Palau
                                        Islands; and the area:
                                       commencing at the north-
                                        easternmost intersection of the
                                        outer limit of the 12 nautical
                                        mile territorial sea of Palau by
                                        the arc of a circle having a
                                        radius of 50 nautical miles and
                                        its center at Latitude 0716"34
                                        North, longitude 13428"25 East,
                                        being at about the center of the
                                        reef entrance to Malakal Pass;
                                        running thence generally south-
                                        easterly, southerly, south-
                                        westerly, westerly, north-
                                        westerly, northerly and north-
                                        easterly along that arc to its
                                        intersection by the outer limit
                                        of the 12 nautical mile
                                        territorial sea; and thence
                                        generally northerly, north-
                                        easterly, easterly, south-
                                        easterly and southerly along
                                        that outer limit to the point of
                                        commencement.
                                       Where for the purpose of these
                                        specifications it is necessary
                                        to determine the position on the
                                        surface of the Earth of a point,
                                        line or area, it shall be
                                        determined by reference to the
                                        World Geodetic System 1984; that
                                        is to say, by reference to a
                                        spheroid having its center at
                                        the center of the Earth and a
                                        major (equatorial) radius of
                                        6,378,137 meters and a
                                        flattening of 1/298.2572.
PAPUA NEW GUINEA                       All territorial seas,
                                        archipelagic and internal
                                        waters.
SOLOMON ISLANDS                        All internal waters, territorial
                                        seas and archipelagic waters;
                                        and such additional waters
                                        around the main group
                                        archipelago, as defined under
                                        the Delimitation of Marine
                                        Waters Act 1978, not exceeding
                                        sixty nautical miles.
TONGA                                  All waters with depths of not
                                        more than 1,000 meters, within
                                        the area bounded by the
                                        fifteenth and twenty third and
                                        one half degrees of south
                                        latitudes and the one hundred
                                        and seventy third and the one
                                        hundred and seventy seventh
                                        degrees of west longitudes; also
                                        within a radius of twelve
                                        nautical miles from the islands
                                        of Teleki Tonga and Teleki
                                        Tokelau.
TUVALU                                 Territorial sea and waters within
                                        two nautical miles of all named
                                        banks, that is Macaw, Kosciusko,
                                        Rose, Bayonnaise and Hera, in
                                        Tuvalu exclusive economic zone,
                                        as depicted on the chart
                                        entitled ``Tuvalu Fishery
                                        Limits'' prepared by the United
                                        Kingdom Hydrographic Department,
                                        Taunton, January 11, 1981.
VANUATU                                Archipelagic waters and the
                                        territorial sea, and internal
                                        waters.
SAMOA                                  Territorial sea; reefs, banks and
                                        sea-mounts and within 2 nautical
                                        miles of any anchored fish
                                        aggregating device within the
                                        Samoa exclusive economic zone
                                        for which notification of its
                                        location shall be given by
                                        geographical coordinates.
------------------------------------------------------------------------

    FFA Vessel Register means the registry of fishing vessels maintained 
by the FFA, comprising those vessels

[[Page 169]]

which are in good standing and licensed to fish in the waters of FFA 
member countries, including those vessels licensed under Sec.  300.32.
    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.
    Operator means any person who is in charge of, directs or controls a 
vessel, including the owner, charterer and master.
    Pacific Island Party means a Pacific island nation that is a party 
to the Treaty.
    Pacific Islands Forum Fisheries Agency or FFA means the organization 
established by the 1979 South Pacific Forum Fisheries Agency Convention.
    Regional Administrator means the Regional Administrator, Pacific 
Islands Region, NMFS, 1845 Wasp Blvd., Bldg. 176, Honolulu, HI 96818, 
facsimile: 808-725-5215, 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 all waters north of 60 S. lat. and east of 90 E. 
long., subject to the fisheries jurisdiction of Pacific Island Parties, 
and all other waters within rhumb lines connecting the following points, 
except for waters subject to the jurisdiction in accordance with 
international law of a State which is not a party to the Treaty:

------------------------------------------------------------------------
       Point                Latitude                  Longitude
------------------------------------------------------------------------
A                    235"39 S               14100"00 E
B                    101"35 N               14048"35 E
C                    101"35 N               12930"00 E
D                    1000"00 N              12930"00 E
E                    1400"00 N              14000"00 E
F                    1400"00 N              14200"00 E
G                    1230"00 N              14200"00 E
H                    1230"00 N              15800"00 E
I                    1500"00 N              15800"00 E
J                    1500"00 N              16500"00 E
K                    1800"00 N              16500"00 E
L                    1800"00 N              17400"00 E
M                    1200"00 N              17400"00 E
N                    1200"00 N              17600"00 E
O                    500"00 N               17600"00 E
P                    100"00 N               18000"00
Q                    100"00 N               16400"00 W
R                    800"00 N               16400"00 W
S                    800"00 N               15800"00 W
T                    000"00                 15000"00 W
U                    600"00 S               15000"00 W
V                    600"00 S               14600"00 W
W                    1200"00 S              14600"00 W
X                    2600"00 S              15700"00 W
Y                    2600"00 S              17400"00 W
Z                    4000"00 S              17400"00 W
AA                   4000"00 S              17100"00 W
AB                   4600"00 S              17100"00 W
AC                   5500"00 S              18000"00
AD                   5900"00 S              16000"00 E
AE                   5900"00 S              15200"00 E and north along
                                             the 152 degrees of East
                                             longitude until
                                             intersecting the Australian
                                             200-nautical-mile limit.
------------------------------------------------------------------------

    UTC means Universal Coordinated Time.
    Vessel Monitoring System Unit or VMS unit, sometimes known as a 
``mobile transmitting unit,'' means Administrator-approved and NMFS-
approved VMS unit hardware and software that is installed on a vessel 
pursuant to Sec.  300.45. The VMS units are a component of the regional 
vessel monitoring system administered by the FFA, as well as of the 
vessel monitoring system administered by NMFS, and as such are used to 
transmit information between

[[Page 170]]

the vessel and the Administrator and NMFS and/or other reporting points 
designated by NMFS.

[61 FR 35550, July 5, 1996, as amended at 72 FR 6149, Feb. 9, 2007; 75 
FR 74643, Dec. 1, 2010; 79 FR 64110, Oct. 28, 2014]



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 exempted 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 copy or facsimile thereof 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. A vessel may be used to fish 
in the Licensing Area if the license has been issued but not yet 
received, provided that the license number is available on board.
    (c) The total number of licenses that may be issued and valid at any 
point in time is 45, five of which shall be reserved for fishing vessels 
of the United States engaged in joint venture arrangements.
    (1) For the purpose of this section, the licenses reserved for 
vessels engaged in joint venture arrangements are referred to as ``joint 
venture licenses,'' and the remaining licenses are referred to as 
``general licenses.''
    (2) A joint venture arrangement is one in which the subject vessel 
and its operators are engaged in fishing-related activities designed to 
maximize the benefits generated for the Pacific Island Parties from the 
operations of fishing vessels licensed pursuant to the Treaty, as 
determined by the Administrator. Such activities can include the use of 
canning, transshipment, vessel slipping and repair facilities located in 
the Pacific Island Parties; the purchase of equipment and supplies, 
including fuel supplies, from suppliers located in the Pacific Island 
Parties; and the employment of nationals of the Pacific Island Parties 
on board such vessels.
    (d) Licenses are issued by the Administrator. The Administrator will 
issue licenses only for applications that have been approved by the 
Regional Administrator. The Regional Administrator's approval is 
indicated by the signature of the Regional Administrator on the part of 
the application form labeled ``Schedule 1.'' Upon approval by the 
Regional Administrator of a license application, the complete 
application will be forwarded to the Administrator for consideration. 
Except as provided in paragraph (n) of this section, prior to approving 
license applications for a given licensing period, the Regional 
Administrator will issue pre-approvals of license applications that 
serve the purpose of temporarily reserving approvals up until the time 
complete applications are due to be received by the Regional 
Administrator.
    (e) The Regional Administrator, in his or her sole discretion, may 
approve fewer license applications than there are licenses available for 
any given licensing period or at any given time.
    (f) A pre-approval or approval issued by the Regional Administrator 
pursuant to this section:
    (1) Shall not confer any right of compensation to the recipient of 
such pre-approval or approval;
    (2) Shall not create, or be construed to create, any right, title, 
or interest in or to a license or any fish; and
    (3) Shall be considered a grant of permission to the recipient of 
the pre-approval or approval to proceed with the process of seeking a 
license from the Administrator.
    (g) A pre-approval or approval issued by the Regional Administrator 
pursuant to this section is subject to being rescinded at any time if 
the Regional Administrator determines that an administrative error has 
been made in its granting, false information has been provided by the 
applicant, circumstances have changed such that the information provided 
by the applicant is no longer accurate, true or valid, or if the 
applicant or vessel no longer meets the requirements for licensing under 
this subpart or under the Act or other applicable law. NMFS will notify 
the applicant of its rescission of a pre-approval or approval within 14 
days of the rescission. In the event that the Regional Administrator 
rescinds an approval after the license has been

[[Page 171]]

issued, NMFS will notify the Administrator of such, and request that the 
Administrator immediately revoke the license.
    (h) Application process for general licenses. (1) A vessel operator 
who satisfies the requirements for licensing under the Act and under 
this subpart may apply for a general license.
    (2) In order for a general license to be issued for a vessel, an 
applicant must submit a complete application to, and obtain an 
application approval from, the Regional Administrator.
    (3) Except for the 2011-2012 licensing period, prior to submitting a 
complete application, an applicant may request pre-approval of an 
application by the Regional Administrator by submitting an expression of 
interest. A pre-approval of an application establishes that the 
applicant is eligible to be considered for one of the available licenses 
following timely submission of a complete application. Although 
submission of an expression of interest is entirely voluntary, 
applications that have not been pre-approved might not be eligible for 
approval if the number of applications exceeds the number of available 
licenses for a given licensing period. A pre-approval will be deemed to 
be void if the applicant fails to submit a complete application by the 
date established in paragraph (h)(6) of this section.
    (4) Except as provided in paragraph (n) of this section, in order to 
obtain a pre-approval for a given licensing period, either an expression 
of interest or a complete application must be submitted to and received 
by the Regional Administrator no later than June 1st of the year 
preceding the year in which the licensing period begins.
    (5) An expression of interest must include the information listed 
below, which may be submitted by electronic or hard-copy correspondence 
following instructions provided by the Regional Administrator.
    (i) If the expression of interest is for a vessel for which, as of 
the June 1st due date for submitting such expression of interest, NMFS 
has issued an application approval for the licensing period that starts 
that year (i.e., a renewal of the license is being sought), the 
expression of interest shall include:
    (A) The licensing period for which the license is being sought.
    (B) The current name, IRCS, and annual USCG Certificate of 
Documentation number of the vessel.
    (ii) For all other expressions of interest that do not meet the 
criteria in paragraph (h)(5)(i) of this section, the expression of 
interest shall include:
    (A) The licensing period for which the license is being sought.
    (B) The full name and address of each person who is, or who is 
anticipated to be, an operator of the vessel for which a license is 
sought, and for each such person, a statement of whether the person is, 
or is anticipated to be, owner, charterer, and/or master of the vessel.
    (C) A statement of whether or not the vessel to be licensed is 
known, and if it is known, the current name, IRCS, and annual USCG 
Certificate of Documentation number, if any, of the vessel.
    (D) A copy of the vessel's current USCG Certificate of 
Documentation. If the vessel has not been issued such a document, then a 
statement of whether application has been or will be made for a USCG 
Certificate of Documentation, including identification of all 
endorsements sought in such application.
    (E) If the vessel is known, a list of the licensing periods, if any, 
during which a license for the vessel was issued under this section.
    (F) If the vessel is known, a statement of the total amount, in 
metric tons, of any tuna species landed or transshipped from the vessel 
at United States ports, including ports located in any of the States, 
for each of the calendar years 1988 through the current year.
    (6) A complete application for a given licensing period may be 
submitted to the Regional Administrator at any time up to May 15th 
within the licensing period, but in order to be considered for approval 
in the event that more applications are received by the Regional 
Administrator than there are licenses available, a complete application 
must be received by the Regional Administrator as follows:
    (i) No later than February 5th of the year in which the licensing 
period begins; or

[[Page 172]]

    (ii) If a pre-approval of the application was issued in accordance 
with paragraphs (k)(8) or (k)(9) of this section, not later than the 
date specified by NMFS in the notification of such pre-approval (which 
will be calculated by NMFS to be no later than 194 days from the date of 
mailing of the notification of the pre-approval).
    (7) License application forms, which include the ``Schedule 1'' form 
and the FFA Vessel Register application form, are available from the 
Regional Administrator. The complete application must be received by the 
Regional Administrator as specified in paragraph (h)(6) of this section. 
An application shall not be complete, and shall not be subject to 
processing, unless it contains all of the information specified on the 
``Schedule 1'' form and all the items listed in paragraphs (h)(7)(i) 
through (h)(7)(x) of this section, as follows:
    (i) The licensing period for which the license is requested.
    (ii) 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.
    (iii) 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.
    (iv) If the owner or charterer is the subject of proceedings under 
the bankruptcy laws of the United States, a statement 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.
    (v) A copy of the vessel's current annual USCG Certificate of 
Documentation.
    (vi) Electronic versions of full color photographs of the vessel in 
its current form and appearance, including a bow-to-stern side-view 
photograph of the vessel that clearly and legibly shows the vessel 
markings, and a photograph of every area of the vessel that is marked 
with the IRCS assigned to the vessel.
    (vii) A schematic stowage/well plan for the vessel.
    (viii) A copy of the VMS unit installation certificate, issued by 
the Administrator-authorized person who installed the VMS unit, for the 
VMS unit installed on the vessel in accordance with Sec.  300.45.
    (ix) An FFA Vessel Register application form that includes all the 
applicable information specified in the form.
    (x) In the case of an application for a vessel that does not meet 
the criteria in paragraph (h)(5)(i) of this section, any information 
under paragraph (h)(5)(ii) of this section that has not already been 
provided or that has changed since it was previously submitted.
    (i) Application process for joint venture licenses. (1) A vessel 
operator who satisfies the requirements for licensing under the Act and 
under this subpart may apply for a joint venture license.
    (2) The applicant, in coordination with one or more Pacific Island 
Parties, shall contact the Administrator to determine the specific 
information and documents that are required by the Administrator in 
order to obtain an initial approval from the Administrator for a joint 
venture license. The applicant shall submit such required information 
and documents directly to the Administrator. Once an initial approval is 
obtained from the Administrator, the applicant shall submit a complete 
application package, as described in paragraph (h)(7) of this section, 
to the Regional Administrator, along with dated documentation of the 
Administrator's initial approval, and a letter or other documentation 
from the relevant national authority or authorities of the Pacific 
Island Party or Parties identifying the joint venture partner or 
partners and indicating the Party's or Parties' approval of the joint 
venture arrangement and its or their concurrence that a joint venture 
license may be issued for the vessel.
    (j) Appeals--(1) Eligibility. Any applicant who is denied a pre-
approval or an approval under this section may appeal the denial. The 
appeal must be made in writing and must clearly state the basis for the 
appeal and the nature of the relief that is requested. The appeal must 
be received by the Regional Administrator not later than 14 days after

[[Page 173]]

the date that the notice of denial is postmarked.
    (2) Appeal review. Upon receipt of an appeal, the Regional 
Administrator will appoint a designee who will review the basis of the 
appeal and issue an initial written decision. The written decision will 
be mailed to the applicant within 30 days of receipt of the appeal. If 
the appellant does not request a review within 10 days of mailing of the 
initial decision, the initial decision is the final administrative 
action of the Department of Commerce. If, within 10 days of mailing of 
the initial decision, the Regional Administrator receives from the 
appellant a written request for review of the initial decision, the 
Assistant Administrator or a designee will review the basis of the 
appeal and issue a final written decision. The final decision will be 
made within 30 days of receipt of the request for review of the initial 
decision. The decision of the Assistant Administrator or designee 
constitutes the final administrative action of the Department of 
Commerce.
    (k) Procedures used by the Secretary to review and process 
applications for general licenses. The procedures in this paragraph 
apply to the process used by NMFS, on behalf of the Secretary and in 
consultation with the Secretary of State, to review expressions of 
interest and complete applications, and to approve applications. For the 
purpose of this section, NMFS' approval of an application means the 
signing by the Regional Administrator of the ``Schedule 1'' part of the 
application form, indicating that the application is complete and that 
it meets the requirements of the Act and of this subpart for forwarding 
to the Administrator. For the purpose of this section, NMFS' pre-
approval of an application means that the Regional Administrator has 
initially determined that the applicant is eligible for a general 
license, but that the application has not yet been approved for 
forwarding to the Administrator.
    (1) NMFS will pre-approve no more applications for a given licensing 
period than there are licenses available for that licensing period. A 
pre-approval will be deemed to be void if the applicant fails to submit 
a complete application by the date established in paragraph (h)(6) of 
this section.
    (2) NMFS will approve no more applications for a given licensing 
period than there are licenses available for that licensing period.
    (3) NMFS will not approve a license application if it determines 
that:
    (i) The application is not in accord with the Treaty, Act, or 
regulations;
    (ii) 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;
    (iii) 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
    (iv) The owner or charterer has not paid any final penalty assessed 
by the Secretary in accordance with the Act.
    (4) Except as provided in paragraph (n) of this section, no later 
than July 16th of each year, NMFS will pre-approve applications from 
among the expressions of interest and complete applications that were 
received by June 1st of the current year for the licensing period that 
starts the following year as provided in this paragraph. If the number 
of expressions of interest and complete applications does not exceed the 
number of licenses available, all applications that meet the 
requirements of paragraphs (h)(4) and (h)(5) of this section and that 
satisfy the relevant requirements for licensing under the Act and this 
subpart will be pre-approved. If the number of expressions of interest 
and complete applications exceeds the number of licenses available, 
those that meet the requirements of paragraphs (h)(4) and (h)(5) of this 
section and that satisfy the relevant requirements for licensing under 
the Act and this subpart will be prioritized for pre-approval as 
follows:
    (i) First priority will be given to expressions of interest and 
complete applications for vessels for which, as of June 1st of that 
year, application approvals have been issued by NMFS for

[[Page 174]]

the licensing period that starts that year (i.e., anticipated license 
renewal applications), provided that such vessels continue to satisfy 
the requirements for licensing under the Act and this subpart, and 
provided such vessels have no unsatisfied civil penalties or fines 
assessed by the Secretary under the Act that have become final.
    (ii) Second priority will be given to expressions of interest and 
complete applications scored using the following system, in descending 
order of the sum of the points assigned:
    (A) 15 points will be assigned for a vessel that has been issued, or 
will be issued by the date complete applications are due to be received 
by the Regional Administrator under paragraph (h)(6) of this section, a 
valid USCG Certificate of Documentation with a fishery endorsement.
    (B) 1 point will be assigned for each licensing period, starting 
with the 1988-1989 licensing period, in which a license had been issued 
for the vessel pursuant to the Act, for a total of no more than 10 
points.
    (C) 1 point will be assigned for each calendar year in which at 
least 3,000 metric tons of fish were landed or transshipped from the 
vessel in United States ports, including ports located in any of the 
States, as determined by the Regional Administrator. The applicable 
period shall run from 1988 through the last calendar year prior to the 
year in which the applied-for licensing period starts, and the total 
number of points assigned shall be no more than 5.
    (D) In the event that two or more vessels receive the same sum 
number of points under paragraphs (k)(4)(ii)(A) through (k)(4)(ii)(C) of 
this section, priority will be given to the vessel from which the 
greatest amount of fish, by weight, was landed or transshipped in United 
States ports, including ports located in any of the States, starting in 
calendar year 1988 and ending in the year prior to the year in which the 
applied-for licensing period starts, as determined by the Regional 
Administrator. In the event that that does not resolve the tie, priority 
will be given by lottery, which will be conducted by the Regional 
Administrator.
    (5) Except as provided in paragraph (n) of this section, no later 
than July 26th of each year, NMFS will send notifications by mail to all 
applicants that submitted expressions of interest or complete 
applications by June 1st of that year, indicating whether their 
applications (for the licensing period that starts the following year) 
have been pre-approved.
    (6) No later than March 7th of each year, NMFS will approve 
applications (for the licensing period that starts that year) that 
satisfy all of the following conditions:
    (i) The application was pre-approved;
    (ii) The information associated with the application has not changed 
since the point of pre-approval in a way such that pre-approval would 
not have been made using the updated information;
    (iii) The complete application was received by February 5th of the 
same year; and
    (iv) The applicant satisfies the requirements for licensing under 
the Act and this subpart.
    (7) No later than March 17th of each year, NMFS will notify all 
applicants (for the licensing period that starts that year) who 
submitted complete applications by February 5th of that year, whether 
their applications have been approved under paragraph (k)(6) of this 
section, and in cases where they have not, whether their applications 
are being considered for approval under paragraph (k)(8) of this 
section.
    (8) In the event that additional licenses for a given licensing 
period are available after issuing the approvals under paragraph (k)(6) 
of this section, NMFS will, after final administrative action by the 
Department of Commerce on any appeals made under paragraph (j) of this 
section, do the following:
    (i) If the number of outstanding expressions of interest (i.e., 
expressions of interest that have not been pre-approved) received by 
June 1st of the year preceding the year in which the licensing period 
begins, plus the number of outstanding complete applications (i.e., 
complete applications that have not been approved) received by February 
5th of the year in which the licensing period begins, exceeds the number 
of licenses available, NMFS

[[Page 175]]

will review all such outstanding expressions of interest and complete 
applications and apply the process described in paragraphs (k)(9)(i)(A) 
through (k)(9)(i)(C) of this section to pre-approve and approve 
applications from among that pool of applicants;
    (ii) If the number of outstanding expressions of interest received 
by June 1st of the year preceding the year in which the licensing period 
begins, plus the number of outstanding complete applications received by 
February 5th of the year in which the licensing period begins, does not 
exceed the number of licenses available:
    (A) No later than June 15th of the year in which the licensing 
period begins, NMFS will pre-approve all such outstanding expressions of 
interest and complete applications that satisfy the relevant 
requirements for licensing under the Act and this subpart;
    (B) No later than June 25th of the year in which the licensing 
period begins, NMFS will notify all such outstanding applicants of the 
pre-approvals, and for those applicants that submitted expressions of 
interest but not complete applications, also notify them of the date by 
which a complete application must be received in order to be issued an 
application approval (which will be calculated by NMFS to be no later 
than 194 days from the date of mailing of the notification of the pre-
approval);
    (C) NMFS will review all complete applications received by the 
required date from applicants pre-approved under paragraph (8)(ii)(A) of 
this section, and within 30 days of such receipt, approve the 
application, if and as appropriate and if the applicant satisfies the 
requirements for licensing under the Act and this subpart; and
    (D) If and as long as the number of approvals plus outstanding (not 
voided) pre-approvals does not exceed the total number of licenses 
available under paragraph (c) of this section, NMFS will review all 
complete applications received after February 5th of the year in which 
the licensing period begins and before May 16th within the licensing 
period and, as they are received and in the order they are received 
(based on the day of receipt), will approve those applications that 
satisfy the requirements for licensing under the Act and this subpart 
until no more approvals are available. In the event that two or more 
complete applications are received on the same day, priority for 
approval will be given by lottery, which will be conducted by the 
Regional Administrator.
    (iii) Within 10 days of approving an application, NMFS will notify 
the applicant.
    (9) If a license or application approval that has been issued for a 
given licensing period becomes available before or during that licensing 
period, NMFS will do the following:
    (i) If there are any outstanding expressions of interest received by 
June 1st of the year preceding the year in which the licensing period 
begins or outstanding complete applications received by February 5th of 
the year in which the licensing period begins, NMFS will review all such 
outstanding expressions of interest and complete applications and pre-
approve and approve applications for that license from among that pool 
as follows:
    (A) Within 45 days of NMFS becoming aware of the availability of the 
license, NMFS will pre-approve an application using the prioritization 
criteria and point-assigning system described in paragraphs (k)(4)(i) 
and (k)(4)(ii) of this section;
    (B) Within 55 days of NMFS becoming aware of the availability of the 
license NMFS will notify all active applicants as to whether their 
applications have been pre-approved, and for those applications that 
have been pre-approved, notify each applicant of the date by which a 
complete application, if not already received, must be received (which 
will be calculated by NMFS to be no later than 194 days from the date of 
mailing of the notification of the pre-approval); and
    (C) Within 30 days of receiving a complete application that had been 
pre-approved, NMFS will approve the application, if and as appropriate 
and if the applicant satisfies the requirements of this subpart.
    (ii) If there are no outstanding expressions of interest received by 
June 1st of the year preceding the year in which the licensing period 
begins and no outstanding complete applications

[[Page 176]]

received by February 5th of the year in which the licensing period 
begins, if and as long as the number of approvals plus outstanding (not 
voided) pre-approvals does not exceed the number of licenses available, 
NMFS will review all complete applications received after February 5th 
of the year in which the licensing period begins and before May 16th 
within the licensing period and, in the order they are received (based 
on the day of receipt), will approve those applications that satisfy the 
requirements for licensing under the Act and this subpart until no more 
approvals are available. In the event that two or more complete 
applications are received on the same day, priority for approval will be 
given by lottery, which will be conducted by the Regional Administrator.
    (iii) Within 10 days of approving an application, NMFS will notify 
the applicant.
    (l) Procedures used by the Secretary to review and process 
applications for joint venture licenses. NMFS, on behalf of the 
Secretary and in consultation with the Secretary of State, will review 
and approve applications for joint venture licenses as described in 
paragraph (k) of this section for general licenses, except that NMFS 
will not consider expressions of interest for joint venture licenses or 
pre-approve applications for joint venture licenses. In the event that 
NMFS receives for a given licensing period more applications for joint 
venture licenses than there are licenses available, it will approve the 
applications in the chronological order that the Administrator has 
provided its initial approval.
    (m) Transferability of application approvals. Application approvals 
from NMFS are not transferable among vessel owners or operators or 
license applicants. Application approvals are transferable among 
vessels, subject to the following requirements:
    (1) A vessel operator may seek to transfer a general or joint 
venture license to another vessel that meets the requirements for 
licensing under this subpart and the Act, only if the license has been 
valid for the vessel for at least 365 consecutive days and all the fees 
required by the Administrator for the current licensing period have been 
paid to the Administrator. The vessel operator may seek to transfer the 
license by submitting a written request to the Regional Administrator 
along with a complete application for the other vessel as described in 
paragraph (h)(7) of this section. Any such transfer may be subject to 
additional fees for the registration of the vessel on the FFA Vessel 
Register, as specified in paragraph (b) of Sec.  300.45.
    (2) Upon receipt of a request and complete application under 
paragraph (m)(1) of this section, the Regional Administrator, after 
determining that all the fees required for the vessel by the 
Administrator for the current licensing period have been paid, that the 
ownership of the licensed vessel and the ownership of the vessel to 
which the application approval would be transferred are identical, and 
that the transferee vessel meets the requirements for licensing under 
this subpart and the Act, will approve the application and notify the 
applicant of such within 10 days of the determination.
    (3) If a licensed vessel is lost or destroyed, and the operators of 
the vessel apply for a license for another vessel for the licensing 
period during which the vessel was lost, or for either of the two 
subsequent licensing periods, NMFS will consider the replacement vessel 
to have the license application approval status and history of the lost 
or destroyed vessel for the purpose of applying the prioritization 
criteria of paragraph (k)(4) of this section, provided that the 
ownership of the lost or destroyed vessel and the ownership of the 
replacement vessel, as determined by the Regional Administrator, are 
identical, and the replacement vessel meets the requirements for 
licensing under this subpart and the Act.
    (n) Procedures for 2011-2012 licensing period. For the licensing 
period that starts June 15, 2011, and for that licensing period only, 
pre-approvals may not be sought and will not be issued by NMFS. NMFS 
will rank order those applications received by February 5, 2011, for the 
2011-2012 licensing period by applying the criteria in paragraphs 
(k)(4)(i) and (k)(4)(ii) of this section, except that in lieu of using 
the criteria in (k)(4)(i), first priority will be given to applications 
for vessels that as of

[[Page 177]]

February 5, 2011, have valid licenses for the 2010-2011 licensing 
period.

[75 FR 74644, Dec. 1, 2010]



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 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) Holders of licenses issued under Sec.  300.32 shall comply with 
the reporting requirements of this section with respect to the licensed 
vessels.
    (b) 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 Administrator.
    (c) The operator of any vessel licensed under Sec.  300.32 must 
prepare and submit accurate, complete, and timely notifications, 
requests, and reports with respect to the licensed vessel, as described 
in paragraphs (c)(1) through (10) of this section.
    (1) Catch report forms. A record of catch, effort and other 
information must be maintained on board the vessel, on catch report 
forms (also known as ``Regional Purse Seine Logsheets'', or RPLs) 
provided by the Regional Administrator. At the end of each day that the 
vessel is in the Licensing Area, all information specified on the form 
must, for that day, be recorded on the form. The completed catch report 
form must be mailed by registered airmail to the Administrator within 14 
days of the vessel's next entry into port for the purpose of unloading 
its fish catch. A copy of the completed catch report form must also be 
submitted to, and received by, the Regional Administrator within 2 days 
of the vessel reaching port.
    (2) Unloading and transshipment logsheet forms. At the completion of 
any unloading or transshipment of fish from the vessel, all the 
information specified on unloading and transshipment logsheet forms 
provided by the Regional Administrator must, for that unloading or 
transshipment, be recorded on such forms. A separate form must be 
completed for each fish processing destination to which the unloaded or 
transshipped fish are bound. The completed unloading and transshipment 
logsheet form or forms must be mailed by registered airmail to the 
Administrator within 14 days of the completion of the unloading or 
transshipment. The submitted form must be accompanied by a report or 
reports of the size breakdown of the catch as determined by the receiver 
or receivers of the fish, and such report must be signed by the receiver 
or receivers. A copy of the completed unloading and transshipment 
logsheet, including a copy of the accompanying report or reports of the 
size breakdown of the catch as determined by the receiver or receivers 
of the fish, must also be submitted to, and received by, the Regional 
Administrator within 2 days of the completion of the unloading or 
transshipment.
    (3) Port departure reports. Before the vessel's departure from port 
for the purpose of beginning a fishing trip in the Licensing Area, a 
report must be submitted to the Administrator by telex, transmission via 
VMS unit, facsimile, or e-mail that includes the following information: 
Report type (``LBEG''); Regional Register number; trip begin date; date 
and time (in UTC) of report; IRCS; port name; weight of catch on board 
(in metric tons) for each of skipjack tuna, yellowfin tuna, and all 
other species combined; intended action; and estimated date of 
departure. This information must be reported in the format provided by 
the Regional Administrator.
    (4) Entry into port for unloading reports. At least 24 hours before 
the vessel's entry into port for the purpose of unloading fish from any 
trip involving fishing within the Licensing Area, a report must be 
submitted to the Administrator by telex, transmission via

[[Page 178]]

VMS unit, facsimile, or e-mail that includes the following information: 
Report type (``LFIN''); FFA Regional Register number; trip begin date; 
date and time (in UTC) of report; IRCS; port name; weight of catch on 
board (in metric tons) for each of skipjack tuna, yellowfin tuna, and 
all other species combined; intended action; and estimated date and time 
(in UTC) of entry into port. This information must be reported in the 
format provided by the Regional Administrator.
    (5) Intent to transship notification and request. At least 48 hours 
before transshipping any or all of the fish on board the vessel, a 
notification must be submitted to the Administrator and a request must 
be submitted to the Pacific Island Party in whose jurisdiction the 
transshipment is requested to occur. The notification to the 
Administrator and the request to the Pacific Island Party may be 
identical. The notification and request must include the following 
information: Name of vessel; IRCS; vessel position (latitude and 
longitude to nearest minute of arc); weight of catch on board the vessel 
(in metric tons) for each of skipjack tuna, yellowfin tuna, and all 
other species combined; and the date, time (in UTC), and location where 
such transshipment is requested to occur. The notification to the 
Administrator must be reported in the format provided by the Regional 
Administrator and submitted by telex, transmission by VMS unit, 
facsimile, or e-mail. The request to the Pacific Island Party must be 
reported in the format provided by the Regional Administrator and sent 
via the means and to the address provided by the Regional Administrator.
    (6) Zone entry and exit reports. Each time the vessel enters or 
exits the waters under the jurisdiction of a Pacific Island Party, a 
report must be submitted to that Pacific Island Party that includes the 
following information: Report type (``ZENT'' for entry or ``ZEXT'' for 
exit); FFA Regional Register number; trip begin date; date and time (in 
UTC) of the entry or exit; IRCS; vessel position (latitude and longitude 
to nearest minute of arc); weight of catch on board (in metric tons) for 
each of skipjack tuna, yellowfin tuna, and all other species combined; 
and intended action. This information must be reported in the format 
provided by the Regional Administrator and sent via the means and to the 
address provided by the Regional Administrator.
    (7) Weekly reports. Each Wednesday while the vessel is within the 
waters under the jurisdiction of a Pacific Island Party, a report must 
be submitted to that Pacific Island Party that includes the following 
information: Report type (``WEEK''); FFA Regional Register number; trip 
begin date; date and time (in UTC) of report; IRCS; vessel position 
(latitude and longitude to nearest minute of arc); weight of catch on 
board (in metric tons) for each of skipjack tuna, yellowfin tuna, and 
all other species combined; intended action; and whether or not there is 
a vessel observer on board (``Y'' or ``N''). This information must be 
reported in the format provided by the Regional Administrator and sent 
via the means and to the address provided by the Regional Administrator.
    (8) Port entry reports. At least 24 hours before the vessel's entry 
into port of any Pacific Island Party, a report must be submitted to 
that Pacific Island Party that includes the following information: 
Report type (``PENT''); FFA Regional Register number; trip begin date; 
date and time (in UTC) of report; IRCS; vessel position (latitude and 
longitude to nearest minute of arc); weight of catch on board (in metric 
tons) for each of skipjack tuna, yellowfin tuna, and all other species 
combined; estimated time (in UTC) of entry into port; port name; and 
intended action. This information must be reported in the format 
provided by the Regional Administrator and sent via the means and to the 
address provided by the Regional Administrator.
    (9) Transshipment reports. Upon completion of transshipment of any 
or all of the fish on board the vessel, a report must be submitted to 
the Administrator and to the Pacific Island Party in whose jurisdiction 
the transshipment occurred. The report must include the following 
information: Report type (``TRANS''); FFA Regional Register number; trip 
begin date; date and time (in UTC) of the transshipment; IRCS; vessel 
position at time

[[Page 179]]

of transshipment (latitude and longitude to nearest minute of arc); 
amount of fish transshipped (in metric tons) for each of skipjack tuna, 
yellowfin tuna, and all other species combined; name of vessel to which 
the fish were transshipped; and the destination of the transshipped 
fish. The report to the Administrator must be reported in the format 
provided by the Regional Administrator and submitted by telex, 
transmission by VMS unit, facsimile, or e-mail. The report to the 
Pacific Island Party must be reported in the format provided by the 
Regional Administrator and sent via the means and to the address 
provided by the Regional Administrator.
    (10) Other reports and notifications to Pacific Island Parties. 
Reports and notifications must be submitted to the relevant Pacific 
Island Parties in each of the circumstances and in the manner described 
in the subparagraphs of this paragraph. Unless otherwise indicated in 
this paragraph, the reports must be prepared in the format provided by 
the Regional Administrator and sent via the means and to the address 
provided by the Regional Administrator.
    (i) Australia. (A) Each day while the vessel is within the 
Australian Fishing Zone, a report must be submitted that includes the 
following information: Vessel position (latitude and longitude to 
nearest minute of arc); and the amount of catch made during the previous 
day, by species.
    (B) At least 24 hours before entering the Australian Fishing Zone, a 
notification must be submitted that indicates an intent to enter the 
Australian Fishing Zone.
    (ii) Fiji. (A) Each day while the vessel is in Fiji fisheries 
waters, a report must be submitted that includes the following 
information: vessel name; IRCS; country of registration of the vessel; 
and vessel position at the time of the report (latitude and longitude to 
nearest minute of arc).
    (B) Each week while the vessel is in Fiji fisheries waters, a report 
must be submitted that includes the amount of the catch made during the 
preceding week, by species.
    (iii) Kiribati. (A) At least 24 hours before entering a Closed Area 
under the jurisdiction of Kiribati, a notification must be submitted 
that includes the following information: vessel name; IRCS; vessel 
position at the time of the report (latitude and longitude to nearest 
minute of arc); the reason for entering the Closed Area; and the 
estimated time (in UTC) of entry into the Closed Area (latitude and 
longitude to nearest minute of arc).
    (B) Immediately upon entry into or exit from a Closed Area under the 
jurisdiction of Kiribati, a report must be submitted that includes the 
following information: report type (``CAENT'' for entry or ``CAEXT'' for 
exit); the number of the vessel's license issued under Sec.  300.32; 
IRCS; date and time (in UTC) of the report; vessel position (latitude 
and longitude to nearest minute of arc); amount of the catch on board 
the vessel, by species; and status of the boom (``up'' or ``down''), net 
(``deployed'' or ``stowed''), and skiff (``deployed'' or ``stowed'').
    (C) At least 24 hours prior to fueling the vessel from a tanker in 
the area of jurisdiction of Kiribati, a report must be submitted that 
includes the following information: report type (``SBUNK''); the number 
of the vessel's license issued under Sec.  300.32; IRCS; trip start 
date; name of port from which trip started; amount of the catch on board 
the vessel, by species; estimated time of bunkering; estimated position 
of bunkering (latitude and longitude to nearest minute of arc); and name 
of tanker.
    (D) After fueling the vessel from a tanker in the area of 
jurisdiction of Kiribati, but no later than 12 noon local time on the 
following day, a report must be submitted that includes the following 
information: report type (``FBUNK''); the number of the vessel's license 
issued under Sec.  300.32; IRCS; start time of bunkering; end time of 
bunkering; amount of fuel received, in kiloliters; and name of tanker.
    (iv) New Zealand. (A) At least 24 hours before entering the 
exclusive economic zone of New Zealand, a notification must be submitted 
that includes the following information: name of vessel; IRCS; position 
of point of entry into the exclusive economic zone of New Zealand 
(latitude and longitude to nearest minute of arc); amount of catch on 
board the vessel, by species;

[[Page 180]]

and condition of the catch on board the vessel (``fresh'' or 
``frozen'').
    (B) For each day that the vessel is in the exclusive economic zone 
of New Zealand, a notification must be submitted no later than noon of 
the following day of the vessel's position (latitude and longitude to 
nearest minute of arc) at noon.
    (C) For each week or portion thereof that the vessel is in the 
exclusive economic zone of New Zealand, a report that covers the period 
from 12:01 a.m. on Monday to 12 midnight on the following Sunday must be 
submitted and received by noon of the following Wednesday (local time). 
The report must include the amount of the catch taken in the exclusive 
economic zone of New Zealand during the reporting period.
    (D) At least 10 days prior to an intended transshipment in an area 
under the jurisdiction of New Zealand, a notification must be submitted 
that includes the intended port, date, and time of transshipment.
    (E) At least 24 hours prior to exiting the exclusive economic zone 
of New Zealand, a notification must be submitted that includes the 
following information: position of the intended point of exit (latitude 
and longitude to nearest minute of arc); the amount of catch on board 
the vessel, by species; and condition of the catch on board the vessel 
(``fresh'' or ``frozen'').
    (v) Solomon Islands. (A) At least 24 hours prior to entry into 
Solomon Islands Fisheries Limits, a report must be submitted that 
includes the following information: expected vessel position (latitude 
and longitude to nearest minute of arc) and expected date and time of 
entry.
    (B) For each week or portion thereof that the vessel is in the 
exclusive economic zone of Solomon Islands, a report that covers the 
period from 12:01 a.m. on Monday to 12 midnight on the following Sunday 
must be submitted and received by noon of the following Tuesday (local 
time). The report must include the amount of the catch taken and the 
number of fishing days spent in the exclusive economic zone of Solomon 
Islands during the reporting period.
    (vi) Tonga. (A) Each day while the vessel is in the exclusive 
economic zone of Tonga, a report must be submitted that includes the 
vessel's position (latitude and longitude to nearest minute of arc).
    (B) [Reserved]
    (vii) Tuvalu. (A) At least 24 hours prior to entering Tuvalu fishery 
limits, a report must be submitted that includes the following 
information: vessel name; IRCS; country of registration of the vessel; 
the number of the vessel's license issued under Sec.  300.32; intended 
vessel position (latitude and longitude to nearest minute of arc) at 
entry; and amount of catch on board the vessel, by species.
    (B) Every seventh day that the vessel is in Tuvalu fishery limits, a 
report must be submitted that includes vessel position (latitude and 
longitude to nearest minute of arc) and the total amount of catch on 
board the vessel.
    (C) Immediately upon exit from Tuvalu fishery limits, a notification 
must be submitted that includes vessel position (latitude and longitude 
to nearest minute of arc) and the total amount of catch on board the 
vessel.

[72 FR 6151, Feb. 9, 2007]



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

[[Page 181]]

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 any Closed Area.
    (5) 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.
    (6) To refuse to comply with the instructions of an authorized 
officer or authorized party officer relating to fishing activities under 
the Treaty.
    (7) To refuse to permit an authorized inspector full access to any 
place where fish taken in the Licensing Area is unloaded.
    (8) To refuse to allow an authorized inspector to remove samples of 
fish from a vessel that fished in the Licensing Area.
    (9) 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.
    (10) To transship fish on board a vessel that fished in the 
Licensing Area, except in accordance with the requirements of Sec.  
300.46.
    (11) To fail to have installed, allow to be programmed, carry, or 
have operational a VMS unit while in the Treaty Area as specified in 
Sec.  300.45(a).
    (12) To fail to activate a VMS unit, to interrupt, interfere with, 
or impede the operation of a VMS unit, to tamper with, alter, damage, or 
disable a VMS unit, or to move or remove a VMS unit without prior 
notification as specified in Sec.  300.45(e).
    (13) In the event of a VMS unit failure or breakdown or interruption 
of automatic position reporting in the Treaty Area, to fail to submit 
manual position reports as specified in Sec.  300.45(f).
    (14) In the event of a VMS unit failure or breakdown or interruption 
of automatic position reporting in the Treaty Area and if directed by 
the Administrator or an authorized officer, to fail to stow fishing gear 
or take the vessel to a designated port as specified in Sec.  300.45(f).
    (15) To fail to repair or replace a VMS unit as specified in Sec.  
300.45(h).
    (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:

[[Page 182]]

    (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 an 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.

[61 FR 35550, July 5, 1996, as amended at 72 FR 6153, Feb. 9, 2007]



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 or to fishing by vessels using the longline 
method in the high seas areas of the Treaty Area.
    (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.

[61 FR 35550, July 5, 1996, as amended at 72 FR 6153, Feb. 9, 2007]



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:
    (1) The fishing vessel--
    (i) While fishing in the Licensing Area did not have a license 
issued under Sec.  300.32 to fish in the Licensing Area, and that under 
the terms of the Treaty the fishing is not authorized to be conducted in 
the Licensing Area without such 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;

[[Page 183]]

    (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 by a Pacific Island Party that 
such 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.

[61 FR 35550, July 5, 1996, as amended at 72 FR 6154, Feb. 9, 2007]



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 Licensing Area without 
interfering unduly with the lawful operation of the vessel.



Sec.  300.45  Vessel Monitoring System.

    (a) Applicability. Holders of vessel licenses issued under Sec.  
300.32 are required, in order to have the licensed vessel in the Treaty 
Area, to:
    (1) Have installed a VMS unit on board the licensed vessel;
    (2) Allow the Administrator, its agent, or a person authorized by 
the Administrator to program the VMS unit to transmit position and 
related information to the Administrator;
    (3) If directed by the Regional Administrator, allow NMFS, its 
agent, or a person authorized by NMFS to program the VMS unit to 
transmit position and related information to NMFS; and
    (4) Carry and have operational the VMS unit at all times while in 
the Treaty Area, except as provided in paragraphs (f) and (g) of this 
section.
    (b) FFA Vessel Register. Purse seine vessels must be in good 
standing on the FFA Vessel Register maintained by the Administrator in 
order to be licensed

[[Page 184]]

under the Treaty. FFA Vessel Register application forms may be obtained 
from the Regional Administrator or the Administrator or from the FFA Web 
site: http://www.ffa.int. Purse seine vessel owners or operators must 
submit completed FFA Vessel Register applications to the Regional 
Administrator for transmittal to the Administrator and pay fees for 
registration of their vessel(s) on the FFA Vessel Register annually. The 
vessel owner or operator may submit a completed FFA Vessel Register 
application form at any time, but the application must be received by 
the Regional Administrator at least seven days before the first day of 
the next licensing period to avoid the potential lapse of the 
registration and license between licensing periods.
    (c) VMS unit installation. A VMS unit required under this section 
must be installed by a person authorized by the Administrator. A list of 
Administrator-authorized VMS unit installers may be obtained from the 
Regional Administrator or the Administrator.
    (d) Hardware and software specifications. The VMS unit installed and 
carried on board a vessel to comply with the requirements of this 
section must consist of hardware and software that is approved by the 
Administrator and approved by NMFS. A current list of hardware and 
software approved by the Administrator may be obtained from the 
Administrator. A current list of hardware and software approved by NMFS 
may be obtained from NMFS.
    (e) Service activation. Other than when in port or in a shipyard and 
having given proper notification to the Administrator as specified in 
paragraph (g) of this section, the owner or operator of a vessel 
licensed under Sec.  300.32 must, when the vessel is in the Treaty Area:
    (1) Activate the VMS unit on board the licensed vessel to transmit 
automatic position reports;
    (2) Ensure that no person interrupts, interferes with, or impedes 
the operation of the VMS unit or tampers with, alters, damages, or 
disables the VMS unit, or attempts any of the same; and
    (3) Ensure that no person moves or removes the VMS unit from the 
installed position without first notifying the Administrator by 
telephone, facsimile, or e-mail of such movement or removal.
    (f) Interruption of VMS unit signal. When a vessel owner or operator 
is notified by the Administrator or an authorized officer that automatic 
position reports are not being received, or the vessel owner or operator 
is otherwise alerted or aware that transmission of automatic position 
reports has been interrupted, the vessel owner and operator must comply 
with the following:
    (1) The vessel owner or operator must submit manual position reports 
that include vessel name, call sign, current position (latitude and 
longitude to the nearest minute), date, and time to the Administrator by 
telephone, facsimile, or e-mail at intervals of no greater than eight 
hours or a shorter interval if and as specified by the Administrator or 
an authorized officer. The reports must continue to be submitted until 
the Administrator has confirmed to the vessel owner or operator that the 
VMS unit is properly transmitting position reports. If the manual 
position reports cannot be made, the vessel operator or owner must 
notify the Administrator of such as soon as possible, by any means 
possible.
    (2) If directed by the Administrator or an authorized officer, the 
vessel operator must immediately stow the fishing gear in the manner 
described in Sec.  300.36, take the vessel directly to a port designated 
by the Administrator or authorized officer, and notify the Administrator 
by telephone, facsimile, or e-mail as soon as possible that the vessel 
is being taken to port with fishing gear stowed.
    (g) Shutdown of VMS unit while in port or in shipyard. When a vessel 
is in port and not moving, the VMS unit may be shut down, provided that 
the Administrator has been notified by telephone, facsimile, or e-mail 
that the vessel is in port and of the intended shutdown, and only as 
long as manual position reports as described in paragraph (f)(1) of this 
section are submitted to the Administrator at intervals of no greater 
than 24 hours or a shorter interval if and as specified by the 
Administrator or an authorized officer. If the VMS unit is shut down 
while the vessel is in port, the vessel owner or operator must

[[Page 185]]

notify the Administrator by telephone, facsimile, or e-mail as soon as 
possible after the vessel's departure from port. When the vessel is in a 
shipyard, the VMS unit may be shut down and the submission of manual 
position reports is not required, provided that the Administrator has 
been notified by telephone, facsimile, or e-mail that the vessel is in 
the shipyard and of the intended VMS unit shutdown. If the VMS unit is 
shut down while the vessel is in a shipyard, the vessel owner or 
operator must notify the Administrator by telephone, facsimile, or e-
mail as soon as possible after the vessel's departure from the shipyard.
    (h) VMS unit repair and replacement. After a fishing trip during 
which interruption of automatic position reports has occurred, the 
vessel's owner or operator must have the VMS unit repaired or replaced 
prior to the vessel's next trip. If the VMS unit is replaced, the new 
VMS unit must be installed by an Administrator-authorized VMS unit 
installer, as specified in paragraph (c) of this section. In making such 
repairs or replacements, conformity with the current requirements must 
be met before the vessel may lawfully operate under the Treaty.
    (i) Access to data. As a condition to obtaining a license, holders 
of vessel licenses issued under Sec.  300.32 must allow the Regional 
Administrator, an authorized officer, the Administrator or an authorized 
party officer or designees access to the vessel's position data obtained 
from the VMS unit at the time of, or after, its transmission to the 
vendor or receiver.

[72 FR 6154, Feb. 9, 2007, as amended at 75 FR 74648, Dec. 1, 2010]



Sec.  300.46  Transshipping requirements.

    (a) Applicability. This section applies to vessels licensed under 
Sec.  300.32.
    (b) Transshipping may only be done at the time and place authorized 
for transshipment by the Pacific Island Parties, following the 
notification and request requirements of Sec.  300.34(c)(5).
    (c) The operator and each member of the crew of a vessel from which 
any fish taken in the Licensing Area is transshipped must:
    (1) Allow and assist any person identified as an officer of the 
Pacific Island Party to:
    (i) Have full access to the vessel and any place where such fish is 
being transshipped and the use of facilities and equipment that the 
officer may determine is necessary to carry out his or her duties;
    (ii) Have full access to the bridge, fish on board and areas which 
may be used to hold, process, weigh and store fish;
    (iii) Remove samples;
    (iv) Have full access to the vessel's records, including its log and 
documentation, for the purpose of inspection and copying; and
    (v) Gather any other information required to fully monitor the 
activity without interfering unduly with the lawful operation of the 
vessel; and
    (2) Not assault, obstruct, resist, delay, refuse boarding to, 
intimidate, or interfere with any person identified as an officer of the 
Pacific Island Party in the performance of his or her duties.
    (d) Transshipping at sea may only be done:
    (1) In a designated area in accordance with such terms and 
conditions as may be agreed between the operator of the vessel and the 
Pacific Island Party in whose jurisdiction the transshipment is to take 
place;
    (2) In accordance with the requirements of Sec.  300.34; and
    (3) If the catch is transshipped to a carrier vessel duly authorized 
in accordance with national laws.

[72 FR 6155, Feb. 9, 2007]



                   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

[[Page 186]]

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.
    Alaska Native tribe means, for purposes of the subsistence fishery 
for Pacific halibut in waters in and off Alaska, a Federally recognized 
Alaska Native tribe that has customary and traditional use of halibut 
and that is listed in Sec.  300.65(g)(2) of this part.
    Annual combined catch limit, for purposes of commercial and sport 
fishing in Commission regulatory areas 2C and 3A, means the annual total 
allowable halibut removals (halibut harvest plus wastage) by persons 
fishing IFQ and by charter vessel anglers.
    Annual commercial catch limit, for purposes of commercial fishing in 
Commission regulatory areas 2C and 3A, means the annual commercial 
allocation minus an area-specific estimate of commercial halibut 
wastage.
    Annual guided sport catch limit, for purposes of sport fishing in 
Commission regulatory areas 2C and 3A, means the annual guided sport 
allocation minus an area-specific estimate of guided sport halibut 
wastage.
    Area 2A includes all waters off the States of California, Oregon, 
and Washington.
    Area 2C includes all waters off Alaska that are east of a line 
running 340 true from Cape Spencer Light (58 11" 54 N. lat., 136 38" 
24 W. long.) and south and east of a line running 205 true from said 
light.
    Area 3A means all waters between Area 2C and a line extending from 
the most northerly point on Cape Aklek (5741"15 N. latitude, 
15535"00 W. longitude) to Cape Ikolik (5717"17 N. latitude, 
15447"18 W. longitude), then along the Kodiak Island coastline to Cape 
Trinity (5644"50 N. latitude, 15408"44 W. longitude), then 140 
true.
    Charter halibut permit means a permit issued by the National Marine 
Fisheries Service pursuant to Sec.  300.67.
    Charter vessel, for purposes of Sec. Sec.  300.65, 300.66, and 
300.67, means a vessel used while providing or receiving sport fishing 
guide services for halibut.
    Charter vessel angler, for purposes of Sec. Sec.  300.65, 300.66, 
and 300.67, means a person, paying or non-paying, receiving sport 
fishing guide services for halibut.
    Charter vessel fishing trip, for purposes of Sec. Sec.  300.65, 
300.66, and 300.67, means the time period between the first deployment 
of fishing gear into the water from a charter vessel by a charter vessel 
angler and the offloading of one or more charter vessel anglers or any 
halibut from that vessel.
    Charter vessel guide, for purposes of Sec. Sec.  300.65, 300.66 and 
300.67, means a person who holds an annual sport fishing guide license 
or registration issued by the Alaska Department of Fish and Game, or a 
person who provides sport fishing guide services.
    Charter vessel operator, for purposes of Sec.  300.65, means the 
person in control of the charter vessel during a charter vessel fishing 
trip.
    Chiniak Bay means all waters bounded by the shoreline and straight 
lines connecting the coordinates in the order listed:
    (1) North from Cape Chiniak (5737.22" N. lat., 1529.36" W. long.);
    (2) To Buoy 1 at Williams Reef (5750.36" N. lat., 
1528.82" W. long.);
    (3) To East Cape on Spruce Island (5754.89" N. lat., 15219.45" W. 
long.);
    (4) To Termination Point on Kodiak Island (5751.31" N. lat., 
15224.01" W. long.); and
    (5) Connecting to a line running counterclockwise along the 
shoreline of Kodiak Island to Cape Chiniak (5737.22" N. lat., 1529.36" 
W. long.).
    Commercial fishing means fishing, the resulting catch of which 
either is, or is intended to be, sold or bartered but does not include 
subsistence fishing.
    Commission means the International Pacific Halibut Commission.
    Commission regulatory area means an area defined by the Commission 
for purposes of the Convention identified in 50 CFR 300.60 and 
prescribed in the annual management measures published pursuant to 50 
CFR 300.62.
    Community charter halibut permit means a permit issued by NMFS to a

[[Page 187]]

Community Quota Entity pursuant to Sec.  300.67.
    Compensation, for purposes of sport fishing for Pacific halibut in 
Commission regulatory areas 2C and 3A, means direct or indirect payment, 
remuneration, or other benefits received in return for services, 
regardless of the source; for this definition, ``benefits'' includes 
wages or other employment benefits given directly or indirectly to an 
individual or organization, and any dues, payments, fees, or other 
remuneration given directly or indirectly to a fishing club, business, 
organization, or individual who provides sport fishing guide services; 
and does not include reimbursement for the actual daily expenses for 
fuel, food, or bait.
    Crew member, for purposes of Sec. Sec.  300.65 and 300.67, means an 
assistant, deckhand, or similar person who works directly under the 
supervision of, and on the same vessel as, a charter vessel guide or 
operator of a vessel with one or more charter vessel anglers on board.
    Customary trade means, for purposes of the subsistence fishery for 
Pacific halibut in waters in and off Alaska, the non-commercial exchange 
of subsistence halibut for anything other than items of significant 
value.
    Fishing means the taking, harvesting, or catching of fish, or any 
activity that can reasonably be expected to result in the taking, 
harvesting, or catching of fish, including specifically the deployment 
of any amount or component part of setline gear anywhere in the maritime 
area.
    Fishing week, for purposes of Sec.  300.65(d), means a time period 
that begins at 0001 hours, A.l.t., Monday morning and ends at 2400 
hours, A.l.t., the following Sunday night.
    Guided Angler Fish (GAF) means halibut transferred within a year 
from a Commission regulatory area 2C or 3A IFQ permit holder to a GAF 
permit that is issued to a person holding a charter halibut permit, 
community charter halibut permit, or military charter halibut permit for 
the corresponding area.
    Guided Angler Fish (GAF) permit means an annual permit issued by the 
National Marine Fisheries Service pursuant to Sec.  300.65(c)(5)(iii).
    Guided Angler Fish (GAF) permit holder means the person identified 
on a GAF permit.
    Halibut harvest means the catching and retaining of any halibut.
    Head-on length means a straight line measurement passing over the 
pectoral fin from the tip of the lower jaw with the mouth closed to the 
extreme end of the middle of the tail.
    Individual Fishing Quota (IFQ), for purposes of this subpart, means 
the annual catch limit of halibut that may be harvested by a person who 
is lawfully allocated a harvest privilege for a specific portion of the 
annual commercial catch limit of halibut.
    IFQ fishing trip, for purposes of the subpart, means the period 
beginning when a vessel operator commences harvesting IFQ halibut and 
ending when the vessel operator lands any species.
    IFQ halibut means any halibut that is harvested with setline or 
other hook and line gear while commercial fishing in any IFQ regulatory 
area defined at Sec.  679.2 of this title.
    Military charter halibut permit means a permit issued by NMFS to a 
United States Military Morale, Welfare and Recreation Program pursuant 
to Sec.  300.67.
    Overall length of a vessel means the horizontal distance, rounded to 
the nearest ft/meter, between the foremost part of the stem and the 
aftermost part of the stern (excluding bowsprits, rudders, outboard 
motor brackets, and similar fittings or attachments).
    Person includes an individual, corporation, firm, or association.
    Power hauling means using electrically, hydraulically, or 
mechanically powered devices or attachments or other assisting devises 
or attachments to deploy and retrieve fishing gear. Power hauling does 
not include the use of hand power, a hand powered crank, a fishing rod, 
a downrigger, or a hand troll gurdy.
    Rural means, for purposes of the subsistence fishery for Pacific 
halibut in waters in and off Alaska, a community of Alaska listed at 
Sec.  300.65(g)(1) or an area of Alaska described at Sec.  300.65(g)(3) 
in which the non-commercial, customary, and traditional use of fish and 
game for personal or family consumption is a principal characteristic of 
the

[[Page 188]]

economy or area and in which there is a long-term, customary, and 
traditional use of halibut.
    Rural resident means, for purposes of the subsistence fishery for 
Pacific halibut in waters in and off Alaska:
    (1) An individual domiciled in a rural community listed in the table 
at Sec.  300.65(g)(1) and who has maintained a domicile in rural 
communities listed in the table at Sec.  300.65(g)(1), or in rural areas 
described at Sec.  300.65(g)(3), for the 12 consecutive months 
immediately preceding the time when the assertion of residence is made, 
and who is not claiming residency in another state, territory, or 
country; or
    (2) An individual domiciled in a rural area described at Sec.  
300.65(g)(3) and who has maintained a domicile in rural areas described 
at Sec.  300.65(g)(3), or in rural communities listed in the table at 
Sec.  300.65(g)(1), for the 12 consecutive months immediately preceding 
the time when the assertion of residence is made, and who is not 
claiming residency in another state, territory, or country.
    Setline gear means one or more stationary, buoyed, and anchored 
lines with hooks attached.
    Sport fishing means:
    (1) In regulatory area 2A, all fishing other than commercial fishing 
and treaty Indian ceremonial and subsistence fishing; and
    (2) In waters in and off Alaska, all fishing other than commercial 
fishing and subsistence fishing.
    Sport fishing guide services, for purposes of Sec. Sec.  300.65(d) 
and 300.67, means assistance, for compensation or with the intent to 
receive compensation, to a person who is sport fishing, to take or 
attempt to take halibut by accompanying or physically directing the 
sport fisherman in sport fishing activities during any part of a charter 
vessel fishing trip. Sport fishing guide services do not include 
services provided by a crew member, as defined at Sec.  300.61.
    Subarea 2A-1 includes all waters off the coast of Washington that 
are north of the Quinault River, WA (4721.00" N. lat) and east of 
12544.00' W. long; all waters off the coast of Washington that are 
between the Quinault River, WA (4721.00" N. lat) and Point Chehalis, WA 
(4653.30" N. lat.), and east of 12508.50" W. long.; and all inland 
marine waters of Washington.
    Subsistence means, with respect to waters in and off Alaska, the 
non-commercial, long-term, customary and traditional use of halibut.
    Subsistence halibut means halibut caught by a rural resident or a 
member of an Alaska Native tribe for direct personal or family 
consumption as food, sharing for personal or family consumption as food, 
or customary trade.
    Subsistence halibut registration certificate (SHARC) means 
documentation, issued by NMFS, of the registration required at Sec.  
300.65(i).
    Treaty Indian tribes means the Hoh, Jamestown S'Klallam, Lower Elwha 
S'Klallam, Lummi, Makah, Port Gamble S'Klallam, Quileute, Quinault, 
Skokomish, Suquamish, Swinomish, Tulalip, and Nooksack tribes.
    Valid, with respect to a charter halibut permit for purposes of 
Sec. Sec.  300.66 and 300.67, means the charter halibut permit that is 
currently in effect.

[61 FR 35550, July 5, 1996, as amended at 64 FR 52469, Sept. 29, 1999; 
68 FR 18156, Apr. 15, 2003; 68 FR 47264, Aug. 8, 2003; 72 FR 30727, June 
4, 2007; 72 FR 67669, Nov. 30, 2007; 73 FR 30523, May 28, 2008; 73 FR 
52797, Sept. 11, 2008; 73 FR 54939, Sept. 24, 2008; 74 FR 11697, Mar. 
19, 2009; 74 FR 21227, May 6, 2009; 74 FR 57109, Nov. 4, 2009; 75 FR 
599, Jan. 5, 2010; 76 FR 6571, Feb. 7, 2011; 78 FR 75885, Dec. 12, 2013; 
80 FR 35205, June 19, 2015; 81 FR 18795, Apr. 1, 2016]



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

[[Page 189]]

Register by March 15 each year. Annual management measures may be 
adjusted inseason by the Commission.



Sec.  300.63  Catch sharing plan and domestic management measures in Area 2A.

    (a) A catch sharing plan (CSP) may be developed by the Pacific 
Fishery Management Council and approved by NMFS for portions of the 
fishery. Any approved CSP may be obtained from the Administrator, West 
Coast Region, NMFS.
    (b)(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 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) A portion of the Area 2A Washington recreational TAC is 
allocated as incidental catch in the sablefish primary fishery north of 
4653.30' N. lat, (Pt. Chehalis, Washington), which is regulated under 
50 CFR 660.231. This fishing opportunity is only available in years in 
which the Area 2A TAC is greater than 900,000 lb (408.2 mt,) provided 
that a minimum of 10,000 lb (4.5 mt) is available above a Washington 
recreational TAC of 214,100 lb (97.1 mt). Each year that this harvest is 
available, the landing restrictions necessary to keep this 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. These restrictions will be designed to ensure the 
halibut harvest is incidental to the sablefish harvest and will be based 
on the amounts of halibut and sablefish available to this fishery, and 
other pertinent factors. The restrictions may include catch or landing 
ratios, landing limits, or other means to control the rate of halibut 
landings.
    (i) In years when this incidental harvest of halibut in the 
sablefish primary fishery north of 4653.30" N. lat. is allowed, it is 
allowed only for vessels using longline gear that are registered to 
groundfish limited entry permits with sablefish endorsements and that 
possess the appropriate incidental halibut harvest license issued by the 
Commission.
    (ii) It is unlawful for any person to possess, land or purchase 
halibut south of 4653.30" N. lat. that were taken and retained as 
incidental catch authorized by this section in the sablefish primary 
fishery.
    (4) The commercial longline fishery in area 2A is governed by the 
annual management measures published pursuant to Sec. Sec.  300.62 and 
300.63.
    (5) 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
    (c) Flexible Inseason Management Provisions for Sport Halibut 
Fisheries in Area 2A. (1) The Regional Administrator, NMFS West Coast 
Region, after consultation with the Chairman of the Pacific Fishery 
Management Council, the Commission Executive Director, and the Fisheries 
Director(s) of the affected state(s), or their designees, is authorized 
to modify regulations during the season after making the following 
determinations:
    (i) The action is necessary to allow allocation objectives to be 
met.
    (ii) The action will not result in exceeding the catch limit for the 
area.
    (iii) If any of the sport fishery subareas north of Cape Falcon, 
Oregon are not projected to utilize their respective quotas by September 
30, NMFS may take inseason action to transfer any projected unused quota 
to another Washington sport subarea.

[[Page 190]]

    (iv) If any of the sport fishery subareas south of Leadbetter Point, 
Washington, are not projected to utilize their respective quotas by 
their season ending dates, NMFS may take inseason action to transfer any 
projected unused quota to another Oregon sport subarea.
    (2) Flexible inseason management provisions include, but are not 
limited to, the following:
    (i) Modification of sport fishing periods;
    (ii) Modification of sport fishing bag limits;
    (iii) Modification of sport fishing size limits;
    (iv) Modification of sport fishing days per calendar week; and
    (v) Modification of subarea quotas.
    (3) Notice procedures. (i) Actions taken under this section will be 
published in the Federal Register.
    (ii) Actual notice of inseason management actions will be provided 
by a telephone hotline administered by the West Coast Region, NMFS, at 
206-526-6667 or 800-662-9825. Since provisions of these regulations may 
be altered by inseason actions, sport fishers should monitor the 
telephone hotline for current information for the area in which they are 
fishing.
    (4) Effective dates. (i) Any action issued under this section is 
effective on the date specified in the publication or at the time that 
the action is filed for public inspection with the Office of the Federal 
Register, whichever is later.
    (ii) If time allows, NMFS will invite public comment prior to the 
effective date of any inseason action filed with the Federal Register. 
If the Regional Administrator determines, for good cause, that an 
inseason action must be filed without affording a prior opportunity for 
public comment, public comments will be received for a period of 15 days 
after publication of the action in the Federal Register.
    (iii) Any inseason action issued under this section will remain in 
effect until the stated expiration date or until rescinded, modified, or 
superseded. However, no inseason action has any effect beyond the end of 
the calendar year in which it is issued.
    (5) Availability of data. The Regional Administrator will compile, 
in aggregate form, all data and other information relevant to the action 
being taken and will make them available for public review during normal 
office hours at the West Coast Regional Office, NMFS, Sustainable 
Fisheries Division, 7600 Sand Point Way NE., Seattle, Washington.
    (d) Fishery Election in Area 2A. (1) A vessel that fishes in Area 2A 
may participate in only one of the following three fisheries in Area 2A:
    (i) The sport fishery under section 26 of the annual domestic 
management measures and IPHC regulations;
    (ii) The commercial directed fishery for halibut during the fishing 
period(s) established in section 8 of the annual domestic management 
measures and IPHC regulations and/or the incidental retention of halibut 
during the sablefish primary fishery described at 50 CFR 660.231; or
    (iii) The incidental catch fishery during the salmon troll fishery 
as authorized in section 8 of the annual domestic management measures 
and IPHC regulations.
    (2) No person shall fish for halibut in the sport fishery in Area 2A 
under section 24 of the annual domestic management measures and IPHC 
regulations from a vessel that has been used during the same calendar 
year for commercial halibut fishing in Area 2A or that has been issued a 
permit for the same calendar year for the commercial halibut fishery in 
Area 2A.
    (3) No person shall fish for halibut in the directed commercial 
halibut fishery during the fishing periods established in section 8 of 
the annual domestic management measures and IPHC regulations and/or 
retain halibut incidentally taken in the sablefish primary fishery in 
Area 2A from a vessel that has been used during the same calendar year 
for the incidental catch fishery during the salmon troll fishery as 
authorized in Section 8 of the annual domestic management measures and 
IPHC regulations.
    (4) No person shall fish for halibut in the directed commercial 
halibut fishery and/or retain halibut incidentally taken in the 
sablefish primary fishery in Area 2A from a vessel that, during the same 
calendar year, has been used in the sport halibut fishery in Area 2A

[[Page 191]]

or that is licensed for the sport charter halibut fishery in Area 2A.
    (5) No person shall retain halibut in the salmon troll fishery in 
Area 2A as authorized under section 8 of the annual domestic management 
measures and IPHC regulations taken on a vessel that, during the same 
calendar year, has been used in the sport halibut fishery in Area 2A, or 
that is licensed for the sport charter halibut fishery in Area 2A.
    (6) No person shall retain halibut in the salmon troll fishery in 
Area 2A as authorized under section 8 of the annual domestic management 
measures and IPHC regulations taken on a vessel that, during the same 
calendar year, has been used in the directed commercial halibut fishery 
during the fishing periods established in Section 8 of the annual 
domestic management measures and IPHC regulations and/or retained 
halibut incidentally taken in the sablefish primary fishery for Area 2A 
or that is licensed to participate in these commercial fisheries during 
the fishing periods established in Section 8 of the annual domestic 
management measures and IPHC regulations in Area 2A.
    (e) Area 2A Non-Treaty Commercial Fishery Closed Areas. (1) Non-
treaty commercial vessels operating in the directed commercial fishery 
for halibut in Area 2A are required to fish outside of a closed area, 
known as the Rockfish Conservation Area (RCA), that extends along the 
coast from the U.S./Canada border south to 4010" N. lat. Between the 
U.S./Canada border and 4616" N. lat., the eastern boundary of the RCA, 
is the shoreline. Between 4616" N. lat. and 4010" N. lat., the RCA is 
defined along an eastern boundary by a line approximating the 30-fm (55-
m) depth contour. Coordinates for the 30-fm (55-m) boundary are listed 
at 50 CFR 660.71(e). Between the U.S./Canada border and 4010" N. lat., 
the RCA is defined along a western boundary approximating the 100-fm 
(183-m) depth contour. Coordinates for the 100-fm (183-m) boundary are 
listed at 50 CFR 660.73(a).
    (2) Non-treaty commercial vessels operating in the incidental catch 
fishery during the sablefish primary fishery north of Pt. Chehalis, 
Washington, in Area 2A are required to fish outside of a closed area. 
Under Pacific Coast groundfish regulations at 50 CFR 660.230, fishing 
with limited entry fixed gear is prohibited within the North Coast 
Commercial Yelloweye Rockfish Conservation Area (YRCA). It is unlawful 
to take and retain, possess, or land halibut taken with limited entry 
fixed gear within the North Coast Commercial YRCA. The North Coast 
Commercial YRCA is an area off the northern Washington coast, 
overlapping the northern part of the North Coast Recreational YRCA, and 
is defined by straight lines connecting latitude and longitude 
coordinates. Coordinates for the North Coast Commercial YRCA are 
specified in groundfish regulations at 50 CFR 660.70(b).
    (3) Non-treaty commercial vessels operating in the incidental catch 
fishery during the salmon troll fishery in Area 2A are required to fish 
outside of a closed area. Under the Pacific Coast groundfish regulations 
at 50 CFR 660.330(10), fishing with salmon troll gear is prohibited 
within the Salmon Troll YRCA. It is unlawful for commercial salmon troll 
vessels to take and retain, possess or land fish within the Salmon Troll 
YRCA. The Salmon Troll YRCA is an area off the northern Washington coast 
and is defined by straight lines connecting latitude and longitude 
coordinates. Coordinates for the Salmon Troll YRCA are specified in 
groundfish regulations at 50 CFR 660.70(c), and in salmon regulations at 
50 CFR 660.405.

[61 FR 35550, July 5, 1996]

    Editorial Note: For Federal Register citations affecting Sec.  
300.63, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



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.

[[Page 192]]

    (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, receipt and possession, 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 
13 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.......................................  The area between 4754.30" N.
                                             lat. (Quillayute River) and
                                             4721.00" N. lat. (Quinault
                                             River) and east of
                                             12544.00" 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.
MAKAH.....................................  The area north of 4802.25"
                                             N. lat. (Norwegian
                                             Memorial) and east of
                                             12544.00" W. long.
NOOKSACK..................................  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
                                             Nooksack Tribe may fish
                                             under rights secured by
                                             treaties with the United
                                             States.
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..................................  The area between 4810.00" N.
                                             lat. (Cape Alava) and
                                             4731.70" N. lat. (Queets
                                             River) and east of
                                             12544.00" W. long
QUINAULT..................................  The area between 4740.10" N.
                                             lat. (Destruction Island)
                                             and 4653.30" N. lat. (Point
                                             Chehalis) and east of
                                             12508.50" 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.

[[Page 193]]

 
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.
------------------------------------------------------------------------


[61 FR 35550, July 5, 1996, as amended at 74 FR 11697, Mar. 19, 2009; 76 
FR 14319, Mar. 16, 2011; 81 FR 18795, Apr. 1, 2016]



Sec.  300.65  Catch sharing plan and domestic management measures in 
waters in and off Alaska.

    (a) A catch sharing plan (CSP) may be developed by the North Pacific 
Fishery Management Council and approved by NMFS for portions of the 
fishery. Any approved CSP may be obtained from the Administrator, Alaska 
Region, NMFS.
    (b) The catch sharing plan for Commission regulatory area 4 
allocates the annual commercial catch limit among Areas 4C, 4D, and 4E 
and will be adopted by the Commission as annual management measures and 
published in the Federal Register as required in Sec.  300.62.
    (c) Catch sharing plan (CSP) for Commission Regulatory Areas 2C and 
3A--(1) General. The catch sharing plan for Commission regulatory areas 
2C and 3A:
    (i) Allocates the annual combined catch limit for Commission 
regulatory areas 2C and 3A in order to establish the annual commercial 
catch limit and the annual guided sport catch limit for the halibut 
commercial fishing and sport fishing seasons, pursuant to paragraphs 
(c)(3) and (4) of this section; and
    (ii) Authorizes the use of Commission regulatory areas 2C and 3A 
halibut IFQ as guided angler fish (GAF) for harvest by charter vessel 
anglers in the corresponding area, pursuant to paragraph (c)(5) of this 
section.
    (2) Implementation. The Commission regulatory areas 2C and 3A CSP 
annual combined catch limits, annual commercial catch limits, and annual 
guided sport catch limits are adopted by the Commission as annual 
management measures and published by NMFS in the Federal Register as 
required in Sec.  300.62.
    (3) Annual commercial catch limits. (i) The Commission regulatory 
areas 2C and 3A annual commercial catch limits are determined by 
subtracting wastage from the allocations in Tables 1 and 2 of this 
subpart E, adopted by the Commission as annual management measures, and 
published in the Federal Register as required in Sec.  300.62.
    (ii) Commercial fishing in Commission regulatory areas 2C and 3A is 
governed by the Commission's annual management measures and by 
regulations at 50 CFR part 679, subparts A, B, D, and E.
    (4) Annual guided sport catch limits. (i) The Commission regulatory 
areas 2C and 3A annual guided sport catch limits are determined by 
subtracting wastage from the allocations in Tables 3 and 4 of this 
subpart E, adopted by the Commission as annual management measures, and 
published in the Federal Register as required in Sec.  300.62.
    (ii) Sport fishing by charter vessel anglers in Commission 
regulatory areas 2C and 3A is governed by the Commission's annual 
management measures and by regulations at 50 CFR part 300, subparts A 
and E.
    (5) Guided Angler Fish (GAF). This paragraph (Sec.  300.65(c)(5)) 
governs the transfer of Commission regulatory areas 2C and 3A halibut 
between individual fishing quota (IFQ) and guided

[[Page 194]]

angler fish (GAF), the issuance of GAF permits, and GAF use.
    (i) General. (A) GAF is derived from halibut IFQ that is transferred 
from a Commission regulatory area 2C or 3A IFQ permit holder's account 
held by a person who also holds quota share (QS), as defined in Sec.  
679.2 of this title, to a GAF permit holder's account for the same 
regulatory area.
    (B) A GAF permit authorizes a charter vessel angler to retain GAF 
that are caught in the Commission regulatory area specified on a GAF 
permit:
    (1) During the sport halibut fishing season adopted by the 
Commission as annual management measures and published in the Federal 
Register as required in Sec.  300.62, and
    (2) Subject to the GAF use restrictions at paragraphs (c)(5)(iv)(A) 
through (K) of this section.
    (C) NMFS will return unharvested GAF to the IFQ permit holder's 
account from which the GAF were derived on or after fifteen calendar 
days prior to the closing of the commercial halibut fishing season each 
year, subject to paragraph (c)(5)(ii) of this section and underage 
provisions at Sec.  679.40(e) of this title.
    (ii) Transfer Between IFQ and GAF--(A) General. A transfer between 
IFQ and GAF means any transaction in which halibut IFQ passes between an 
IFQ permit holder and a GAF permit holder as:
    (1) A transfer of IFQ to GAF, in which halibut IFQ equivalent 
pounds, as defined in Sec.  679.2 of this title, are transferred from a 
Commission regulatory area 2C or 3A IFQ permit account, converted to 
number(s) of GAF as specified in paragraph (c)(5)(ii)(E) of this 
section, and assigned to a GAF permit holder's account in the same 
management area;
    (2) A transfer of GAF to IFQ, in which GAF in number(s) of fish are 
transferred from a GAF permit holder's account in Commission regulatory 
area 2C or 3A, converted to IFQ equivalent pounds as specified in 
paragraph (c)(5)(ii)(E) of this section, and assigned to the same IFQ 
permit holder's account from which the GAF were derived; or
    (3) The return of unharvested GAF by NMFS to the IFQ permit holder's 
account from which it was derived, on or after 15 calendar days prior to 
the closing of the commercial halibut fishing season.
    (B) Transfer procedure--(1) Application for Transfer Between IFQ and 
GAF. A transfer between IFQ and GAF requires Regional Administrator 
review and approval of a complete Application for Transfer Between IFQ 
and GAF. Both the transferor and the transferee are required to complete 
and sign the application. Transfers will be conducted via methods 
approved by NMFS. The Regional Administrator shall provide an 
Application for Transfer Between IFQ and GAF on the NMFS Alaska Region 
Web site at http://alaskafisheries. noaa.gov/ram/default.htm. An 
Application for Transfer Between IFQ and GAF is not required for the 
return of unharvested GAF by NMFS to the IFQ permit holder's account 
from which it was derived, 15 calendar days prior to the closing of the 
commercial halibut fishing season for that year.
    (2) Application timing. The Regional Administrator will not approve 
any Application for Transfer Between IFQ and GAF before annual IFQ is 
issued for each year or after one month prior to the closing of the 
commercial fishing season for that year. Applications to transfer GAF to 
IFQ will be accepted from August 1 through August 31 only.
    (3) Transfer due to court order, operation of law, or as part of a 
security agreement. NMFS may approve an Application for Transfer Between 
IFQ and GAF to return GAF to the IFQ permit holder's account from which 
it derived pursuant to a court order, operation of law, or a security 
agreement.
    (4) Notification of decision on application. (i) Persons who submit 
an Application for Transfer Between IFQ and GAF to the Regional 
Administrator will receive notification of the Regional Administrator's 
decision to approve or disapprove the application for transfer.
    (ii) If an Application for Transfer Between IFQ and GAF is 
disapproved, NMFS will provide the reason(s) in writing by mail, posted 
on the date of that decision.
    (iii) Disapproval of an Application for Transfer Between IFQ and GAF 
may be

[[Page 195]]

appealed pursuant to Sec.  679.43 of this title.
    (iv) The Regional Administrator will not approve a transfer between 
IFQ and GAF on an interim basis if an applicant appeals a disapproval of 
an Application for Transfer Between IFQ and GAF pursuant to Sec.  679.43 
of this title.
    (5) IFQ and GAF accounts. (i) Accounts affected by either a Regional 
Administrator-approved Application for Transfer Between IFQ and GAF or 
the return of unharvested GAF to IFQ on or after 15 calendar days prior 
to the closing of the commercial halibut fishing season for that year 
will be adjusted on the date of approval or return. Applications for 
Transfer Between IFQ and GAF that are transfers of GAF to IFQ that have 
been approved by the Regional Administrator will be completed not 
earlier than September 1. Any necessary permits will be sent with the 
notification of the Regional Administrator's decision on the Application 
for Transfer Between IFQ and GAF.
    (ii) Upon approval of an Application for Transfer Between IFQ and 
GAF for an initial transfer from IFQ to GAF, NMFS will establish a new 
GAF account for the GAF applicant's account and issue the resulting new 
GAF and IFQ permits. If a GAF account already exists from a previous 
transfer from the same IFQ account in the corresponding management area 
in that year, NMFS will modify the GAF recipient's GAF account and the 
IFQ transferor's permit account and issue modified GAF and IFQ permits 
upon approval of an Application for Transfer Between IFQ and GAF.
    (iii) On or after 15 calendar days prior to the closing of the 
commercial halibut fishing season, NMFS will convert unharvested GAF 
from a GAF permit holder's account back into IFQ equivalent pounds as 
specified in paragraph (c)(5)(ii)(E)(2) of this section, and return the 
resulting IFQ equivalent pounds to the IFQ permit holder's account from 
which the GAF were derived, unless prevented by regulations at 15 CFR 
part 904.
    (C) Complete application. Applicants must submit a completed 
Application for Transfer Between IFQ and GAF to the Regional 
Administrator as instructed on the application. NMFS will notify 
applicants with incomplete applications of the specific information 
necessary to complete the application.
    (D) Application for Transfer Between IFQ and GAF approval criteria. 
An Application for Transfer Between IFQ and GAF will not be approved 
until the Regional Administrator has determined that:
    (1) The person applying to transfer IFQ to GAF or receive IFQ from a 
transfer of GAF to IFQ:
    (i) Possesses at least one unit of halibut quota share (QS), as 
defined in Sec.  679.2 of this title, in the applicable Commission 
regulatory area, either Area 2C or Area 3A, for which the transfer of 
IFQ to GAF is requested;
    (ii) Has been issued an annual IFQ Permit, as defined in Sec.  
679.4(d)(1) of this title, for the Commission regulatory area 
corresponding to the person's QS holding, either Area 2C or Area 3A, 
resulting from that halibut QS; and
    (iii) Has an IFQ permit holder's account with an IFQ amount equal to 
or greater than amount of IFQ to be transferred in the Commission 
regulatory area, either Area 2C or Area 3A, for which the transfer of 
IFQ to GAF is requested.
    (2) The person applying to receive or transfer GAF possesses a valid 
charter halibut permit, community charter halibut permit, or military 
charter halibut permit in the Commission regulatory area (Area 2C or 
Area 3A) that corresponds to the IFQ permit area from or to which the 
IFQ will be transferred.
    (3) For a transfer of IFQ to GAF:
    (i) The transfer between IFQ and GAF must not cause the GAF permit 
issued to exceed the GAF use limits in paragraphs (c)(5)(iv)(H)(1) and 
(2) of this section;
    (ii) The transfer must not cause the person applying to transfer IFQ 
to exceed the GAF use limit in paragraph (c)(5)(iv)(H)(3) of this 
section; and
    (iii) There must be no fines, civil penalties, sanctions, or other 
payments due and owing, or outstanding permit sanctions, resulting from 
Federal fishery violations involving either person or permit.
    (4) If a Community Quota Entity (CQE), as defined in Sec.  679.2 of 
this title,

[[Page 196]]

submits a ``Community Quota Entity Application for Transfer Between 
Individual Fishing Quota (IFQ) and Guided Angler Fish (GAF),'' the 
application will not be approved until the Regional Administrator has 
determined that:
    (i) The CQE applying to transfer IFQ to GAF is eligible to hold IFQ 
on behalf of the eligible community in Commission regulatory area 2C or 
3A designated in Table 21 to 50 CFR part 679;
    (ii) The CQE applying to transfer IFQ to GAF has received 
notification of approval of eligibility to receive IFQ for that 
community as described in Sec.  679.41(d)(1) of this title;
    (iii) The CQE applying to receive GAF from a Commission regulatory 
area 2C or 3A IFQ permit holder holds one or more charter halibut 
permits or community charter halibut permits for the corresponding area; 
and
    (iv) The CQE applying to transfer between IFQ and GAF has submitted 
a complete annual report(s) as required by Sec.  679.5(t) of this title.
    (E) Conversion between IFQ and GAF--(1) General. An annual 
conversion factor will be calculated to convert between net pounds 
(whole number, no decimal points) of halibut IFQ and number(s) of GAF 
(whole number, no decimal points) for Area 2C and Area 3A. This 
conversion factor will be posted on the NMFS Alaska Region Web site 
before the beginning of each commercial halibut fishing season.
    (2) Conversion calculation. The net pounds of IFQ transferred to or 
from an IFQ permit holder in Commission regulatory area 2C or 3A will be 
equal to the number(s) of GAF transferred to or from the GAF account of 
a GAF permit holder in the corresponding area, multiplied by the 
estimated average net weight determined as follows. For the first 
calendar year after the effective date of this rule, the average net 
weight will be estimated for all halibut harvested by charter vessel 
anglers during the most recent year without a size limit in effect. 
After the first calendar year after the effective date of this rule, the 
average net weight will be estimated from the average length of GAF 
retained in that area during the previous year as reported to RAM via 
the GAF electronic reporting system. If no GAF were harvested in a year, 
the conversion factor will be calculated using the same method as for 
the first calendar year after the effective date of this rule. NMFS will 
round up to the nearest whole number (no decimals) when transferring IFQ 
to GAF and when transferring GAF to IFQ. Expressed algebraically, the 
conversion formula is:
    IFQ net pounds = (number of GAF x average net weight).
    (3) The total number of net pounds converted from unharvested GAF 
and transferred to the IFQ permit holder's account from which it derived 
cannot exceed the total number of net pounds NMFS transferred from the 
IFQ permit holder's account to the GAF permit holder's account for that 
area in the current year.
    (iii) Guided Angler Fish (GAF) permit--(A) General. (1) A GAF permit 
authorizes a charter vessel angler to catch and retain GAF in the 
specified Commission regulatory area, subject to the limits in 
paragraphs (c)(5)(iv)(A) through (K) of this section, during a charter 
vessel fishing trip authorized by the charter halibut permit, community 
charter halibut permit, or military charter halibut permit that is 
designated on the GAF permit.
    (2) A GAF permit authorizes a charter vessel angler to catch and 
retain GAF in the specified Commission regulatory area from the time of 
permit issuance until any of the following occurs:
    (i) The amount of GAF in the GAF permit holder's account is zero;
    (ii) The permit expires at 11:59 p.m. (Alaska local time) on the day 
prior to 15 days prior to the end of the commercial halibut fishing 
season for that year;
    (iii) NMFS replaces the GAF permit with a modified GAF permit 
following NMFS approval of an Application for Transfer Between IFQ and 
GAF; or
    (iv) The GAF permit is revoked or suspended under 15 CFR part 904.
    (3) A GAF permit is issued for use in a Commission regulatory area 
(2C or 3A) to the person who holds a valid charter halibut permit, 
community charter halibut permit, or military charter halibut permit in 
the corresponding Commission regulatory area. Regulations governing 
issuance,

[[Page 197]]

transfer, and use of charter halibut permits are located in Sec.  
300.67.
    (4) A GAF permit is assigned to only one charter halibut permit, 
community charter halibut permit, or military charter halibut permit 
held by the GAF permit holder in the corresponding Commission regulatory 
area (2C or 3A).
    (5) If a charter vessel angler harvests GAF from a charter vessel 
with a charter vessel guide on board, a legible copy of a valid GAF 
permit and the assigned charter halibut permit, community charter 
halibut permit, or military charter halibut permit appropriate for the 
Commission regulatory area (2C or 3A) must be carried by the charter 
vessel operator on board the charter vessel used to harvest GAF at all 
times that such fish are retained on board and must be presented for 
inspection on request of any authorized officer. If a charter vessel 
angler harvests GAF from a charter vessel without a charter vessel guide 
on board, the charter vessel guide must retain the legible copy of the 
GAF permit and the assigned charter halibut permit, community charter 
halibut permit, or military charter halibut permit must be on the 
charter vessel with the charter vessel angler.
    (6) No person may alter, erase, mutilate, or forge a GAF permit or 
document issued under this section (Sec.  300.65(c)(5)(iii)). Any such 
permit or document that has been intentionally altered, erased, 
mutilated, or forged is invalid.
    (7) GAF permit holders must retain GAF permit(s) and associated GAF 
permit logs for two years after the end of the fishing year for which 
the GAF permit(s) was issued and make the GAF permit available for 
inspection upon the request of an authorized officer (as defined in 
Commission regulations).
    (B) Issuance. The Regional Administrator will issue a GAF permit 
upon approval of an Application to Transfer Between IFQ and GAF.
    (C) Transfer. GAF authorized by a GAF permit under this paragraph 
(Sec.  300.65(c)(5)(iii)) are not transferable to another GAF permit, 
except as provided under paragraph (c)(5)(ii) of this section.
    (iv) GAF use restrictions. (A) If a charter vessel angler harvests 
GAF from a charter vessel with a charter vessel guide on board, the 
charter vessel guide must have on board a legible copy of a valid GAF 
permit and the valid charter halibut permit, community charter halibut 
permit, or military charter halibut permit assigned to the GAF permit 
for the area of harvest. If a charter vessel angler harvests GAF from a 
charter vessel without a charter vessel guide on board, the legible copy 
of the valid GAF permit must be on board the same vessel as the charter 
vessel guide, and the original charter halibut permit, community charter 
halibut permit, or military charter halibut permit assigned to the GAF 
permit for the area of harvest must be on the charter vessel with the 
charter vessel angler.
    (B) The total number of GAF on board a vessel cannot exceed the 
number of unharvested GAF in the GAF permit holder's GAF account at the 
time of harvest.
    (C) The total number of halibut retained by a charter vessel angler 
harvesting GAF cannot exceed the sport fishing daily bag limit in effect 
for unguided sport anglers at the time of harvest adopted by the 
Commission as annual management measures and published in the Federal 
Register as required in Sec.  300.62.
    (D) Retained GAF are not subject to any length limit implemented by 
the Commission's annual management measures and published in the Federal 
Register as required in Sec.  300.62, if applicable.
    (E) Each charter vessel angler retaining GAF must comply with the 
halibut possession requirements adopted by the Commission as annual 
management measures and published in the Federal Register as required in 
Sec.  300.62.
    (F) The charter vessel guide must ensure that each charter vessel 
angler complies with paragraphs (c)(5)(iv)(A) through (E) of this 
section.
    (G) The charter vessel guide must be physically present when the GAF 
halibut is harvested and must immediately remove the tips of the upper 
and lower lobes of the caudal (tail) fin to mark all halibut caught and 
retained as GAF. If the GAF halibut is

[[Page 198]]

filleted, the entire carcass, with head and tail connected as a single 
piece, must be retained on board the charter vessel on which the halibut 
was caught until all fillets are offloaded.
    (H) Except as provided in paragraph (c)(5)(iv)(I) of this section, 
during the halibut sport fishing season adopted by the Commission as 
annual management measures and published in the Federal Register as 
required in Sec.  300.62, the following GAF use and IFQ transfer limits 
shall apply. GAF use limits do not apply to military charter halibut 
permits.
    (1) No more than 400 GAF may be assigned to a GAF permit that is 
assigned to a charter halibut permit or community charter halibut permit 
endorsed for six (6) or fewer charter vessel anglers in a year,
    (2) No more than 600 GAF may be assigned to a GAF permit that is 
assigned to a charter halibut permit endorsed for more than six (6) 
charter vessel anglers in a year; and
    (3) In Commission regulatory area 2C, a maximum of 1,500 pounds or 
ten (10) percent, whichever is greater, of the start year fishable IFQ 
pounds for an IFQ permit, may be transferred from IFQ to GAF. In 
Commission regulatory area 3A, a maximum of 1,500 pounds or fifteen (15) 
percent, whichever is greater, of the start year fishable IFQ pounds for 
an IFQ permit, may be transferred from IFQ to GAF. Start year fishable 
pounds is the sum of IFQ equivalent pounds, as defined in Sec.  679.2 of 
this title, for an area, derived from QS held, plus or minus adjustments 
made to that amount pursuant to Sec.  679.40(d) and (e) of this title.
    (I) The halibut QS equivalent of net pounds of halibut IFQ that is 
transferred to GAF is included in the computation of halibut QS use caps 
in Sec.  679.42(f)(1)(i) and (ii) of this title.
    (J) A CHP holder receiving GAF from a CQE is subject to Sec.  
679.42(f)(6) of this title. For a CHP holder who receives GAF from a 
CQE, the net poundage equivalent of all halibut IFQ received as GAF is 
included in the computation of that person's IFQ halibut holdings in 
Sec.  679.42(f)(6) of this title.
    (K) Applicability of GAF use restrictions to CQEs. The GAF use 
restrictions in paragraph (c)(5)(iv)(H) of this section do not apply if:
    (1) A CQE transfers IFQ as GAF to a GAF permit that is assigned to 
one or more charter halibut permits held by that CQE or community 
charter halibut permits held by that CQE;
    (2) A CQE transfers IFQ as GAF to another CQE holding one or more 
charter halibut permits or community charter halibut permits; or
    (3) A CQE transfers IFQ as GAF to a GAF permit that is assigned to a 
charter halibut permit held by an eligible community resident (as 
defined at Sec.  679.2) of that CQE community, as defined for purposes 
of the Catch Sharing Plan for Commission regulatory areas 2C and 3A in 
Sec.  679.2 of this title, holding one or more charter halibut permits.
    (d) Charter vessels in Commission regulatory area 2C and 3A--(1) 
General requirements--(i) Logbook submission. For a charter vessel 
fishing trip during which halibut were caught and retained on or after 
the first Monday in April and on or before December 31, Alaska 
Department of Fish and Game (ADF&G) Saltwater Sport Fishing Charter Trip 
Logbook data sheets must be submitted to the ADF&G and postmarked or 
received no later than 14 calendar days after the Monday of the fishing 
week (as defined in 50 CFR 300.61) in which the halibut were caught and 
retained. Logbook sheets for a charter vessel fishing trip during which 
halibut were caught and retained on January 1 through the first Sunday 
in April, must be submitted to the ADF&G and postmarked or received no 
later than the second Monday in April.
    (ii) The charter vessel guide is responsible for complying with the 
reporting requirements of this paragraph (d). The person whose business 
was assigned an Alaska Department of Fish and Game Saltwater Sport 
Fishing Charter Trip Logbook is responsible for ensuring that the 
charter vessel guide complies with the reporting requirements of this 
paragraph (d).
    (2) Retention and inspection of logbook. A person who is required to 
provide information pursuant to paragraph (d)(4) of this section, or 
whose business was assigned an Alaska Department of Fish and Game 
Saltwater Sport Fishing

[[Page 199]]

Charter Trip Logbook and whose charter vessel anglers retain halibut is 
required to:
    (i) Retain all logbook data pages showing halibut harvest for 2 
years after the end of the fishing year for which the logbook was 
issued, and
    (ii) Make the logbook available for inspection upon the request of 
an authorized officer (as defined in Commission regulations).
    (3) Charter vessel guide and crew restriction in Commission 
regulatory areas 2C and 3A. A charter vessel guide, charter vessel 
operator, or crew member may not catch and retain halibut during a 
charter vessel fishing trip in Commission regulatory area 2C or 3A, 
except that charter vessel operators who are charter vessel anglers may 
catch and retain halibut during a charter vessel fishing trip if the 
charter vessel guide is on a separate charter vessel.
    (4) Recordkeeping and reporting requirements in Commission 
regulatory area 2C and 3A--(i) General requirements. Each charter vessel 
angler and charter vessel guide in Commission regulatory area 2C or 3A 
must comply with the following recordkeeping and reporting requirements, 
except as specified in paragraph (d)(4)(iii)(C) of this section, by the 
end of the calendar day or by the end of the charter vessel fishing 
trip, whichever comes first, unless otherwise specified.
    (ii) Logbook reporting requirements--(A) Charter vessel angler 
signature requirement. Each charter vessel angler who retains halibut 
caught in Commission regulatory area 2C or 3A must acknowledge that his 
or her name, license number (if required), and number of halibut 
retained (kept) are recorded correctly by signing the Alaska Department 
of Fish and Game Saltwater Charter Logbook data sheet on the line that 
corresponds to the angler's information.
    (B) Charter vessel guide requirements. If halibut were caught and 
retained in Commission regulatory area 2C or 3A, the charter vessel 
guide must record the following information (see paragraphs 
(d)(4)(ii)(B)(1) through (10) of this section) in the Alaska Department 
of Fish and Game Saltwater Charter Logbook:
    (1) Guide license number. The Alaska Department of Fish and Game 
sport fishing guide license or registration number held by the charter 
vessel guide who certified the logbook data sheet.
    (2) Date. Month and day for each charter vessel fishing trip taken. 
A separate logbook data sheet is required for each charter vessel 
fishing trip if two or more trips are taken on the same day. A separate 
logbook data sheet is required for each calendar day that halibut are 
caught and retained during a multi-day trip. A separate logbook sheet is 
required if more than one charter halibut permit is used on a trip.
    (3) Charter halibut permit (CHP) number. The NMFS CHP number(s) 
authorizing charter vessel anglers on that charter vessel fishing trip 
to catch and retain halibut.
    (4) Guided Angler Fish (GAF) permit number. The NMFS GAF permit 
number(s) authorizing charter vessel anglers on that charter vessel 
fishing trip to harvest GAF.
    (5) Statistical area. The primary Alaska Department of Fish and Game 
statistical area code in which halibut were caught and retained.
    (6) Angler sport fishing license number and printed name. Before a 
charter vessel fishing trip begins, record the first and last name of 
each paying or non-paying charter vessel angler on board that will fish 
for halibut. For each angler required to be licensed, record the Alaska 
Sport Fishing License number for the current year, resident permanent 
license number, or disabled veteran license number. For youth anglers 
not required to be licensed, record the word ``youth'' in place of the 
license number.
    (7) Number of halibut retained. For each charter vessel angler, 
record the total number of non-GAF halibut caught and kept.
    (8) Number of GAF retained. For each charter vessel angler, record 
the total number of GAF kept.
    (9) Guide signature. The charter vessel guide acknowledges that the 
recorded information is correct by signing the logbook data sheet.
    (10) Angler signature. The charter vessel guide is responsible for 
ensuring that charter vessel anglers that retain

[[Page 200]]

halibut comply with the signature requirements at paragraph 
(d)(4)(ii)(A) of this section.
    (iii) GAF reporting requirements--(A) General. (1) Upon retention of 
a GAF halibut, the charter vessel guide must immediately record on the 
GAF permit log (on the back of the GAF permit) the date that the fish 
was caught and retained and the total length of that fish as described 
in paragraphs (d)(4)(iii)(D)(5) and (7) of this section. If GAF halibut 
are retained on a charter vessel without a charter vessel guide on 
board, the charter vessel guide must also comply with the reporting 
requirements in paragraph (d)(4)(iii)(A)(5) of this section.
    (2) In addition to the recordkeeping and reporting requirements in 
paragraphs (d)(4)(i) and (ii) of this section, a GAF permit holder must 
use the NMFS-approved electronic reporting system on the Alaska Region 
Web site at http://alaskafisheries. noaa.gov/ to submit a GAF landings 
report.
    (3) A GAF permit holder must submit a GAF landings report by 11:59 
p.m. (Alaska local time) on the last calendar day of a fishing trip for 
each day on which a charter vessel angler retained GAF authorized by the 
GAF permit held by that permit holder.
    (4) If a GAF permit holder is unable to submit a GAF landings report 
due to hardware, software, or Internet failure for a period longer than 
the required reporting time, or a correction must be made to information 
already submitted, the GAF permit holder must contact NOAA Office of Law 
Enforcement, Juneau, AK, at 800-304-4846 (Select Option 1).
    (5) If a GAF is retained on a charter vessel without a charter 
vessel guide on board, the charter vessel guide must immediately record 
in the ADF&G Saltwater Charter Logbook the GAF permit number under which 
GAF were caught and retained, and the number of GAF kept under the 
corresponding charter vessel angler's name.
    (B) Electronic Reporting of GAF. A GAF permit holder must obtain, at 
his or her own expense, the technology to submit GAF landing reports to 
the NMFS-approved reporting system for GAF landings.
    (C) NMFS-Approved Electronic Reporting System. The GAF permit holder 
agrees to the following terms (see paragraphs (d)(4)(iii)(C)(1) through 
(3) of this section):
    (1) To use any NMFS online service or reporting system only for 
authorized purposes;
    (2) To safeguard the NMFS Person Identification Number and password 
to prevent their use by unauthorized persons; and
    (3) To accept the responsibility of and acknowledge compliance with 
Sec.  300.4(a) and (b), Sec.  300.65(d), and Sec.  300.66(p) and (q).
    (D) Information entered for each GAF caught and retained. The GAF 
permit holder must enter the following information for each charter 
vessel fishing trip in which GAF were retained under the authorization 
of the permit holder's GAF permit into the NMFS-approved electronic 
reporting system (see paragraphs (d)(4)(iii)(D)(1) through (9) of this 
section) by 11:59 p.m. (Alaska local time) on the last day of a charter 
fishing trip in which a charter vessel angler retained GAF:
    (1) Logbook number from the Alaska Department of Fish and Game 
Saltwater Sport Fishing Charter Trip Logbook.
    (2) Vessel identification number for vessel on which GAF were caught 
and retained:
    (i) State of Alaska issued boat registration (AK number), or
    (ii) U.S. Coast Guard documentation number.
    (3) GAF permit number under which GAF were caught and retained.
    (4) Alaska Department of Fish and Game sport fishing guide license 
or registration number held by the charter vessel guide who certified 
the logbook data sheet.
    (5) Date that GAF was caught and retained.
    (6) Number of GAF caught and retained.
    (7) Length of each GAF caught and retained. Halibut lengths are 
measured in inches in a straight line from the anterior-most tip of the 
lower jaw with the mouth closed to the extreme end of the middle of the 
tail.
    (8) Community charter halibut permit only: Community or Port where

[[Page 201]]

the charter vessel fishing trip began (i.e., where charter vessel 
anglers boarded the vessel).
    (9) Community charter halibut permit only: Community or Port where 
the charter vessel fishing trip ended (i.e., where charter vessel 
anglers or fish were offloaded from the vessel).
    (E) Properly reported landing. (1) The GAF permit holder is 
responsible for ensuring that all GAF harvested on board a vessel are 
debited from the GAF permit holder's account under which the GAF were 
retained.
    (2) A GAF landing confirmation number issued by the NMFS-approved 
electronic reporting system and recorded by the GAF permit holder on the 
GAF permit log used to record the dates and lengths of retained GAF, as 
required in paragraph (d)(4)(iii)(A)(1) of this section, constitutes 
confirmation that the GAF permit holder's GAF landing is properly 
reported and the GAF permit holder's account is properly debited.
    (3) Instructions for correcting a submitted GAF landing electronic 
report are at (d)(4)(iii)(A)(4) of this section.
    (5) Carcass retention requirement for size-restricted halibut. If a 
size-restricted halibut is filleted on board the charter vessel, the 
entire carcass, with head and tail connected as a single piece, must be 
retained on board the charter vessel on which it was caught until all 
fillets are offloaded.
    (e) The Local Area Management Plan (LAMP) for Sitka Sound provides 
guidelines for participation in the halibut fishery in Sitka Sound.
    (1) For purposes of this section, Sitka Sound means (See Figure 1 to 
subpart E):
    (i) With respect to paragraph (e)(2) of this section, that part of 
the Commission regulatory area 2C that is enclosed on the north and 
east:
    (A) By a line from Kruzof Island at 5720"30 N. lat., 13545"10 W. 
long. to Chichagof Island at 5722"03 N. lat., 13543"00 W. long., and
    (B) By a line from Chichagof Island at 5722"35 N. lat., 13541"18 
W. long. to Baranof Island at 5722"17 N. lat., 13540"57 W. long.; 
and
    (C) That is enclosed on the south and west by a line from Cape 
Edgecumbe at 5659"54 N. lat., 13551"27 W. long. to Vasilief Rock at 
5648"56 N. lat., 13532"30 W. long., and
    (D) To the green day marker in Dorothy Narrows at 5649"17 N. lat., 
13522"45 W. long. to Baranof Island at 5649"17 N. lat., 13522"36 
W. long.
    (ii) With respect to paragraphs (e)(3), (e)(4), and (e)(5) of this 
section, that part of the Commission Regulatory Area 2C that is enclosed 
on the north and east:
    (A) By a line from Kruzof Island at 5720"30 N. lat., 13545"10 W. 
long. to Chichagof Island at 5722"03 N. lat., 13543"00 W. long., and
    (B) A line from Chichagof Island at 5722"35 N. lat., 13541"18 W. 
long. to Baranof Island at 5722"17 N. lat., 13540"57 W. lat.; and
    (C) That is enclosed on the south and west by a line from Sitka 
Point at 5659"23 N. lat., 13549"34 W. long., to Hanus Point at 
5651"55 N. lat., 13530"30 W. long.,
    (D) To the green day marker in Dorothy Narrows at 5649"17 N. lat., 
13522"45 W. long. to Baranof Island at 5649"17 N. lat., 13522"36 
W. long.
    (2) A person using a vessel greater than 35 ft (10.7 m) in overall 
length, as defined at 50 CFR 300.61, is prohibited from fishing for IFQ 
halibut with setline gear, as defined at 50 CFR 300.61, within Sitka 
Sound as defined in paragraph (e)(1)(i) of this section.
    (3) A person using a vessel less than or equal to 35 ft (10.7 m) in 
overall length, as defined at 50 CFR 300.61:
    (i) Is prohibited from fishing for IFQ halibut with setline gear 
within Sitka Sound, as defined in paragraph (e)(1)(ii) of this section, 
from June 1 through August 31; and
    (ii) Is prohibited, during the remainder of the designated IFQ 
season, from retaining more than 2,000 lb (0.91 mt) of IFQ halibut 
within Sitka Sound, as defined in paragraph (e)(1)(ii) of this section, 
per IFQ fishing trip, as defined in 50 CFR 300.61.
    (4) No charter vessel shall engage in sport fishing, as defined at 
Sec.  300.61, for halibut within Sitka Sound, as defined in paragraph 
(e)(1)(ii) of this section, from June 1 through August 31.
    (i) No charter vessel shall retain halibut caught while engaged in 
sport fishing, as defined at Sec.  300.61, for other species, within 
Sitka Sound, as defined

[[Page 202]]

in paragraph (e)(1)(ii) of this section, from June 1 through August 31.
    (ii) Notwithstanding paragraphs (e)(4) and (e)(4)(i) of this 
section, halibut harvested outside Sitka Sound, as defined in paragraph 
(e)(1)(ii) of this section, may be retained onboard a charter vessel 
engaged in sport fishing, as defined in Sec.  300.61, for other species 
within Sitka Sound, as defined in paragraph (e)(1)(ii) of this section, 
from June 1 through August 31.
    (5) Setline gear may not be used in a 4 nm radius extending south 
from Low Island at 5700.70" N. lat., 13536.57" W. long. within Sitka 
Sound, as defined in paragraph (e)(1)(ii) of this section, from June 1 
through August 31.
    (f) Sitka Pinnacles Marine Reserve. (1) For purposes of this 
paragraph (f), the Sitka Pinnacles Marine Reserve means an area totaling 
2.5 square nm off Cape Edgecumbe, defined by straight lines connecting 
the following points in a counterclockwise manner:

    5655.5" N lat., 13554.0" W long;
    5657.0" N lat., 13554.0" W long;
    5657.0" N lat., 13557.0" W long;
    5655.5" N lat., 13557.0" W long.

    (2) No person shall engage in commercial, sport or subsistence 
fishing, as defined at Sec.  300.61, for halibut within the Sitka 
Pinnacles Marine Reserve.
    (3) No person shall anchor a vessel within the Sitka Pinnacles 
Marine Reserve if halibut is on board.
    (g) Subsistence fishing in and off Alaska. No person shall engage in 
subsistence fishing for halibut unless that person meets the 
requirements in paragraphs (g)(1), (g)(2), or (g)(3) of this section.
    (1) A person is eligible to harvest subsistence halibut if he or she 
is a rural resident of a community with customary and traditional uses 
of halibut listed in the following table:

                       Halibut Regulatory Area 2C
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Angoon....................................  Municipality
Coffman Cove..............................  Municipality
Craig.....................................  Municipality
Edna Bay..................................  Census Designated Place
Elfin Cove................................  Census Designated Place
Gustavus..................................  Census Designated Place
Haines....................................  Municipality
Hollis....................................  Census Designated Place
Hoonah....................................  Municipality
Hydaburg..................................  Municipality
Hyder.....................................  Census Designated Place
Kake......................................  Municipality
Kasaan....................................  Municipality
Klawock...................................  Municipality
Klukwan...................................  Census Designated Place
Metlakatla................................  Census Designated Place
Meyers Chuck..............................  Census Designated Place
Naukati...................................  Municipality
Pelican...................................  Municipality
Petersburg................................  Municipality
Point Baker...............................  Census Designated Place
Port Alexander............................  Municipality
Port Protection...........................  Census Designated Place
Saxman....................................  Municipality
Sitka.....................................  Municipality
Skagway...................................  Municipality
Tenakee Springs...........................  Municipality
Thorne Bay................................  Municipality
Whale Pass................................  Census Designated Place
Wrangell..................................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 3A
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Akhiok....................................  Municipality
Chenega Bay...............................  Census Designated Place
Cordova...................................  Municipality
Karluk....................................  Census Designated Place
Kodiak City...............................  Municipality
Larsen Bay................................  Municipality
Nanwalek..................................  Census Designated Place
Old Harbor................................  Municipality
Ouzinkie..................................  Municipality
Port Graham...............................  Census Designated Place
Port Lions................................  Municipality
Seldovia..................................  Municipality
Tatitlek..................................  Census Designated Place
Yakutat...................................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 3B
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Chignik Bay...............................  Municipality
Chignik Lagoon............................  Census Designated Place
Chignik Lake..............................  Census Designated Place
Cold Bay..................................  Municipality
False Pass................................  Municipality
Ivanof Bay................................  Census Designated Place
King Cove.................................  Municipality
Nelson Lagoon.............................  Census Designated Place
Perryville................................  Census Designated Place
Sand Point................................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 4A
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Akutan....................................  Municipality
Nikolski..................................  Census Designated Place
Unalaska..................................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 4B
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Adak......................................  Census Designated Place
Atka......................................  Municipality
------------------------------------------------------------------------


[[Page 203]]


                       Halibut Regulatory Area 4C
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
St. George................................  Municipality
St. Paul..................................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 4D
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Gambell...................................  Municipality
Savoonga..................................  Municipality
Diomede (Inalik)..........................  Municipality
------------------------------------------------------------------------


                       Halibut Regulatory Area 4E
------------------------------------------------------------------------
              Rural Community                     Organized Entity
------------------------------------------------------------------------
Alakanuk..................................  Municipality
Aleknegik.................................  Municipality
Bethel....................................  Municipality
Brevig Mission............................  Municipality
Chefornak.................................  Municipality
Chevak....................................  Municipality
Clark's Point.............................  Municipality
Council...................................  Census Designated Place
Dillingham................................  Municipality
Eek.......................................  Municipality
Egegik....................................  Municipality
Elim......................................  Municipality
Emmonak...................................  Municipality
Golovin...................................  Municipality
Goodnews Bay..............................  Municipality
Hooper Bay................................  Municipality
King Salmon...............................  Census Designated Place
Kipnuk....................................  Census Designated Place
Kongiganak................................  Census Designated Place
Kotlik....................................  Municipality
Koyuk.....................................  Municipality
Kwigillingok..............................  Census Designated Place
Levelock..................................  Census Designated Place
Manokotak.................................  Municipality
Mekoryak..................................  Municipality
Naknek....................................  Census Designated Place
Napakiak..................................  Municipality
Napaskiak.................................  Municipality
Newtok....................................  Census Designated Place
Nightmute.................................  Municipality
Nome......................................  Municipality
Oscarville................................  Census Designated Place
Pilot Point...............................  Municipality
Platinum..................................  Municipality
Port Heiden...............................  Municipality
Quinhagak.................................  Municipality
Scammon Bay...............................  Municipality
Shaktoolik................................  Municipality
Sheldon Point (Nunam Iqua)................  Municipality
Shishmaref................................  Municipality
Solomon...................................  Census Designated Place
South Naknek..............................  Census Designated Place
St. Michael...............................  Municipality
Stebbins..................................  Municipality
Teller....................................  Municipality
Togiak....................................  Municipality
Toksook Bay...............................  Municipality
Tuntutuliak...............................  Census Designated Place
Tununak...................................  Census Designated Place
Twin Hills................................  Census Designated Place
Ugashik...................................  Census Designated Place
Unalakleet................................  Municipality
Wales.....................................  Municipality
White Mountain............................  Municipality
------------------------------------------------------------------------

    (2) A person is eligible to harvest subsistence halibut if he or she 
is a member of an Alaska Native tribe with customary and traditional 
uses of halibut listed in the following table:

                       Halibut Regulatory Area 2C
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Angoon....................................  Angoon Community Association
Craig.....................................  Craig Community Association
Haines....................................  Chilkoot Indian Association
Hoonah....................................  Hoonah Indian Association
Hydaburg..................................  Hydaburg Cooperative
                                             Association
Juneau....................................  Aukquan Traditional Council
                                            Central Council Tlingit and
                                             Haida Indian Tribes
                                            Douglas Indian Association
Kake......................................  Organized Village of Kake
Kasaan....................................  Organized Village of Kasaan
Ketchikan.................................  Ketchikan Indian Corporation
Klawock...................................  Klawock Cooperative
                                             Association
Klukwan...................................  Chilkat Indian Village
Metlakatla................................  Metlakatla Indian Community,
                                             Annette Island Reserve
Petersburg................................  Petersburg Indian
                                             Association
Saxman....................................  Organized Village of Saxman
Sitka.....................................  Sitka Tribe of Alaska
Skagway...................................  Skagway Village
Wrangell..................................  Wrangell Cooperative
                                             Association
------------------------------------------------------------------------


                       Halibut Regulatory Area 3A
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Akhiok....................................  Native Village of Akhiok
Chenega Bay...............................  Native Village of Chanega
Cordova...................................  Native Village of Eyak
Karluk....................................  Native Village of Karluk
Kenai-Soldotna............................  Kenaitze Indian Tribe
                                            Village of Salamatoff
Kodiak City...............................  Lesnoi Village (Woody
                                             Island)
                                            Native Village of Afognak
                                            Shoonaq' Tribe of Kodiak
Larsen Bay................................  Native Village of Larsen Bay
Nanwalek..................................  Native Village of Nanwalek
Ninilchik.................................  Ninilchik Village
Old Harbor................................  Village of Old Harbor
Ouzinkie..................................  Native Village of Ouzinkie
Port Graham...............................  Native Village of Port
                                             Graham
Port Lions................................  Native Village of Port Lions
Seldovia..................................  Seldovia Village Tribe
Tatitlek..................................  Native Village of Tatitlek
Wasilla...................................  Village of Kanatak
Yakutat...................................  Yakutat Tlingit Tribe
------------------------------------------------------------------------


                       Halibut Regulatory Area 3B
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Chignik Bay...............................  Native Village of Chignik
Chignik Lagoon............................  Native Village of Chignik
                                             Lagoon
Chignik Lake..............................  Chignik Lake Village
False Pass................................  Native Village of False Pass
Ivanof Bay................................  Ivanoff Bay Village

[[Page 204]]

 
King Cove.................................  Agdaagux Tribe of King Cove
                                            Native Village of Belkofski
Nelson Lagoon.............................  Native Village of Nelson
                                             Lagoon
Perryville................................  Native Village of Perryville
Sand Point................................  Pauloff Harbor Village
                                            Native Village of Unga
                                            Qagan Tayagungin Tribe of
                                             Sand Point Village
------------------------------------------------------------------------


                       Halibut Regulatory Area 4A
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Akutan....................................  Native Village of Akutan
Nikolski..................................  Native Village of Nikolski
Unalaska..................................  Qawalingin Tribe of Unalaska
------------------------------------------------------------------------


                       Halibut Regulatory Area 4B
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Atka......................................  Native Village of Atka
------------------------------------------------------------------------


                       Halibut Regulatory Area 4C
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
 
St. George................................  Pribilof Islands Aleut
St. Paul..................................   Communities of St. Paul
                                             Island and St. George
                                             Island
------------------------------------------------------------------------


                       Halibut Regulatory Area 4D
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Gambell...................................  Native Village of Gambell
Savoonga..................................  Native Village of Savoonga
Diomede (Inalik)..........................  Native Village of Diomede
                                             (Inalik)
------------------------------------------------------------------------


                       Halibut Regulatory Area 4E
------------------------------------------------------------------------
      Place with Tribal Headquarters           Organized Tribal Entity
------------------------------------------------------------------------
Alakanuk..................................  Village of Alakanuk
Aleknagik.................................  Native Village of Aleknagik
Bethel....................................  Orutsararmuit Native Village
Brevig Mission............................  Native Village of Brevig
                                             Mission
Chefornak.................................  Village of Chefornak
Chevak....................................  Chevak Native Village
Clark's Point.............................  Village of Clark's Point
Council...................................  Native Village of Council
Dillingham................................  Native Village of Dillingham
                                            Native Village of Ekuk
                                            Native Village of Kanakanak
Eek.......................................  Native Village of Eek
Egegik....................................  Egegik Village
Elim......................................  Native Village of Elim
Emmonak...................................  Chuloonawick Native Village
                                            Emmonak Village
Golovin...................................  Chinik Eskimo Community
Goodnews Bay..............................  Native Village of Goodnews
                                             Bay
Hooper Bay................................  Native Village of Hooper Bay
                                            Native Village of Paimiut
King Salmon...............................  King Salmon Tribal Council
Kipnuk....................................  Native Village of Kipnuk
Kongiganak................................  Native Village of Kongiganak
Kotlik....................................  Native Village of Hamilton
                                            Village of Bill Moore's
                                             Slough
                                            Village of Kotlik
Koyuk.....................................  Native Village of Koyuk
Kwigillingok..............................  Native Village of
                                             Kwigillingok
Levelock..................................  Levelock Village
Manokotak.................................  Manokotak Village
Mekoryak..................................  Native Village of Mekoryak
Naknek....................................  Naknek Native Village
Napakiak..................................  Native Village of Napakiak
Napaskiak.................................  Native Village of Napaskiak
Newtok....................................  Newtok Village
Nightmute.................................  Native Village of Nightmute
                                            Umkumiute Native Village
Nome......................................  King Island Native Community
                                            Nome Eskimo Community
Oscarville................................  Oscarville Traditional
                                             Village
Pilot Point...............................  Native Village of Pilot
                                             Point
Platinum..................................  Platinum Traditional Village
Port Heiden...............................  Native Village of Port
                                             Heiden
Quinhagak.................................  Native Village of Kwinhagak
Scammon Bay...............................  Native Village of Scammon
                                             Bay
Shaktoolik................................  Native Village of Shaktoolik
Sheldon Point (Nunam Iqua)................  Native Village of Sheldon's
                                             Point
Shishmaref................................  Native Village of Shishmaref
Solomon...................................  Village of Solomon
South Naknek..............................  South Naknek Village
St. Michael...............................  Native Village of Saint
                                             Michael
Stebbins..................................  Stebbins Community
                                             Association
Teller....................................  Native Village of Mary's
                                             Igloo
                                            Native Village of Teller
Togiak....................................  Traditional Village of
                                             Togiak
Toksook Bay...............................  Native Village of Toksook
                                             Bay
Tuntutuliak...............................  Native Village of
                                             Tuntutuliak
Tununak...................................  Native Village of Tununak
Twin Hills................................  Twin Hills Village
Ugashik...................................  Ugashik Village
Unalakleet................................  Native Village of Unalakleet
Wales.....................................  Native Village of Wales
White Mountain............................  Native Village of White
                                             Mountain
------------------------------------------------------------------------

    (3) A person is eligible to harvest subsistence halibut if he or she 
is a rural resident in one of the rural areas of Alaska described as 
follows:
    (i) Southeast Alaska east of 141 W. long., except for the land 
areas of the Ketchikan Gateway Borough as described at paragraph 
(g)(4)(i) of this section, the land areas of the City and Borough of 
Juneau, and the Ketchikan and Juneau non-subsistence marine waters areas 
as defined in paragraphs (h)(3)(i) and (h)(3)(ii) of this section (see 
figures 2 and 3 to this subpart E).
    (ii) The Alaska Peninsula, Aleutian Islands, Kodiak Island 
Archipelago, and the area south of the northern

[[Page 205]]

boundary of the Bristol Bay Borough and south of 5839.2" N. lat. (see 
figures 5, 6, and 7 to this subpart E).
    (iii) Nelson, Nunivak, and Saint Lawrence Islands (see figure 6 to 
this subpart E).
    (iv) All other areas of Alaska within ten statute miles of mean high 
water on the Bering Sea and Pacific Ocean coasts, south of Cape 
Espenberg, including along the Kuskokwim River to Bethel, and that are 
not specified as non-rural land or water areas as defined in paragraph 
(g)(4) of this section (see figures 4, 5, 6, and 7 to this subpart E).
    (4) Non-rural areas consist of the non-subsistence marine waters 
areas defined in paragraph (h)(3) of this section and the land areas of 
the following cities and boroughs for purposes of the subsistence 
fishery for Pacific halibut in waters in and off Alaska:
    (i) The Ketchikan Gateway Borough on May 18, 2008. This area 
encompasses all those islands bounded on the east, north, and west by 
Behm Canal, Behm Narrows, and Clarence Strait to its junction with 
Nichols Passage, and on the south by Nichols and Revillagigedo Channel 
to its junction with Behm Canal. The designated boundaries extend to the 
center line of Behm Canal, Behm Narrows, Clarence Strait, Nichols 
Passage, and Revillagigedo Channel, and include all the area of 
Revillagigedo, Gravina, Pennock, Betton, Grant and other Clover Passage 
and Naha Bay Islands, Hassler, Gedney, Black, Smeaton, Manzanita, 
Rudyerd, and Bold Islands, and all other offshore and adjacent islands 
and inlets thereto (see figure 2 to this subpart E).
    (ii) The City and Borough of Juneau (see figure 3 to this subpart 
E).
    (iii) The Greater Anchorage Area Borough (see figures 4 and 5 to 
this subpart E).
    (iv) The Matanuska-Susitna Borough (see figure 5 to this subpart E).
    (v) The Kenai Peninsula Borough excluding the area of the Seldovia 
Census Designated Place, the area south and west of that place, and the 
area south and west of a line that runs from 5927.5" N. lat., 15131.7" 
W. long. to 5912.5" N. lat., 15118.5" W. long (see figure 5 to this 
subpart E).
    (vi) The City of Valdez (see figures 4 and 5 to this subpart E).
    (h) Limitations on subsistence fishing. Subsistence fishing for 
halibut may be conducted only by persons who qualify for such fishing 
pursuant to paragraph (g) of this section and who hold a valid 
subsistence halibut registration certificate in that person's name 
issued by NMFS pursuant to paragraph (i) of this section, provided that 
such fishing is consistent with the following limitations.
    (1) Subsistence fishing is limited to setline gear and hand-held 
gear, including longline, handline, rod and reel, spear, jig and hand-
troll gear.
    (i) Subsistence fishing gear set or retrieved from a vessel while 
engaged in subsistence fishing for halibut must not have more than the 
allowable number of hooks per vessel, or per person registered in 
accordance with paragraph (i) of this section and aboard the vessel, 
whichever is less, according to the regulatory area and permit type 
indicated in the following table:

----------------------------------------------------------------------------------------------------------------
           Regulatory Area                         Permit Type                        Gear Restrictions
----------------------------------------------------------------------------------------------------------------
2C--Except Sitka Sound, and           SHARC...............................  30 hooks per vessel
 Ketchikan and Juneau non-
 subsistence marine waters areas
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  30 hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  30 hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  30 hooks per person onboard up to 90
                                                                             hooks per vessel
----------------------------------------------------------------------------------------------------------------
2C--Sitka Sound                       SHARC...............................  September 1 through May 31: 30 hooks
                                                                             per vessel
                                                                           -------------------------------------
                                      ....................................  June 1 through August 31: 15 hooks
                                                                             per vessel; no power hauling
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  September 1 through May 31: 30 hooks
                                                                             per vessel
                                                                           -------------------------------------
                                      ....................................  June 1 through August 31: fishing
                                                                             under Ceremonial Permit not allowed
                                     ---------------------------------------------------------------------------

[[Page 206]]

 
                                      Educational Permit..................  30 hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
2C--Ketchikan and Juneau non-         SHARC...............................  general subsistence halibut fishing
 subsistence marine waters areas                                             not allowed
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  30 hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  30 hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
3A--Except Chiniak Bay, and           SHARC...............................  30 hooks per person onboard up to 90
 Anchorage-Matsu-Kenai and Valdez                                            hooks per vessel
 non-subsistence marine waters areas
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  30 hooks per person onboard up to 90
                                                                             hooks per vessel
----------------------------------------------------------------------------------------------------------------
3A--Chiniak Bay                       SHARC...............................  30 hooks per person onboard up to 60
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  30 hooks per person onboard up to 90
                                                                             hooks per vessel
----------------------------------------------------------------------------------------------------------------
3A--Anchorage-Matsu-Kenai and Valdez  SHARC...............................  general subsistence halibut fishing
 non-subsistence marine waters areas                                         not allowed
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
3B                                    SHARC...............................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
----------------------------------------------------------------------------------------------------------------
4A and 4B                             SHARC...............................  30 hooks per person onboard up to 90
                                                                             hooks per vessel
----------------------------------------------------------------------------------------------------------------
4C, 4D, and 4E                        SHARC...............................  no hook limit
----------------------------------------------------------------------------------------------------------------

    (ii) All setline gear marker buoys carried on board or used by any 
vessel regulated under this section shall be marked with the following: 
first initial, last name, and address (street, city, and state), 
followed by the letter ``S'' to indicate that it is used to harvest 
subsistence halibut.
    (iii) Markings on setline marker buoys shall be in characters at 
least 4 inches (10.16 cm) in height and 0.5 inch (1.27 cm) in width in a 
contrasting color visible above the water line and shall be maintained 
so the markings are clearly visible.
    (2) The retention of subsistence halibut is limited per person 
eligible to conduct subsistence fishing for halibut and onboard the 
vessel according to the following table:

----------------------------------------------------------------------------------------------------------------
           Regulatory Area                         Permit Type                        Retention Limits
----------------------------------------------------------------------------------------------------------------
2C--Except Sitka Sound, and           SHARC...............................  20 halibut per day per vessel and in
 Ketchikan and Juneau non-                                                   possession
 subsistence marine waters areas
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  no daily or possession limit
----------------------------------------------------------------------------------------------------------------

[[Page 207]]

 
2C--Sitka Sound                       SHARC...............................  September 1 through May 31: 10
                                                                             halibut per day per vessel and in
                                                                             possession
                                                                           -------------------------------------
                                      ....................................  June 1 through August 31: 5 halibut
                                                                             per day per vessel and in
                                                                             possession
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  September 1 through May 31: 25
                                                                             halibut per permit
                                                                           -------------------------------------
                                      ....................................  June 1 through August 31: fishing
                                                                             under Ceremonial Permit not allowed
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
2C--Ketchikan and Juneau non-         SHARC...............................  general subsistence halibut fishing
 subsistence marine waters areas                                             not allowed
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
3A--Including Chiniak Bay, but        SHARC...............................  20 halibut per person per day and in
 excluding Anchorage-Matsu-Kenai and                                         possession
 Valdez non-subsistence marine
 waters areas
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  no daily or possession limit
----------------------------------------------------------------------------------------------------------------
3A--Anchorage-Matsu-Kenai and Valdez  SHARC...............................  general subsistence halibut fishing
 non-subsistence marine waters areas                                         not allowed
                                     ---------------------------------------------------------------------------
                                      Ceremonial Permit...................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Educational Permit..................  25 halibut per permit
                                     ---------------------------------------------------------------------------
                                      Community Harvest Permit............  fishing under Community Harvest
                                                                             Permit not allowed
----------------------------------------------------------------------------------------------------------------
3B                                    SHARC...............................  20 halibut per person per day and in
                                                                             possession
----------------------------------------------------------------------------------------------------------------
4A and 4B                             SHARC...............................  20 halibut per person per day; no
                                                                             possession limit
----------------------------------------------------------------------------------------------------------------
4C, 4D, and 4E                        SHARC...............................  no daily or possession limit
----------------------------------------------------------------------------------------------------------------

    (3) Subsistence fishing may be conducted in any waters in and off 
Alaska except in the four non-subsistence marine waters areas defined as 
follows:
    (i) Ketchikan non-subsistence marine waters area in Commission 
regulatory area 2C (see Figure 2 to subpart E) is defined as those 
waters between a line from Caamano Point at 5529.90" N. lat., 
13158.25" W. long. to Point Higgins at 5527.42" N. lat., 13150.00" W. 
long. and a point at 5511.78" N. lat., 13105.13" W. long., located on 
Point Sykes to a point at 5512.22" N. lat., 13105.70" W. long., 
located one-half mile northwest of Point Sykes to Point Alava at 
5511.54" N. lat., 13111.00" W. long. and within one mile of the 
mainland and the Gravina and Revillagigedo Island shorelines, including 
within one mile of the Cleveland Peninsula shoreline and east of the 
longitude of Niblack Point at 13207.23" W. long., and north of the 
latitude of the southernmost tip of Mary Island at 5502.66" N. lat.;
    (ii) Juneau non-subsistence marine waters area in Commission 
regulatory area 2C (see Figure 3 to subpart E) is defined as those 
waters of Stephens Passage and contiguous waters north of the latitude 
of Midway Island Light (5750.21" N. lat.), including the waters of Taku 
Inlet, Port Snettisham, Saginaw Channel, and Favorite Channel, and those 
waters of Lynn Canal and contiguous waters south of the latitude of the 
northernmost entrance of Berners Bay (5843.07" N. lat.), including the 
waters of Berners Bay and Echo Cove, and those waters of Chatham Strait 
and contiguous waters north of

[[Page 208]]

the latitude of Point Marsden (5803.42" N. lat.), and east of a line 
from Point Couverden at 5811.38" N. lat., 13503.40" W. long., to Point 
Augusta at 5802.38" N. lat., 13457.11" W. long.;
    (iii) The Anchorage-Matsu-Kenai non-subsistence marine waters area 
in Commission Regulatory Area 3A (see figures 4, 5, 6, and 7 to this 
subpart E) is defined as:
    (A) All waters of Cook Inlet north of a line extending from the 
westernmost point of Hesketh Island at 5930.40" N. lat., except those 
waters within mean lower low tide from a point one mile south of the 
southern edge of the Chuitna River (6105.00" N. lat., 15101.00" W. 
long.) south to the easternmost tip of Granite Point (6101.00" N. lat., 
15123.00" W. long.) (Tyonek subdistrict); and
    (B) All waters of Alaska south of 5930.40" N. lat. on the western 
shore of Cook Inlet to Cape Douglas (5851.10" N. lat.) and in the east 
to Cape Fairfield (14850.25" W. long.), except those waters of Alaska 
west of a line from the easternmost point of Jakolof Bay (15131.90" W. 
long.), and following the shore to a line extending south from the 
easternmost point of Rocky Bay (15118.41" W. long.); and
    (iv) Valdez non-subsistence marine waters area in Commission 
regulatory area 3A (see figures 4 and 5 to this subpart E) is defined as 
the waters of Port Valdez and Valdez Arm located north of 6101.38" N. 
lat., and east of 14643.80" W. long.
    (4) Waters in and off Alaska that are not specifically identified as 
non-subsistence marine waters areas in paragraph (h)(3) of this section 
are rural for purposes of subsistence fishing for halibut. Subsistence 
fishing may be conducted in any rural area by any person with a valid 
subsistence halibut registration certificate in his or her name issued 
by NMFS under paragraph (i) of this section, except that:
    (i) A person who is not a rural resident but who is a member of an 
Alaska Native tribe that is located in a rural area and that is listed 
in the table in paragraph (g)(2) of this section is limited to 
conducting subsistence fishing for halibut only in his or her area of 
tribal membership.
    (ii) A person who is a resident outside the State of Alaska but who 
is a member of an Alaska Native tribe that is located in a rural area 
and that is listed in the table in paragraph (g)(2) of this section is 
limited to conducting subsistence fishing for halibut only in his or her 
area of tribal membership.
    (iii) For purposes of this paragraph (h)(4), ``area of tribal 
membership'' means rural areas of the Commission regulatory area under 
which the Organized Tribal Entity is listed in the tables set out in 
paragraph (g)(2) of this section, or the Bering Sea closed area adjacent 
to the rural area in which the Alaska Native tribal headquarters is 
located.
    (i) Subsistence registration. A person must register as a 
subsistence halibut fisher and possess a valid subsistence halibut 
registration certificate in his or her name issued by NMFS before he or 
she begins subsistence fishing for halibut in waters in and off Alaska.
    (1) A subsistence halibut registration certificate will be issued to 
any person who registers according to paragraph (i)(2) of this section 
and who is qualified to conduct subsistence fishing for halibut 
according to paragraph (g) of this section. The Alaska Region, NMFS, may 
enter into cooperative agreements with Alaska Native tribal governments 
or their representative organizations for purposes of identifying 
persons qualified to conduct subsistence fishing for halibut according 
to paragraph (g) of this section.
    (2) Registration. To register as a subsistence halibut fisherman, a 
person may request a cooperating Alaska Native tribal government or 
other entity designated by NMFS to submit an application on his or her 
behalf to the Alaska Region, NMFS. Alternatively, a person may apply by 
submitting a completed application to the Alaska Region, NMFS. 
Application forms are available on the NMFS Alaska Region Web site at 
http://alaskafisheries. noaa.gov, or by contacting NMFS at 800-304-4846, 
Option 2. NMFS will process a SHARC Application for an Alaska Native 
Tribal Member or a SHARC Application for a Rural Resident provided that 
an application is completed, with all applicable fields accurately 
filled-

[[Page 209]]

in, and all required additional documentation is submitted. Initial 
applications for a SHARC must be signed and mailed or faxed to NMFS (see 
instructions on form). Renewals may be submitted electronically, mailed, 
or faxed.
    (i) Non-electronic submittal. The applicant must sign and date the 
application certifying that all information is true, correct, and 
complete. The applicant must submit the paper application as indicated 
on the application.
    (ii) Electronic submittal. An individual can submit a SHARC renewal 
on-line using an application available at the Alaska Region website. By 
using the SHARC number and date of birth, and by submitting the 
application form, the applicant certifies that all information is true, 
correct, and complete.
    (3) Expiration of registration. Each subsistence halibut 
registration certificate will be valid only for the period of time 
specified on the certificate. A person eligible to harvest subsistence 
halibut under paragraph (g) of this section may renew his or her 
registration certificate that is expired or will expire within 3 months 
by following the procedures described in paragraph (i)(2) of this 
section. A subsistence halibut registration certificate will expire:
    (i) 2 years from the date of its issuance to a person eligible to 
harvest subsistence halibut under paragraph (g)(1) of this section, and
    (ii) 4 years from the date of its issuance to a person eligible to 
harvest subsistence halibut under paragraph (g)(2) of this section.
    (j) Community Harvest Permit (CHP). An Area 2C or Area 3A community 
or Alaska Native tribe listed in paragraphs (g)(1) or (g)(2) of this 
section may apply for a CHP, which allows a community or Alaska Native 
tribe to appoint one or more individuals from its respective community 
or Alaska Native tribe to harvest subsistence halibut from a single 
vessel under reduced gear and harvest restrictions. The CHP consists of 
a harvest log and up to five laminated permit cards. A CHP is a permit 
subject to regulation under Sec.  679.4(a) of this title.
    (1) Qualifications. (i) NMFS may issue a CHP to any community or 
Alaska Native tribe that applies according to paragraph (j)(2) of this 
section and that is qualified to conduct subsistence fishing for halibut 
according to paragraph (g) of this section.
    (ii) NMFS will issue a CHP to a community in Area 2C or Area 3A only 
if:
    (A) The applying community is listed as eligible in Area 2C or Area 
3A according to paragraph (g)(1) of this section; and
    (B) No Alaska Native tribe listed in paragraph (g)(2) of this 
section exists in that community.
    (iii) NMFS will issue a CHP to an Alaska Native tribe in Area 2C or 
Area 3A only if the applying tribe is listed as eligible in Area 2C or 
Area 3A according to paragraph (g)(2) of this section.
    (iv) Eligible communities or Alaska Native tribes may appoint only 
one CHP Coordinator per community or tribe.
    (2) Application. A community or Alaska Native tribe may apply for a 
CHP by submitting an application to the Alaska Region, NMFS. 
Applications must be mailed to: Restricted Access Management Program, 
NMFS, Alaska Region, P.O. Box 21668, Juneau, AK 99802-1668. A complete 
application must include:
    (i) The name of the community or Alaska Native tribe requesting the 
CHP;
    (ii) The full name of the person who is designated as the CHP 
Coordinator for each community or Alaska Native tribe, the designated 
CHP Coordinator's mailing address (number and street, city, state, and 
zip code), community of residence (the rural community or residence from 
paragraph (g)(1) of this section) or the Alaska Native tribe if 
applicable (as indicated in paragraph (g)(2) of this section), and the 
daytime telephone number; and
    (iii) Any previously issued CHP harvest logs.
    (3) Restrictions. Subsistence fishing for halibut under a CHP shall 
be valid only:
    (i) In Area 2C or Area 3A, except that a CHP may not be used:
    (A) Within Sitka Sound as defined in paragraph (e)(1)(ii) of this 
section (see Figure 1 to this subpart E); or
    (B) Within the Ketchikan, Juneau, Anchorage-Matsu-Kenai, and Valdez 
non-subsistence marine waters areas as

[[Page 210]]

defined in paragraph (h)(3) of this section (see figures 2, 3, 4, 5, 6, 
and 7 to this subpart E).
    (ii) To persons in possession of a valid subsistence halibut 
registration certificate issued in accordance with paragraph (i) of this 
section for the same community or Alaska Native tribe listed on the CHP;
    (iii) On a single vessel on which a CHP card is present; and
    (iv) If subsistence fishing gear set or retrieved from a vessel on 
which the CHP card is present does not exceed the restrictions of 
paragraph (h) of this section.
    (4) Expiration of permit. Each CHP will be valid only for the period 
of time specified on the permit. A CHP will expire one year from the 
date of issuance to a community or Alaska Native tribe eligible to 
harvest halibut under paragraph (g) of this section. A community or 
Alaska Native tribe eligible to harvest subsistence halibut under 
paragraph (g) of this section may renew its CHP that is expired or will 
expire within three months by following the procedures described in 
paragraph (j)(2) of this section.
    (5) Duties of the CHP coordinator. Each CHP Coordinator must ensure:
    (i) The designated harvesters who may fish under the CHP are 
identified on the Community Harvest Permit harvest log when the CHP is 
issued to the designated harvesters;
    (ii) The CHP remains in the possession of the CHP Coordinator or 
other tribal or government authority when not in use and is issued to 
the designated harvesters when necessary; and
    (iii) All required recordkeeping and data reporting of subsistence 
harvests under the CHP are performed.
    (6) Harvest log submission. Each Community Harvest Permit harvest 
log must be submitted to NMFS on or before the date of expiration by 
facsimile or mail. Harvest logs must be mailed to RAM at the address 
given in paragraph (j)(2) of this section or faxed to 907-586-7354. The 
log must provide information on:
    (i) The subsistence fisher's identity including his or her full 
name, subsistence halibut registration certificate number, date of 
birth, mailing address (number and street, city, state, and zip code), 
community of residence, daytime phone number, and tribal identity (if 
appropriate); and
    (ii) The subsistence halibut harvest including whether the 
participant fished for subsistence halibut during the period specified 
on the permit, and if so, the date harvest occurred, the number and 
weight (in pounds) of halibut harvested, the type of gear and number of 
hooks used, the Commission regulatory area and local water body from 
which the halibut were harvested, and the number of lingcod and rockfish 
caught while subsistence fishing for halibut.
    (k) Ceremonial Permit or Educational Permit. An Area 2C or Area 3A 
Alaska Native tribe that is listed in paragraph (g)(2) of this section 
may apply for a Ceremonial or Educational Permit, allowing the tribe to 
harvest up to 25 halibut per permit issued. The Ceremonial and 
Educational Permits each consist of a harvest log and a single laminated 
permit card. Ceremonial and Educational Permits are permits subject to 
regulation under Sec.  679.4(a) of this title.
    (1) Qualifications. (i) NMFS may issue a Ceremonial or Educational 
Permit to any Alaska Native tribe that completes an application 
according to paragraph (k)(2) of this section and that is qualified to 
conduct subsistence fishing for halibut according to paragraph (g)(2) of 
this section.
    (ii) Eligible Alaska Native tribes may appoint only one Ceremonial 
Permit Coordinator per tribe.
    (iii) Eligible educational programs may appoint only one authorized 
Instructor per Educational Permit.
    (2) Application. An Alaska Native tribe may apply for a Ceremonial 
or Educational Permit by submitting an application to the Alaska Region, 
NMFS. Applications must be mailed to: Restricted Access Management 
Program, NMFS, Alaska Region, P.O. Box 21668, Juneau, AK 99802-1668.
    (i) A complete application must include:
    (A) The name of the Alaska Native tribe requesting the Ceremonial or 
Educational Permit;
    (B) The name of the person designated as the Ceremonial Permit 
Coordinator for each Alaska Native tribe

[[Page 211]]

or the name of the person designated as the Instructor for an 
Educational Permit, the Ceremonial Permit Coordinator or Instructor's 
mailing address (number and street, city, state, and zip code), and the 
daytime telephone number;
    (C) Any previously issued Ceremonial Permit harvest logs from any 
expired Ceremonial Permit if applying for a Ceremonial Permit; and
    (D) Any previously issued Educational Permit harvest logs from any 
expired Educational Permit if applying for an Educational Permit.
    (ii) NMFS will issue a Ceremonial Permit for the harvest of halibut 
associated with traditional cultural events only if the application:
    (A) Indicates the occasion of cultural or ceremonial significance; 
and
    (B) Identifies the person designated by the eligible Alaska Native 
tribe as the Ceremonial Permit Coordinator.
    (iii) NMFS will issue an Educational Permit only if the application:
    (A) Includes the name and address of the educational institution or 
organization;
    (B) Includes the instructor's name;
    (C) Demonstrates the enrollment of qualified students;
    (D) Describes minimum attendance requirements of the educational 
program; and
    (E) Describes standards for the successful completion of the 
educational program.
    (3) Restrictions. Subsistence fishing for halibut under Ceremonial 
or Educational Permits shall be valid only:
    (i) In Area 3A, except:
    (A) In the Anchorage-Matsu-Kenai non-subsistence marine waters area 
defined in paragraph (h)(3) of this section (see figures 4, 5, 6, and 7 
to this subpart E), only the following tribes may use a Ceremonial or 
Educational permit:
    (1) Kenaitze Indian Tribe;
    (2) Seldovia Village Tribe;
    (3) Ninilchik Village;
    (4) Native Village of Port Graham;
    (5) Native Village of Nanwalek; and
    (6) Village of Salamatoff.
    (B) In the Valdez non-subsistence marine waters area defined in 
paragraph (h)(3) of this section (see figures 4 and 5 to this subpart 
E), only the Native Village of Tatitlek may use a Ceremonial or 
Educational permit.
    (ii) In Area 2C, except:
    (A) In the Ketchikan non-subsistence marine waters area defined in 
paragraph (h)(3) of this section (see figure 2 to this subpart E), only 
the following tribes may use a Ceremonial or Educational permit:
    (1) Central Council of Tlingit/Haida Indians;
    (2) Ketchikan Indian Corporation; and
    (3) Organized Village of Saxman;
    (B) In the Juneau non-subsistence marine waters area defined in 
paragraph (h)(3) of this section (see figure 3 to this subpart E), only 
the following tribes may use a Ceremonial or Educational permit:
    (1) Central Council of Tlingit/Haida Indians;
    (2) Douglas Indian Association; and
    (3) Aukquan Traditional Council.
    (C) A Ceremonial Permit may not be used within Sitka Sound from June 
1 through August 31;
    (iii) On a single vessel on which the Ceremonial or Educational 
Permit card is present;
    (iv) On the vessel on which the instructor is present for 
Educational Permits;
    (v) To persons in possession of a valid subsistence halibut 
registration certificate issued in accordance with paragraph (i) of this 
section for the same Alaska Native tribe listed on the Ceremonial or 
Educational Permit, except that students enrolled in an educational 
program may fish under an Educational Permit without a subsistence 
halibut registration certificate; and
    (vi) If subsistence fishing gear set or retrieved from a vessel on 
which the Ceremonial or Educational Permit card is present does not 
exceed the restrictions of paragraph (h) of this section.
    (4) Expiration of permits. Each Ceremonial or Educational Permit 
will be valid only for the period of time specified on the permit. 
Ceremonial and Educational Permits will expire 30 days from the date of 
issuance to an Alaska Native tribe eligible to harvest halibut under 
paragraph (g)(2) of this section. A tribe eligible to harvest 
subsistence halibut under paragraph (g)(2) of this

[[Page 212]]

section may apply for additional Ceremonial or Educational Permits at 
any time.
    (5) Duties of Ceremonial Permit Coordinators and Instructors. Each 
Ceremonial Permit Coordinator or Instructor must ensure:
    (i) The designated harvesters or students who may fish under the 
Ceremonial or Educational Permit are identified on the Ceremonial/
Educational Permit harvest log when the permit is used;
    (ii) The Ceremonial Permit remains in the possession of the 
Ceremonial Permit Coordinator or other tribal authority when not in use 
and is issued to designated harvesters when necessary; and
    (iii) All required recordkeeping and data reporting of subsistence 
harvests under the Ceremonial or Educational Permit are performed.
    (6) Harvest log submission. Submission of a Ceremonial or 
Educational Permit log shall be required upon the expiration of each 
permit and must be received by Restricted Access Management within 15 
days of the expiration by facsimile or mail. Harvest logs must be mailed 
to RAM at the address given in paragraph (k)(2) of this section or faxed 
to 907-586-7354. The log must provide information on:
    (i) The subsistence fisher's identity including his or her full 
name, subsistence halibut registration certificate number if applicable 
(students do not need a SHARC), date of birth, mailing address (number 
and street, city, state, and zip code), community of residence, daytime 
phone number, and tribal identity;
    (ii) The subsistence halibut harvest including whether the 
participant fished for subsistence halibut during the period indicated 
on the permit, and if so, the date when harvest occurred, the number and 
weight (in pounds) of halibut harvested, the type of gear and number of 
hooks used, the Commission regulatory area and local water body from 
which the halibut were harvested, and the number of lingcod and rockfish 
caught while subsistence fishing for halibut.
    (l) Appeals. If Restricted Access Management (RAM) determines that 
an application is deficient, it will prepare and send an Initial 
Administrative Determination (IAD) to the applicant. The IAD will 
indicate the deficiencies in the application or any additional provided 
information. An applicant who receives an IAD may appeal RAM's findings 
pursuant to Sec.  679.43 of this title.

[68 FR 18156, Apr. 15, 2003]

    Editorial Note: For Federal Register citations affecting Sec.  
300.65, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.  300.66  Prohibitions.

    In addition to the general prohibitions specified in 50 CFR 300.4, 
it is unlawful for any person to do any of the following:
    (a) Fish for halibut except in accordance with the annual management 
measures published pursuant to 50 CFR 300.62.
    (b) Fish for halibut except in accordance with the catch sharing 
plans and domestic management measures implemented under Sec. Sec.  
300.63, 300.65, and 300.67.
    (c) Fish for halibut in Sitka Sound in violation of the Sitka Sound 
LAMP implemented under 50 CFR 300.65(e).
    (d) Fish for halibut or anchor a vessel with halibut on board within 
the Sitka Pinnacles Marine Reserve defined at 50 CFR 300.65(f).
    (e) Fish for subsistence halibut in and off Alaska unless the person 
is qualified to do so under Sec.  300.65(g), possesses a valid 
subsistence halibut registration certificate pursuant to Sec.  
300.65(i), and makes this certificate available for inspection by an 
authorized officer on request, except that students enrolled in a valid 
educational program and fishing under an Educational Permit issued 
pursuant to Sec.  300.65(k) do not need a subsistence halibut 
registration certificate.
    (f) Fish for subsistence halibut in and off Alaska with gear other 
than that described at 50 CFR 300.65(h)(1) and retain more halibut than 
specified at 50 CFR 300.65(h)(2).
    (g) Fish for subsistence halibut in and off Alaska in a non-
subsistence marine waters area specified at Sec.  300.65(h)(3).

[[Page 213]]

    (h) Conduct subsistence fishing for halibut while commercial fishing 
or sport fishing for halibut, as defined in Sec.  300.61, from the same 
vessel on the same calendar day, or possess on board a vessel halibut 
harvested while subsistence fishing with halibut harvested while 
commercial fishing or sport fishing, except that persons authorized to 
conduct subsistence fishing under Sec.  300.65(g), and who land their 
total annual harvest of halibut:
    (1) In Commission regulatory Areas 4D or 4E may retain, with 
harvests of Community Development Quota (CDQ) halibut, subsistence 
halibut harvested in Commission regulatory areas 4D or 4E that are 
smaller than the size limit specified in the annual management measures 
published pursuant to Sec.  300.62; or
    (2) In Commission regulatory Areas 4C, 4D or 4E may retain, with 
harvests of CDQ halibut, subsistence halibut harvested in Commission 
regulatory areas 4C, 4D or 4E that are equal to or greater than the size 
limit specified in the annual management measures published pursuant to 
Sec.  300.62.
    (i) Conduct commercial and sport fishing for halibut, as defined in 
Sec.  300.61, from the same vessel on the same calendar day.
    (j) Fish for subsistence halibut from a charter vessel or retain 
subsistence halibut onboard a charter vessel if anyone other than the 
owner of record, as indicated on the State of Alaska vessel 
registration, or the owner's immediate family is aboard the charter 
vessel and unless each person engaging in subsistence fishing onboard 
the charter vessel holds a subsistence halibut registration certificate 
in the person's name pursuant to Sec.  300.65(i) and complies with the 
gear and harvest restrictions found at Sec.  300.65(h). For purposes of 
this paragraph (i), the term ``charter vessel'' means a vessel that is 
registered, or that should be registered, as a sport fishing guide 
vessel with the Alaska Department of Fish and Game.
    (k) Retain or possess subsistence halibut for commercial purposes; 
cause subsistence halibut to be sold, bartered, or otherwise entered 
into commerce; or solicit exchange of subsistence halibut for commercial 
purposes, except that a person who qualified to conduct subsistence 
fishing for halibut under Sec.  300.65(g), and who holds a subsistence 
halibut registration certificate in the person's name under Sec.  
300.65(i), may be reimbursed for the expense of fishing for subsistence 
halibut under the following conditions:
    (1) Persons who qualify as rural residents under Sec.  300.65(g)(1) 
or (g)(3) and hold a SHARC in the person's name under Sec.  300.65(i) 
may be reimbursed for actual expenses for ice, bait, food, and fuel 
directly related to subsistence fishing for halibut, by residents of the 
same rural community or by rural residents residing within ten statute 
miles of the rural location listed on the person's SHARC application; or
    (2) Persons who qualify as Alaska Native tribal members under Sec.  
300.65(g)(2) and hold a SHARC in the person's name under Sec.  300.65(i) 
may be reimbursed for actual expenses for ice, bait, food, and fuel 
directly related to subsistence fishing for halibut, by any Alaska 
Native tribe, or its members, or residents of the same rural community 
or by rural residents residing within ten statute miles of the rural 
location listed on the person's SHARC application.
    (l) Retain subsistence halibut harvested under a CHP, Ceremonial 
Permit, or Educational Permit together in any combination or with 
halibut harvested under any other license or permit.
    (m) Fillet, mutilate, or otherwise disfigure subsistence halibut in 
any manner that prevents the determination of the number of fish caught, 
possessed, or landed.
    (n) Exceed any of the harvest or gear limitations specified at Sec.  
300.65(c)(5) or adopted by the Commission as annual management measures 
and published in the Federal Register as required in Sec.  300.62.
    (o) Transfer subsistence halibut to charter vessel anglers.
    (p) Fail to comply with the requirements of Sec. Sec.  300.65 and 
300.67.
    (q) Fail to submit or submit inaccurate information on any report, 
license, catch card, application, or statement required or submitted 
under Sec. Sec.  300.65 and 300.67, or submit inaccurate information to 
an authorized officer.

[[Page 214]]

    (r) Refuse to present valid identification, U.S. Coast Guard 
operator's license, permit, license, or Alaska Department of Fish and 
Game Saltwater Sport Fishing Charter Trip logbook upon the request of an 
authorized officer.
    (s) Be a charter vessel guide with charter vessel anglers on board, 
or a charter vessel operator if the charter vessel guide is not on 
board, in Commission regulatory area 2C or 3A without an original valid 
charter halibut permit for the regulatory area in which the charter 
vessel is operating during a charter vessel fishing trip.
    (t) Be a charter vessel guide in Commission regulatory area 2C or 3A 
with more charter vessel anglers catching and retaining halibut during a 
charter vessel fishing trip than the total angler endorsement number 
specified on the charter halibut permit(s) or community charter halibut 
permit(s) in use for that trip.
    (u) Be a charter vessel guide of a charter vessel on which one or 
more charter vessel anglers are catching and retaining halibut in both 
Commission regulatory areas 2C and 3A during one charter vessel fishing 
trip.
    (v) Be a charter vessel guide or a charter vessel operator during a 
charter vessel fishing trip in Commission regulatory area 2C or 3A with 
one or more charter vessel anglers that are catching and retaining 
halibut without having on board the vessel with the charter vessel 
anglers a State of Alaska Department of Fish and Game Saltwater Charter 
Logbook in which the charter vessel guide has specified the following:
    (1) The person named on the charter halibut permit or permits being 
used during that charter vessel fishing trip;
    (2) The charter halibut permit or permits number(s) being used 
during that charter vessel fishing trip; and
    (3) The name and State-issued vessel registration (AK number) or 
U.S. Coast Guard documentation number of the charter vessel.

[68 FR 18156, Apr. 15, 2003, as amended at 70 FR 16754, Apr. 1, 2005; 72 
FR 30728, June 4, 2007; 72 FR 67669, Nov. 30, 2007; 73 FR 30524, May 28, 
2008; 73 FR 52797, Sept. 11, 2008; 73 FR 54942, Sept. 24, 2008; 74 FR 
21228, May 6, 2009; 74 FR 57110, Nov. 4, 2009; 75 FR 600, Jan. 5, 2010; 
78 FR 75890, Dec. 12, 2013; 80 FR 35206, June 19, 2015]



Sec.  300.67  Charter halibut limited access program.

    This section establishes limitations on using a vessel on which 
charter vessel anglers catch and retain Pacific halibut in International 
Pacific Halibut Commission (IPHC) regulatory areas 2C and 3A.
    (a) General permit requirements. (1) In addition to other applicable 
permit, licensing, or registration requirements, any charter vessel 
guide of a charter vessel during a charter vessel fishing trip with one 
or more charter vessel anglers catching and retaining Pacific halibut on 
board must have on board the vessel an original valid charter halibut 
permit or permits endorsed for the regulatory area in which the charter 
vessel is operating and endorsed for at least the number of charter 
vessel anglers who are catching and retaining Pacific halibut. Each 
charter halibut permit holder must ensure that the charter vessel 
operator and charter vessel guide of the charter vessel comply with all 
requirements of Sec. Sec.  300.65, 300.66, and 300.67.
    (2) Area endorsement. A charter halibut permit is valid only in the 
International Pacific Halibut Commission regulatory area for which it is 
endorsed. Regulatory areas are defined in the annual management measures 
published pursuant to Sec.  300.62.
    (3) Charter vessel angler endorsement. A charter halibut permit is 
valid for up to the maximum number of charter vessel anglers on a single 
charter vessel for which the charter halibut permit is endorsed.
    (b) Qualifications for a charter halibut permit. A charter halibut 
permit for IPHC regulatory area 2C must be based on meeting 
participation requirements in area 2C. A charter halibut permit for IPHC 
regulatory area 3A must be based on meeting participation requirements 
in area 3A. Qualifications for a charter

[[Page 215]]

halibut permit in each area must be determined separately and must not 
be combined.
    (1) NMFS will issue a charter halibut permit to a person who meets 
the following requirements:
    (i) The person applies for a charter halibut permit within the 
application period specified in the Federal Register and completes the 
application process pursuant to paragraph (h) of this section.
    (ii) The person is the individual or non-individual entity to which 
the State of Alaska Department of Fish and Game (ADF&G) issued the ADF&G 
Business Owner Licenses that authorized logbook fishing trips that meet 
the minimum participation requirements described in paragraphs 
(b)(1)(ii)(A) and (b)(1)(ii)(B) of this section for one or more charter 
halibut permits, unless the person is applying as a successor-in-
interest.
    (A) Reported five (5) bottomfish logbook fishing trips or more 
during one year of the qualifying period; and
    (B) Reported five (5) halibut logbook fishing trips or more during 
the recent participation period.
    (iii) If the person is applying as a successor-in-interest to the 
person to which ADF&G issued the Business Owner Licenses that authorized 
logbook fishing trips that meet the participation requirements described 
in paragraphs (b)(1)(ii) of this section for one or more charter halibut 
permits, NMFS will require the following written documentation:
    (A) If the applicant is applying on behalf of a deceased individual, 
the applicant must document that the individual is deceased, that the 
applicant is the personal representative of the deceased's estate 
appointed by a court, and that the applicant specifies who, pursuant to 
the applicant's personal representative duties, should receive the 
permit(s) for which application is made; or
    (B) If the applicant is applying as a successor-in-interest to an 
entity that is not an individual, the applicant must document that the 
entity has been dissolved and that the applicant is the successor-in-
interest to the dissolved entity.
    (iv) If more than one applicant claims that they are the successor-
in-interest to a dissolved entity, NMFS will award the permit or permits 
for which the dissolved entity qualified in the name(s) of the 
applicants that submitted a timely application and proved that they are 
a successor-in-interest to the dissolved entity.
    (2) Notwithstanding any other provision in this subpart, and except 
as provided in paragraph (b)(1)(iv) of this section,
    (i) One logbook fishing trip shall not be credited to more than one 
applicant;
    (ii) One logbook fishing trip made pursuant to one ADF&G Business 
Owner License shall not be credited to more than one applicant; and
    (iii) Participation by one charter halibut fishing business shall 
not be allowed to support issuance of permits to more than one 
applicant.
    (3) For purposes of this section, the term ``ADF&G Business Owner(s) 
License(s)'' includes a ``business registration,'' ``sport fish business 
owner license,'' ``sport fish business license,'' and ``ADF&G business 
license''.
    (c) Number of charter halibut permits. An applicant that meets the 
participation requirements in paragraph (b) of this section will be 
issued the number of charter halibut permits equal to the lesser of the 
number of permits determined by paragraphs (c)(1) or (c)(2) of this 
section as follows:
    (1) The total number of bottomfish logbook fishing trips made 
pursuant to the applicant's ADF&G Business License in the applicant-
selected year divided by five, and rounded down to a whole number; or
    (2) The number of vessels that made the bottomfish logbook fishing 
trips in the applicant-selected year.
    (d) Designation of transferability. Each permit issued to an 
applicant under paragraph (c) of this section will be designated as 
transferable or non-transferable.
    (1) Minimum participation criteria for a transferable permit are 
described in paragraphs (d)(1)(i) and (d)(1)(ii) of this section as 
follows:
    (i) Reported fifteen (15) bottomfish logbook fishing trips or more 
from the same vessel during one year of the qualifying period; and

[[Page 216]]

    (ii) Reported fifteen (15) halibut logbook fishing trips or more 
from the same vessel during the recent participation period.
    (iii) The vessel used during the recent participation period is not 
required to be the same vessel used during the qualifying period.
    (2) The number of transferable charter halibut permits issued to an 
applicant will be equal to the lesser of the number of vessels that met 
the minimum transferable permit qualifications described in paragraphs 
(d)(1)(i) or (d)(1)(ii) of this section.
    (e) Angler endorsement. A charter halibut permit will be endorsed as 
follows:
    (1) The angler endorsement number for the first transferable permit 
for an area issued to an applicant will be the greatest number of 
charter vessel anglers reported on any logbook trip in the qualifying 
period in that area.
    (2) The angler endorsement number for each subsequent transferable 
permit issued to the same applicant for the same area will be the 
greatest number of charter vessel anglers reported by the applicant on 
any logbook trip in the qualifying period for a vessel not already used 
in that area to determine an angler endorsement, until all transferable 
permits issued to the applicant are assigned an angler endorsement.
    (3) The angler endorsement number for the first non-transferable 
permit for an area issued to an applicant will be the greatest number of 
charter vessel anglers reported on any logbook trip in the qualifying 
period for a vessel not already used to determine an angler endorsement 
in that area.
    (4) The angler endorsement number for each subsequent non-
transferable permit issued to the same applicant for the same area will 
be the greatest number of charter vessel anglers reported by the 
applicant on any logbook trip in the qualifying period for a vessel not 
already used in that area to determine an angler endorsement, until all 
non-transferable permits issued to the applicant are assigned an angler 
endorsement.
    (5) The angler endorsement number will be four (4) if the greatest 
number of charter vessel anglers reported on any logbook fishing trip 
for an area in the qualifying period is less than four (4), or no 
charter vessel anglers were reported on any of the applicant's logbook 
fishing trips in the applicant-selected year.
    (6) The angler endorsement number will be six (6) on a charter 
halibut permit issued pursuant to military service under paragraph 
(g)(3) of this section.
    (f) For purposes of this section, the following terms are defined as 
follows:
    (1) Applicant-selected year means the year in the qualifying period, 
2004 or 2005, selected by the applicant for NMFS to use in determining 
the applicant's number of transferable and nontransferable permits.
    (2) Bottomfish logbook fishing trip means a logbook fishing trip in 
the qualifying period that was reported to the State of Alaska in a 
Saltwater Charter Logbook with one of the following pieces of 
information: The statistical area(s) where bottomfish fishing occurred, 
the boat hours that the vessel engaged in bottomfish fishing, or the 
number of rods used from the vessel in bottomfish fishing.
    (3) Halibut logbook fishing trip means a logbook fishing trip in the 
recent participation period that was reported to the State of Alaska in 
a Saltwater Charter Logbook within the time limit for reporting the trip 
in effect at the time of the trip with one of the following pieces of 
information: The number of halibut that was kept, the number of halibut 
that was released, the statistical area(s) where bottomfish fishing 
occurred, or the boat hours that the vessel engaged in bottomfish 
fishing.
    (4) Logbook fishing trip means a bottomfish logbook fishing trip or 
a halibut logbook fishing trip that was reported as a trip to the State 
of Alaska in a Saltwater Charter Logbook within the time limits for 
reporting the trip in effect at the time of the trip, except that for 
multi-day trips, the number of trips will be equal to the number of days 
of the multi-day trip, e.g., a two day trip will be counted as two 
trips.
    (5) Official charter halibut record means the information prepared 
by NMFS on participation in charter halibut fishing in Area 2C and Area 
3A that NMFS will use to implement the

[[Page 217]]

Charter Halibut Limited Access Program and evaluate applications for 
charter halibut permits.
    (6) Qualifying period means the sport fishing season established by 
the International Pacific Halibut Commission (February 1 through 
December 31) in 2004 and 2005.
    (7) Recent participation period means the sport fishing season 
established by the International Pacific Halibut Commission (February 1 
through December 31) in 2008.
    (g) Unavoidable circumstance. Unavoidable circumstance claims must 
be made pursuant to paragraph (h)(6) of this section, and will be 
limited to persons who would be excluded from the charter halibut 
fishery entirely unless their unavoidable circumstance is recognized. 
This unavoidable circumstance provision cannot be used to upgrade the 
number of permits issued or to change a non-transferable permit to a 
transferable permit, and is limited to the following circumstances.
    (1) Recent participation period. An applicant for a charter halibut 
permit that meets the participation requirement for the qualifying 
period, but does not meet the participation requirement for the recent 
participation period, may receive one or more charter halibut permits if 
the applicant proves paragraphs (g)(1)(i) through (iv) of this section 
as follows:
    (i) The applicant had a specific intent to operate a charter halibut 
fishing business in the recent participation period;
    (ii) The applicant's specific intent was thwarted by a circumstance 
that was:
    (A) Unavoidable;
    (B) Unique to the owner of the charter halibut fishing business; and
    (C) Unforeseen and reasonably unforeseeable by the owner of the 
charter halibut fishing business;
    (iii) The circumstance that prevented the applicant from operating a 
charter halibut fishing business actually occurred; and
    (iv) The applicant took all reasonable steps to overcome the 
circumstance that prevented the applicant from operating a charter 
halibut fishing business in the recent participation period.
    (v) If the applicant proves the foregoing (see paragraphs (g)(1)(i) 
through (iv) of this section), the applicant will receive the number of 
transferable and non-transferable permits and the angler endorsements on 
these permits that result from the application of criteria in paragraphs 
(b), (c), (d), (e), and (f) of this section.
    (2) Qualifying period. An applicant for a charter halibut permit 
that meets the participation requirement for the recent participation 
period but does not meet the participation requirement for the 
qualifying period, may receive one or more permits if the applicant 
proves paragraphs (g)(2)(i) through (iv) of this section as follows:
    (i) The applicant had a specific intent to operate a charter halibut 
fishing business in at least one year of the qualifying period;
    (ii) The applicant's specific intent was thwarted by a circumstance 
that was:
    (A) Unavoidable;
    (B) Unique to the owner of the charter halibut fishing business; and
    (C) Unforeseen and reasonably unforeseeable by the owner of the 
charter halibut fishing business;
    (iii) The circumstance that prevented the applicant from operating a 
charter halibut fishing business actually occurred; and
    (iv) The applicant took all reasonable steps to overcome the 
circumstance that prevented the applicant from operating a charter 
halibut fishing business in at least one year of the qualifying period.
    (v) If the applicant proves the foregoing (see paragraphs (g)(2)(i) 
through (iv) of this section), the applicant will receive either:
    (A) One non-transferable permit with an angler endorsement of four 
(4); or
    (B) The number of transferable and non-transferable permits, and the 
angler endorsement on those permits, that result from the logbook 
fishing trips that the applicant proves likely would have taken by the 
applicant but for the circumstance that thwarted the applicant's 
specific intent to operate a charter halibut fishing business in one 
year of the qualifying period and the applicant did not participate 
during the other year of the qualifying period.

[[Page 218]]

    (3) Military service. An applicant for a charter halibut permit that 
meets the participation requirement in the recent participation period, 
but does not meet the participation requirement for the qualifying 
period, may receive one or more permits if the applicant proves the 
following:
    (i) The applicant was ordered to report for active duty military 
service as a member of a branch of the U.S. military, National Guard, or 
military reserve during the qualifying period; and
    (ii) The applicant had a specific intent to operate a charter 
halibut fishing business that was thwarted by the applicant's order to 
report for military service.
    (iii) The number of transferable and non-transferable charter 
halibut permit(s) that an applicant may receive under paragraph (g)(3) 
of this section will be based on the criteria in paragraph (g)(2)(v)(B) 
of this section. Angler endorsements on all such charter halibut permits 
will be pursuant to paragraph (e)(2) of this section.
    (h) Application for a charter halibut permit. (1) An application 
period of no less than 60 days will be specified by notice in the 
Federal Register during which any person may apply for a charter halibut 
permit. Any application that is submitted by mail and postmarked, or 
submitted by hand delivery or facsimile, after the last day of the 
application period will be denied. Electronic submission other than by 
facsimile will be denied. Applications must be submitted to the address 
given in the Federal Register notice of the application period.
    (2) Charter halibut permit. To be complete, a charter halibut permit 
application must be signed and dated by the applicant, and the applicant 
must attest that, to the best of the applicant's knowledge, all 
statements in the application are true and the applicant complied with 
all legal requirements for logbook fishing trips in the qualifying 
period and recent participation period that were reported under the 
applicant's ADF&G Business Owner Licenses. An application for a charter 
halibut permit will be made available by NMFS. Completed applications 
may be submitted by mail, hand delivery, or facsimile at any time during 
the application period announced in the Federal Register notice of the 
application period described at paragraph (h)(1) of this section.
    (3) Application procedure. NMFS will create the official charter 
halibut record and will accept all application claims that are 
consistent with the official charter halibut record. If an applicant's 
claim is not consistent with the official charter halibut record, NMFS 
will issue non-transferable interim permit(s) for all undisputed permit 
claims, and will respond to the applicant by letter specifying a 30-day 
evidentiary period during which the applicant may provide additional 
information or argument to support the applicant's claim for disputed 
permit(s). Limits on the 30-day evidentiary period are as follows:
    (i) An applicant shall be limited to one 30-day evidentiary period; 
and
    (ii) Additional information received after the 30-day evidentiary 
period has expired will not be considered for purposes of the initial 
administrative determination.
    (4) After NMFS evaluates the additional information submitted by the 
applicant during the 30-day evidentiary period, it will take one of the 
following two actions.
    (i) If NMFS determines that the applicant has met its burden of 
proving that the official charter halibut record is incorrect, NMFS will 
amend the official charter halibut record and use the official charter 
halibut record, as amended, to determine whether the applicant is 
eligible to receive one or more charter halibut permits, the nature of 
those permits and the angler and area endorsements on those permits; or
    (ii) If NMFS determines that the applicant has not met its burden of 
proving that the official charter halibut record is incorrect, NMFS will 
notify the applicant by an initial administration determination, 
pursuant to paragraph (h)(5) of this section.
    (5) Initial Administration Determination (IAD). NMFS will send an 
IAD to the applicant following the expiration of the 30-day evidentiary 
period if NMFS determines that the applicant has not met its burden of 
proving that the official charter halibut record is incorrect

[[Page 219]]

or that other reasons exist to initially deny the application. The IAD 
will indicate the deficiencies in the application and the deficiencies 
with the information submitted by the applicant in support of its claim.
    (6) Appeal. An applicant that receives an IAD may appeal to the 
Office of Administrative Appeals (OAA) pursuant to Sec.  679.43 of this 
title.
    (i) If the applicant does not apply for a charter halibut permit 
within the application period specified in the Federal Register, the 
applicant will not receive any interim permits pending final agency 
action on the application.
    (ii) If the applicant applies for a permit within the specified 
application period and OAA accepts the applicant's appeal, the applicant 
will receive the number and kind of interim permits which are not in 
dispute, according to the information in the official charter halibut 
record.
    (iii) If the applicant applies for a permit within the specified 
application period and OAA accepts the applicant's appeal, but according 
to the information in the official charter halibut record, the applicant 
would not be issued any permits, the applicant will receive one interim 
permit with an angler endorsement of four (4).
    (iv) All interim permits will be non-transferable and will expire 
when NMFS takes final agency action on the application.
    (i) Transfer of a charter halibut permit--(1) General. A transfer of 
a charter halibut permit is valid only if it is approved by NMFS. NMFS 
will approve a transfer of a charter halibut permit if the permit to be 
transferred is a transferable permit issued under paragraph (d)(2) of 
this section, if a complete transfer application is submitted, and if 
the transfer application meets the standards for approval in paragraph 
(i)(2) of this section.
    (2) Standards for approval of transfers. NMFS will transfer a 
transferable charter halibut permit to a person designated by the 
charter halibut permit holder if, at the time of the transfer the 
following standards are met:
    (i) The person designated to receive the transferred permit is a 
U.S. citizen or a U.S. business with a minimum of 75 percent U.S. 
ownership;
    (ii) The parties to the transfer do not owe NMFS any fines, civil 
penalties or any other payments;
    (iii) The transfer is not inconsistent with any sanctions resulting 
from Federal fishing violations;
    (iv) The transfer will not cause the designated recipient of the 
permit to exceed the permit limit at paragraph (j) of this section, 
unless an exception to that limit applies;
    (v) The GAF permit is not assigned to a charter halibut permit for 
which the GAF account contains unharvested GAF, pursuant to Sec.  300.65 
(c)(5)(iii)(A)(3) and (4);
    (vi) A transfer application is completed and approved by NMFS; and
    (vii) The transfer does not violate any other provision in this 
part.
    (3) For purposes of paragraph (i)(2) of this section, a U.S. 
business with a minimum of 75 percent U.S. ownership means a 
corporation, partnership, association, trust, joint venture, limited 
liability company, limited liability partnership, or any other entity 
where at least 75 percent of the interest in such entity, at each tier 
of ownership of such entity and in the aggregate, is owned and 
controlled by citizens of the United States.
    (4) Application to transfer a charter halibut permit. To be 
complete, a charter halibut permit transfer application must have 
notarized and dated signatures of the applicants, and the applicants 
must attest that, to the best of the applicants' knowledge, all 
statements in the application are true. An application to transfer a 
charter halibut permit will be made available by NMFS. Completed 
transfer applications may be submitted by mail or hand delivery at any 
time to the addresses listed on the application. Electronic or facsimile 
deliveries will not be accepted.
    (5) Denied transfer applications. If NMFS does not approve a charter 
halibut permit transfer application, NMFS will inform the applicant of 
the basis for its disapproval.
    (6) Transfer due to court order, operation of law or as part of a 
security agreement. NMFS will transfer a charter halibut permit based on 
a court order, operation of law or a security agreement,

[[Page 220]]

if NMFS determines that a transfer application is complete and the 
transfer will not violate an eligibility criterion for transfers.
    (j) Charter halibut permit limitations--(1) General. A person may 
not own, hold, or control more than five (5) charter halibut permits 
except as provided by paragraph (j)(4) of this section. NMFS will not 
approve a transfer application that would result in the applicant that 
would receive the transferred permit holding more than five (5) charter 
halibut permits except as provided by paragraph (j)(6) of this section.
    (2) Ten percent ownership criterion. In determining whether two or 
more persons are the same person for purposes of paragraph (j)(1) of 
this section, NMFS will apply the definition of an ``affiliation for the 
purpose of defining AFA entities'' at Sec.  679.2 of this title.
    (3) A permit will cease to be a valid permit if the permit holder 
is:
    (i) An individual and the individual dies; or
    (ii) A non-individual (e.g., corporation or partnership) and 
dissolves or changes as defined at paragraph (j)(5) of this section.
    (iii) A transferable permit may be made valid by transfer to an 
eligible recipient.
    (4) Exception for initial recipients of permits. Notwithstanding the 
limitation at paragraph (j)(1) of this section, NMFS may issue more than 
five (5) charter halibut permits to an initial recipient that meets the 
requirements described in paragraphs (b), (d), and (e) of this section 
for more than five (5) charter halibut permits, subject to the following 
limitations:
    (i) This exception applies only to an initial recipient as the 
recipient exists at the time that it is initially issued the permits;
    (ii) If an initial recipient of transferable permit(s) who is an 
individual dies, the individual's successor-in-interest may not hold 
more than five (5) charter halibut permits;
    (iii) If an initial recipient permit holder that is a non-
individual, such as a corporation or a partnership, dissolves or 
changes, NMFS will consider the new entity a new permit holder and the 
new permit holder may not hold more than five (5) charter halibut 
permits.
    (5) For purposes of this paragraph (j), a ``change'' means:
    (i) For an individual, the individual has died, in which case NMFS 
must be notified within 30 days of the individual's death; and
    (ii) For a non-individual entity, the same as defined at Sec.  
679.42(j)(4)(i) of this title, in which case the permit holder must 
notify NMFS within 15 days of the effective date of the change as 
required at Sec.  679.42(j)(5) of this title.
    (6) Exception for transfer of permits. Notwithstanding the 
limitation at paragraph (j)(1) of this section, NMFS may approve a 
permit transfer application that would result in the person that would 
receive the transferred permit(s) holding more than five (5) 
transferable charter halibut permits if the parties to the transfer meet 
the following conditions:
    (i) The designated person that would receive the transferred permits 
does not hold any charter halibut permits;
    (ii) All permits that would be transferred are transferable permits;
    (iii) The permits that would be transferred are all of the 
transferable permits that were awarded to an initial recipient who 
exceeded the permit limitation of five (5) permits; and
    (iv) The person transferring its permits also is transferring its 
entire charter vessel fishing business, including all the assets of that 
business, to the designated person that would receive the transferred 
permits.
    (k) Community charter halibut permit--(1) General. A Community Quota 
Entity (CQE), as defined in Sec.  679.2 of this title, representing an 
eligible community listed in paragraph (k)(2) of this section, may 
receive one or more community charter halibut permits. A community 
charter halibut permit issued to a CQE will be designated for area 2C or 
area 3A, will be non-transferable, and will have an angler endorsement 
of six (6).
    (2) Eligible communities. Each community charter halibut permit 
issued to a CQE under paragraph (k)(1) of this section will specify the 
name of an eligible community on the permit. Only the following 
communities are eligible to

[[Page 221]]

receive community charter halibut permits:
    (i) For Area 2C: Angoon, Coffman Cove, Edna Bay, Game Creek, Hollis, 
Hoonah, Hydaburg, Kake, Kasaan, Klawock, Metlakatla, Meyers Chuck, 
Naukati Bay, Pelican, Point Baker, Port Alexander, Port Protection, 
Tenakee, Thorne Bay, Whale Pass.
    (ii) For Area 3A: Akhiok, Chenega Bay, Halibut Cove, Karluk, Larsen 
Bay, Nanwalek, Old Harbor, Ouzinkie, Port Graham, Port Lyons, Seldovia, 
Tatitlek, Tyonek, Yakutat.
    (3) Limitations. The maximum number of community charter halibut 
permits that may be issued to a CQE for each eligible community the CQE 
represents is as follows:
    (i) A CQE representing an eligible community or communities in 
regulatory area 2C may receive a maximum of four (4) community charter 
halibut permits per eligible community designated for Area 2C.
    (ii) A CQE representing an eligible community or communities in 
regulatory area 3A may receive a maximum of seven (7) community charter 
halibut permits per eligible community designated for Area 3A.
    (4) NMFS will not approve a transfer that will cause a CQE 
representing a community or communities to hold more than the total 
number of permits described in paragraphs (k)(4)(i) and (k)(4)(ii) of 
this section, per community, including community charter halibut permits 
granted to the CQE under this paragraph (k) and any charter halibut 
permits acquired by the CQE by transfer under paragraph (i) of this 
section.
    (i) The maximum number of charter halibut and community charter 
halibut permits that may be held by a CQE per community represented by 
the CQE in regulatory area 2C is eight (8).
    (ii) The maximum number of charter halibut and community charter 
halibut permits that may be held by a CQE per community represented by 
the CQE in regulatory area 3A is fourteen (14).
    (5) Limitation on use of permits. The following limitations apply to 
community charter halibut permits issued to a CQE under paragraph (k)(1) 
of this section.
    (i) Every charter vessel fishing trip authorized by such a permit 
and on which halibut are caught and retained must begin or end at a 
location(s) specified on the application for a community charter halibut 
permit and that is within the boundaries of the eligible community 
designated on the permit. The geographic boundaries of the eligible 
community will be those defined by the United States Census Bureau.
    (ii) Community charter halibut permits may be used only within the 
regulatory area for which they are designated to catch and retain 
halibut.
    (6) Application procedure. To be complete, a community charter 
halibut permit application must be signed and dated by the applicant, 
and the applicant must attest that, to the best of the applicants' 
knowledge, all statements in the application are true and complete. An 
application for a community charter halibut permit will be made 
available by NMFS and may be submitted by mail, hand delivery, or 
facsimile at any time to the address(s) listed on the application. 
Electronic deliveries other than facsimile will not be accepted.
    (7) An annual report on the use of charter halibut permits must be 
submitted by the CQE as required at Sec.  679.5(t) of this title.
    (l) Military charter halibut permit. NMFS will issue a military 
charter halibut permit without an angler endorsement to an applicant 
provided that the applicant is a Morale, Welfare and Recreation Program 
of the United States Armed Services.
    (1) Limitations. A military charter halibut permit is non-
transferable and may be used only in the regulatory area (2C or 3A) 
designated on the permit.
    (2) Application procedure. An applicant may apply for a military 
charter halibut permit at any time. To be complete, a military charter 
halibut permit application must be signed and dated by the applicant, 
and the applicant must attest that, to the best of the applicants' 
knowledge, all statements in the application are true and complete. An 
application for a military charter halibut permit will be made

[[Page 222]]

available by NMFS and may be submitted by mail, hand delivery, or 
facsimile at any time to the address(s) listed on the application. 
Electronic deliveries other than facsimile will not be accepted.

[75 FR 600, Jan. 5, 2010, as amended at 75 FR 56909, Sept. 17, 2010; 78 
FR 33650, June 4, 2013; 78 FR 75890, Dec. 12, 2013; 80 FR 35207, June 
19, 2015]



Sec. Figure 1 to Subpart E of Part 300--Sitka Local Area Management Plan
[GRAPHIC] [TIFF OMITTED] TR18JY05.000


[[Page 223]]





Sec. Figure 2 to Subpart E of Part 300--Southern Southeast Alaska Rural 
                           and Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.008


[74 FR 57110, Nov. 4, 2009]

[[Page 224]]



Sec. Figure 3 to Subpart E of Part 300--Northern Southeast Alaska Rural 
                           and Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.009


[74 FR 57110, Nov. 4, 2009]

[[Page 225]]



 Sec. Figure 4 to Subpart E of Part 300--Prince William Sound Rural and 
                             Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.010


[74 FR 57110, Nov. 4, 2009]

[[Page 226]]



 Sec. Figure 5 to Subpart E of Part 300--Anchorage, Matanuska-Susitna, 
                   and Kenai Rural and Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.011


[74 FR 57110, Nov. 4, 2009]

[[Page 227]]



 Sec. Figure 6 to Subpart E of Part 300--Alaska Peninsula and Aleutian 
                    Islands Rural and Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.012


[74 FR 57110, Nov. 4, 2009]

[[Page 228]]



Sec. Figure 7 to Subpart E of Part 300--Western and Central Alaska Rural 
                           and Non-Rural Areas
[GRAPHIC] [TIFF OMITTED] TR04NO09.013


[74 FR 57110, Nov. 4, 2009]

[[Page 229]]



  Sec. Table 1 to Subpart E of Part 300-- Determination of Commission 
Regulatory Area 2C Annual Commercial Allocation From the Annual Combined 
                         Catch Limit for Halibut

------------------------------------------------------------------------
  If the area 2C annual combined catch       then the area 2C annual
     limit (CCL) in net pounds is:          commercial allocation is:
------------------------------------------------------------------------
<5,000,000 lb..........................  81.7% of the Area 2C CCL.
=5,000,000 and <=5,755,000    the Area 2C CCL minus a fixed
 lb.                                      915,000-lb allocation to the
                                          charter halibut fishery.
5,755,000 lb................  84.1% of the Area 2C CCL.
------------------------------------------------------------------------


[78 FR 75890, Dec. 12, 2013]



   Sec. Table 2 to Subpart E of Part 300--Determination of Commission 
Regulatory Area 3A Annual Commercial Allocation From the Annual Combined 
                         Catch Limit for Halibut

------------------------------------------------------------------------
  If the area 3A annual combined catch       then the area 3A annual
     limit (CCL) in net pounds is:          commercial allocation is:
------------------------------------------------------------------------
<10,000,000 lb.........................  81.1% of the Area 3A CCL.
=10,000,000 and <=10,800,000  the Area 3A CCL minus a fixed
 lb.                                      1,890,000-lb allocation to the
                                          charter halibut fishery.
10,800,000 and <=20,000,000   82.5% of the Area 3A CCL.
 lb.
20,000,000 and <=25,000,000   the Area 3A CCL minus a fixed
 lb.                                      3,500,000-lb allocation to the
                                          charter halibut fishery.
25,000,000 lb...............  86.0% of the Area 3A CCL.
------------------------------------------------------------------------


[78 FR 75890, Dec. 12, 2013]



   Sec. Table 3 to Subpart E of Part 300--Determination of Commission 
  Regulatory Area 2C Annual Charter Halibut Allocation From the Annual 
                          Combined Catch Limit

------------------------------------------------------------------------
  If the area 2C annual combined catch   then the area 2C annual charter
  limit for halibut in net pounds is:             allocation is:
------------------------------------------------------------------------
<5,000,000 lb..........................  18.3% of the Area 2C CCL.
=5,000,000 and <=5,755,000    915,000 lb.
 lb.
5,755,000 lb................  15.9% of the Area 2C CCL.
------------------------------------------------------------------------


[78 FR 75890, Dec. 12, 2013]



   Sec. Table 4 to Subpart E of Part 300--Determination of Commission 
  Regulatory Area 3A Annual Charter Halibut Allocation From the Annual 
                          Combined Catch Limit

------------------------------------------------------------------------
  If the area 3A annual combined catch
 limit (CCL) for halibut in net pounds   then the area 3A annual charter
                  is:                             allocation is:
------------------------------------------------------------------------
<10,000,000 lb.........................  18.9% of the Area 3A annual
                                          combined catch limit.
=10,000,000 and <=10,800,000  1,890,000 lb.
 lb.
10,800,000 and <=20,000,000   17.5% of the Area 3A annual
 lb.                                      combined catch limit.
20,000,000 and <=25,000,000   3,500,000 lb.
 lb.
25,000,000 lb...............  14.0% of the Area 3A annual
                                          combined catch limit.
------------------------------------------------------------------------


[78 FR 75890, Dec. 12, 2013]



        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

[[Page 230]]

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) 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 and 49 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

[[Page 231]]

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 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

[[Page 232]]

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.



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.).

[[Page 233]]

    (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 
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

[[Page 234]]

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-Stevens 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.
    (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 Area Code 206 
toll-free telephone hotlines. All-citizen fisheries: the hotline 
telephone number is published in the inseason notice procedures section 
of the annual management measures for West Coast Salmon Fisheries, 
published in the Federal Register; Treaty Indian fisheries hotline: 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.

[61 FR 35550, July 5, 1996, as amended at 74 FR 44771, Aug. 31, 2009]



               Subpart G_Antarctic Marine Living Resources

    Authority: 16 U.S.C. 2431 et seq., 31 U.S.C. 9701 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 S.                             0.
50 S.                             30 E.
45 S.                             30 E.
45 S.                             80 E.
55 S.                             80 E.
55 S.                             150 E.
60 S.                             150 E.
60 S.                             50 W.
50 S.                             50 W.
50 S.                             0.
 


[[Page 235]]

    Antarctic finfishes include the following:

------------------------------------------------------------------------
              Scientific name                        Common name
------------------------------------------------------------------------
Gobionotothen gibberifrons................  Humped rockcod.
Notothenia rossii.........................  Marbled rockcod.
Lepidorhirus squamifrons..................  Grey rockcod.
Lepidonotothen kempi......................  Striped-eyed rockcod.
Dissostichus eleginoides..................  Patagonian toothfish.
Dissostichus mawsoni......................  Antarctic toothfish.
Electrona carlsbergi......................  Lanternfish.
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:
    (1) The populations of finfish, mollusks, crustaceans, and all other 
species of living organisms, including birds, found south of the 
Antarctic Convergence;
    (2) All parts or products of those populations and species set forth 
in paragraph (1) of this definition.
    Centralized Vessel Monitoring System (C-VMS) means a system that 
uses satellite-linked vessel monitoring devices to allow for the 
reporting of vessel positional data, either directly to the CCAMLR 
Secretariat or to the CCAMLR Secretariat through the relevant Flag 
State.
    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.
    Dealer means the person who first receives AMLRs from a harvesting 
vessel or transshipment vessel or who imports AMLRs into, or re-exports 
AMLRs from, the United States.
    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.
    Dissostichus catch document (DCD) means the uniquely numbered catch 
documentation form approved by the Commission and issued by a flag state 
to its vessels authorized to harvest Dissostichus species.
    Dissostichus species means Patagonian toothfish and/or Antarctic 
toothfish and their parts or products.
    Export as used in Sec.  300.107(c) means any movement of a catch in 
its harvested or processed form from a territory under the control of 
the State or free trade zone of landing, or, where that State or free 
trade zone forms part of a customs union, any other Member State of that 
customs union.
    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 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.
    Import as used in Sec. Sec.  300.107(c) and 300.114 means the 
physical entering or bringing of a catch into any part of the 
geographical territory under the control of a State, except where the 
catch is landed or transshipped within the definitions of landing or 
transshipment.
    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.
    International observer means a scientific observer operating in 
accordance with the CCAMLR Scheme of International Scientific 
Observation and the terms of a bilateral arrangement concluded between 
the United States and a Member of CCAMLR for the placement of a U.S. 
national onboard a vessel flagged by a Member of CCAMLR or for the 
placement of the

[[Page 236]]

national of a Member of CCAMLR onboard a U.S. flagged 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; except for purposes of catch documentation as provided for 
in Sec.  300.107(c), land or landing means the initial transfer of catch 
in its harvested or processed form from a vessel to dockside or to 
another vessel in a port or free trade zone where the catch is certified 
by an authority of the Port State as landed.
    Mobile transceiver unit means a vessel monitoring system or VMS 
device, as set forth at Sec.  300.116, installed on board a vessel that 
is used for vessel monitoring and transmitting the vessel's position as 
required by this subpart.
    National observer means a U.S. national placed and operating onboard 
a U.S. flagged vessel as a scientific observer or a foreign flagged 
vessel in accordance with Sec.  300.113.
    NSF means National Science Foundation, 4201 Wilson Boulevard, 
Arlington, VA 22230.
    Office for Law Enforcement (OLE) refers to the National Marine 
Fisheries Service, Office for Law Enforcement, Northeast Division.
    Port State means the State that has control over a particular port 
area or free trade zone for the purposes of landing, transshipment, 
importing, exporting and re-exporting and whose authority serves as the 
authority for landing or transshipment certification.
    Port-to-port means from the time the vessel leaves port to the time 
that the vessel returns to port and at all points in between.
    Real-time means as soon as possible, but at least every 4 hours with 
no more than a 4-hour delay.
    Recreational fishing means fishing with hook and line for personal 
use and not for sale.
    Re-export as used in Sec. Sec.  300.107(c) and 300.114 means any 
movement of a catch in its harvested or processed form from a territory 
under the control of a State, free trade zone, or Member State of a 
customs union of import unless that State, free trade zone, or any 
Member State of that customs union of import is the first place of 
import, in which case the movement is an export within the definition of 
export.
    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.
    Seal excluder device means a barrier within the body of a trawl 
comprised of a metal frame, nylon mesh, or any material that results in 
an obstruction to seals between the mouth opening and the cod end of the 
trawl. The body of the trawl net forward of the barrier must include an 
escape opening through which seals entering the trawl can escape.
    Specially Validated Dissostichus Catch Document (SVDCD) means a 
Dissostichus catch document that has been specially issued by a State to 
accompany seized or confiscated catch of Dissostichus spp. offered for 
sale or otherwise disposed of by the State.
    Transship or transshipment means the transfer of fish or fish 
products from one vessel to another; Except for purposes of catch 
documentation as provided for in Sec. Sec.  300.107(c) and 300.114, 
transship or transshipment means the transfer at sea of a catch in its 
harvested or processed form from a vessel to another vessel or means of 
transport and, where such transfer takes place within the territory 
under the control of a Port State, for the purposes of effecting its 
removal from that State. Temporarily placing a catch on land or on an 
artificial structure to facilitate such transfer does not prevent the 
transfer from being a transshipment where the catch is not landed with 
the definition of landing.
    Vessel Monitoring System (VMS) means a system that uses a mobile 
transceiver unit on vessels that take AMLR, and that allows a Flag 
State, through the installation of satellite-tracking devices on board 
its fishing vessels, to

[[Page 237]]

receive automatic transmission of positional and other information, 
consistent with relevant CCAMLR conservation measures.

[61 FR 35550, July 5, 1996, as amended at 65 FR 30015, May 10, 2000; 68 
FR 23227, May 1, 2003; 72 FR 48508, Aug. 23, 2007; 75 FR 18111, Apr. 9, 
2010]



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 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 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.

[[Page 238]]

    (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 up to five years. Applicants requesting a permit to reenter a 
Protected Site must include the most recent 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 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,

[[Page 239]]

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59"14 S. lat., 55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29" S. lat., 60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.

[61 FR 35550, July 5, 1996, as amended at 68 FR 23227, May 1, 2003]



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:
    (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.

[[Page 240]]

    (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) 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.
    (d) 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.

[61 FR 35550, July 5, 1996, as amended at 72 FR 48509, Aug. 23, 2007]



Sec.  300.107  Reporting and recordkeeping requirements.

    (a) Vessels. The operator of any vessel required to have a 
harvesting permit under this subpart must:
    (1) Accurately maintain on board the vessel all CCAMLR reports and 
records required by its permit.
    (2) Make such reports and records available for inspection upon the 
request of an authorized officer or CCAMLR inspector.

[[Page 241]]

    (3) Within the time specified in the permit, submit a copy of such 
reports and records to NMFS at an address designated by NMFS.
    (4) Install a NMFS approved VMS unit on board U.S. vessels 
harvesting AMLR for use in real-time C-VMS port-to-port reporting to a 
NMFS-designated land-based fisheries monitoring center or centers. The 
requirements for the installation and operation of the VMS are set forth 
in Sec.  300.116.
    (b) Dealers. Dealers of AMLR required under Sec.  300.114 to have an 
International Fisheries Trade Permit (IFTP) issued under Sec.  300.322 
must:
    (1) Accurately maintain all reports and records required by their 
IFTP and this subpart;
    (2) Make such reports and records available for inspection upon the 
request of an authorized officer or CCAMLR inspector; and
    (3) Within the time specified in the IFTP requirements, submit a 
copy of such reports and records to NMFS at an address designated by 
NMFS.
    (c) Catch documentation--(1) General. (i) The CCAMLR DCD must 
accompany all shipments of Dissostichus species as required in this 
paragraph (c).
    (ii) No shipment of Dissostichus species shall be released for entry 
into the United States unless accompanied by a complete and validated 
CCAMLR DCD.
    (iii) No shipment of Dissostichus species identified as originating 
from a high seas area designated by the Food and Agriculture 
Organization of the United Nations as Statistical Area 51 or Statistical 
Area 57 in the eastern and western Indian Ocean outside and north of the 
Convention Area shall be issued a preapproval.
    (2) Harvesting vessels. (i) In addition to any AMLR harvesting 
permit or a High Seas Fishing Compliance Act permit issued pursuant to 
Sec.  300.12, a U.S. vessel harvesting or attempting to harvest 
Dissostichus species, wherever found, must possess a DCD issued by NMFS 
which is non-transferable. The master of the harvesting vessel must 
ensure that catch information specified on the DCD is accurately 
recorded.
    (ii) Prior to offloading of Dissostichus species, the master of the 
harvesting vessel must:
    (A) electronically convey by the most rapid means possible catch 
information to NMFS and record on the DCD a confirmation number received 
from NMFS;
    (B) Obtain on the DCD (or copies thereof) the signature(s) of the 
following persons: if catch is offloaded for transshipment, the master 
of the vessel(s) to which the catch is transferred; or if catch is 
offloaded for landing, the signature of both the responsible official(s) 
designated by NMFS in the harvesting permit, and the dealer(s) that 
receives the catch at the port(s) of landing; and
    (C) Sign the DCD (or copies thereof), electronically convey by the 
most rapid means possible each copy to NMFS, and provide a copy to each 
recipient of the catch.
    (iii) The master of the harvesting vessel must submit the original 
DCD (or all copies thereof with original signatures) to NMFS no later 
than 30 days after the end of the fishing season as authorized for that 
vessel on its harvesting permit.
    (3) Transshipment vessels. (i) The master of a U.S. vessel issued a 
permit to transship Dissostichus species must, upon receipt of 
Dissostichus species, sign each DCD provided by the master of the 
harvesting vessel.
    (ii) Prior to landing Dissostichus species, the master of the 
transshipping vessel must:
    (A) Obtain on each DCD (or copies thereof) the signature(s) of both 
the responsible official(s) designated by NMFS in the permit, and the 
dealer(s) that receives the catch at the port(s) of landing and
    (B) Sign each DCD (or copies thereof), and electronically convey by 
the most rapid means possible each copy to NMFS and to the flag state(s) 
of the harvesting vessel(s) and provide a copy to each dealer receiving 
Dissostichus species.
    (iii) The master of the transshipping vessel must submit all DCDs 
with original signatures to NMFS no later than 30 days after offloading 
and retain copies for a period of 2 years.
    (4) Receivers upon landing. Any dealer who receives Dissostichus 
species from a

[[Page 242]]

harvesting vessel or from a transshipment vessel must sign the DCD(s) 
provided by the master of the vessel.
    (5) Import. (i) In order to import frozen Dissostichus species into 
the United States, any dealer must:
    (A) Submit a preapproval application including the document number 
and export reference number on the DCD corresponding to the intended 
import shipment and, if necessary, additional information for NMFS to 
verify the use of real-time C-VMS port-to-port regardless of where the 
fish were harvested; and receive preapproval from NMFS.
    (B) Ensure that the quantity of toothfish listed on the DCD (or 
Dissostichus re-export document if product is to be re-exported) matches 
the quantity listed on the preapproval application within a variance of 
10 percent,
    (C) The document and export reference numbers described in paragraph 
(c)(5)(i)(A) of this section must be entered by the dealer on the 
preapproval application for the shipment and sent to the address 
designated by NMFS so that NMFS receives the documentation at least 15 
working days prior to import.
    (D) Retain a copy of the DCD for his/her records and provide copies 
to exporters as needed.
    (ii) Dealers must retain at their place of business a copy of the 
DCD for a period of 2 years from the date on the DCD.
    (iii) Any dealer who imports fresh Dissostichus species must 
complete a report of each shipment and submit the report to NMFS within 
24 hours following importation. Verification of the use of real-time C-
VMS port-to-port is not required for imports of fresh Dissostichus 
species.
    (6) Re-export. (i) In order to re-export Dissostichus species, any 
dealer must:
    (A) Submit to NMFS a completed paper-based NMFS application for a 
Dissostichus re-export document that includes the following information:
    (1) The species, product type, and amount from the original DCD(s) 
that is requested for export in the particular export shipment;
    (2) The number of the original DCD(s);
    (3) The name and address of the importer and point of import for the 
original import into the United States, or by submitting a copy of the 
preapproval issued for the original import;
    (4) One of the following:
    (i) The Container Number for the shipment if shipment is to be re-
exported by vessel;
    (ii) The Flight Number and Airway Bill/Bill of Lading if shipment is 
to be re-exported by air;
    (iii) The Truck Registration Number and Nationality if shipment is 
to be re-exported by ground transportation; or
    (iv) The Railway Transport Number if shipment is to be re-exported 
by rail.
    (5) The dealer/exporter's name, address, and IFTP number; and
    (6) The dealer's signature.
    (B) Obtain validation by a responsible official(s) designated by 
NMFS and receive an electronically-generated Dissostichus re-export 
document.
    (ii) For frozen Dissostichus species, re-export documents will be 
generated upon verification of the use of real-time C-VMS port-to-port 
except for Dissostichus species harvested during fishing trips that 
began prior to September 24, 2007.
    (iii) Dealers must include the original validated Dissostichus re-
export document with the re-export shipment.
    (iv) Any dealer who re-exports Dissostichus species must retain a 
copy of the re-export document at his/her place of business for a period 
of 2 years from the date on the DCD.
    (7) Export. (i) In order to export U.S.-harvested Dissostichus 
species, any dealer must:
    (A) Submit to NMFS a completed paper-based NMFS application for a 
Dissostichus export document that includes the following information:
    (1) The species, product type, and amount from the original DCD(s) 
that is requested for export in the particular export shipment;
    (2) The number of the original DCD(s);
    (3) One of the following:
    (i) The Container Number for the shipment if shipment is to be 
exported by vessel;

[[Page 243]]

    (ii) The Flight Number and Airway Bill/Bill of Lading if shipment is 
to be exported by air;
    (iii) The Truck Registration Number and Nationality if shipment is 
to be exported by ground transportation; or
    (iv) The Railway Transport Number if shipment is to be exported by 
rail.
    (4) The dealer/exporter's name, address, and IFTP permit number;
    (5) For frozen Dissostichus species, verification of the use of 
real-time C-VMS port-to-port except for Dissostichus species harvested 
during fishing trips that began prior to September 24, 2007; and
    (6) The dealer's signature.
    (B) Obtain validation by a responsible official(s) designated by 
NMFS and receive an electronically-generated Dissostichus export 
document.
    (ii) Dealers must include the original validated Dissostichus export 
document with the export shipment.
    (iii) Any dealer who exports Dissostichus species must retain a copy 
of the export document at his/her place of business for a period of 2 
years from the date on the DCD.

[65 FR 30016, May 10, 2000, as amended at 68 FR 23228, May 1, 2003; 72 
FR 48509, Aug. 23, 2007; 75 FR 18112, Apr. 9, 2010; 81 FR 51133, Aug. 3, 
2016]



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 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.

[[Page 244]]



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 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

[[Page 245]]

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.  300.112  Harvesting permits.

    (a) General. (1) Every vessel subject to the jurisdiction of the 
United States that attempts to reduce or reduces any 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.
    (4) The owners and operators of each krill harvesting vessel using 
trawl gear in Convention Area fisheries must install a seal excluder 
device.
    (c) Application. Application forms for harvesting permits are 
available at www.nmfs.noaa.gov.gpea--forms.htm.
    (1) A separate fully completed and accurate application must be 
completed and received by NMFS for each vessel

[[Page 246]]

for which a harvesting permit is requested.
    (2) Applications for permits to harvest species other than krill 
must be received by NMFS at least 90 days before the date anticipated 
for the beginning of harvesting.
    (3) Applications for a permit to harvest krill must be received by 
NMFS no later than June 1 immediately prior to the season in which the 
harvesting would occur. The applications must, to the extent possible, 
identify the products to be derived from the anticipated krill catch.
    (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 
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

[[Page 247]]

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.
    (k) Transshipment vessels. Any U.S. flagged vessel that receives or 
attempts to receive Dissostichus species from a harvesting vessel at 
sea, regardless of whether such transshipment occurs in waters under the 
jurisdiction of CCAMLR, must obtain from NMFS a harvesting permit 
authorizing transshipment. Transshipment vessels must comply with the 
permitting provisions of this section with respect to harvesting 
vessels.

[61 FR 35550, July 5, 1996, as amended at 65 FR 30017, May 10, 2000; 72 
FR 48509, Aug. 23, 2007; 75 FR 18112, Apr. 9, 2010]



Sec.  300.113  Scientific observers.

    This section applies to national and international observers as 
defined in Sec.  300.101.
    (a) This section applies to a national observer aboard U.S. vessels 
harvesting in the Convention Area, national observers placed on foreign 
flagged vessels and international observers placed on U.S. vessels 
harvesting in the Convention Area.
    (b) All U.S. vessels fishing in the Convention Area must carry one 
or more scientific observers as required by CCAMLR conservation and 
management measures or as specified in a NMFS-issued AMLR Harvesting 
Permit.
    (c) All U.S. vessels conducting longline sink rate testing outside 
the Convention area and pursuant to CCAMLR protocols must carry one or 
more scientific observers as specified in a NMFS-issued AMLR Harvesting 
Permit.
    (d) Procurement of observers by vessel. Owners of vessels required 
to carry scientific observers under this section must arrange for 
observer services in coordination with the NMFS Southwest Fisheries 
Science Center Antarctic Ecosystem Research Division. The vessel owner 
is required to pay for observer services through an observer service 
provider who has provided observer services to the Federal government 
within the past year. In situations where no qualified observer is 
available through a qualified observer provider, the Secretary may 
authorize a vessel owner to arrange for an observer by alternative 
methods. An observer may not be paid directly by the vessel owner.
    (e) Insurance. The observer service provider or vessel owner must 
provide insurance for observers that provides compensation in the event 
of an injury or death during the entire deployment, from the point of 
hire location to return, equivalent to the standards of the North 
Pacific Groundfish Observer Program set forth in Sec.  679.80 of this 
title.
    (f) Educational requirements. National observer candidates must:
    (1) Have a Bachelor's degree or higher from an accredited college or 
university with a major in one of the natural sciences; or
    (2) Have successfully completed a minimum of 30 semester hours or 
equivalent in applicable biological sciences with extensive use of 
dichotomous keys in at least one course.
    (g) Health requirements. National observers must have a signed and 
dated statement from a licensed physician

[[Page 248]]

that he or she has physically examined the observer. The statement must 
confirm that, based upon the physical examination, the observer does not 
have any health problems or conditions that would jeopardize that 
individual's safety or the safety of others while deployed, or prevent 
the observer from performing his or her duties satisfactorily. The 
statement must declare that prior to the examination; the physician was 
made aware of the duties of an observer and the dangerous, remote and 
rigorous nature of the work. The physician's statement must be submitted 
to the NMFS Southwest Fisheries Science Center Antarctic Ecosystem 
Research Division program office prior to approval of an observer. The 
physical exam must have occurred during the 12 months prior to the 
observer's deployment. The physician's statement will expire 12 months 
after the physical exam occurred. A new physical exam must be performed, 
and accompanying statement submitted, prior to any deployment occurring 
after the expiration of the statement.
    (h) Vessel responsibilities. An operator of a vessel required to 
carry one or more scientific observers must:
    (1) Accommodations and food. Provide, at no cost to the observers or 
the United States, accommodations and food on the vessel for the 
observer or observers that are equivalent to those provided for officers 
of the vessel; and
    (2) Safe conditions. (i) Maintain safe conditions on the vessel for 
the protection of observers including adherence to all U.S. Coast Guard 
and other applicable rules, regulations, or statutes pertaining to safe 
operation of the vessel.
    (ii) Have on board:
    (A) A valid Commercial Fishing Vessel Safety Decal issued within the 
past 2 years that certifies compliance with regulations found in 33 CFR 
chapter I and 46 CFR chapter I. NMFS will grant a waiver from the 
Voluntary Safety decal provision if the vessel is in compliance with the 
standards of the observer vessel safety check list developed by the 
Northeast Fisheries Science Center http://www.nefsc.noaa.gov/femad/fsb/ 
or equivalent certification issued by the Flagging State;
    (B) A certificate of compliance issued pursuant to 46 CFR 28.710; or
    (C) A valid certificate of inspection pursuant to 46 U.S.C. 3311.
    (3) Health and safety regulations. Comply with the Observer health 
and safety regulations at part 600 of this title. NMFS will grant a 
waiver from the Voluntary Safety decal provision if the vessel is in 
compliance with the standards of the observer vessel safety check list.
    (4) Transmission of data. Facilitate transmission of observer data 
by allowing observers, on request, to use the vessel's communications 
equipment and personnel for the confidential entry, transmission, and 
receipt of work-related messages.
    (5) Vessel position. Allow observers access to, and the use of, the 
vessel's navigation equipment and personnel, on request, to determine 
the vessel's position, course and speed.
    (6) Access. Allow observers free and unobstructed access to the 
vessel's bridge, trawl or working decks, holding bins, processing areas, 
freezer spaces, weight scales, cargo holds, and any other space that may 
be used to hold, process, weigh, or store fish or fish products at any 
time.
    (7) Prior notification. Notify observers at least 15 minutes before 
fish are brought on board, or fish and fish products are transferred 
from the vessel, to allow sampling the catch or observing the transfer, 
unless the observers specifically request not to be notified.
    (8) Records. Allow observers to inspect and copy the vessel's CCAMLR 
DCD, product transfer forms, any other logbook or document required by 
regulations, printouts or tallies of scale weights, scale calibration 
records, bin sensor readouts, and production records.
    (9) Assistance. Provide all other reasonable assistance to enable 
observers to carry out their duties, including, but not limited to:
    (i) Measuring decks, codends, and holding bins;
    (ii) Providing the observers with a safe work area adjacent to the 
sample collection site;
    (iii) Collecting bycatch when requested by the observers;

[[Page 249]]

    (iv) Collecting and carrying baskets of fish when requested by 
observers; and
    (v) Allowing observers to determine the sex of fish when this 
procedure will not decrease the value of a significant portion of the 
catch.
    (10) Transfer at sea. (i) Ensure that transfers of observers at sea 
via small boat or raft are carried out during daylight hours, under safe 
conditions, and with the agreement of observers involved.
    (ii) Notify observers at least 3 hours before observers are 
transferred, such that the observers can collect personal belongings, 
equipment, and scientific samples.
    (iii) Provide a safe pilot ladder and conduct the transfer to ensure 
the safety of observers during transfers.
    (iv) Provide an experienced crew member to assist observers in the 
small boat or raft in which any transfer is made.
    (i) Standards of observer conduct--(1) Observers: (i) Must not have 
a direct financial interest in the fishery being observed, including but 
not limited to:
    (A) Any ownership, mortgage holder, or other secured interest in a 
vessel, shoreside or floating stationary processor facility involved in 
the catching, taking, harvesting or processing of fish;
    (B) Any business involved with selling supplies or services to any 
vessel, shoreside or floating stationary processing facility; or
    (C) Any business involved with purchasing raw or processed products 
from any vessel, shoreside or floating stationary processing facilities.
    (ii) Must not solicit or accept, directly or indirectly, any 
gratuity, gift, favor, entertainment, loan, or anything of monetary 
value from anyone who either conducts activities that are regulated by 
NMFS or has interests that may be substantially affected by the 
performance or nonperformance of the observers' official duties.
    (iii) May not serve as observers on any vessel or at any shoreside 
or floating stationary processing facility owned or operated by a person 
who previously employed the observers.
    (iv) May not solicit or accept employment as a crew member or an 
employee of a vessel, shoreside processor, or stationary floating 
processor while employed by an observer provider.
    (2) Provisions for remuneration of observers under this section do 
not constitute a conflict of interest.
    (j) Standards of observer behavior. Observers must avoid any 
behavior that could adversely affect the confidence of the public in the 
integrity of the Observer Program or of the government, including but 
not limited to the following:
    (1) Observers must perform their assigned duties as described in the 
CCAMLR Scientific Observers Manual and must complete the CCAMLR 
Scientific Observer Logbooks and submit them to the CCAMLR Data Manager 
at the intervals specified by the Data Manager.
    (2) Observers must accurately record their sampling data, write 
complete reports, and report accurately any observations of suspected 
violations of regulations relevant to conservation of marine resources 
or their environment.
    (3) Observers must not disclose collected data and observations made 
on board the vessel or in the processing facility to any person except 
the owner or operator of the observed vessel or processing facility, or 
NMFS.
    (4) Observers must refrain from engaging in any illegal actions or 
any other activities that would reflect negatively on their image as 
professional scientists, on other observers, or on the Observer Program 
as a whole. This includes, but is not limited to:
    (i) Engaging in the use, possession, or distribution of illegal 
drugs; or
    (ii) Engaging in physical sexual contact with personnel of the 
vessel or processing facility to which the observer is assigned, or with 
any vessel or processing plant personnel who may be substantially 
affected by the performance or non-performance of the observer's 
official duties.
    (k) Sampling station. (1) Minimum work space aboard at sea 
processing vessels. The observer must have a working area of 4.5 square 
meters, including the observer's sampling table, for sampling and 
storage of fish to be sampled. The observer must be able to stand 
upright and have a work area at

[[Page 250]]

least 0.9 m deep in the area in front of the table and scale.
    (2) Table aboard at-sea processing vessels. The observer sampling 
station must include a table at least 0.6 m deep, 1.2 m wide and 0.9 m 
high and no more than 1.1 m high. The entire surface area of the table 
must be available for use by the observer. Any area for the observer 
sampling scale is in addition to the minimum space requirements for the 
table. The observer's sampling table must be secured to the floor or 
wall.
    (3) Other requirement for at-sea processing vessels. The sampling 
station must be in a well-drained area that includes floor grating (or 
other material that prevents slipping), lighting adequate for day or 
night sampling, and a hose that supplies fresh or sea water to the 
observer.

[72 FR 48510, Aug. 23, 2007]



Sec.  300.114  Dealer permits and preapproval.

    (a) General. (1) A dealer importing, or re-exporting AMLR, or a 
person exporting AMLR, must possess a valid IFTP issued under Sec.  
300.322 and file, as specified under Sec.  300.323, the required data 
sets electronically with CBP at the time of, or in advance of 
importation or exportation. Required data set has the same meaning as 
Sec.  300.321 (see definition of ``Documentation and data sets 
required.'') See Sec.  300.322 for IFTP application procedures and 
permit regulations. The IFTP holder may only conduct those specific 
activities stipulated by the IFTP. Preapproval from NMFS is required for 
each shipment of frozen Dissostichus species.
    (2) An AMLR may be imported into the United States if its harvest 
has been authorized by a U.S.-issued individual permit or its 
importation has been authorized by an IFTP and, in the case of frozen 
Dissostichus species, preapproval issued under Sec.  300.114(a)(1). 
AMLRs may not be released for entry into the United States unless 
accompanied by the harvesting permit, the individual permit, or IFTP 
and, in the case of frozen Dissostichus species, the preapproval 
certification granted by NMFS to allow import. NMFS will only accept 
electronic catch documents for toothfish imports.
    (3) 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.
    (4) An IFTP or preapproval issued under this section does not 
authorize the harvest or transshipment of any AMLR by or to a vessel of 
the United States.
    (b) Application. Application forms for preapproval are available 
from NMFS.
    (c) Fees. A fee to recover the administrative expenses associated 
with processing preapproval applications will be charged. The amount of 
the fee will be determined in accordance with procedures specified in 
the NOAA Finance Handbook for calculating administrative costs of 
special products and services. The fee is specified with the preapproval 
application form. The appropriate fee must accompany each application 
and be paid by check, draft, or money order.
    (d) Issuance. NMFS may issue a preapproval if it determines that the 
activity proposed by the dealer meets the requirements of the Act and 
that the resources were not or will not be harvested in violation of any 
CCAMLR conservation measure in force with respect to the United States 
or in violation of any regulation in this subpart.
    (e) Duration. A preapproval is valid until the product is imported. 
Each export or re-export document created by NMFS in the CDS is valid 
only for that particular shipment.
    (f) Transfer. A preapproval issued under this section is not 
transferable or assignable.
    (g) Changes in information--(1) Pending applications. Applicants for 
preapproval under this section must report in writing to NMFS any change 
in the information submitted in preapproval applications.
    (2) Issued preapprovals. Any entity issued a preapproval under this 
section must report in writing to NMFS any changes in previously 
submitted information.
    (h) Revision, suspension, or revocation. A preapproval issued under 
this section may be revised, suspended, or revoked, based upon a 
violation of the IFTP, the Act, or this subpart. Failure to report

[[Page 251]]

a change in the information contained in a preapproval application voids 
the application or preapproval. Title 15 CFR part 904 governs sanctions 
under this subpart.
    (i) Exception. Preapproval is not required for shipments of fresh 
Dissostichus species. A report of a shipment of fresh Dissostichus 
species must be completed and submitted to NMFS within 24 hours 
following import.
    (j) SVDCD. Preapprovals will not be issued for Dissostichus spp. 
offered for sale or other disposition under a Specially Validated DCD.

[68 FR 23228, May 1, 2003. Redesignated and amended at 72 FR 48510, 
48511, Aug. 23, 2007; 75 FR 18112, Apr. 9, 2010; 81 FR 51134, Aug. 3, 
2016]



Sec.  300.115  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.

[61 FR 35550, July 5, 1996. Redesignated at 72 FR 48510, Aug. 23, 2007]



Sec.  300.116  Requirements for a vessel monitoring system for U.S. vessels.

    (a) Requirement for use. Within 30 days after NMFS publishes in the 
Federal Register a list of approved transmitting units and associated 
communications service providers for the AMLR fishery, an owner or 
operator of a vessel that has been issued a harvesting permit for AMLR 
must ensure that such vessel has a NMFS-approved, operating VMS on board 
when on any fishing trip involving the harvesting of AMLR. An operating 
VMS includes an operating mobile transmitting unit on the vessel and a 
functioning communication link between the unit and NMFS as provided by 
a NMFS-approved communication service provider.
    (b) Installing and activating the VMS. Only a VMS that has been 
approved by NMFS for use in the AMLR fishery may be used. When 
installing and activating the NMFS-approved VMS, or when reinstalling 
and reactivating such VMS, the vessel owner or operator must--
    (1) Follow procedures indicated on an installation and activation 
checklist, which is available from OLE; and
    (2) Submit to OLE a statement certifying compliance with the 
checklist, as prescribed on the checklist.
    (c) Interference with the VMS. No person may interfere with, tamper 
with, alter, damage, disable, or impede the operation of the VMS, or 
attempt any of the same.
    (d) Interruption of operation of the VMS. When a vessel's VMS is not 
operating properly, the owner or operator must immediately contact OLE, 
and follow instructions from that office. If notified by NMFS that a 
vessel's VMS is not operating properly, the owner and operator must 
follow instructions from that office. In either event, such instructions 
may include, but are not limited to, manually communicating to a 
location designated by NMFS the vessel's positions or returning to port 
until the VMS is operable.
    (e) Access to position data. As a condition of authorized fishing 
for or possession of AMLR, a vessel owner or operator subject to the 
requirements for a VMS in this section must allow NMFS, the USCG, and 
their authorized officers and designees access to the vessel's position 
data obtained from the VMS.
    (f) Installation and operation of the VMS. NMFS has authority over 
the installation and operation of the VMS unit. NMFS may authorize the 
connection or order the disconnection of additional equipment, including 
a computer, to any VMS unit when deemed appropriate by NMFS.

[72 FR 48511, Aug. 23, 2007, as amended at 75 FR 18113, Apr. 9, 2010]



Sec.  300.117  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, or export or re-export from, the United States any

[[Page 252]]

AMLRs without applicable catch documentation as required by Sec.  
300.107(c), without an IFTP as required by Sec.  300.114(a)(1), or in 
violation of the terms and conditions for such import, export or re-
export as specified on the IFTP.
    (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.
    (q) Provide incomplete or inaccurate information about the harvest, 
transshipment, landing, import or re-export of applicable species on any 
document required under this subpart.
    (r) Without a valid first receiver permit issued under this subpart, 
receive AMLRs from a vessel or receive AMLRs from a vessel without a 
valid harvesting permit issued under this subpart.
    (s) Import Dissostichus spp. with a Specially Validated DCD.
    (t) Import shipments of frozen Dissostichus spp. without a 
preapproval issued under Sec.  300.114.
    (u) Assault, resist, oppose, impede, intimidate, harass, bribe, or 
interfere with an observer.
    (v) Interfere with or bias the sampling procedure employed by an 
observer, including physical, mechanical, or other sorting or discarding 
of catch before sampling.
    (w) Tamper with, destroy, or discard an observer's collected 
samples, equipment, records, photographic film, papers, or personal 
effects without the express consent of the observer.
    (x) Prohibit or bar by command, impediment, threat, coercion, or by 
refusal of reasonable assistance, an observer from collecting samples, 
conducting product recovery rate determinations, making observations, or 
otherwise performing the observer's duties.
    (y) Harass an observer by conduct that has sexual connotations, has 
the

[[Page 253]]

purpose or effect of interfering with the observer's work performance, 
or otherwise 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.
    (z) Fish for or process fish without observer coverage required 
under Sec.  300.113.
    (aa) Require, pressure, coerce, or threaten an observer to perform 
duties normally performed by crew members, including, but not limited 
to, cooking, washing dishes, standing watch, vessel maintenance, 
assisting with the setting or retrieval of gear, or any duties 
associated with the processing of fish, from sorting the catch to the 
storage of the finished product.
    (bb) Vessel monitoring systems. (1) Use any vessel registered to an 
AMLR harvesting permit to conduct fishing operations unless that vessel 
carries an OLE type-approved mobile transceiver unit and complies with 
the requirements described in this subpart.
    (2) Fail to install, activate, repair or replace a mobile 
transceiver unit prior to leaving port as specified in this subpart.
    (3) Fail to operate and maintain a mobile transceiver unit on board 
the vessel at all times as specified in this subpart.
    (4) Tamper with, damage, destroy, alter, or in any way distort, 
render useless, inoperative, ineffective, or inaccurate the VMS, mobile 
transceiver unit, or VMS signal required to be installed on or 
transmitted by a vessel as specified in this subpart.
    (5) Fail to contact OLE or follow OLE instructions when automatic 
position reporting has been interrupted as specified in this subpart.
    (6) Register a VMS transceiver unit registered to more than one 
vessel at the same time.
    (7) Connect or leave connected additional equipment to a VMS unit 
without the prior approval of the OLE.
    (8) Make a false statement, oral or written, to an authorized 
officer regarding the installation, use, operation, or maintenance of a 
VMS unit or communication service provider.
    (9) Fail to use real-time C-VMS port-to-port on board U.S. vessels 
harvesting AMLR in the Convention Area.
    (cc) Fail to use the mitigation measures required in the course of 
longline fishing or longline fishing research in the Convention Area to 
minimize the incidental mortality of seabirds.
    (dd) Fail to use the mitigation measures required in the Convention 
Area to minimize the incidental mortality of seabirds and marine mammals 
in the course of trawl fishing.
    (ee) Set longlines in Subareas 48.6, 88.1 and 88.2 Divisions 58.4.1, 
58.4.2, 58.4.3a, 58.4.3b and 58.5.2 during daylight hours without 
following the CCAMLR protocol designed to mitigate seabird interactions.
    (ff) Trawl for krill in Convention Area fisheries without a seal 
excluder device.
    (gg) Harvest any AMLR in Convention waters without a harvesting 
permit required by this subpart.
    (hh) Ship, transport, offer for sale, sell, purchase, import, 
export, re-export or have custody, control, or possession of, any frozen 
Dissostichus species without verifiable documentation of the use of 
real-time C-VMS port-to-port by the vessel that harvested such 
Dissostichus species unless the Dissostichus species was harvested 
during a fishing trip that began prior to September 24, 2007.
    (ii) Import into, or export or re-export from, the United States any 
AMLRs harvest by a vessel of the United States without a valid 
harvesting permit issued under this subpart.

[61 FR 35550, July 5, 1996, as amended at 65 FR 30017, May 10, 2000; 68 
FR 23229, May 1, 2003. Redesignated and amended at 72 FR 48510, 48512, 
Aug. 23, 2007; 75 FR 18113, Apr. 9, 2010; 81 FR 51134, Aug. 3, 2016]



Sec.  300.118  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

[[Page 254]]

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 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.
    (d) Disposition of resources denied entry. [Reserved]

[61 FR 35550, July 5, 1996, as amended at 65 FR 30017, May 10, 2000. 
Redesignated at 72 FR 48510, Aug. 23, 2007]



Sec.  300.119  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.

[61 FR 35550, July 5, 1996. Redesignated at 72 FR 48510, Aug. 23, 2007]

[[Page 255]]



 Sec. Figure 1 to Subpart G of Part 300--Boundaries of the Statistical 
                  Reporting Area in the Southern Ocean
[GRAPHIC] [TIFF OMITTED] TC01JY91.072


[[Page 256]]





  Sec. Figure 2 to Subpart G of Part 300--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 257]]





   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-
Stevens 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-Stevens 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) Caribbean spiny lobster or spiny lobster, Panulirus argus.
    Regional Administrator means the Administrator of the 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55" N. and 1443" N. 
between longitudes 8055" W. and 81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22" N. lat., 
8020" W. long.
    (3) Roncador, enclosed by arcs 12 nautical miles from the low water 
line of Roncador Cay, in approximate position 1335" N. lat., 8005" W. 
long.

[61 FR 35550, July 5, 1996, as amended at 76 FR 59305, Sept. 26, 2011]



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 Administrator.
    (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 Administrator not less than 90 days in advance of its need. 
Applications for the ensuing calendar year should be submitted to the 
Regional Administrator 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.

[[Page 258]]

    (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 Administrator will request a 
certificate from the Republic of Colombia if:
    (i) The application is complete.
    (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 Administrator will notify the applicant of the 
deficiency. If the applicant fails to correct the deficiency within 30 
days of the Regional Administrator's notification, the application will 
be considered abandoned.
    (3) The Regional Administrator 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 Administrator 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

[[Page 259]]

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:
    (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 Administrator 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-Stevens Act or any regulation issued under the 
Magnuson-Stevens Act, is subject to the civil and criminal penalty 
provisions and civil forfeiture provisions of the Magnuson-Stevens 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

[[Page 260]]

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.
    (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-Stevens 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-Stevens 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-Stevens 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

[[Page 261]]

    (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 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,

[[Page 262]]

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 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-Stevens 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-Stevens Act, the terms used in this subpart have the following 
meanings. If a term is defined differently in Sec.  300.2 or the 
Magnuson-Stevens 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.

[[Page 263]]

    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 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 Administrator means Administrator of the 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.

[61 FR 35550, July 5, 1996, as amended at 76 FR 59305, Sept. 26, 2011]



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

[[Page 264]]

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 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).

[[Page 265]]

    (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).
    (2) The report must be faxed to (301) 713-2313 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 Administrator 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 Administrator.
    (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.

[61 FR 35550, July 5, 1996, as amended at 76 FR 59305, Sept. 26, 2011]



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

[[Page 266]]

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, 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-Stevens 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

[[Page 267]]

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 violation of the 
relevant laws and regulations of the Russian Federation, the Magnuson-
Stevens 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-Stevens 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

[[Page 268]]

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.
    (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.



                Subpart L_Pacific Albacore Tuna Fisheries

    Authority: Sec. 401, Pub. L. 108-219, 118 Stat. 616 (16 U.S.C. 1821 
note).

    Source: 69 FR 31535, June 4, 2004, unless otherwise noted.



Sec.  300.170  Purpose and scope.

    The regulations in this subpart govern fishing by U.S. vessels in 
waters under the fisheries jurisdiction of Canada pursuant to the 1981 
Treaty Between the Government of the United States of America and the 
Government of Canada on Pacific Coast Albacore Tuna Vessels and Port 
Privileges as amended in 2002. Regulations governing fishing by Canadian 
vessels in waters under the fisheries jurisdiction of the United States 
pursuant to this Treaty as amended in 2002 are found at Sec.  600.530 of 
chapter VI of this title.



Sec.  300.171  Definitions.

    In addition to the definitions in the Magnuson-Stevens Fishery 
Conservation and Management Act and Sec.  600.10 of Chapter VI of this 
title, the terms used in this subpart have the following meanings:
    Fishing under the Treaty as amended in 2002 means to engage in 
fishing for albacore tuna in waters under the fisheries jurisdiction of 
Canada seaward of 12 nautical miles from the baseline from which the 
territorial sea is measured.
    Regional Administrator means the Regional Administrator, Southwest 
Region, NMFS, 501 W. Ocean Boulevard, Suite 4200, Long Beach, CA 90802-
4213, or a designee.
    Reporting Office means the office designated by the Regional 
Administrator to take hail-in and hail-out reports from U.S. and 
Canadian vessel operators.
    Treaty means the 1981 Treaty Between the Government of the United 
States of America and the Government of Canada on Pacific Coast Albacore 
Tuna Vessels and Port Privileges as amended in 2002.



Sec.  300.172  Vessel list.

    The ``vessel list'' is the list of U.S. vessels that are authorized 
to fish

[[Page 269]]

under the Treaty as amended in 2002. Only a vessel on the list for at 
least 7 days may engage in fishing in Canadian waters under the Treaty 
as amended in 2002. The owner of any U.S. vessel that wishes to be 
eligible to fish for albacore tuna under the Treaty as amended in 2002 
must provide the Regional Administrator or his designee with the vessel 
name, the owner's name and address, phone number where the owner can be 
reached, the USCG documentation number (or state registration number if 
not documented), and vessel operator (if different from the owner) and 
his or her address and phone number. On the date that NMFS receives a 
request that includes all the required information, NMFS will place the 
vessel on the annual vessel list. NMFS will notify fishermen by a 
confirmation letter or email of the date the vessel was placed on the 
list. Because the vessel list will revert to zero vessels on December 31 
of each year, the required information must be provided in the manner 
specified on an annual basis.

[72 FR 19123, Apr. 17, 2007]



Sec.  300.173  Vessel identification.

    Each U.S. vessel fishing under the Treaty must be marked for 
identification purposes, as follows:
    (a) A vessel used to fish on the high seas within the Convention 
Area as defined in Sec.  300.211 must be marked in accordance with the 
requirements at Sec. Sec.  300.14 and 300.217.
    (b) A vessel not used to fish on the high seas within the Convention 
Area as defined in Sec.  300.211 must be marked in accordance with 
either:
    (1) Sections 300.14 and 300.217, or
    (2) The vessel's name and U.S. Coast Guard Documentation number (or 
if not documented, the state registration number) followed by the letter 
U must be prominently displayed where they are clearly visible both from 
the air and from a surface vessel. Numerals and the letter U must meet 
the size requirements of Sec.  660.704 of this title. Markings must be 
legible and of a color that contrasts with the background.

[76 FR 73520, Nov. 29, 2011]



Sec.  300.174  Logbook reports.

    The owner of any U.S. vessel that fishes for albacore tuna in 
Canadian waters under the Treaty as amended in 2002 must maintain and 
submit to the Regional Administrator a logbook of catch and effort of 
such fishing. The logbook form will be provided to the vessel owner as 
soon as practicable after the request to be placed on the list of 
vessels. The logbook must be submitted to the Regional Administrator 
within 15 days of the end of a trip, regardless of whether the trip ends 
by reentry to U.S. waters or entry to Canada's territorial sea, other 
Canadian waters in which fishing is not permitted, or a Canadian port. 
If the departure is due to exit to the high seas, the vessel operator 
must submit the logbook within 7 days of its next landing.



Sec.  300.175  Hail-in and hail-out reports.

    (a) The operator of any U.S. vessel that wishes to engage in fishing 
in waters under the fisheries jurisdiction of Canada must file a hail-in 
report to the Reporting Office at least 24 hours prior to engaging in 
fishing in such waters.
    (b) The operator of a U.S. vessel that has been fishing under the 
Treaty as amended in 2002 must file a hail-out report to the Reporting 
Office within 24 hours of departing waters under the fisheries 
jurisdiction of Canada.



Sec.  300.176  Prohibitions.

    It is prohibited for the owner or operator of a U.S. fishing vessel 
to:
    (a) Engage in fishing in waters under the fisheries jurisdiction of 
Canada if:
    (1) The vessel has not been on the list of fisheries pursuant to 
Sec.  300.172 for at least 7 days;
    (2) The vessel is not clearly marked as required under Sec.  
300.173;
    (3) The vessel operator has not filed a hail-in report with the 
Reporting Office as required under Sec.  300.175(a); or
    (4) The Regional Administrator has announced that the U.S. limit on 
fishing under the Treaty as amended in 2002 has been reached.
    (b) Fail to maintain and submit logbook records of catch and effort 
statistics as required under Sec.  300.174;

[[Page 270]]

    (c) Fail to report an exit from waters under the fisheries 
jurisdiction of Canada as required by Sec.  300.175(b).



 Subpart M_International Trade Documentation and Tracking Programs for 
                        Highly Migratory Species

    Authority: 16 U.S.C. 951-961 and 971 et seq.; 16 U.S.C. 1801 et seq.

    Source: 69 FR 67277, Nov. 17, 2004, unless otherwise noted.



Sec.  300.180  Purpose and scope.

    The regulations in this subpart are issued under the authority of 
the Atlantic Tunas Convention Act of 1975 (ATCA), Tuna Conventions Act 
of 1950, and Magnuson-Stevens Act. The regulations implement the 
recommendations of the International Commission for the Conservation of 
Atlantic Tunas (ICCAT) for the conservation and management of tuna and 
tuna-like species in the Atlantic Ocean and of the Inter-American 
Tropical Tuna Commission (IATTC) for the conservation and management of 
highly migratory fish resources in the Eastern Tropical Pacific Ocean, 
so far as they affect vessels and persons subject to the jurisdiction of 
the United States.



Sec.  300.181  Definitions.

    Atlantic bluefin tuna means the species Thunnus thynnus found in the 
Atlantic Ocean.
    Automated Commercial Environment (ACE) has the same meaning as that 
term is defined in Sec.  300.321 of this part.
    Automated Export System (AES) has the same meaning as that term is 
defined in Sec.  300.321 of this part.
    BCD tag means a numbered tag affixed to a bluefin tuna issued by any 
country in conjunction with a catch statistics information program and 
recorded on a BCD or eBCD.
    Bigeye tuna means the species Thunnus obesus found in any ocean 
area.
    Bluefin Tuna Catch Document (BCD) means a bluefin tuna catch 
document issued by a nation implementing the ICCAT bluefin tuna catch 
documentation program.
    BSD tag means a numbered tag affixed to a bluefin tuna issued by any 
country in conjunction with a catch statistics information program and 
recorded on a bluefin tuna statistical document (BSD).
    CBP means U.S. Customs and Border Protection, Department of Homeland 
Security.
    CCSBT means the Commission for the Conservation of Southern Bluefin 
Tuna established pursuant to the Convention for the Conservation of 
Southern Bluefin Tuna.
    Consignment document means either an ICCAT eBCD or paper BCD issued 
by a nation to comply with the ICCAT bluefin tuna catch documentation 
program consistent with ICCAT recommendations; or an ICCAT, IATTC, IOTC, 
or CCSBT statistical document or a statistical document issued by a 
nation to comply with such statistical document programs.
    Consignment documentation programs means the ICCAT, IOTC, IATTC or 
CCSBT catch document or statistical document programs.
    Customs territory of the United States has the same meaning as in 19 
CFR 101.1 and includes only the States, the District of Columbia, and 
Puerto Rico.
    Dealer tag means the numbered, flexible, self-locking ribbon issued 
by NMFS for the identification of Atlantic bluefin tuna sold to a dealer 
permitted under Sec.  635.4 of this title as required under Sec.  
635.5(b) of this title.
    Document Imaging System (DIS) means the system established by CBP to 
receive image files of paper documents in ACE or AES and associate the 
image files with specific trade transactions.
    eBCD means an electronic bluefin tuna catch document (eBCD) 
generated by the ICCAT eBCD system to track bluefin tuna catch and trade 
as specified in ICCAT recommendations.
    eBCD system is the ICCAT electronic system for creating, editing, 
and transmitting ICCAT catch and trade documentation for bluefin tuna as 
specified in ICCAT recommendations and required in these regulations.
    Entered for consumption has the same meaning as in 19 CFR 141.0a(f) 
and generally refers to the filing of an entry

[[Page 271]]

summary for consumption with customs authorities, in proper form, with 
estimated duties attached.
    Entry for consumption, for purposes of this subpart, has the same 
meaning as entry for consumption, withdrawal from warehouse for 
consumption, or entry for consumption of merchandise from a foreign 
trade zone, as provided under 19 CFR parts 101.1, 141, 144, and 146. For 
purposes of this subpart, ``entry for consumption'' generally means an 
import into the Customs territory of the United States or the separate 
customs territory of a U.S. insular possession, for domestic use, that 
is classified for customs purposes in the ``consumption'' category 
(entry type codes 00-08) or withdrawal from warehouse or foreign trade 
zone for consumption category (entry type codes 30-34 and 38). For 
purposes of this subpart, HMS destined from one foreign country to 
another, which transits the Customs territory of the United States or 
the separate customs territory of a U.S. insular possession, and is not 
classified as an entry for consumption upon release from CBP or other 
customs custody, is not an entry for consumption under this definition.
    Entry number, for purposes of this subpart, means the unique number/
identifier assigned by customs authorities for each entry into a customs 
territory. For CBP, the entry number is assigned at the time of filing 
an entry summary (CBP Form 7501 or equivalent electronic filing) for 
entries into the Customs territory of the United States.
    Export, for purposes of this subpart, means to effect exportation.
    Exportation has the same general meaning as 19 CFR 101.1 and 
generally refers to a severance of goods from the mass of things 
belonging to one country with the intention of uniting them to the mass 
of things belonging to some foreign country. For purposes of this 
subpart, a shipment between the United States and its insular 
possessions is not an export.
    Exporter, for purposes of this subpart, is the principal party in 
interest, meaning the party that receives the primary benefit, monetary 
or otherwise, of the export transaction. For exports from the United 
States, the exporter is the U.S. principal party in interest, as 
identified in part 30 of title 15 of the CFR. An exporter is subject to 
the requirements of this subpart, even if exports are exempt from 
statistical reporting requirements under part 30 of title 15 of the CFR.
    Finlet means one of the small individual fins on a tuna located 
behind the second dorsal and anal fins and forward of the tail fin.
    Fish or fish products regulated under this subpart means bluefin 
tuna, frozen bigeye tuna, southern bluefin tuna and swordfish and all 
such products of these species, except parts other than meat (e.g., 
heads, eyes, roe, guts, and tails), and shark fins.
    IATTC means the Inter-American Tropical Tuna Commission, established 
pursuant to the Convention for the Establishment of an Inter-American 
Tropical Tuna Commission.
    ICCAT means the International Commission for the Conservation of 
Atlantic Tunas established pursuant to the International Convention for 
the Conservation of Atlantic Tunas.
    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. Import, for purposes of this subpart, 
does not include any activity described in the previous sentence with 
respect to fish caught in the exclusive economic zone or by a vessel of 
the United States. For purposes of this subpart, goods brought into the 
United States from a U.S. insular possession, or vice-versa, are not 
considered imports.
    Importer, for purposes of this subpart, means the principal party 
responsible for the import of product into a country. For imports into 
the United States, and for purposes of this subpart, ``importer'' means 
the consignee as identified on entry documentation or any authorized, 
equivalent electronic medium required for release of shipments from the 
customs authority of the United States or the separate customs territory 
of a U.S. insular possession. If a consignee is not declared,

[[Page 272]]

then the importer of record is considered to be the consignee.
    Insular possession of the United States or U.S. insular possession, 
for purposes of this subpart, means the Commonwealth of the Northern 
Mariana Islands, Guam, American Samoa, and other possessions listed 
under 19 CFR 7.2, that are outside the customs territory of the United 
States.
    Intermediate country means a country that exports to another country 
HMS previously imported as an entry for consumption by that nation. A 
shipment of HMS through a country on a through bill of lading, or in 
another manner that does not enter the shipment into that country as an 
entry for consumption, does not make that country an intermediate 
country under this definition.
    International Fisheries Trade Permit (IFTP) or trade permit means 
the permit issued by NMFS under Sec.  300.322.
    IOTC means the Indian Ocean Tuna Commission established pursuant to 
the Agreement for the Establishment of the Indian Ocean Tuna Commission 
approved by the Food and Agriculture Organization (FAO) Council of the 
United Nations.
    Pacific bluefin tuna means the species Thunnus orientalis found in 
the Pacific Ocean.
    Permit holder, for purposes of this subpart, means, unless otherwise 
specified, a person who is required to obtain an International Fisheries 
Trade Permit (IFTP) under Sec.  300.322.
    Re-export, for purposes of this subpart, means the export of goods 
that were previously entered for consumption into the customs territory 
of a country.
    Required data set has the same meaning as Sec.  300.321 (see 
definition of ``Documentation and data sets required'').
    RFMO, as defined under this subpart, means regional fishery 
management organization, including CCSBT, IATTC, ICCAT, or IOTC.
    Separate customs territory of a U.S. insular possession means the 
customs territory of a U.S. insular possession when that possession's 
customs territory is not a part of the Customs territory of the United 
States.
    Shark fin, for purposes of this subpart, means any fin removed from 
a shark, which is an animal of the Linnaean taxonomic superorder 
Selachimorpha, subclass Elasmobranchii, class Chondrichthyes.
    Southern bluefin tuna means the species Thunnus maccoyii found in 
any ocean area.
    Statistical document means an ICCAT, IATTC, IOTC, or CCSBT 
statistical document, or a statistical document issued by a nation to 
comply with such statistical document programs.
    Statistical document program means either the ICCAT, IOTC, IATTC or 
CCSBT statistical document program.
    Swordfish means the species Xiphias gladius that is found in any 
ocean area.
    Tag means either a dealer tag or a BCD tag.

[61 FR 35550, July 5, 1996, as amended at 73 FR 31385, June 2, 2008; 81 
FR 18799, Apr. 1, 2016; 81 FR 51134, Aug. 3, 2016]



Sec.  300.182  International fisheries trade permit.

    An importer, entering for consumption any fish or fish products 
regulated under this subpart, harvested from any ocean area, into the 
United States, or an exporter exporting or re-exporting such product, 
must possess a valid International Fisheries Trade Permit (IFTP) issued 
under Sec.  300.322.

[81 FR 51134, Aug. 3, 2016]



Sec.  300.183  Permit holder reporting and recordkeeping requirements.

    (a) Biweekly reports. Any person trading fish and fish products 
regulated under this subpart and required to obtain a trade permit under 
Sec.  300.322 must submit to NMFS, on forms supplied by NMFS, a biweekly 
report of entries for consumption, exports and re-exports of fish and 
fish products regulated under this subpart, except shark fins.
    (1) The report required to be submitted under this paragraph (a) 
must be received within 10 days after the end of each biweekly reporting 
period in which fish or fish products regulated under this subpart 
except shark fins were entered for consumption, exported, or re-
exported. The bi-weekly reporting periods are the first day to the 
15\th\ day of each month, and the 16\th\ day to the last day of each 
month.

[[Page 273]]

    (2) Each report must specify accurately and completely the requested 
information for each consignment of fish or fish products regulated 
under this subpart, except shark fins, that is entered for consumption, 
exported, or re-exported.
    (3) A biweekly report is not required for export consignments of 
bluefin tuna when the information required on the biweekly report has 
been previously supplied on a biweekly report submitted under Sec.  
635.5(b)(2)(i)(B) of this title. The person required to obtain a trade 
permit under Sec.  300.322 must retain, at his/her principal place of 
business, a copy of the biweekly report which includes the required 
information and is submitted under Sec.  635.5(b)(2)(i)(B) of this 
title, for a period of 2 years from the date on which each report was 
submitted to NMFS.
    (b) Recordkeeping. Any person trading fish and fish products 
regulated under this subpart and required to submit biweekly reports 
under paragraph (a) of this section must retain, at his/her principal 
place of business, a copy of each biweekly report and all supporting 
records for a period of 2 years from the date on which each report was 
submitted to NMFS.
    (c) Other requirements. Any person trading fish and fish products 
regulated under this subpart and required to obtain a trade permit under 
Sec.  300.322 is also subject to the reporting and recordkeeping 
requirements identified in Sec.  300.185.
    (d) Inspection. Any person authorized to carry out the enforcement 
activities under the regulations in this subpart (authorized person) has 
the authority, without warrant or other process, to inspect, at any 
reasonable time: fish or fish products regulated under this subpart, 
biweekly reports, statistical documents, catch documents, re-export 
certificates, relevant sales receipts, import and export documentation, 
and any other records or reports made, retained, or submitted pursuant 
to this subpart. A permit holder must allow NMFS or an authorized person 
to inspect any fish or fish products regulated under this subpart, and 
inspect and copy any import export, and re-export documentation and any 
reports required under this subpart, and the records, in any form, on 
which the completed reports are based, wherever they exist. Any agent of 
a person trading and required to obtain a trade permit under Sec.  
300.322, or anyone responsible for importing, exporting, re-exporting, 
storing, packing, or selling fish or fish products regulated under this 
subpart, shall be subject to the inspection provisions of this section.
    (e) Applicability of reporting and recordkeeping requirements. 
Reporting and recordkeeping requirements in this subpart apply to any 
person engaging in international trade regardless of whether a trade 
permit has been issued to that person.

[73 FR 31385, June 2, 2008, as amended at 81 FR 51134, Aug. 3, 2016]



Sec.  300.184  Species subject to permitting, documentation, reporting,
and recordkeeping requirements.

    (a) Except as noted in paragraphs (b) and (c) of this section, the 
following fish or fish products are subject to the documentation 
requirements of this subpart, regardless of ocean area of catch, and 
must be reported under the appropriate heading or subheading numbers 
from the Harmonized Tariff Schedule of the United States (HTS):
    (1) Bluefin tuna,
    (2) Southern bluefin tuna,
    (3) Frozen bigeye tuna,
    (4) Swordfish, and
    (5) Shark fins.
    (b) For bluefin tuna, southern bluefin tuna, frozen bigeye tuna, and 
swordfish, fish parts other than meat (e.g., heads, eyes, roe, guts, and 
tails) may be imported without the documentation required under this 
subpart.
    (c) Bigeye tuna caught by purse seiners or pole and line (bait) 
vessels and destined for canneries within the United States, including 
all U.S. commonwealths, territories, and possessions, may be imported 
without the documentation required under this subpart.

[81 FR 51135, Aug. 3, 2016]

[[Page 274]]



Sec.  300.185  Documentation, reporting and recordkeeping requirements 
for consignment documents and re-export certificates.

    (a) Imports--(1) Applicability of requirements. The documentation 
requirements in paragraph (a)(2) of this section apply to all imports of 
fish or fish products regulated under this subpart, into the Customs 
territory of the United States, except shark fins, or except when 
entered as a product of an American fishery landed overseas (HTS heading 
9815). For insular possessions with customs territories separate from 
the Customs territory of the United States, documentation requirements 
in paragraph (a)(2) of this section apply only to entries for 
consumption. The reporting requirements of paragraph (a)(3) of this 
section do not apply to fish products destined from one foreign country 
to another which transit the United States or a U.S. insular possession 
and are designated as an entry type other than entry for consumption as 
defined in Sec.  300.181.
    (2) Documentation requirements. (i) Except for shark fins, all fish 
or fish products regulated under this subpart, imported into the Customs 
territory of the United States or entered for consumption into a 
separate customs territory of a U.S. insular possession, must, at the 
time of presenting entry documentation for clearance by customs 
authorities (e.g., electronic filing via ACE or other documentation 
required by the port director) be accompanied by an original, complete, 
accurate, approved and properly validated, species-specific consignment 
document. An image of such document and the required data set must be 
filed electronically with CBP via ACE.
    (ii) Bluefin tuna:
    (A) Imports that were re-exported from another nation must also be 
accompanied by an original, complete, accurate, approved and properly 
validated, species-specific re-export certificate.
    (1) For Atlantic bluefin tuna, this requirement must be satisfied by 
the U.S. importer through electronic receipt and completion of a re-
export certificate in the ICCAT eBCD system, unless NMFS provides 
otherwise through actual notice or Federal Register notice. In cases 
where the documentation requirements have been completed in the ICCAT 
eBCD system, a reduced data set consisting of the eBCD number or re-
export certificate number, as applicable, and the importer trade permit 
number would suffice as an import filing, without need to submit any 
forms via DIS in ACE.
    (2) For bluefin tuna harvested from other than the Atlantic Ocean, 
or for Atlantic Bluefin tuna entered pursuant to a notified exception 
under (a)(2)(ii)(A)(1), an image of the original paper re-export 
certificate and the supporting consignment documents must be submitted 
to CBP via the ACE DIS.
    (B) Bluefin tuna, imported into the Customs territory of the United 
States or entered for consumption into the separate customs territory of 
a U.S. insular possession, from a country requiring a BCD tag on all 
such bluefin tuna available for sale, must be accompanied by the 
appropriate BCD tag issued by that country, and said BCD tag must remain 
on any bluefin tuna until it reaches its final import destination. If 
the final import destination is the United States, which includes U.S. 
insular possessions, the BCD tag must remain on the bluefin tuna until 
it is cut into portions. If the bluefin tuna portions are subsequently 
packaged for domestic commercial use or re-export, the BCD tag number 
and the issuing country must be written legibly and indelibly on the 
outside of the package.
    (iii) Fish or fish products regulated under this subpart other than 
bluefin tuna and shark fins:
    (A) Imports that were previously re-exported and were subdivided or 
consolidated with another consignment before re-export, must also be 
accompanied by an original, completed, accurate, valid, approved and 
properly validated, species-specific re-export certificate. An image of 
such document, an image of the original import document, and the 
required data set must be filed electronically with CBP via ACE.
    (B) Imports that have been previously re-exported from another 
nation must have the intermediate importer's certification of the 
original statistical document completed.

[[Page 275]]

    (iv) Consignment documents must be validated as specified in Sec.  
300.187 by an authorized government official of the flag country whose 
vessel caught the fish (regardless of where the fish are first landed). 
Re-export certificates must be validated by an authorized government 
official of the re-exporting country. For electronically generated 
Atlantic bluefin tuna catch documents, validation must be electronic 
using the ICCAT eBCD system.
    (v) A permit holder may not accept an import without the completed 
consignment document or re-export certificate as described in paragraphs 
(a)(2)(i) through (iv) of this section.
    (vi) For fish or fish products, except shark fins, regulated under 
this subpart that are entered for consumption, the permit holder must 
provide correct and complete information, as requested by NMFS, on the 
original consignment document that accompanied the consignment.
    (A) For Atlantic bluefin tuna, this information must be provided 
electronically in the ICCAT eBCD system, unless NMFS provides otherwise 
through actual notice or Federal Register notice.
    (B) For non-Atlantic bluefin tuna, this information must be provided 
on the original paper consignment document that accompanied the 
consignment.
    (3) Reporting requirements. (i) For fish or fish products regulated 
under this subpart, except shark fins, that are entered for consumption 
and whose final destination is within the United States, which includes 
U.S. insular possessions, a permit holder must submit an image of the 
original consignment document that accompanied the fish product as 
completed under paragraph (a)(2) of this section to CBP electronically 
through the ACE DIS.
    (ii) For Atlantic bluefin tuna, this requirement must be satisfied 
electronically by entering the specified information into the ICCAT eBCD 
system as directed in paragraph (a)(2)(vi)(A) of this section, unless 
NMFS provides otherwise through actual notice or Federal Register 
notice. In cases where the documentation requirements have been 
completed in the ICCAT eBCD system, a reduced data set consisting of the 
eBCD number or the re-export certificate number, as applicable, and the 
importer trade permit number would suffice as an import filing, without 
need to submit any forms via DIS in ACE.
    (b) Exports--(1) Applicability of requirements. The documentation 
and reporting requirements of this paragraph (b) apply to exports of 
fish or fish products regulated under this subpart, except shark fins, 
that were harvested by U.S. vessels and first landed in the United 
States, or harvested by vessels of a U.S. insular possession and first 
landed in that possession. This paragraph (b) also applies to products 
of American fisheries landed overseas.
    (2) Documentation requirements. A permit holder must complete an 
original, approved, numbered, species-specific consignment document 
issued to that permit holder by NMFS for each export referenced under 
paragraph (b)(1) of this section, and electronically file an image of 
such documentation and the required data set with CBP via AES. Such an 
individually numbered document is not transferable and may be used only 
once by the permit holder to which it was issued to report on a specific 
export consignment. A permit holder must provide on the consignment 
document the correct information and exporter certification. The 
consignment document must be validated, as specified in Sec.  300.187, 
by NMFS, or another official authorized by NMFS. A list of such 
officials may be obtained by contacting NMFS. A permit holder requesting 
U.S. 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 consignment.
    (i) For Atlantic bluefin tuna, this requirement must be satisfied by 
electronic completion of a consignment document in the ICCAT eBCD 
system, unless NMFS provides otherwise through actual notice or Federal 
Register notice. In cases where the documentation requirements have been 
completed in the ICCAT eBCD system, a reduced data set consisting of the 
eBCD number and the exporter trade permit number would suffice as an 
export filing, without need to submit any forms in AES via DIS.

[[Page 276]]

    (ii) For non-Atlantic bluefin tuna, this requirement must be 
satisfied by completion of a paper consignment document, and electronic 
filing of an image of such documentation and the required data set with 
CBP via AES.
    (3) Reporting requirements. (i) A permit holder must ensure that the 
original, approved, consignment document as completed under paragraph 
(b)(2) of this section accompanies the export of such products to their 
export destination and must electronically file an image of such 
documentation and the required data set with CBP via AES.
    (ii) For Atlantic bluefin tuna, this requirement must be satisfied 
electronically by entering the specified information into the eBCD 
system as directed in paragraph (b)(2)(i) of this section, unless NMFS 
provides otherwise through actual notice or Federal Register notice. In 
cases where the documentation requirements have been completed in the 
ICCAT eBCD system, a reduced data set consisting of the eBCD number and 
the exporter trade permit number would suffice as an export filing 
without need to submit any forms in AES via DIS.
    (c) Re-exports--(1) Applicability of requirements. The documentation 
and reporting requirements of this paragraph (c) apply to exports of 
fish or fish products regulated under this subpart, except shark fins, 
that were previously entered for consumption into the Customs territory 
of the United States or the separate customs territory of a U.S. insular 
possession, through filing the documentation specified in paragraph (a) 
of this section. The requirements of this paragraph (c) do not apply to 
fish or fish products destined from one foreign country to another which 
transit the United States or a U.S. insular possession and which are 
designated as an entry type other than entry for consumption as defined 
in Sec.  300.181.
    (2) Documentation requirements. (i) If a permit holder re-exports a 
consignment of bluefin tuna, or subdivides or consolidates a consignment 
of fish or fish products regulated under this subpart, other than shark 
fins, that was previously entered for consumption as described in 
paragraph (c)(1) of this section, the permit holder must complete an 
original, approved, individually numbered, species-specific re-export 
certificate issued to that permit holder by NMFS for each re-export 
consignment. Such an individually numbered document is not transferable 
and may be used only once by the permit holder to which it was issued to 
report on a specific re-export consignment. A permit holder must provide 
on the re-export certificate the correct information and re-exporter 
certification. The permit holder must also attach the original 
consignment documentation that accompanied the import consignment or a 
copy of that documentation, and must note on the top of both the 
consignment documents and the re-export certificates the entry number 
assigned by CBP authorities at the time of filing the entry for the 
previously imported consignment. An electronic image of these documents 
and the required data set must be filed electronically with CBP via AES 
at the time of export.
    (A) For Atlantic bluefin tuna, these requirements must be satisfied 
by electronic completion of a re-export certificate in the ICCAT eBCD 
system, unless NMFS provides otherwise through actual notice or Federal 
Register notice. In cases where the documentation requirements have been 
completed in the ICCAT eBCD system, a reduced data set consisting of the 
eBCD number and the exporter trade permit number would suffice as a re-
export filing, without need to submit any forms in AES via DIS.
    (B) For non-Atlantic bluefin tuna, these requirements must be 
satisfied by completion of a paper re-export certificate, and electronic 
filing of an image of such documentation and the required data set with 
CBP via AES.
    (ii) If a consignment of fish or fish products regulated under this 
subpart, except bluefin tuna or shark fins, that was previously entered 
for consumption as described in paragraph (c)(1) of this section is not 
subdivided into sub-consignments or consolidated with other consignments 
or parts thereof, for each such re-export consignment, a permit holder 
must complete the intermediate importer's certification on the original 
consignment document and note the entry number previously

[[Page 277]]

issued by CBP for the consignment at the top of the document. Such re-
exports do not need a re-export certificate and the re-export does not 
require validation. An electronic image of the consignment document with 
the completed intermediate importer's certification and the required 
data set must be filed electronically with CBP via AES at the time of 
re-export.
    (iii) Re-export certificates must be validated, as specified in 
Sec.  300.187, by NMFS or another official authorized by NMFS. A list of 
such officials may be obtained by contacting NMFS. A permit holder 
requesting validation for re-exports should notify NMFS as soon as 
possible to avoid delays in inspection and validation of the re-export 
shipment. Electronic re-export certificates created for Atlantic bluefin 
tuna using the ICCAT eBCD system will be validated electronically.
    (3) Reporting requirements. (i) For each re-export, a permit holder 
must submit the original of the completed re-export certificate (if 
applicable) and the original or a copy of the original consignment 
document completed as specified under paragraph (c)(2) of this section, 
to the shipper to accompany the consignment of such products to their 
re-export destination, and an image of such documentation and the 
required data set must be filed electronically with CBP via AES.
    (ii) For Atlantic bluefin tuna, this requirement must be satisfied 
electronically by entering the specified information into the ICCAT eBCD 
system as directed in paragraph (c)(2)(i)(A) of this section, unless NMF 
provides otherwise through actual notice or Federal Register notice. In 
cases where the documentation requirements have been completed in the 
ICCAT eBCD system, a reduced data set consisting of the eBCD number and 
the exporter trade permit number would suffice as an export filing, 
without need to submit any forms in AES via DIS.
    (d) Document completion. To be deemed complete, a consignment 
document or re-export certificate must be filled out according to the 
corresponding instructions for each document with all requested 
information provided.
    (e) Recordkeeping. A permit holder must retain at his or her 
principal place of business, a copy of each consignment document and re-
export certificate required to be submitted to NMFS pursuant to this 
section, and supporting records for a period of 2 years from the date on 
which it was submitted to NMFS.
    (f) Inspection. Any person responsible for importing, exporting, 
storing, packing, or selling fish or fish products regulated under this 
subpart, including permit holders, consignees, customs brokers, freight 
forwarders, and importers of record, shall be subject to the inspection 
provisions at Sec.  300.183(d).

[69 FR 67277, Nov. 17, 2004, as amended at 71 FR 58163, Oct. 2, 2006; 73 
FR 31386, June 2, 2008; 74 FR 66586, Dec. 16, 2009; 81 FR 18799, Apr. 1, 
2016; 81 FR 51135, Aug. 3, 2016]



Sec.  300.186  Completed and approved documents.

    (a) NMFS-approved forms. A NMFS-approved consignment document or re-
export certificate may be obtained from NMFS to accompany exports of 
fish or fish products regulated under this subpart from the Customs 
territory of the United States or the separate customs territory of a 
U.S. insular possession.
    (b) Nationally approved forms from other countries. A nationally 
approved form from another country may be used for exports to the United 
States if that document strictly conforms to the information 
requirements and format of the applicable RFMO documents. An approved 
consignment document or re-export certificate for use in countries 
without a nationally approved form to accompany consignments to the 
United States may be obtained from the following websites, as 
appropriate: www.iccat.org, www.iattc.org, www.ccsbt.org, or 
www.iotc.org.

[61 FR 35550, July 5, 1996, as amended at 73 FR 31388, June 2, 2008; 81 
FR 18800, Apr. 1, 2016]



Sec.  300.187  Validation requirements.

    (a) Imports. The approved consignment document accompanying any 
import of any fish or fish product regulated under this subpart must be 
validated by a government official from the issuing country, unless NMFS

[[Page 278]]

waives this requirement pursuant to an applicable RFMO recommendation. 
NMFS will furnish a list of countries for which government validation 
requirements are waived to the appropriate customs officials. Such list 
will indicate the circumstances of exemption for each issuing country 
and the non-government institutions, if any, accredited to validate 
statistical documents and re-export certificates for that country.
    (b) Exports. The approved consignment document accompanying any 
export of fish or fish products regulated under this subpart must be 
validated, except pursuant to a waiver described in paragraph (d) of 
this section. Validation must be made by NMFS or another official 
authorized by NMFS.
    (c) Re-exports. The approved re-export certificate accompanying any 
re-export of fish or fish products regulated under this subpart, as 
required under Sec.  300.185(c), must be validated, except pursuant to a 
waiver described in paragraph (d) of this section. Validation must be 
made by NMFS or another official authorized by NMFS.
    (d) Validation waiver. Any waiver of government validation will be 
consistent with applicable RFMO recommendations concerning validation of 
consignment documents and re-export certificates. If authorized, such 
waiver of government validation may include exemptions from government 
validation for Pacific bluefin tuna with individual BCD tags affixed 
pursuant to paragraph (f) of this section or for Atlantic bluefin tuna 
with tags affixed pursuant to Sec.  635.5(b) of this title. Waivers will 
be specified on consignment documents and re-export certificates or 
accompanying instructions, or in a letter to permit holders from NMFS.
    (e) Authorization for non-NMFS validation. An official from an 
organization or government agency seeking authorization to validate 
consignment documents or re-export certificates accompanying exports or 
re-exports from the United States, which includes U.S. commonwealths, 
territories, and possessions, must apply in writing, to NMFS, at an 
address designated by NMFS for such authorization. The application must 
indicate the procedures to be used for verification of information to be 
validated; list the names, addresses, and telephone/fax numbers of 
individuals to perform validation; procedures to be used to notify NMFS 
of validations; and an example of the stamp or seal to be applied to the 
consignment document or re-export certificate. NMFS, upon finding the 
applicant capable of verifying the information required on the 
consignment document or re-export certificate, will issue, within 30 
days, a letter specifying the duration of effectiveness and conditions 
of authority to validate consignment documents or re-export certificates 
accompanying exports or re-exports from the United States. The effective 
date of such authorization will be delayed as necessary for NMFS to 
notify the appropriate RFMO of other officials authorized to validate 
consignment document or re-export certificates. Non-government 
organizations given authorization to validate consignment documents or 
re-export certificates must renew such authorization on a yearly basis.
    (f) BCD tags. The requirements of this paragraph apply to Pacific 
bluefin tuna. Requirements for tagging Atlantic bluefin tuna are 
specified in Sec.  635.5.
    (1) Issuance. NMFS will issue numbered BCD tags for use on Pacific 
bluefin tuna upon request to each permit holder.
    (2) Transfer. BCD tags for use on Pacific bluefin tuna issued under 
this section are not transferable and are usable only by the permit 
holder to whom they are issued.
    (3) Affixing BCD tags. At the discretion of permit holders, a tag 
issued under this section may be affixed to each Pacific bluefin tuna 
purchased or received by the permit holder. If so tagged, the tag must 
be affixed to the tuna between the fifth dorsal finlet and the keel.
    (4) Removal of tags. A tag, as defined in this subpart and affixed 
to any bluefin tuna, must remain on the tuna until it is cut into 
portions. If the bluefin tuna or bluefin tuna parts are subsequently 
packaged for transport for domestic commercial use or for export, the 
number of each dealer tag or BCD tag must be written legibly and 
indelibly on the outside of any package containing the bluefin tuna or 
bluefin

[[Page 279]]

tuna parts. Such tag number also must be recorded on any document 
accompanying the consignment of bluefin tuna or bluefin tuna parts for 
commercial use or export.
    (5) Labeling. The number of a BCD tag affixed to each Pacific 
bluefin tuna under this section must be recorded on NMFS reports 
required by Sec.  300.183, on any documents accompanying the consignment 
of Pacific bluefin tuna for domestic commercial use or export as 
indicated in Sec.  300.185, and on any additional documents that 
accompany the consignment (e.g., bill of lading, customs manifest, etc.) 
of the tuna for commercial use or for export.
    (6) Reuse. BCD tags issued under this section are separately 
numbered and may be used only once, one tag per Pacific bluefin tuna, to 
distinguish the purchase of one Pacific bluefin tuna. Once affixed to a 
tuna or recorded on any package, container or report, a BCD tag and 
associated number may not be reused.

[61 FR 35550, July 5, 1996, as amended at 73 FR 31388, June 2, 2008; 81 
FR 18801, Apr. 1, 2016]



Sec.  300.188  Ports of entry.

    NMFS shall monitor the importation of fish or fish products 
regulated under this subpart into the United States. If NMFS determines 
that the diversity of handling practices at certain ports at which fish 
or fish products regulated under this subpart are being imported into 
the United States allows for circumvention of the consignment document 
requirement, NMFS may undertake a rulemaking to designate, after 
consultation with the CBP, those ports at which fish or fish products 
regulated under this subpart from any ocean area may be imported into 
the United States.

[73 FR 31388, June 2, 2008]



Sec.  300.189  Prohibitions.

    In addition to the prohibitions specified in Sec.  300.4, and 
Sec. Sec.  600.725 and 635.71 of this title, it is unlawful for any 
person subject to the jurisdiction of the United States to violate any 
provision of this part, the Atlantic Tunas Convention Act, the Magnuson-
Stevens Act, the Tuna Conventions Act of 1950, or any other rules 
promulgated under those Acts. It is unlawful for any person or vessel 
subject to the jurisdiction of the United States to:
    (a) Falsify information required on an application for a permit 
submitted under Sec.  300.322.
    (b) Import as an entry for consumption, purchase, receive for 
export, export, or re-export any fish or fish product regulated under 
this subpart without a valid trade permit issued under Sec.  300.322.
    (c) Fail to possess, and make available for inspection, a trade 
permit at the permit holder's place of business, or alter any such 
permit as specified in Sec.  300.322.
    (d) Falsify or fail to record, report, or maintain information 
required to be recorded, reported, or maintained, as specified in Sec.  
300.183 or Sec.  300.185.
    (e) Fail to allow an authorized agent of NMFS to inspect and copy 
reports and records, as specified in Sec.  300.183 or Sec.  300.185.
    (f) Fail to comply with the documentation requirements as specified 
in Sec.  300.185, Sec.  300.186 or Sec.  300.187, for fish or fish 
products regulated under this subpart that are imported, entered for 
consumption, exported, or re-exported.
    (g) Fail to comply with the documentation requirements as specified 
in Sec.  300.186, for the importation, entry for consumption, 
exportation, or re-exportation of an Atlantic swordfish, or part 
thereof, that is less than the minimum size.
    (h) Validate consignment documents or re-export certificates without 
authorization as specified in Sec.  300.187.
    (i) Validate consignment documents or re-export certificates as 
provided for in Sec.  300.187 with false information.
    (j) Remove any NMFS-issued numbered tag affixed to any Pacific 
bluefin tuna or any tag affixed to a bluefin tuna imported from a 
country with a BCD tag program before removal is allowed under Sec.  
300.187; fail to write the tag number on the shipping package or 
container as specified in Sec.  300.187; or reuse any NMFS-issued 
numbered tag affixed to any Pacific bluefin tuna, or any tag affixed to 
a bluefin tuna imported from a country with a BCD tag program, or any 
tag number previously

[[Page 280]]

written on a shipping package or container as prescribed by Sec.  
300.187.
    (k) Import, or attempt to import, any fish or fish product regulated 
under this subpart in a manner inconsistent with any ports of entry 
designated by NMFS as authorized by Sec.  300.188.
    (l) Ship, transport, purchase, sell, offer for sale, import, enter 
for consumption, export, re-export, or have in custody, possession, or 
control any fish or fish product regulated under this subpart that was 
imported, entered for consumption, exported, or re-exported contrary to 
this subpart.
    (m) Fail to electronically file via ACE a validated consignment 
document and the required data set for imports at time of entry into the 
Customs territory of the United States of fish or fish products 
regulated under this subpart except shark fins, regardless of whether 
the importer, exporter, or re-exporter holds a valid trade permit issued 
pursuant to Sec.  300.322 or whether the fish products are imported as 
an entry for consumption.
    (n) Import or accept an imported consignment of fish or fish 
products regulated under this subpart, except shark fins, without an 
original, complete, accurate, approved and properly validated, species-
specific consignment document and re-export certificate (if applicable) 
with the required information and exporter's certification completed.

[61 FR 35550, July 5, 1996, as amended at 73 FR 31388, June 2, 2008; 81 
FR 51136, Aug. 3, 2016]



          Subpart N_Identification and Certification of Nations

    Authority: 16 U.S.C. 1826d et seq.

    Source: 76 FR 2024, Jan. 12, 2011, unless otherwise noted.



Sec.  300.200  Purpose and scope.

    The purpose of this subpart is to implement the requirements in the 
High Seas Driftnet Fishing Moratorium Protection Act (``Moratorium 
Protection Act'') to identify and certify nations whose vessels engaged 
in illegal, unreported, or unregulated fishing; whose fishing activities 
result in bycatch of protected living marine resources; or whose vessels 
engaged in fishing activities or practices on the high seas that target 
or incidentally catch sharks where the nation has not adopted a 
regulatory program for the conservation of sharks, comparable in 
effectiveness to that of the United States, taking into account 
different conditions. This language applies to vessels entitled to fly 
the flag of the nation in question. Where the Secretary of Commerce 
determines that an identified nation has not taken the necessary actions 
to warrant receipt of a positive certification, the Secretary of 
Commerce may recommend to the President that the United States prohibit 
the importation of certain fish and fish products from the identified 
nation or other measures. The Secretary of Commerce will recommend to 
the President appropriate measures, including trade restrictive 
measures, to be taken against identified nations that have not received 
a positive certification, to address the fishing activities or practices 
for which such nations were identified in the biennial report. The 
Secretary of Commerce will make such a recommendation on a case-by-case 
basis in accordance with international obligations, including the World 
Trade Organization (WTO) Agreement. The Moratorium Protection Act also 
authorizes cooperation and assistance to nations to take action to 
combat illegal, unreported, or unregulated fishing, reduce bycatch of 
protected living marine resources, and achieve shark conservation.

[78 FR 3342, Jan. 16, 2013]



Sec.  300.201  Definitions.

    For the purposes of the Moratorium Protection Act:
    Bycatch means: the incidental or discarded catch of protected living 
marine resources or entanglement of such resources with fishing gear.
    Fishing vessel means: any vessel, boat, ship, or other craft which 
is used for, equipped to be used for, or of a type which is normally 
used for--
    (1) Fishing; or
    (2) Any activity relating to fishing, including, but not limited to, 
preparation, supply, storage, refrigeration, transportation, or 
processing, bunkering or purchasing catch, or aiding

[[Page 281]]

or assisting one or more vessels at sea in the performance of such 
activity.
    Illegal, unreported, or unregulated (IUU) fishing means:
    (1) In the case of parties to an international fishery management 
agreement to which the United States is a party, fishing activities that 
violate conservation and management measures required under an 
international fishery management agreement to which the United States is 
a party, including but not limited to catch limits or quotas, capacity 
restrictions, bycatch reduction requirements, shark conservation 
measures, and data reporting;
    (2) In the case of non-parties to an international fishery 
management agreement to which the United States is a party, fishing 
activities that would undermine the conservation of the resources 
managed under that agreement;
    (3) Overfishing of fish stocks shared by the United States, for 
which there are no applicable international conservation or management 
measures, or in areas with no applicable international fishery 
management organization or agreement, that has adverse impacts on such 
stocks; or,
    (4) Fishing activity that has a significant adverse impact on 
seamounts, hydrothermal vents, cold water corals and other vulnerable 
marine ecosystems located beyond any national jurisdiction, for which 
there are no applicable conservation or management measures or in areas 
with no applicable international fishery management organization or 
agreement.
    (5) Fishing activities by foreign flagged vessels in U.S. waters 
without authorization of the United States.
    International agreement means: an agreement between two or more 
States, agencies of two or more States, or intergovernmental 
organizations which is legally binding and governed by international 
law.
    International fishery management agreement means: any bilateral or 
multilateral treaty, convention, or agreement for the conservation and 
management of fish.
    International fishery management organization means: an 
international organization established by any bilateral or multilateral 
treaty, convention, or agreement for the conservation and management of 
fish.
    Protected living marine resources (PLMRs) means: non-target fish, 
sea turtles, or marine mammals that are protected under United States 
law or international agreement, including the Marine Mammal Protection 
Act, the Endangered Species Act, the Shark Finning Prohibition Act, and 
the Convention on International Trade in Endangered Species of Wild 
Flora and Fauna; but they do not include species, except sharks, that 
are managed under the Magnuson-Stevens Fishery Conservation and 
Management Act, the Atlantic Tunas Convention Act, or by any 
international fishery management agreement.

[76 FR 2024, Jan. 12, 2011, as amended at 78 FR 3342, Jan. 16, 2013]



Sec.  300.202  Identification and certification of nations engaged in 
illegal, unreported, or unregulated fishing activities.

    (a) Procedures to identify nations whose fishing vessels are engaged 
in IUU fishing (1) NMFS will identify and list, in a biennial report to 
Congress, nations whose fishing vessels are engaged, or have been 
engaged at any point during the preceding two years, in IUU fishing.
    (2) When determining whether to identify a nation as having fishing 
vessels engaged in IUU fishing, NMFS will take into account all relevant 
matters, including but not limited to the history, nature, 
circumstances, extent, duration, and gravity of the IUU fishing activity 
in question, and any measures that the nation has implemented to address 
the IUU fishing activity. NMFS will also take into account whether an 
international fishery management organization exists with a mandate to 
regulate the fishery in which the IUU activity in question takes place. 
If such an organization exists, NMFS will consider whether the relevant 
international fishery management organization has adopted measures that 
are effective at addressing the IUU fishing activity in question and, if 
the nation whose fishing vessels are engaged, or have been engaged, in 
IUU fishing is a party to, or maintains

[[Page 282]]

cooperating status with, the organization. NMFS will also take into 
account any actions taken or on-going proceedings by the United States 
and/or flag State to address the IUU fishing activity of concern as well 
as the effectiveness of such actions.
    (b) Notification of nations identified as having fishing vessels 
engaged in IUU fishing. Upon identifying a nation whose vessels have 
been engaged in IUU fishing activities in the biennial report to 
Congress, the Secretary of Commerce will notify the President of such 
identification. Within 60 days after submission of the biennial report 
to Congress, the Secretary of Commerce, acting through or in 
consultation with the Secretary of State, will:
    (1) Notify nations that have been identified in the biennial report 
as having fishing vessels that are currently engaged, or were engaged at 
any point during the preceding two calendar years, in IUU fishing 
activities;
    (2) Notify identified nations of the requirements under the 
Moratorium Protection Act and this subpart; and
    (3) Notify any relevant international fishery management 
organization of actions taken by the United States to identify nations 
whose fishing vessels are engaged in IUU fishing and initiate 
consultations with such nations.
    (c) Consultation with nations identified as having fishing vessels 
engaged in IUU fishing. Within 60 days after submission of the biennial 
report to Congress, the Secretary of Commerce, acting through or in 
cooperation with the Secretary of State, will initiate consultations 
with nations that have been identified in the biennial report for the 
purpose of encouraging such nations to take appropriate corrective 
action with respect to the IUU fishing activities described in the 
biennial report.
    (d) Procedures to certify nations identified as having fishing 
vessels engaged in IUU fishing. Each nation that is identified as having 
fishing vessels engaged in IUU fishing shall receive either a positive 
or a negative certification from the Secretary of Commerce, and this 
certification will be published in the biennial report to Congress. A 
positive certification indicates that a nation has taken appropriate 
corrective action to address the IUU fishing activity described in the 
biennial report. A negative certification indicates that a nation has 
not taken appropriate corrective action.
    (1) The Secretary of Commerce shall issue a positive certification 
to an identified nation upon making a determination that such nation has 
taken appropriate corrective action to address the activities for which 
such nation has been identified in the biennial report to Congress. When 
making such determination, the Secretary shall take into account the 
following:
    (i) Whether the government of the nation identified pursuant to 
paragraph (a) of this section has provided evidence documenting that it 
has taken corrective action to address the IUU fishing activity 
described in the biennial report;
    (ii) Whether the relevant international fishery management 
organization has adopted and, if applicable, the identified member 
nation has implemented and is enforcing, measures to effectively address 
the IUU fishing activity of the identified nation's fishing vessels 
described in the biennial report;
    (iii) Whether the United States has taken enforcement action to 
effectively address the IUU fishing activity of the identified nation 
described in the biennial report; and
    (iv) Whether the identified nation has cooperated in any action 
taken by the United States to address the IUU fishing activity described 
in the biennial report.
    (2) Prior to a formal certification determination, nations will be 
provided with preliminary certification determinations and an 
opportunity to support and/or refute the preliminary determinations and 
communicate any corrective actions taken to address the activities for 
which such nations were identified. The Secretary of Commerce shall 
consider any information received during the course of these 
consultations when making the subsequent certification determinations.

[76 FR 2024, Jan. 12, 2011, as amended at 78 FR 3343, Jan. 16, 2013]

[[Page 283]]



Sec.  300.203  Identification and certification of nations engaged in
bycatch of protected living marine resources.

    (1) NMFS will identify and list, in the biennial report to Congress 
nations--
    (i) whose fishing vessels are engaged, or have been engaged during 
the preceding calendar year prior to publication of the biennial report 
to Congress, in fishing activities or practices either in waters beyond 
any national jurisdiction that result in bycatch of a PLMR, or in waters 
beyond the U.S. EEZ that result in bycatch of a PLMR that is shared by 
the United States;
    (ii) if the nation is a party to or maintains cooperating status 
with the relevant international organization with jurisdiction over the 
conservation and protection of the relevant PLMRs, or a relevant 
international or regional fishery organization, and the organization has 
not adopted measures to effectively end or reduce bycatch of such 
species; and
    (iii) the nation has not implemented measures designed to end or 
reduce such bycatch that are comparable in effectiveness to U.S. 
regulatory requirements, taking into account different conditions that 
could bear on the feasibility and efficacy of comparable measures.
    (2) When determining whether to identify nations as having fishing 
vessels engaged in PLMR bycatch, NMFS will take into account all 
relevant matters including, but not limited to, the history, nature, 
circumstances, extent, duration, and gravity of the bycatch activity in 
question.
    (3) NMFS will also examine whether the nation has implemented 
measures designed to end or reduce such bycatch that are comparable in 
effectiveness to U.S. regulatory requirements. In considering whether a 
nation has implemented measures that are comparable in effectiveness to 
those of the United States, NMFS will evaluate if different conditions 
exist that could bear on the feasibility and efficiency of such measures 
to end or reduce bycatch of the pertinent PLMRs.
    (b) Notification of nations identified as having fishing vessels 
engaged in PLMR bycatch. Upon identifying a nation whose vessels have 
been engaged in bycatch of PLMRs in the biennial report to Congress, the 
Secretary of Commerce will notify the President of such identification. 
Within 60 days after submission of the biennial report to Congress, the 
Secretary of Commerce, acting through or in consultation with the 
Secretary of State, will notify identified nations about the 
requirements under the Moratorium Protection Act and this subpart.
    (c) Consultations and negotiations. Upon submission of the biennial 
report to Congress, the Secretary of Commerce, acting through or in 
consultation with the Secretary of State, will:
    (1) Initiate consultations within 60 days after submission of the 
biennial report to Congress with the governments of identified nations 
for the purposes of encouraging adoption of a regulatory program for 
protected living marine resources that is comparable in effectiveness to 
that of the United States, taking into account different conditions, and 
establishment of a management plan that assists in the collection of 
species-specific data;
    (2) Seek to enter into bilateral and multilateral treaties with such 
nations to protect the PLMRs from bycatch activities described in the 
biennial report; and
    (3) Seek agreements through the appropriate international 
organizations calling for international restrictions on the fishing 
activities or practices described in the biennial report that result in 
bycatch of PLMRs and, as necessary, request the Secretary of State to 
initiate the amendment of any existing international treaty to which the 
United States is a party for the protection and conservation of the 
PLMRs in question to make such agreements consistent with this subpart.
    (d) International cooperation and assistance. To the greatest extent 
possible, consistent with existing authority and the availability of 
funds, the Secretary shall:
    (1) Provide appropriate assistance to nations identified by the 
Secretary under paragraph (a) of this section and international 
organizations of which those nations are members to assist

[[Page 284]]

those nations in qualifying for a positive certification under 
paragraph(e) of this section;
    (2) Undertake, where appropriate, cooperative research activities on 
species assessments and improved bycatch mitigation techniques, with 
those nations or organizations;
    (3) Encourage and facilitate the transfer of appropriate technology 
to those nations or organizations to assist those nations in qualifying 
for positive certification under paragraph (e) of this section; and
    (4) Provide assistance to those nations or organizations in 
designing and implementing appropriate fish harvesting plans.
    (e) Procedures to certify nations identified as having fishing 
vessels engaged in PLMR bycatch. (1) Each nation that is identified as 
having fishing vessels engaged in PLMR bycatch shall receive either a 
positive or a negative certification from the Secretary of Commerce, and 
this certification will be published in the biennial report to Congress. 
The Secretary of Commerce shall issue a positive certification to an 
identified nation upon making a determination that:
    (i) Such nation has provided evidence documenting its adoption of a 
regulatory program to end or reduce bycatch of such PLMRs that is 
comparable in effectiveness to regulatory measures required under U.S. 
law to address bycatch in the relevant fisheries, taking into account 
different conditions that could bear on the feasibility and efficacy of 
these measures, and which, in the case of an identified nation with 
fishing vessels engaged in pelagic longline fishing, includes the 
mandatory use of circle hooks, careful handling and release equipment, 
training and observer programs; and
    (ii) Such nation has established a management plan that will assist 
in the collection of species-specific data on PLMR bycatch to support 
international stock assessments and conservation efforts for PLMRs.
    (2) Nations will be notified prior to a formal certification 
determination and will be provided with an opportunity to support and/or 
refute preliminary certification determinations, and communicate any 
corrective actions taken to address the activities for which such 
nations were identified. The Secretary of Commerce shall consider any 
information received during the course of these consultations when 
making the subsequent certification determinations.

[76 FR 2024, Jan. 12, 2011, as amended at 78 FR 3343, Jan. 16, 2013]



Sec.  300.204  Identification and certification of nations whose vessels
are engaged in shark catch.

    (a) Procedures to identify nations if fishing vessels of that nation 
are engaged in fishing activities or practices in waters beyond any 
national jurisdiction that target or incidentally catch sharks during 
the preceding calendar year. (1) NMFS will identify and list in the 
biennial report to Congress nations--
    (i) Whose fishing vessels are engaged, or have been engaged during 
the calendar year prior to publication of the biennial report to 
Congress, in fishing activities or practices in waters beyond any 
national jurisdiction that target or incidentally catch sharks; and
    (ii) Where that nation has not adopted a regulatory program to 
provide for the conservation of sharks, including measures to prohibit 
removal of any of the fins of a shark (including the tail) and discard 
the carcass of the shark at sea, that is comparable in effectiveness to 
that of the United States, taking into account different conditions, 
including conditions that could bear on the feasibility and 
effectiveness of measures.
    (2) When determining whether to identify nations for these 
activities, NMFS will take into account all relevant matters including, 
but not limited to, the history, nature, circumstances, duration, and 
gravity of the fishing activity of concern.
    (b) Notification of nations identified as having fishing vessels 
engaged in fishing activities or practices that target or incidentally 
catch sharks. Upon identifying in the biennial report to Congress a 
nation whose vessels engaged in fishing activities or practices in 
waters beyond any national jurisdiction that target or incidentally 
catch sharks, the Secretary of Commerce will notify the

[[Page 285]]

President of such identification. Within 60 days after submission of the 
biennial report to Congress, the Secretary of Commerce, acting through 
or in consultation with the Secretary of State, will notify identified 
nations about the requirements under the Moratorium Protection Act and 
this subpart N.
    (c) Consultations and negotiations. Upon submission of the biennial 
report to Congress, the Secretary of Commerce, acting through or in 
consultation with the Secretary of State, will:
    (1) Initiate consultations within 60 days after submission of the 
biennial report to Congress with the governments of identified nations 
for the purposes of encouraging adoption of a regulatory program for the 
conservation of sharks that is comparable in effectiveness to that of 
the United States, taking into account different conditions, and 
establishment of a management plan that assists in the collection of 
species-specific data;
    (2) Seek to enter into bilateral and multilateral treaties or other 
arrangements with such nations to protect sharks; and
    (3) Seek agreements through the appropriate international 
organizations calling for international restrictions on the fishing 
activities or practices described in the biennial report and, as 
necessary, request the Secretary of State to initiate the amendment of 
any existing international treaty to which the United States is a party 
for the conservation of sharks to make such agreements consistent with 
this subpart.
    (d) International Cooperation and Assistance. To the greatest extent 
possible, consistent with existing authority and the availability of 
funds, the Secretary shall:
    (1) Provide appropriate assistance to nations identified by the 
Secretary under paragraph (a) of this section and international 
organizations of which those nations are members to assist those nations 
in qualifying for a positive certification under paragraph (e) of this 
section;
    (2) Undertake, where appropriate, cooperative research activities on 
species assessments and harvesting techniques aimed at mitigating or 
eliminating the non-target catch of sharks, with those nations or 
organizations;
    (3) Encourage and facilitate the transfer of appropriate technology 
to those nations or organizations to assist those nations in qualifying 
for positive certification under paragraph (e) of this section; and
    (4) Provide assistance to those nations or organizations in 
designing, implementing, and enforcing appropriate fish harvesting plans 
for the conservation and sustainable management of sharks.
    (e) Procedures to certify nations identified as having fishing 
vessels engaged in fishing activities or practices that target or 
incidentally catch sharks. Each nation that is identified as having 
fishing vessels engaged in fishing activities or practices in waters 
beyond any national jurisdiction that target or incidentally catch 
sharks and has not adopted a regulatory program for the conservation of 
sharks, including measures to prohibit removal of any of the fins of a 
shark (including the tail) and discard the carcass of the shark at sea, 
that is comparable to that of the United States, taking into account 
different conditions, shall receive either a positive or a negative 
certification from the Secretary of Commerce. This certification will be 
published in the biennial report to Congress. The Secretary of Commerce 
shall issue a positive certification to an identified nation upon making 
a determination that:
    (1) Such nation has provided evidence documenting its adoption of a 
regulatory program for the conservation of sharks that is comparable in 
effectiveness to regulatory measures required under U.S. law in the 
relevant fisheries, taking into account different conditions, including 
conditions that could bear on the feasibility and effectiveness of 
measures; and such nation has established a management plan that will 
assist in the collection of species-specific data on sharks to support 
international stock assessments and conservation efforts for sharks.
    (2) Prior to a formal certification determination, nations will be 
provided

[[Page 286]]

with preliminary certification determinations, and an opportunity to 
support and/or refute the preliminary determinations, and communicate 
actions taken to adopt a regulatory program that is comparable in 
effectiveness to that of the United States, taking into account 
different conditions. The Secretary of Commerce shall consider any 
relevant information received during consultations when making its 
formal certification determination.

[78 FR 3343, Jan. 16, 2013]



Sec.  300.205  Effect of certification.

    (a) If a nation identified under Sec.  300.202(a), Sec.  300.203(a), 
or Sec.  300.204(a) does not receive a positive certification under this 
subpart (i.e., the nation receives a negative certification or no 
certification is made), the Secretary of Treasury shall, in accordance 
with recognized principles of international law:
    (1) Withhold or revoke the clearance required by section 91 of the 
appendix to Title 46 for the fishing vessels of such nation; and
    (2) Deny entry to the fishing vessels of such nation to any place in 
the United States and to the navigable waters of the United States.
    (b) Upon notification and any recommendations by the Secretary of 
Commerce to the President that an identified nation has failed to 
receive a positive certification, the President is authorized to direct 
the Secretary of the Treasury to prohibit the importation of certain 
fish and fish products from such nation (see Sec.  300.206).
    (c) Any action recommended under paragraph (b) of this section shall 
be consistent with international obligations, including the WTO 
Agreement.
    (d) If certain fish and fish products are prohibited from entering 
the United States, within six months after the imposition of the 
prohibition, the Secretary of Commerce shall determine whether the 
prohibition is insufficient to cause that nation to effectively address 
the IUU fishing, bycatch, or shark catch described in the biennial 
report, or that nation has retaliated against the United States as a 
result of that prohibition. The Secretary of Commerce shall certify to 
the President each affirmative determination that an import prohibition 
is insufficient to cause a nation to effectively address such IUU 
fishing activity, bycatch, or shark catch or that a nation has taken 
retaliatory action against the United States. This certification is 
deemed to be a certification under section 1978(a) of Title 22, which 
provides that the President may direct the Secretary of the Treasury to 
prohibit the bringing or the importation into the United States of any 
products from the offending country for any duration as the President 
determines appropriate and to the extent that such prohibition is 
sanctioned by the World Trade Organization.
    (e) Duration of certification. Any nation identified in the biennial 
report to Congress for having vessels engaged in IUU fishing that is 
negatively certified will remain negatively certified until the 
Secretary of Commerce determines that the nation has taken appropriate 
corrective action to address the IUU fishing activities for which it was 
identified in the biennial report. Any nation identified in the biennial 
report to Congress for having vessels engaged in PLMR bycatch or catch 
of sharks that is negatively certified will remain negatively certified 
until the Secretary of Commerce determines that the nation has taken the 
necessary actions pursuant to the Moratorium Protection Act to receive a 
positive certification.
    (f) Consultations. NMFS will, working through or in consultation 
with the Department of State, continue consultations with nations that 
do not receive a positive certification with respect to the fishing 
activities described in the biennial report to Congress. The Secretary 
of Commerce shall take the results of such consultations into 
consideration when making a subsequent certification determination for 
each such nation.

[78 FR 3344, Jan. 16, 2013]



Sec.  300.206  Denial of port privileges and import restrictions on
fish or fish products.

    (a) Scope of Applicability (1) Vessels from a nation identified in 
the biennial report under Sec.  300.202(a), Sec.  300.203(a), or Sec.  
300.204(a) and not positively certified by the Secretary of Commerce 
that enter any place in the United States or

[[Page 287]]

the navigable waters of the United States remain subject to inspection 
and may be prohibited from landing, processing, or transshipping fish 
and fish products, under applicable law. Services, including the 
refueling and re-supplying of such fishing vessels, may be prohibited, 
with the exception of services essential to the safety, health, and 
welfare of the crew. Fishing vessels will not be denied port access or 
services in cases of force majeure or distress.
    (2) For nations identified in the previous biennial report under 
Sec.  300.202(a) that are not positively certified in the current 
biennial report, the Secretary of Commerce shall so notify and make 
recommendations to the President, who is authorized to direct the 
Secretary of Treasury to impose import prohibitions with respect to fish 
and fish products from those nations. Such a recommendation would 
address the relevant fishing activities or practices for which such 
nations were identified in the biennial report. Such import 
prohibitions, if implemented, would apply to fish and fish products 
managed under an applicable international fishery agreement. If there is 
no applicable international fishery agreement, such prohibitions, if 
implemented, would only apply to fish and fish products caught by 
vessels engaged in illegal, unreported, or unregulated fishing. For 
nations identified under Sec.  300.203(a) or Sec.  300.204(a) that are 
not positively certified, the Secretary of Commerce shall so notify and 
make recommendations to the President, who is authorized to direct the 
Secretary of Treasury to impose import prohibitions with respect to fish 
and fish products from those nations; such prohibitions would only apply 
to fish and fish products caught by the vessels engaged in the relevant 
activity for which the nation was identified.
    (3) Any action recommended under paragraph (a)(2) shall be 
consistent with international obligations, including the WTO Agreement.
    (b) Imposition of import restrictions--(1) Notification. Where the 
Secretary of Commerce cannot make positive certifications for identified 
nations, and the President determines that certain fish and fish 
products from such nations are ineligible for entry into the United 
States and U.S. territories, the Secretary of Commerce, in cooperation 
with the Secretaries of Treasury, Homeland Security, and State, will 
file a notice with the Office of the Federal Register.
    (2) Certification of admissibility. If certain fish or fish products 
are subject to import prohibitions, NMFS may publish in the Federal 
Register the requirement that, in addition to any other import 
documentation requirements that otherwise apply, other fish or fish 
products from the relevant nation, that are not subject to the 
prohibitions, offered for entry under this section must be accompanied 
by certification of admissibility, for which a form is available from 
NMFS. The certification of admissibility must be properly completed and 
signed by a duly authorized official of the identified nation and 
validated by a responsible official(s) designated by NMFS. The 
certification must be signed by the importer of record and submitted to 
NMFS in a format (electronic facsimile (fax), the Internet, etc.) 
specified by NMFS.
    (3) Effective date of import restrictions. Effective upon the date 
of publication of such finding, shipments of fish or fish products found 
to be ineligible will be denied entry to the United States. Entry will 
not be denied for any such shipment that, on the date of publication, 
was in transit to the United States.
    (4) Removal of negative certifications and import restrictions. Upon 
a determination by the Secretary of Commerce that an identified nation 
that was not certified positively has satisfactorily met the conditions 
in this subpart and that nation has been positively certified, the 
provisions of Sec.  300.206 shall no longer apply. The Secretary of 
Commerce, in cooperation with the Secretaries of Treasury, Homeland 
Security, and State, will notify such nations and will file with the 
Office of the Federal Register for publication notification of the 
removal of the import restrictions effective on the date of publication.

[76 FR 2024, Jan. 12, 2011. Redesignated and amended at 78 FR 3343, 
3345, Jan. 16, 2013]

[[Page 288]]



Sec.  300.207  Alternative procedures for nations identified as having
vessels engaged in IUU fishing activities that are not certified in this
subpart.

    (a) These certification procedures may be applied to fish or fish 
products from a vessel of a harvesting nation that has been identified 
under Sec.  300.202 in the event that the Secretary cannot reach a 
certification determination for that nation by the time of the next 
biennial report. These procedures shall not apply to fish or fish 
products from identified nations that have received either a negative or 
a positive certification under this subpart.
    (b) Consistent with paragraph (a) of this section, the Secretary of 
Commerce may allow entry of fish or fish products on a shipment-by-
shipment, shipper-by-shipper, or other basis if the Secretary determines 
that:
    (1) The vessel has not engaged in IUU fishing under an international 
fishery management agreement to which the U.S. is a party; or
    (2) The vessel is not identified by an international fishery 
management organization as participating in IUU fishing activities.
    (c) In addition to any other import documentation requirements that 
otherwise apply, fish and fish products offered for entry under this 
section must be accompanied by certification of admissibility, for which 
a form is available from NMFS. The certification of admissibility must 
be properly completed and signed by a duly authorized official of the 
identified nation and must be validated by a responsible official(s) 
designated by NMFS. The certification must also be signed by the 
importer of record and submitted to NMFS in a format (electronic 
facsimile (fax), the Internet, etc.) specified by NMFS.
    (d) Any action recommended under this section shall be consistent 
with international obligations, including the WTO Agreement.

[76 FR 2024, Jan. 12, 2011. Redesignated and amended at 78 FR 3343, 
3345, Jan. 16, 2013]



Sec.  300.208  Alternative procedures for nations identified as having
vessels engaged in bycatch of PLMRs that are not certified in this subpart.

    (a) These certification procedures may be applied to fish or fish 
products from a vessel of a harvesting nation that has been identified 
under Sec.  300.203 in the event that the Secretary cannot reach a 
certification determination for that nation by the time of the next 
biennial report. These procedures shall not apply to fish or fish 
products from identified nations that have received either a negative or 
a positive certification under this subpart.
    (b) Consistent with paragraph (a) of this section, the Secretary of 
Commerce may allow entry of fish or fish products on a shipment-by-
shipment, shipper-by-shipper, or other basis if the Secretary determines 
that imports were harvested by practices that do not result in bycatch 
of a protected marine species, or were harvested by practices that--
    (1) Are comparable to those of the United States, taking into 
account different conditions, and which, in the case of pelagic longline 
fisheries, the regulatory program of an identified nation includes 
mandatory use of circle hooks, careful handling and release equipment, 
and training and observer programs; and
    (2) Include the gathering of species specific data that can be used 
to support international and regional assessments and conservation 
efforts for protected living marine resources.
    (c) In addition to any other import documentation requirements that 
otherwise apply, fish and fish products offered for entry under this 
section must be accompanied by certification of admissibility, for which 
a form is available from NMFS. The certification of admissibility must 
be properly completed and signed by a duly authorized official of the 
identified nation and must be validated by a responsible official(s) 
designated by NMFS. The certification must also be signed by the 
importer of record and submitted to NMFS in a format (electronic 
facsimile (fax), the Internet, etc.) specified by NMFS.
    (d) Any action recommended under this section shall be consistent 
with

[[Page 289]]

international obligations, including the WTO Agreement.

[76 FR 2024, Jan. 12, 2011. Redesignated and amended at 78 FR 3343, 
3345, Jan. 16, 2013]



Sec.  300.209  Alternative procedures for nations identified as having
vessels engaged in shark catch that are not certified in this subpart.

    (a) These certification procedures may be applied to fish and fish 
products from a vessel of a harvesting nation that has been identified 
under Sec.  300.204 in the event that the Secretary cannot reach a 
certification determination for that nation by the time of the next 
biennial report. These procedures shall not apply to fish and fish 
products from identified nations that have received either a negative or 
a positive certification under this subpart.
    (b) Consistent with paragraph (a) of this section, the Secretary of 
Commerce may allow entry of fish and fish products on a shipment-by-
shipment, shipper-by-shipper, or other basis if the Secretary determines 
that imports were harvested by fishing activities or practices that do 
not target or incidentally catch sharks, or were harvested by practices 
that--
    (1) Are comparable to those of the United States, taking into 
account different conditions; and
    (2) Include the gathering of species specific shark data that can be 
used to support international and regional assessments and conservation 
efforts for sharks.
    (c) In addition to any other import documentation requirements that 
otherwise apply, fish and fish products offered for entry under this 
section must be accompanied by certification of admissibility, for which 
a form is available from NMFS. The certification of admissibility must 
be properly completed and signed by a duly authorized official of the 
identified nation and validated by a responsible official(s) designated 
by NMFS. The certification must also be signed by the importer of record 
and submitted to NMFS in a format (electronic facsimile (fax), the 
Internet, etc.) specified by NMFS.
    (d) Any action recommended under this section shall be consistent 
with international obligations, including the WTO Agreement.

[78 FR 3346, Jan. 16, 2013]



  Subpart O_Western and Central Pacific Fisheries for Highly Migratory 
                                 Species

    Source: 74 FR 38554, Aug. 4, 2009, unless otherwise noted.

    Authority: 16 U.S.C. 6901 et seq.



Sec.  300.210  Purpose and scope.

    This subpart implements provisions of the Western and Central 
Pacific Fisheries Convention Implementation Act (Act) and applies to 
persons and vessels subject to the jurisdiction of the United States.



Sec.  300.211  Definitions.

    In addition to the terms defined in Sec.  300.2 and those in the Act 
and in the Convention on the Conservation and Management of Highly 
Migratory Fish Stocks in the Western and Central Pacific Ocean, with 
Annexes (WCPF Convention), which was adopted at Honolulu, Hawaii, on 
September 5, 2000, by the Multilateral High-Level Conference on Highly 
Migratory Fish Stocks in the Western and Central Pacific Ocean, the 
terms used in this subpart have the following meanings.
    1982 Convention means the United Nations Convention on the Law of 
the Sea of 10 December 1982.
    Aggregate or summary form means information structured in such a way 
which does not directly or indirectly disclose the identity or business 
of any person who submits such information.
    Areas under the national jurisdiction of the Parties to the Nauru 
Agreement means the exclusive economic zones of the Parties to the Nauru 
Agreement.
    Commercial, with respect to commercial fishing, means fishing in 
which the fish harvested, either in whole or in part, are intended to 
enter commerce through sale, barter or trade.
    Commission means the Commission for the Conservation and Management 
of Highly Migratory Fish Stocks in the Western and Central Pacific Ocean 
established in accordance with the WCPF Convention, including its 
employees and contractors.

[[Page 290]]

    Confidential information means any observer information or any 
information submitted to the Secretary, a State fishery management 
agency, or a Marine Fisheries Commission by any person in compliance 
with any requirement or regulation under the Act or under the Magnuson-
Stevens Fishery Conservation and Management Act.
    Conservation and management measure means those conservation and 
management measures adopted by the Commission pursuant to Article 10 of 
the WCPF Convention.
    Convention Area means all waters of the Pacific Ocean bounded to the 
south and to the east by the following line: From the south coast of 
Australia due south along the 141st meridian of east longitude to its 
intersection with the 55th parallel of south latitude; thence due east 
along the 55th parallel of south latitude to its intersection with the 
150th meridian of east longitude; thence due south along the 150th 
meridian of east longitude to its intersection with the 60th parallel of 
south latitude; thence due east along the 60th parallel of south 
latitude to its intersection with the 130th meridian of west longitude; 
thence due north along the 130th meridian of west longitude to its 
intersection with the 4th parallel of south latitude; thence due west 
along the 4th parallel of south latitude to its intersection with the 
150th meridian of west longitude; thence due north along the 150th 
meridian of west longitude.
    Cooperating Non-Member means a non-Member of the Commission that has 
been accorded Cooperating Non-Member status by the Commission at the 
Commission's most recent annual meeting.
    Eastern High Seas Special Management Area means the area of the high 
seas within the area bounded by the four lines connecting, in the most 
direct fashion, the coordinates specified as follows: 11 S. latitude 
and 161 W. longitude; 11 S. latitude and 154 W. longitude; 16 S. 
latitude and 154 W. longitude; and 16 S. latitude and 161 W. 
longitude.
    Effort Limit Area for Purse Seine, or ELAPS, means, within the area 
between 20 N. latitude and 20 S. latitude, areas within the Convention 
Area that either are high seas or within the EEZ.
    Fish aggregating device, or FAD, means any artificial or natural 
floating object, whether anchored or not and whether situated at the 
water surface or not, that is capable of aggregating fish, as well as 
any object used for that purpose that is situated on board a vessel or 
otherwise out of the water. The definition of FAD does not include a 
vessel.
    Fishing means using any vessel, vehicle, aircraft or hovercraft for 
any of the following activities, or attempting to do so:
    (1) Searching for, catching, taking, or harvesting fish;
    (2) Engaging in any other activity which can reasonably be expected 
to result in the locating, catching, taking, or harvesting of fish for 
any purpose;
    (3) Placing, searching for, or recovering fish aggregating devices 
or associated electronic equipment such as radio beacons;
    (4) Engaging in any operations at sea directly in support of, or in 
preparation for, any of the activities previously described in 
paragraphs (1) through (3) of this definition, including, but not 
limited to, bunkering;
    (5) Engaging in transshipment at sea, either unloading or loading 
fish.
    Fishing day means, for fishing vessels equipped with purse seine 
gear, any day in which a fishing vessel searches for fish, deploys a 
FAD, services a FAD, or sets a purse seine, with the exception of 
setting a purse seine solely for the purpose of testing or cleaning the 
gear and resulting in no catch.
    Fishing trip means a period that a fishing vessel spends at sea 
between port visits and during which any fishing occurs.
    Fishing vessel means any vessel used or intended for use for the 
purpose of fishing, including bunkering and other support vessels, 
carrier vessels and other vessels that unload or load fish in a 
transshipment, and any other vessel directly involved in fishing.
    Hawaiian Archipelago means the Main and Northwestern Hawaiian 
Islands, including Midway Atoll.

[[Page 291]]

    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 permit means a permit issued under Sec.  300.13.
    Highly migratory species (or HMS) means any of the following 
species:

------------------------------------------------------------------------
              Common name                        Scientific name
------------------------------------------------------------------------
Albacore...............................  Thunnus alalunga.
Pacific bluefin tuna...................  Thunnus orientalis.
Southern bluefin tuna..................  Thunnus maccoyii.
Bigeye tuna............................  Thunnus obesus.
Skipjack tuna..........................  Katsuwonus pelamis.
Yellowfin tuna.........................  Thunnus albacares.
Little tuna............................  Euthynnus affinis.
Frigate mackerel.......................  Auxis thazard; Auxis rochei.
Pomfrets...............................  Family Bramidae.
Marlins................................  Tetrapturus angustirostris;
                                          Tetrapturus audax; Makaira
                                          mazara; Makaira indica;
                                          Makaira nigricans.
Sail-fishes............................  Istiophorus platypterus.
Swordfish..............................  Xiphias gladius.
Dolphinfish............................  Coryphaena hippurus; Coryphaena
                                          equiselis.
Oceanic sharks.........................  Hexanchus griseus; Cetorhinus
                                          maximus; Family Alopiidae;
                                          Rhincodon typus; Family
                                          Carcharhinidae; Family
                                          Sphyrnidae; Family Isuridae
                                          (or Lamnidae).
------------------------------------------------------------------------

    Longline gear means a type of fishing gear consisting of a main line 
that exceeds 1 nautical mile in length, is suspended horizontally in the 
water column either anchored, floating, or attached to a vessel, and 
from which branch or dropper lines with hooks are attached; except that, 
within the protected species zone, longline gear means a type of fishing 
gear consisting of a main line of any length that is suspended 
horizontally in the water column either anchored, floating, or attached 
to a vessel, and from which branch or dropper lines with hooks are 
attached, where ``protected species zone'' is used as defined at Sec.  
665.12 of this title.
    Marine Fisheries Commission means the Atlantic States Marine 
Fisheries Commission, the Gulf States Marine Fisheries Commission, or 
the Pacific States Marine Fisheries Commission.
    Member of the Commission means any Contracting Party to the WCPF 
Convention, and, unless otherwise stated in context, any territory that 
has been authorized by an appropriate Contracting Party to participate 
in the Commission and its subsidiary bodies pursuant to Article 43 of 
the WCPF Convention and any fishing entity that has agreed to be bound 
by the regime established by the WCPF Convention pursuant to Annex I of 
the WCPF Convention.
    Net sharing means the transfer of fish that have not yet been loaded 
on board any fishing vessel from the purse seine net of one vessel to 
another fishing vessel. Fish shall be considered to be on board a 
fishing vessel once they are on a deck or in a hold, or once they are 
first lifted out of the water by the vessel.
    NOAA means the National Oceanic and Atmospheric Administration, 
Department of Commerce.
    Observer employer/observer provider means any person that provides 
observers to fishing vessels, shoreside processors, or stationary 
floating processors under a requirement of the Act or the Magnuson-
Stevens Fishery Conservation and Management Act.
    Observer information means any information collected, observed, 
retrieved, or created by an observer or electronic monitoring system 
pursuant to authorization by the Secretary, or collected as part of a 
cooperative research initiative, including fish harvest or processing 
observations, fish sampling or weighing data, vessel logbook data, 
vessel or processor-specific information (including any safety, 
location, or operating condition observations), and video, audio, 
photographic, or written documents.
    Pacific Islands Regional Administrator means the Regional 
Administrator, Pacific Islands Region, NMFS, 1845 Wasp Blvd., Bldg. 176, 
Honolulu, HI 96818, or a designee.
    Parties to the Nauru Agreement means the parties to the Nauru 
Agreement Concerning Cooperation in the Management of Fisheries of 
Common Interest, as specified on the Web site of the Parties to the 
Nauru Agreement at www.pnatuna.com.
    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

[[Page 292]]

Federal, State, local, or foreign government or any entity of any such 
government.
    Purse seine means a floated and weighted encircling net that is 
closed by means of a drawstring threaded through rings attached to the 
bottom of the net.
    Special Agent-In-Charge (or SAC) means the Special-Agent-In-Charge, 
NOAA Office of Law Enforcement, Pacific Islands Division, 1845 Wasp 
Blvd., Bldg. 176, Honolulu, HI 96818; tel: 808-725-6100; facsimile: 808-
725-6199; email: [email protected], or a designee.
    State means each of the several States of the United States, the 
District of Columbia, the Commonwealth of the Northern Mariana Islands, 
American Samoa, Guam, and any other commonwealth, territory, or 
possession of the United States.
    Transshipment means the unloading of fish from on board one fishing 
vessel and its direct transfer to, and loading on board, another fishing 
vessel, either at sea or in port. Fish shall be considered to be on 
board a fishing vessel once they are on a deck or in a hold, or once 
they are first lifted out of the water by the vessel. Net sharing is not 
a transshipment.
    Vessel monitoring system (or VMS) means an automated, remote system 
that provides information about a vessel's identity, location and 
activity, for the purposes of routine monitoring, control, surveillance 
and enforcement of area and time restrictions and other fishery 
management measures.
    VMS unit, sometimes known as a ``mobile transmitting unit,'' means a 
transceiver or communications device, including all hardware and 
software, that is carried and operated on a vessel as part of a VMS.
    WCPFC Area Endorsement means the authorization issued by NMFS under 
Sec.  300.212, supplementary to a valid high seas fishing permit and 
expressed as an endorsement to such permit, for a fishing vessel used 
for commercial fishing for highly migratory species on the high seas in 
the Convention Area.
    WCPF Convention means the Convention on the Conservation and 
Management of Highly Migratory Fish Stocks in the Western and Central 
Pacific Ocean (including any annexes, amendments, or protocols that are 
in force, or have come into force, for the United States) that was 
adopted at Honolulu, Hawaii, on September 5, 2000, by the Multilateral 
High-Level Conference on Highly Migratory Fish Stocks in the Western and 
Central Pacific Ocean.
    WCPFC inspection vessel means any vessel that is:
    (1) Authorized by a member of the Commission to be used to undertake 
boarding and inspection of fishing vessels on the high seas pursuant to, 
and in accordance with, Article 26 of the WCPF Convention and procedures 
established by the Commission pursuant thereto;
    (2) Included in the Commission's register of authorized inspection 
vessels and authorities or inspectors, established by the Commission in 
procedures pursuant to Article 26 of the WCPF Convention; and
    (3) Flying the WCPFC inspection flag established by the Commission.
    WCPFC inspector means a person that is authorized by a member of the 
Commission to undertake boarding and inspection of fishing vessels on 
the high seas pursuant to, and in accordance with, the boarding and 
inspection procedures adopted by the Commission under Article 26 of the 
WCPF Convention, and referred to therein as a ``duly authorized 
inspector'' or ``authorized inspector.''
    WCPFC Interim Register of Non-Member Carrier and Bunker Vessels 
means, for the purposes of this subpart, the WCPFC Interim Register of 
non-Member Carrier and Bunker Vessels as established in the decisions of 
the WCPFC and maintained on the WCPFC's Web site at http://
www.wcpfc.int/.
    WCPFC observer means a person authorized by the Commission in 
accordance with any procedures established by the Commission to 
undertake vessel observer duties as part of the Commission's Regional 
Observer Programme, including an observer deployed as part of a NMFS-
administered observer program or as part of another national or sub-
regional observer program, provided that such program is authorized by 
the Commission to be part of the Commission's Regional Observer 
Programme.

[[Page 293]]

    WCPFC Record of Fishing Vessels means, for the purposes of this 
subpart, the WCPFC Record of Fishing Vessels as established in the 
decisions of the WCPFC and maintained on the WCPFC's Web site at http://
www.wcpfc.int/.
    WCPFC transshipment monitor means, with respect to transshipments 
that take place on the high seas, a person authorized by the Commission 
to conduct transshipment monitoring on the high seas, and with respect 
to transshipments that take place in areas under the jurisdiction of a 
member of the Commission other than the United States, a person 
authorized by such member of the Commission to conduct transshipment 
monitoring.

[72 FR 18405, Apr. 12, 2007, as amended at 74 FR 64010, Dec. 7, 2009; 75 
FR 3347, Jan. 21, 2010; 77 FR 71509, Dec. 3, 2012; 78 FR 30778, May 23, 
2013; 79 FR 64110, Oct. 28, 2014; 80 FR 8815, Feb. 19, 2015; 80 FR 
59047, Oct. 1, 2015]



Sec.  300.212  Vessel permit endorsements.

    (a) Any fishing vessel of the United States used for commercial 
fishing for HMS on the high seas in the Convention Area must have on 
board a valid high seas fishing permit, or a copy thereof, that has a 
valid WCPFC Area Endorsement, or a copy thereof.
    (b) Eligibility. Only a fishing vessel that has a valid high seas 
fishing permit is eligible to receive a WCPFC Area Endorsement.
    (c) Application. (1) A WCPFC Area Endorsement may be applied for at 
the same time the underlying high seas permit is applied for, or at any 
time thereafter.
    (2) The owner or operator of a high seas fishing vessel may apply 
for a WCPFC Area Endorsement by completing an application form, 
available from the Pacific Islands Regional Administrator, and 
submitting the complete and accurate application, signed by the 
applicant, to the Pacific Islands Regional Administrator, along with the 
required fees.
    (3) The application must be accompanied by a bow-to-stern side-view 
photograph of the vessel in its current form and appearance. The 
photograph must meet the specifications prescribed on the application 
form and clearly show that the vessel is marked in accordance with the 
vessel identification requirements of Sec.  300.217.
    (d) Fees. NMFS will charge a fee to recover the administrative 
expenses of issuance of a WCPFC Area Endorsement. The amount of the fee 
will be determined in accordance with the procedures of the NOAA Finance 
Handbook, available from the Pacific Islands Regional Administrator, for 
determining administrative costs of each special product or service. The 
fee is specified in the application form. The appropriate fee must 
accompany each application. Failure to pay the fee will preclude 
issuance of the WCPFC Area Endorsement. Payment by a commercial 
instrument later determined to be insufficiently funded is grounds for 
invalidating the WCPFC Area Endorsement.
    (e) Issuance. (1) The Pacific Islands Regional Administrator will 
issue a WCPFC Area Endorsement within 30 days of receipt of a complete 
application that meets the requirements of this section and upon payment 
of the appropriate fee.
    (2) If an incomplete or improperly completed application is 
submitted, the Pacific Islands Regional Administrator will notify the 
applicant of such deficiency within 30 days of the date of receipt of 
the application. If the applicant fails to correct the deficiency and 
send a complete and accurate application to the Pacific Islands Regional 
Administrator within 30 days of the date of the notification of 
deficiency, the application will be considered withdrawn and no further 
action will be taken to process the application. Following withdrawal, 
the applicant may at any time submit a new application for 
consideration.
    (f) Validity. A WCPFC Area Endorsement issued under this subpart 
expires upon the expiration of the underlying high seas fishing permit, 
and shall be void whenever the underlying high seas fishing permit is 
void, suspended, sanctioned or revoked. A WCPFC Area Endorsement is also 
subject to suspension or revocation independent of the high seas fishing 
permit. Renewal of a WCPFC Area Endorsement prior to its expiration is 
the responsibility of the WCPFC Area Endorsement holder.

[[Page 294]]

    (g) Change in application information. Any change in the required 
information provided in an approved or pending application for a WCPFC 
Area Endorsement must be reported by the vessel owner or operator to the 
Pacific Islands Regional Administrator in writing within 15 days of such 
change.
    (h) Transfer. A WCPFC Area Endorsement issued under this subpart is 
valid only for the vessel, owner, and high seas fishing permit to which 
it is issued and is not transferable or assignable to another high seas 
fishing permit or to another vessel.
    (i) Display. A valid WCPFC Area Endorsement, or a photocopy or 
facsimile copy thereof, issued under this subpart must be on board the 
vessel and available for inspection by any authorized officer while the 
vessel is at sea and must be available for inspection by any WCPFC 
inspector while the vessel is on the high seas in the Convention Area.

[75 FR 3349, Jan. 21, 2010]



Sec.  300.213  Vessel information.

    (a) The owner or operator of any fishing vessel of the United States 
that is used for fishing for HMS in the Convention Area in waters under 
the jurisdiction of any nation other than the United States must, prior 
to the commencement of such fishing, submit to the Pacific Islands 
Regional Administrator information about the vessel and its ownership 
and operation, and the authorized fishing activities, including copies 
of any permits, licenses, or authorizations issued for such activities, 
as specified on forms available from the Pacific Islands Regional 
Administrator. The owner or operator of such a fishing vessel must also 
submit to the Pacific Islands Regional Administrator a bow-to-stern 
side-view photograph of the vessel in its current form and appearance, 
and the photograph must meet the specifications prescribed on the 
application form. If any of the submitted information changes, the 
vessel owner or operator must report the updated information to the 
Pacific Islands Regional Administrator in writing within 15 days of the 
change.
    (b) If any of the information or the vessel photograph required 
under paragraph (a) of this section has been submitted for the subject 
vessel on an application for a high seas fishing permit or an 
application for a WCPFC Area Endorsement, then the requirements of 
paragraph (a) of this section will be deemed satisfied. However, in 
order to satisfy this requirement, the high seas fishing permit or WCPFC 
Area Endorsement must be valid, the information provided must be true, 
accurate and complete, and in the case of a vessel photograph, it must 
meet the specifications prescribed on the form used for the purpose of 
submitting the photograph under this section.

[75 FR 3349, Jan. 21, 2010]



Sec.  300.214  Compliance with laws of other nations.

    (a) The owner and operator of a fishing vessel of the United States 
with a WCPFC Area Endorsement or for which a WCPFC Area Endorsement is 
required:
    (1) May not use the vessel for fishing, retaining fish on board, or 
landing fish in areas under the jurisdiction of a nation other than the 
United States unless any license, permit, or other authorization that 
may be required by such other nation for such activity has been issued 
with respect to the vessel.
    (2) Shall, when the vessel is in the Convention Area in areas under 
the jurisdiction of a member of the Commission other than the United 
States, operate the vessel in compliance with, and ensure its crew 
complies with, the applicable national laws of such member.
    (b) The owner and operator of a fishing vessel of the United States 
shall ensure that:
    (1) The vessel is not used for fishing for HMS, retaining HMS on 
board, or landing HMS in the Convention Area in areas under the 
jurisdiction of a nation other than the United States unless any 
license, permit, or other authorization that may be required by such 
other nation for such activity has been issued with respect to the 
vessel.
    (2) If the vessel is used for commercial fishing for HMS, including 
transshipment of HMS, in the Convention Area in areas under the 
jurisdiction of a member of the Commission other than the United States, 
the vessel is operated in compliance with, and the

[[Page 295]]

vessel crew complies with, the applicable laws of such member, including 
any laws related to carrying vessel observers or the operation of VMS 
units.
    (c) For the purpose of this section, the meaning of transshipment 
does not include transfers that exclusively involve fish that have been 
previously landed and processed.

[75 FR 3349, Jan. 21, 2010]



Sec.  300.215  Observers.

    (a) Applicability. This section applies to the following categories 
of fishing vessels:
    (1) Any fishing vessel of the United States with a WCPFC Area 
Endorsement.
    (2) Any fishing vessel of the United States for which a WCPFC Area 
Endorsement is required.
    (3) Any fishing vessel of the United States used for commercial 
fishing that receives or offloads in the Convention Area a transshipment 
of HMS at sea.
    (b) Notifications. The owner or operator of a vessel required to 
carry a WCPFC observer under paragraph (d) of this section during a 
given fishing trip must ensure the provision of notice to the Pacific 
Islands Regional Administrator at least 72 hours (exclusive of weekends 
and Federal holidays) before the vessel leaves port on the fishing trip, 
indicating the need for an observer. The notice must be provided to the 
office or telephone number designated by the Pacific Islands Regional 
Administrator and must include the official number of the vessel, the 
name of the vessel, the intended departure date, time, and location, the 
name of the operator of the vessel, and a telephone number at which the 
owner, operator, or a designated agent may be contacted during the 
business day (8 a.m. to 5 p.m. Hawaii Standard Time). If applicable, 
notice may be provided in conjunction with the notice required under 
Sec.  665.803(a) of this title.
    (c) Accommodating observers. (1) Fishing vessels specified in 
paragraphs (a)(1) and (a)(2) of this section must carry, when directed 
to do so by NMFS, a WCPFC observer on fishing trips during which the 
vessel at any time enters or is within the Convention Area. The operator 
and each member of the crew of the fishing vessel shall act in 
accordance with paragraphs (c)(3), (c)(4), and (c)(5) of this section 
with respect to any WCPFC observer.
    (2) Fishing vessels specified in paragraph (a)(3) of this section 
must carry an observer when required to do so under paragraph (d) of 
this section. The operator and each member of the crew of the fishing 
vessel shall act in accordance with paragraphs (c)(3), (c)(4), and 
(c)(5) of this section, as applicable, with respect to any WCPFC 
observer.
    (3) The operator and crew shall allow and assist WCPFC observers to:
    (i) Embark at a place and time determined by NMFS or otherwise 
agreed to by NMFS and the vessel operator;
    (ii) Have access to and use of all facilities and equipment as 
necessary to conduct observer duties, including, but not limited to: 
Full access to the bridge, the fish on board, and areas which may be 
used to hold, process, weigh and store fish; full access to the vessel's 
records, including its logs and documentation, for the purpose of 
inspection and copying; access to, and use of, navigational equipment, 
charts and radios; and access to other information relating to fishing;
    (iii) Remove samples;
    (iv) Disembark at a place and time determined by NMFS or otherwise 
agreed to by NMFS and the vessel operator; and
    (v) Carry out all duties safely.
    (4) The operator shall provide the WCPFC observer, while on board 
the vessel, with food, accommodation and medical facilities of a 
reasonable standard equivalent to those normally available to an officer 
on board the vessel, at no expense to the WCPFC observer.
    (5) The operator and crew shall not assault, obstruct, resist, 
delay, refuse boarding to, intimidate, harass or interfere with WCPFC 
observers in the performance of their duties, or attempt to do any of 
the same.
    (d) Transshipment observer coverage--(1) Receiving vessels. Any 
fishing vessel of the United States used for commercial fishing that 
receives in the Convention Area a transshipment of HMS at sea must have 
a WCPFC observer on

[[Page 296]]

board during such transshipment unless at least one of the following 
sets of conditions applies:
    (i) The vessel is less than or equal to 33 meters in registered 
length, the transshipment does not include any fish caught by purse 
seine gear, the transshipment does not include any frozen fish caught by 
longline gear, and, during the transshipment, there is a WCPFC observer 
on board the vessel that offloads the transshipment;
    (ii) The transshipment takes place entirely within the territorial 
seas or archipelagic waters of any nation, as defined by the domestic 
laws and regulations of that nation and recognized by the United States, 
and only includes fish caught in such waters; or
    (iii) The transshipment is an emergency, as specified under Sec.  
300.216(b)(4).
    (2) Offloading vessels. Any fishing vessel of the United States used 
for commercial fishing that offloads a transshipment of HMS at sea in 
the Convention Area must have a WCPFC observer on board, unless one or 
more of the following conditions apply:
    (i) The vessel that receives the transshipment has a WCPFC observer 
on board;
    (ii) The vessel that receives the transshipment is greater than 33 
meters in registered length;
    (iii) The transshipment includes fish caught by purse seine gear;
    (iv) The transshipment includes frozen fish caught by longline gear;
    (v) The transshipment takes place entirely within the territorial 
seas or archipelagic waters of any nation, as defined by the domestic 
laws and regulations of that nation and recognized by the United States, 
and only includes fish caught in such waters; or
    (vi) The transshipment is an emergency, as specified under Sec.  
300.216(b)(4).
    (e) Related observer requirements. Observers deployed by NMFS 
pursuant to regulations issued under other statutory authorities on 
vessels used for fishing for HMS in the Convention Area will be deemed 
by NMFS to have been deployed pursuant to this section.

[77 FR 71509, Dec. 3, 2012]



Sec.  300.216  Transshipping, bunkering and net sharing.

    (a) Transshipment monitoring. [Reserved]
    (b) Restrictions on transshipping and bunkering--(1) Restrictions on 
transshipments involving purse seine fishing vessels. (i) Fish may not 
be transshipped from a fishing vessel of the United States equipped with 
purse seine gear at sea in the Convention Area, and a fishing vessel of 
the United States may not be used to receive a transshipment of fish 
from a fishing vessel equipped with purse seine gear at sea in the 
Convention Area.
    (ii) Fish caught in the Convention Area may not be transshipped from 
a fishing vessel of the United States equipped with purse seine gear at 
sea, and a fishing vessel of the United States may not be used to 
receive a transshipment of fish caught in the Convention Area from a 
fishing vessel equipped with purse seine gear at sea.
    (2) Restrictions on at-sea transshipments. If a transshipment takes 
place entirely within the territorial seas or archipelagic waters of any 
nation, as defined by the domestic laws and regulations of that nation 
and recognized by the United States, and only includes fish caught 
within such waters, this paragraph does not apply.
    (i) The owner and operator of a fishing vessel of the United States 
used for commercial fishing that offloads or receives a transshipment of 
HMS at sea in the Convention Area must ensure that a WCPFC observer is 
on board at least one of the vessels involved in the transshipment for 
the duration of the transshipment.
    (ii) A fishing vessel of the United States used for commercial 
fishing that receives transshipments of HMS at sea in the Convention 
Area shall not receive such transshipments from more than one vessel at 
a time unless there is a separate WCPFC observer available on either the 
offloading or receiving vessel to monitor each additional transshipment.
    (3) General restrictions on transshipping and bunkering--(i) 
Transshipment. Only fishing vessels that are authorized to be used for 
fishing in the EEZ may engage in transshipment in the EEZ. Any fishing 
vessel of the United States used

[[Page 297]]

for commercial fishing shall not be used to offload or receive a 
transshipment of HMS in the Convention Area unless one or more of the 
following is satisfied:
    (A) The other vessel involved in the transshipment is flagged to a 
Member or Cooperating Non-Member of the Commission;
    (B) The other vessel involved in the transshipment is on the WCPFC 
Record of Fishing Vessels;
    (C) The other vessel involved in the transshipment is on the WCPFC 
Interim Register of Non-Member Carrier and Bunker Vessels; or
    (D) The transshipment takes place entirely within the territorial 
seas or archipelagic waters of any nation, as defined by the domestic 
laws and regulations of that nation and recognized by the United States, 
and only includes fish caught within such waters.
    (ii) Bunkering, supplying and provisioning. Only fishing vessels 
that are authorized to be used for fishing in the EEZ may engage in 
bunkering in the EEZ. A fishing vessel of the United States used for 
commercial fishing for HMS shall not be used to provide bunkering, to 
receive bunkering, or to exchange supplies or provisions with another 
vessel in the Convention Area unless one or more of the following is 
satisfied:
    (A) The other vessel involved in the bunkering or exchange of 
supplies or provisions is flagged to a Member or a Cooperating Non-
Member of the Commission;
    (B) The other vessel involved in the bunkering or exchange of 
supplies or provisions is on the WCPFC Record of Fishing Vessels; or
    (C) The other vessel involved in the bunkering or exchange of 
supplies or provisions is on the WCPFC Interim Register of Non-Member 
Carrier and Bunker Vessels.
    (4) Emergency transshipments. The restrictions in paragraphs (b)(1), 
(b)(2), and (b)(3)(i) of this section shall not apply to a transshipment 
conducted under circumstances of force majeure or other serious 
mechanical breakdown that could reasonably be expected to threaten the 
health or safety of the vessel or crew or cause a significant financial 
loss through fish spoilage.
    (c) Net sharing restrictions. (1) The owner and operator of a 
fishing vessel of the United States shall not conduct net sharing in the 
Convention Area unless all of the following conditions are met:
    (i) The vessel transferring the fish is a fishing vessel of the 
United States equipped with purse seine gear;
    (ii) The vessel transferring the fish has insufficient well space 
for the fish;
    (iii) The vessel transferring the fish engages in no additional 
purse seine sets during the remainder of the fishing trip; and
    (iv) The vessel accepting the fish is a fishing vessel of the United 
States equipped with purse seine gear.
    (2) Only fishing vessels of the United States that are authorized to 
be used for fishing in the EEZ may engage in net sharing in the EEZ, 
subject to the provisions of paragraph (c)(1) of this section.

[77 FR 71510, Dec. 3, 2012]



Sec.  300.217  Vessel identification.

    (a) General. (1) A fishing vessel must be marked in accordance with 
the requirements of this section in order for a WCPFC Area Endorsement 
to be issued for the fishing vessel.
    (2) Any fishing vessel of the United States with a WCPFC Area 
Endorsement or for which a WCPFC Area Endorsement is required shall be 
marked for identification purposes in accordance with this section, and 
all parts of such markings shall be clear, distinct, uncovered, and 
unobstructed.
    (3) Any boat, skiff, or other watercraft carried on board the 
fishing vessel shall be marked with the same identification markings as 
required under this section for the fishing vessel and shall be marked 
in accordance with this section.
    (b) Marking. (1) Vessels shall be marked in accordance with the 
identification requirements of Sec.  300.14(b)(2), and if an IRCS has 
not been assigned to the vessel, then the Federal, State, or other 
documentation number used in lieu of the IRCS must be preceded by the 
characters ``USA'' and a hyphen (that is, ``USA-'').
    (2) With the exception of the vessel's name and hailing port, the 
marking required in this section shall be the only

[[Page 298]]

vessel identification mark consisting of letters and numbers to be 
displayed on the hull and superstructure.
    (c) IMO numbers. (1) For the purpose of this section, an IMO number 
is the unique number issued for a vessel under the ship identification 
number scheme established by the International Maritime Organization or, 
for vessels that are not strictly subject to that scheme, the unique 
number issued by the administrator of that scheme using the scheme's 
numbering format, sometimes known as a Lloyd's Register number or LR 
number.
    (2) The owner of a fishing vessel of the United States used for 
commercial fishing for HMS in the Convention Area, either on the high 
seas or in waters under the jurisdiction of any nation other than the 
United States, shall request and obtain an IMO number for the vessel if 
the gross tonnage of the vessel, as indicated on the vessel's current 
Certificate of Documentation issued under 46 CFR part 67, is at least 
100 GRT or 100 GT ITC. An IMO number may be requested for a vessel by 
following the instructions given by the administrator of the IMO ship 
identification number scheme; those instructions are currently available 
on the Web site of IHS Maritime, at: www.imonumbers.lrfairplay.com/
default.aspx.
    (3) In the event that the owner of a fishing vessel subject to the 
requirement of paragraph (c)(2) of this section, after following the 
instructions given by the administrator of the IMO ship identification 
number scheme, is unable to obtain an IMO number for the fishing vessel, 
the fishing vessel owner may request an exemption from the requirement 
from the Pacific Islands Regional Administrator. The request must be 
sent by mail to the Pacific Islands Regional Administrator or by email 
to [email protected] and must include the vessel's name, the vessel's 
official number, a description of the steps taken to request an IMO 
number, and a description of any responses from the administrator of the 
IMO ship identification number scheme.
    (4) Upon receipt of a request for an exemption under paragraph 
(c)(3) of this section, the Pacific Islands Regional Administrator will, 
to the extent he or she determines appropriate, assist the fishing 
vessel owner in requesting an IMO number. If the Pacific Islands 
Regional Administrator determines that it is infeasible or impractical 
for the fishing vessel owner to obtain an IMO number for the fishing 
vessel, he or she will issue an exemption from the requirements of 
paragraph (c)(2) of this section for the subject fishing vessel and its 
owner and notify the fishing vessel owner of the exemption. The Pacific 
Islands Regional Administrator may limit the duration of the exemption. 
The Pacific Islands Regional Administrator may rescind an exemption at 
any time. If an exemption is rescinded, the fishing vessel owner must 
comply with the requirements of paragraph (c)(2) of this section within 
30 days of being notified of the rescission. If the ownership of a 
fishing vessel changes, an exemption issued to the former fishing vessel 
owner becomes void.

[75 FR 3350, Jan. 21, 2010, as amended at 76 FR 73520, Nov. 29, 2011; 80 
FR 59047, Oct. 1, 2015]



Sec.  300.218  Reporting and recordkeeping requirements.

    (a) Fishing reports--(1) General. The owner or operator of any 
fishing vessel of the United States used for commercial fishing for HMS 
in the Pacific Ocean must maintain and report to NMFS catch and effort 
and other operational information for all such fishing activities. The 
reports must include at a minimum: identification information for the 
vessel; description of fishing gear used; dates, times and locations of 
fishing; and species and amounts of fish retained and discarded.
    (2) Reporting options. Vessel owners and operators shall be deemed 
to meet the recordkeeping and reporting requirements of paragraph (a)(1) 
of this section by satisfying all applicable catch and effort reporting 
requirements as listed below:
    (i) Western Pacific pelagic fisheries. Fishing activities subject to 
the reporting requirements of Sec.  665.14 of this title must be 
maintained and reported in the manner specified in that section.
    (ii) West Coast HMS fisheries. Fishing activities subject to the 
reporting requirements of Sec.  660.708(a) of this title

[[Page 299]]

must be maintained and reported in the manner specified in that section.
    (iii) Pacific tuna fisheries. Fishing activities subject to the 
reporting requirements of Sec.  300.22 must be maintained and reported 
in the manner specified in that section.
    (iv) South Pacific tuna fisheries. Fishing activities subject to the 
reporting requirements of Sec.  300.34(c)(1) must be maintained and 
reported in the manner specified in that section.
    (v) High seas fisheries. Fishing activities subject to the reporting 
requirements of Sec.  300.17(a) must be maintained and reported in the 
manner specified in Sec.  300.17(a) and (b).
    (vi) Canada albacore fisheries. Fishing activities subject to the 
reporting requirements of Sec.  300.174 must be maintained and reported 
in the manner specified in that section.
    (vii) State-regulated fisheries. Catch and effort information for 
fishing activities for which reporting of effort, catch, and/or landings 
is required under State law must be maintained and reported in the 
manner specified under such State law.
    (viii) Other fisheries. All other fishing activities subject to the 
requirement of paragraph (a)(1) of this section must be recorded on 
paper or electronic forms specified or provided by the Pacific Islands 
Regional Administrator. Such forms will specify the information 
required, which may include: Identification information for the vessel; 
description of fishing gear used; dates, times and locations of fishing; 
and species and amounts of fish retained and discarded. All information 
specified by the Pacific Islands Regional Administrator on such forms 
must be recorded on paper or electronically within 24 hours of the 
completion of each fishing day. The information recorded must, for each 
fishing day, include a dated signature of the vessel operator or other 
type of authentication as specified by the Pacific Islands Regional 
Administrator. The vessel operator must, unless otherwise specified by 
the Pacific Islands Regional Administrator, submit the information for 
each fishing day to the Pacific Islands Regional Administrator within 72 
hours of the first landing or port call after the fishing day, and must 
submit the information in the manner specified by the Pacific Islands 
Regional Administrator.
    (3) Exceptions. (i) Catch and effort information for fishing 
activities that take place in waters under State jurisdiction must be 
maintained and reported only in cases where the reporting of such 
activity is required under State law or under Federal regulations at 
Sec. Sec.  300.22 and 300.34, and Sec. Sec.  660.708 and 665.14 of this 
title.
    (ii) Catch and effort information for fishing activities that take 
place in waters under Federal jurisdiction around American Samoa, Guam 
and the Northern Mariana Islands need not be reported under this section 
unless reporting of such activity is required under regulations in 
chapter VI of this title.
    (b) Transshipment reports. The owner and operator of any fishing 
vessel of the United States used for commercial fishing that offloads or 
receives a transshipment of HMS in the Convention Area, or a 
transshipment anywhere of HMS caught in the Convention Area, must ensure 
that a transshipment report for the transshipment is completed, using a 
form that is available from the Pacific Islands Regional Administrator, 
and recording all the information specified on the form. The owner and 
operator of the vessel must ensure that the transshipment report is 
completed and signed within 24 hours of the completion of the 
transshipment, and must ensure that the report is submitted as follows:
    (1) For vessels licensed under Sec.  300.32, the original 
transshipment report is submitted to the address specified by the 
Pacific Islands Regional Administrator by the due date specified at 
Sec.  300.34(c)(2) for submitting the transshipment logsheet form to the 
Administrator as defined at Sec.  300.31.
    (2) For vessels registered for use under Sec.  660.707 of this 
title, the original transshipment report is submitted to the address 
specified by the Pacific Islands Regional Administrator by the due date 
specified for the logbook form at Sec.  660.708 of this title.
    (3) For vessels subject to the requirements of Sec.  665.14(c) and 
Sec.  665.801(e) of this title, and not subject to the requirements of 
paragraphs (b)(1) or

[[Page 300]]

(b)(2) of this section, the original transshipment report is submitted 
to the address specified by the Pacific Islands Regional Administrator 
by the due date specified at Sec.  665.14(c) of this title for 
submitting transshipment logbooks to the Pacific Islands Regional 
Administrator for landings of western Pacific pelagic management unit 
species.
    (4) For all transshipments on the high seas and emergency 
transshipments that meet the conditions described in Sec.  
300.216(b)(4), including transshipments involving the categories of 
vessels specified in paragraphs (b)(1), (b)(2), and (b)(3) of this 
section, the report is submitted by fax or email to the address 
specified by the Pacific Islands Regional Administrator no later than 10 
calendar days after completion of the transshipment. The report may be 
submitted with or without signatures so long as the original 
transshipment report with signatures is submitted to the address 
specified by the Pacific Islands Regional Administrator no later than 15 
calendar days after the vessel first enters into port or 15 calendar 
days after completion of the transshipment for emergency transshipments 
in port.
    (5) For all other transshipments at sea, the original transshipment 
report is submitted to the address specified by the Pacific Islands 
Regional Administrator no later than 72 hours after the vessel first 
enters into port.
    (6) For all other transshipments in port, the original transshipment 
report is submitted to the address specified by the Pacific Islands 
Regional Administrator no later than 72 hours after completion of the 
transshipment.
    (c) Exceptions to transshipment reporting requirements. Paragraph 
(b) of this section shall not apply to a transshipment that takes place 
entirely within the territorial seas or archipelagic waters of any 
nation, as defined by the domestic laws and regulations of that nation 
and recognized by the United States, and only includes fish caught 
within such waters.
    (d) Transshipment notices--(1) High seas transshipments. The owner 
and operator of a fishing vessel of the United States used for 
commercial fishing that offloads or receives a transshipment of HMS on 
the high seas in the Convention Area, or a transshipment of HMS caught 
in the Convention Area anywhere on the high seas, and not subject to the 
requirements of paragraph (d)(2) of this section, must ensure that a 
notice is submitted to the Commission by fax or email at least 36 hours 
prior to the start of such transshipment at the address specified by the 
Pacific Islands Regional Administrator, and that a copy of that notice 
is submitted to NMFS at the address specified by the Pacific Islands 
Regional Administrator at least 36 hours prior to the start of the 
transshipment. The notice must be reported in the format provided by the 
Pacific Islands Regional Administrator and must contain the following 
information:
    (i) The name of the offloading vessel.
    (ii) The vessel identification markings located on the hull or 
superstructure of the offloading vessel.
    (iii) The name of the receiving vessel.
    (iv) The vessel identification markings located on the hull or 
superstructure of the receiving vessel.
    (v) The expected amount, in metric tons, of fish product to be 
transshipped, broken down by species and processed state.
    (vi) The expected date or dates of the transshipment.
    (vii) The expected location of the transshipment, including latitude 
and longitude to the nearest tenth of a degree.
    (viii) An indication of which one of the following areas the 
expected transshipment location is situated: high seas inside the 
Convention Area; high seas outside the Convention Area; or an area under 
the jurisdiction of a particular nation, in which case the nation must 
be specified.
    (ix) The expected amount of HMS to be transshipped, in metric tons, 
that was caught in each of the following areas: inside the Convention 
Area, on the high seas; outside the Convention Area, on the high seas; 
and within areas under the jurisdiction of particular nations, with each 
such nation and the associated amount specified. This information is not 
required if the reporting vessel is the receiving vessel.
    (2) Emergency transshipments. The owner and operator of a fishing 
vessel

[[Page 301]]

of the United States used for commercial fishing for HMS that offloads 
or receives a transshipment of HMS in the Convention Area, or a 
transshipment of HMS caught in the Convention Area anywhere, that is 
allowed under Sec.  300.216(b)(4) but would otherwise be prohibited 
under the regulations in this subpart, must ensure that a notice is 
submitted by fax or email to the Commission at the address specified by 
the Pacific Islands Regional Administrator, and a copy is submitted to 
NMFS at the address specified by the Pacific Islands Regional 
Administrator within twelve hours of the completion of the 
transshipment. The notice must be reported in the format provided by the 
Pacific Islands Regional Administrator and must contain the following 
information:
    (i) The name of the offloading vessel.
    (ii) The vessel identification markings located on the hull or 
superstructure of the offloading vessel.
    (iii) The name of the receiving vessel.
    (iv) The vessel identification markings located on the hull or 
superstructure of the receiving vessel.
    (v) The expected or actual amount, in metric tons, of fish product 
transshipped, broken down by species and processed state.
    (vi) The expected or actual date or dates of the transshipment.
    (vii) The expected or actual location of the transshipment, 
including latitude and longitude to the nearest tenth of a degree.
    (viii) An indication of which one of the following areas the 
expected or actual transshipment location is situated: High seas inside 
the Convention Area; high seas outside the Convention Area; or an area 
under the jurisdiction of a particular nation, in which case the nation 
must be specified.
    (ix) The amount of HMS to be transshipped, in metric tons, that was 
caught in each of the following areas: inside the Convention Area, on 
the high seas; outside the Convention Area, on the high seas; and within 
areas under the jurisdiction of particular nations, with each such 
nation and the associated amount specified. This information is not 
required if the reporting vessel is the receiving vessel.
    (x) The reason or reasons for the emergency transshipment (i.e., a 
transshipment conducted under circumstances of force majeure or other 
serious mechanical breakdown that could reasonably be expected to 
threaten the health or safety of the vessel or crew or cause a 
significant financial loss through fish spoilage).
    (3) Location of high seas and emergency transshipments. A high seas 
or emergency transshipment in the Convention Area or of HMS caught in 
the Convention Area anywhere subject to the notification requirements of 
paragraph (d)(1) or (d)(2) must take place within 24 nautical miles of 
the location for the transshipment indicated in the notice submitted 
under paragraph (d)(1)(vii) or (d)(2)(vii) of this section.
    (e) Purse seine discard reports. The owner and operator of any 
fishing vessel of the United States equipped with purse seine gear must 
ensure that a report of any at-sea discards of any bigeye tuna (Thunnus 
obesus), yellowfin tuna (Thunnus albacares), or skipjack tuna 
(Katsuwonus pelamis) caught in the Convention Area is completed, using a 
form that is available from the Pacific Islands Regional Administrator, 
and recording all the information specified on the form. The report must 
be submitted within 48 hours after any discard to the Commission by fax 
or email at the address specified by the Pacific Islands Regional 
Administrator. A copy of the report must be submitted to NMFS at the 
address specified by the Pacific Islands Regional Administrator by fax 
or email within 48 hours after any such discard. A hard copy of the 
report must be provided to the observer on board the vessel, if any.
    (f) Net sharing reports--(1) Transferring vessels. The owner and 
operator of a fishing vessel of the United States equipped with purse 
seine gear that transfers fish to another fishing vessel equipped with 
purse seine gear under Sec.  300.216(c) shall ensure that the amount, by 
species, of fish transferred, as well as the net sharing activity, is 
recorded on the catch report forms maintained pursuant to Sec.  
300.34(c)(1), in the format specified by the Pacific Islands Regional 
Administrator.

[[Page 302]]

    (2) Accepting vessels. The owner and operator of a fishing vessel of 
the United States equipped with purse seine gear that accepts fish from 
another purse seine fishing vessel under Sec.  300.216(c) shall ensure 
that the net sharing activity is recorded on the catch report forms 
maintained pursuant to Sec.  300.34(c)(1), in the format specified by 
the Pacific Islands Regional Administrator.
    (g) Daily FAD reports. If directed by NMFS, the owner or operator of 
any fishing vessel of the United States equipped with purse seine gear 
must report to NMFS, for the period and in the format and manner 
directed by the Pacific Islands Regional Administrator, within 24 hours 
of the end of each day that the vessel is at sea in the Convention Area, 
the number of purse seine sets were made on FADs during that day.
    (h) Whale shark encirclement reports. The owner and operator of a 
fishing vessel of the United States used for commercial fishing in the 
Convention Area that encircles a whale shark (Rhincodon typus) with a 
purse seine in the Convention Area shall ensure that the incident is 
recorded by the end of the day on the catch report forms maintained 
pursuant to Sec.  300.34(c)(1), in the format specified by the Pacific 
Islands Regional Administrator. This paragraph does not apply to the 
territorial seas or archipelagic waters of any nation, as defined by the 
domestic laws and regulations of that nation and recognized by the 
United States.

[75 FR 3350, Jan. 21, 2010, as amended at 77 FR 71511, Dec. 3, 2012; 79 
FR 77943, Dec. 29, 2014; 80 FR 8815, Feb. 19, 2015; 80 FR 59048, Oct. 1, 
2015]



Sec.  300.219  Vessel monitoring system.

    (a) SAC and VMS Helpdesk contact information and business hours. For 
the purpose of this section, the following contact information applies:
    (1) SAC. Address: 1845 Wasp Blvd., Bldg. 176, Honolulu, HI 96818; 
telephone: 808-725-6100; facsimile: 808-725-6199; email: 
[email protected]; business hours: Monday through Friday, except Federal 
holidays, 8 a.m. to 4:30 p.m., Hawaii Standard Time.
    (2) VMS Helpdesk. Telephone: 888-219-9228; email: 
[email protected]; business hours: Monday through Friday, except 
Federal holidays, 7 a.m. to 11 p.m., Eastern Time.
    (b) Applicability. This section applies to any fishing vessel of the 
United States with a WCPFC Area Endorsement or for which a WCPFC Area 
Endorsement is required.
    (c) Provision of vessel position information--(1) VMS unit. The 
vessel owner and operator shall install and maintain on the fishing 
vessel, in accordance with instructions provided by the SAC and the VMS 
unit manufacturer, a VMS unit that is type-approved by NMFS for 
fisheries governed under the Act. The vessel owner and operator shall 
arrange for a NMFS-approved mobile communications service provider to 
receive and relay transmissions from the VMS unit to NMFS. NMFS makes 
available lists of type-approved VMS units and approved mobile 
communications service providers. NMFS and the Commission are authorized 
to receive and relay transmissions from the VMS unit.
    (2) VMS unit activation. If the VMS unit has not yet been activated 
as described in this paragraph, or if the VMS unit has been newly 
installed or reinstalled, or if the mobile communications service 
provider has changed since the previous activation, or if directed by 
the SAC, the vessel owner and operator shall, prior to the vessel 
leaving port:
    (i) Turn on the VMS unit to make it operational;
    (ii) Submit a written activation report, via mail, facsimile or e-
mail, to the SAC, that includes: the vessel's name; the vessel's 
official number; the VMS unit manufacturer and identification number; 
and telephone, facsimile or e-mail contact information for the vessel 
owner or operator; and
    (iii) Receive verbal or written confirmation from the SAC that 
proper transmissions are being received from the VMS unit.
    (3) VMS unit operation. The vessel owner and operator shall 
continuously operate the VMS unit at all times, except that the VMS unit 
may be shut down while the vessel is at port or otherwise not at sea, 
provided that the owner and operator:

[[Page 303]]

    (i) Prior to shutting down the VMS unit, report to the SAC or the 
NOAA Office of Law Enforcement's VMS Helpdesk via facsimile or e-mail, 
the following information: the intent to shut down the VMS unit; the 
vessel's name; the vessel's official number; and telephone, facsimile or 
e-mail contact information for the vessel owner or operator; and
    (ii) When turning the VMS unit back on, report to the SAC or the 
NOAA Office of Law Enforcement's VMS Helpdesk, via mail, facsimile or e-
mail, the following information: that the VMS unit has been turned on; 
the vessel's name; the vessel's official number; and telephone, 
facsimile or e-mail contact information for the vessel owner or 
operator; and
    (iii) Prior to leaving port, receive verbal or written confirmation 
from the SAC that proper transmissions are being received from the VMS 
unit.
    (4) Failure of VMS unit. If the vessel owner or operator becomes 
aware that the VMS unit has become inoperable or that transmission of 
automatic position reports from the VMS unit has been interrupted, or if 
notified by NMFS or the USCG that automatic position reports are not 
being received from the VMS unit or that an inspection of the VMS unit 
has revealed a problem with the performance of the VMS unit, the vessel 
owner and operator shall comply with the following requirements:
    (i) If the vessel is at port: The vessel owner or operator shall 
repair or replace the VMS unit and ensure it is operable before the 
vessel leaves port.
    (ii) If the vessel is at sea: The vessel owner, operator, or 
designee shall contact the SAC by telephone, facsimile, or e-mail at the 
earliest opportunity during the SAC's business hours and identify the 
caller and vessel. The vessel operator shall follow the instructions 
provided by the SAC, which could include, but are not limited to: 
ceasing fishing, stowing fishing gear, returning to port, and/or 
submitting periodic position reports at specified intervals by other 
means; and, repair or replace the VMS unit and ensure it is operable 
before starting the next trip.
    (5) Related VMS requirements. Installing, carrying and operating a 
VMS unit in compliance with the requirements in part 300 of this title, 
part 660 of this title, or part 665 of this title relating to the 
installation, carrying, and operation of VMS units shall be deemed to 
satisfy the requirements of paragraph (c) of this section, provided that 
the VMS unit is operated continuously and at all times while the vessel 
is at sea, the VMS unit is type-approved by NMFS for fisheries governed 
under the Act, and the specific requirements of paragraph (c)(4) of this 
section are complied with. If the VMS unit is owned by NMFS, the 
requirement under paragraph (c)(4) of this section to repair or replace 
the VMS unit will be the responsibility of NMFS, but the vessel owner 
and operator shall be responsible for ensuring that the VMS unit is 
operable before leaving port or starting the next trip.
    (d) Costs. The vessel owner and operator shall be responsible for 
all costs associated with the purchase, installation and maintenance of 
the VMS unit, and for all charges levied by the mobile communications 
service provider as necessary to ensure the transmission of automatic 
position reports to NMFS as required in paragraph (c) of this section. 
However, if the VMS unit is being carried and operated in compliance 
with the requirements in part 300 of this title, part 660 of this title, 
or part 665 of this title relating to the installation, carrying, and 
operation of VMS units, the vessel owner and operator shall not be 
responsible for costs that are the responsibility of NMFS under those 
regulations.
    (e) Tampering. The vessel owner and operator shall ensure that the 
VMS unit is not tampered with, disabled, destroyed, damaged or operated 
improperly, and that its operation is not impeded or interfered with.
    (f) Inspection. The vessel owner and operator shall make the VMS 
unit, including its antenna, connectors and antenna cable, available for 
inspection by authorized officers, by employees of the Commission, by 
persons appointed by the Executive Director of the Commission for this 
purpose, and, when the vessel is on the high seas in the Convention 
Area, by WCPFC inspectors.
    (g) Access to data. The vessel owner and operator shall make the 
vessel's

[[Page 304]]

position data obtained from the VMS unit or other means immediately and 
always available for inspection by NOAA personnel, USCG personnel, and 
authorized officers, and shall make the vessel's position data for 
positions on the high seas in the Convention Area immediately and always 
available to WCPFC inspectors and the Commission.
    (h) Communication devices. (1) To facilitate communication with 
management and enforcement authorities regarding the functioning of the 
VMS unit and other purposes, the vessel operator shall, while the vessel 
is at sea, carry on board and continuously monitor a two-way 
communication device that is capable of real-time communication with the 
SAC. The VMS unit used to fulfill the requirements of paragraph (c) of 
this section may not be used to satisfy this requirement. If the device 
is anything other than a radio, the contact number for the device must 
be provided to the Pacific Islands Regional Administrator on the 
application form for the WCPFC Area Endorsement in accordance with the 
requirements of Sec.  300.212.
    (2) For the purpose of submitting the position reports that might be 
required in cases of VMS unit failure under paragraph (c)(4)(ii) of this 
section, the vessel operator shall, while the vessel is at sea, carry on 
board a communication device capable of transmitting, while the vessel 
is on the high seas in the Convention Area, communications by telephone, 
facsimile, e-mail, or radio to the Commission, in Pohnpei, Micronesia. 
The VMS unit used to fulfill the requirements of paragraph (c) of this 
section may not be used to satisfy this requirement. The same 
communication device may be able to satisfy the requirements of both 
this paragraph and paragraph (h)(1) of this section.

[75 FR 3351, Jan. 21, 2010, as amended at 79 FR 64110, Oct. 28, 2014; 80 
FR 59048, Oct. 1, 2015]



Sec.  300.220  Confidentiality of information.

    (a) Types of information covered. NOAA is authorized under the Act 
and other statutes to collect and maintain information. This section 
applies to confidential information collected under authority of the 
Act.
    (b) Collection and maintenance of information--(1) General. (i) Any 
information required to be submitted to the Secretary, a State fishery 
management agency, or a Marine Fisheries Commission under the Act shall 
be provided to the Assistant Administrator.
    (ii) Any observer information collected under the Act shall be 
provided to the Assistant Administrator.
    (iii) Appropriate safeguards as specified by NOAA Administrative 
Order (NAO) 216-100 or other NOAA/NMFS internal procedures, apply to the 
collection and maintenance of any information collected pursuant to 
paragraphs (b)(1) or (b)(2) of this section, whether separated from 
identifying particulars or not, so as to ensure their confidentiality. 
Information submitted to the Secretary in compliance with this subpart 
shall not be disclosed except as authorized herein or by other law or 
regulation.
    (2) Collection agreements with States or Marine Fisheries 
Commissions. (i) The Assistant Administrator may enter into an agreement 
with a State or a Marine Fisheries Commission authorizing the State or 
Marine Fisheries Commission to collect information on behalf of the 
Secretary.
    (ii) To enter into a cooperative collection agreement with a State 
or a Marine Fisheries Commission, NMFS must ensure that:
    (A) The State has authority to protect the information from 
disclosure in a manner at least as protective as these regulations.
    (B) The Marine Fisheries Commission has enacted policies and 
procedures to protect the information from public disclosure.
    (3) Collection services by observer employer/observer provider. The 
Assistant Administrator shall make the following determinations before 
issuing a permit or letting a contract or grant to an organization that 
provides observer services:
    (i) That the observer employer/observer provider has enacted 
policies and procedures to protect the information from public 
disclosure;
    (ii) That the observer employer/observer provider has entered into 
an

[[Page 305]]

agreement with the Assistant Administrator that prohibits public 
disclosure and specifies penalties for such disclosure; and
    (iii) That the observer employer/observer provider requires each 
observer to sign an agreement with NOAA/NMFS that prohibits public 
disclosure of observer information and specifies penalties for such 
disclosure.
    (c) Access to information--(1) General. This section establishes 
procedures intended to manage, preserve, and protect the confidentiality 
of information submitted in compliance with the Act and its implementing 
regulations. This section applies to those persons and organizations 
deemed eligible to access confidential information subject to the terms 
and conditions described in this section and the Act. All other persons 
requesting access to confidential information should follow the 
procedures set forth in the Freedom of Information Act, 5 U.S.C. 552, 15 
CFR parts 15 and 903, NAO 205-14, and Department of Commerce 
Administrative Orders 205-12 and 205-14, as applicable. Persons eligible 
to access confidential information under this section shall submit to 
NMFS a written request with the following information:
    (i) The specific types of information requested;
    (ii) The relevance of the information to requirements of the Act;
    (iii) The duration of time that access will be required: continuous, 
infrequent, or one-time; and
    (iv) An explanation of why the availability of information in 
aggregate or summary form from other sources would not satisfy the 
requested needs.
    (2) Federal employees. Confidential information will only be 
accessible to the following:
    (i) Federal employees who are responsible for administering, 
implementing, or enforcing the Act. Such persons are exempt from the 
provisions of paragraph (c)(1) of this section.
    (ii) NMFS employees responsible for the collection, processing, and 
storage of the information or performing research that requires access 
to confidential information. Such persons are exempt from the provisions 
of paragraph (c)(1) of this section.
    (iii) Other NOAA employees on a demonstrable need-to-know basis.
    (iv) Persons that need access to confidential information to perform 
functions authorized under a Federal contract, cooperative agreement, or 
grant awarded by NOAA/NMFS.
    (3) Commission. (i) Confidential information will be subject to 
disclosure to the Commission, but only if:
    (A) The information is required to be submitted to the Commission 
under the requirements of the WCPF Convention or the decisions of the 
Commission;
    (B) The provision of such information is in accord with the 
requirements of the Act, the WCPF Convention, and the decisions of the 
Commission, including any procedures, policies, or practices adopted by 
the Commission relating to the receipt, maintenance, protection or 
dissemination of information by the Commission; and
    (C) The provision of such information is in accord with any 
agreement between the United States and the Commission that includes 
provisions to prevent public disclosure of the identity or business of 
any person.
    (ii) The provisions of paragraph (c)(1) of this section do not apply 
to the release of confidential information to the Commission.
    (4) State employees. Confidential information may be made accessible 
to a State employee only by written request and only upon the 
determination by NMFS that at least one of the following conditions is 
met:
    (i) The employee has a need for confidential information to further 
the Department of Commerce's mission, and the State has entered into a 
written agreement between the Assistant Administrator and the head of 
the State's agency that manages marine and/or anadromous fisheries. The 
agreement shall contain a finding by the Assistant Administrator that 
the State has confidentiality protection authority comparable to the Act 
and that the State will exercise this authority to prohibit public 
disclosure of the identity or business of any person.
    (ii) The employee enforces the Act or fishery management plans 
prepared under the authority of the Magnuson-Stevens Conservation and 
Management

[[Page 306]]

Act, and the State for which the employee works has entered into a 
fishery enforcement agreement with the Secretary and the agreement is in 
effect.
    (5) Marine Fisheries Commission employees. Confidential information 
may be made accessible to Marine Fisheries Commission employees only 
upon written request of the Marine Fisheries Commission and only if the 
request demonstrates a need for confidential information to further the 
Department of Commerce's mission, and the executive director of the 
Marine Fisheries Commission has entered into a written agreement with 
the Assistant Administrator. The agreement shall contain a finding by 
the Assistant Administrator that the Marine Fisheries Commission has 
confidentiality protection policies and procedures to protect from 
public disclosure information that would reveal the identity or business 
of any person.
    (6) Homeland and national security activities. Confidential 
information may be made accessible to Federal employees for purposes of 
promoting homeland security or national security at the request of 
another Federal agency only if:
    (i) Providing the information promotes homeland security or national 
security purposes including the USCG's homeland security missions as 
defined in section 888(a)(2) of the Homeland Security Act of 2002 (6 
U.S.C. 468(a)(2)); and
    (ii) The requesting agency has entered into a written agreement with 
the Assistant Administrator. The agreement shall contain a finding by 
the Assistant Administrator that the requesting agency has 
confidentiality policies and procedures to protect the information from 
public disclosure.
    (7) Observer and observer employer/observer provider. Confidential 
information used for purposes other than those contained in this subpart 
or in part 600 of this title may only be used by observers and observer 
employers/observer providers in order:
    (i) To adjudicate observer certifications;
    (ii) To allow the sharing of observer information among the 
observers and between observers and observer employers/observer 
providers as necessary to train and prepare observers for deployments on 
specific vessels; or
    (iii) To validate the accuracy of the observer information 
collected.
    (8) Persons having access to confidential information may be subject 
to criminal and civil penalties for unauthorized use or disclosure of 
confidential information. See 18 U.S.C. 1905, 16 U.S.C. 1857, and NOAA/
NMFS internal procedures, including NAO 216-100.
    (d) Control system. (1) The Assistant Administrator maintains a 
control system to protect the identity or business of any person who 
submits information in compliance with any requirement or regulation 
under the Act. The control system:
    (i) Identifies those persons who have access to the information;
    (ii) Contains procedures to limit access to confidential information 
to authorized users; and
    (iii) Provides handling and physical storage protocols for 
safeguarding of the information.
    (2) This system requires that all persons who have authorized access 
to the information be informed of the confidentiality of the 
information. These persons, with the exception of employees and 
contractors of the Commission, are required to sign a statement that 
they:
    (i) Have been informed that the information is confidential; and
    (ii) Have reviewed and are familiar with the procedures to protect 
confidential information.
    (e) Release of information. (1) The Assistant Administrator will not 
disclose to the public any confidential information, except:
    (i) When the Secretary has obtained from the person who submitted 
the information an authorization to release the information to persons 
for reasons not otherwise provided for in this subpart. In situations 
where a person provides information through a second party, both parties 
are considered joint submitters of information and either party may 
request a release. The authorization to release such information will 
require:
    (A) A written statement from the person(s) who submitted the 
information authorizing the release of the submitted information; and

[[Page 307]]

    (B) A finding by the Secretary that such release does not violate 
other requirements of the Act or other applicable laws.
    (ii) Observer information as authorized by a fishery management plan 
(prepared under the authority of the Magnuson-Stevens Fishery 
Conservation and Management Act) or regulations under the authority of 
the North Pacific Council to allow disclosure of observer information to 
the public of weekly summary bycatch information identified by vessel or 
for haul-specific bycatch information without vessel identification.
    (iii) When such information is required to be submitted for any 
determination under a limited access program.
    (iv) When required by a court order.
    (2) All requests from the public for confidential information will 
be processed in accordance with the requirements of 5 U.S.C. 552a, 15 
CFR parts 4 and 903, NAO 205-14, and Department of Commerce 
Administrative Orders DAO 205-12 and DAO 205-14. Nothing in this section 
is intended to confer any right, claim, or entitlement to obtain access 
to confidential information not already established by law.
    (3) NMFS does not release or allow access to confidential 
information in its possession to members of advisory groups of the 
Regional Fishery Management Councils established under the Magnuson-
Stevens Fishery Conservation and Management Act, except as provided by 
law.

[75 FR 3352, Jan. 21, 2010]



Sec.  300.221  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) A fishing vessel of the United States with a WCPFC Area 
Endorsement or for which a WCPFC Area Endorsement is required, including 
the vessel's operator and each member of the vessel's crew shall, when 
in the Convention Area, be subject to the following requirements:
    (1) The Federal Certificate of Documentation or State or other 
documentation for the vessel, or a copy thereof, shall be carried on 
board the vessel. Any license, permit or other authorization to use the 
vessel to fish, retain fish, transship fish, or land fish issued by a 
nation or political entity other than the United States, or a copy 
thereof, shall be carried on board the vessel. These documents shall be 
made available for inspection by any authorized officer. If the vessel 
is on the high seas, the above-mentioned licenses, permits, and 
authorizations shall also be made available for inspection by any WCPFC 
inspector. If the vessel is in an area under the jurisdiction of a 
member of the Commission other than the United States, they shall be 
made available for inspection by any authorized enforcement official of 
that member.
    (2) For the purpose of facilitating communication with the fisheries 
management, surveillance and enforcement authorities of the members of 
the Commission, the operator shall ensure the continuous monitoring of 
the international safety and calling radio frequency 156.8 MHz (Channel 
16, VHF-FM) and, if the vessel is equipped to do so, the international 
distress and calling radio frequency 2.182 MHz (HF).
    (3) The operator shall ensure that an up-to-date copy of the 
International Code of Signals (INTERCO) is on board and accessible at 
all times.
    (4) When engaged in transshipment on the high seas or in an area 
under the jurisdiction of a member of the Commission other than the 
United States, the operator and crew shall:
    (i) Provide any WCPFC transshipment monitor with full access to, and 
use of, facilities and equipment which such authorized person may 
determine is necessary to carry out his or her duties to monitor 
transshipment activities, including full access to the bridge, fish on 
board, and all areas which may be used to hold, process, weigh and store 
fish, and full access to the vessel's records, including its log and 
documentation for the purpose of inspection and photocopying;
    (ii) Allow and assist any WCPFC transshipment monitor to collect and 
remove samples and gather any other information required to fully 
monitor transshipment activities.

[[Page 308]]

    (iii) Not assault, obstruct, resist, delay, refuse boarding to, 
intimidate, harass, interfere with, unduly obstruct or delay any WCPFC 
transshipment monitor in the performance of such person's duties, or 
attempt to do any of the same.
    (b) The operator and crew of a fishing vessel of the United States, 
when on the high seas in the Convention Area, shall be subject to the 
following requirements:
    (1) The operator and crew shall immediately comply with instructions 
given by an officer on board a WCPFC inspection vessel to move the 
vessel to a safe location and/or to stop the vessel, provided that the 
officer has, prior to the issuance of such instructions:
    (i) Provided information identifying his or her vessel as a WCPFC 
inspection vessel, including its name, registration number, IRCS and 
contact frequency; and
    (ii) Communicated to the vessel operator his or her intention to 
board and inspect the vessel under the authority of the Commission and 
pursuant to the boarding and inspection procedures adopted by the 
Commission.
    (2) The operator and crew shall accept and facilitate prompt and 
safe boarding by any WCPFC inspector, provided that an officer on board 
the WCPFC inspection vessel has, prior to such boarding:
    (i) Provided information identifying his or her vessel as a WCPFC 
inspection vessel, including its name, registration number, IRCS and 
contact frequency; and
    (ii) Communicated to the vessel operator an intention to board and 
inspect the vessel under the authority of the Commission and pursuant to 
the boarding and inspection procedures adopted by the Commission.
    (3) Provided that the WCPFC inspector has presented to the vessel 
operator his or her identity card identifying him or her as an inspector 
authorized to carry out boarding and inspection procedures under the 
auspices of the Commission, and a copy of the text of the relevant 
conservation and management measures in force pursuant to the WCPF 
Convention in the relevant area of the high seas, the operator and crew 
shall:
    (i) Cooperate with and assist any WCPFC inspector in the inspection 
of the vessel, including its authorizations to fish, gear, equipment, 
records, facilities, fish and fish products and any relevant documents 
necessary to verify compliance with the conservation and management 
measures in force pursuant to the WCPF Convention;
    (ii) Allow any WCPFC inspector to communicate with the crew of the 
WCPFC inspection vessel, the authorities of the WCPFC inspection vessel 
and the authorities of the vessel being inspected;
    (iii) Provide any WCPFC inspector with reasonable facilities, 
including, where appropriate, food and accommodation; and
    (iv) Facilitate safe disembarkation by any WCPFC inspector.
    (4) If the operator or crew refuses to allow a WCPFC inspector to 
board and inspect the vessel in the manner described in this paragraph, 
they shall offer to the WCPFC inspector an explanation of the reason for 
such refusal.
    (5) The operator and crew shall not assault, obstruct, resist, 
delay, refuse boarding to, intimidate, harass, interfere with, unduly 
obstruct or delay any WCPFC inspector in the performance of such 
person's duties, or attempt to do any of the same.
    (c) When a fishing vessel of the United States that is used for 
commercial fishing for HMS is in the Convention Area and is either on 
the high seas without a valid WCPFC Area Endorsement or is in an area 
under the jurisdiction of a nation other than the United States without 
an authorization by that nation to fish in that area, all the fishing 
gear and fishing equipment on the fishing vessel shall be stowed in a 
manner so as not to be readily available for fishing, specifically:
    (1) If the fishing vessel is used for purse seining and equipped 
with purse seine gear, the boom must 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, must 
be tied down; and the launches must be secured.
    (2) If the fishing vessel is used for longlining and equipped with 
longline

[[Page 309]]

gear, the branch or dropper lines and floats used to buoy the mainline 
must be stowed and not available for immediate use, and any power-
operated mainline hauler on deck must be covered in such a manner that 
it is not readily available for use.
    (3) If the fishing vessel is used for trolling and equipped with 
troll gear, no lines or hooks may be placed in the water; if outriggers 
are present on the vessel, they must be secured in a vertical position; 
if any power-operated haulers are located on deck they must be covered 
in such a manner that they are not readily available for use.
    (4) If the fishing vessel is used for pole-and-line fishing and 
equipped with pole-and-line gear, any poles rigged with lines and hooks 
must be stowed in such a manner that they are not readily available for 
use.
    (5) For any other type of fishing vessel, all the fishing gear and 
equipment on the vessel must be stowed in a manner so as not to be 
readily available for use.
    (d) For the purpose of this section, the meaning of transshipment 
does not include transfers that exclusively involve fish that have been 
previously landed and processed.

[75 FR 3354, Jan. 21, 2010]



Sec.  300.222  Prohibitions.

    In addition to the prohibitions in Sec.  300.4, it is unlawful for 
any person to:
    (a) Fail to obtain and have on board a fishing vessel a valid WCPFC 
Area Endorsement as required in Sec.  300.212.
    (b) Fail to report a change in the information required in an 
application for a WCPFC Area Endorsement as required in Sec.  
300.212(g).
    (c) Fail to provide information on vessels and fishing 
authorizations or fail to report changes in such information as required 
in Sec.  300.213.
    (d) Fish for, retain on board, or land fish, including HMS, in areas 
under the jurisdiction of a nation other than the United States without 
authorization by such nation to do so, as provided in Sec.  
300.214(a)(1) and (b)(1).
    (e) Operate a fishing vessel in violation of, or fail to ensure the 
vessel crew complies with, the applicable national laws of a member of 
the Commission other than the United States, including any laws related 
to carrying vessel observers or the operation of VMS units, as provided 
in Sec.  300.214(a)(2) and (b)(2).
    (f) Fail to carry, allow on board, or assist a WCPFC observer as 
required in Sec.  300.215.
    (g) Assault, obstruct, resist, delay, refuse boarding to, 
intimidate, harass, or interfere with a WCPFC observer, or attempt to do 
any of the same, or fail to provide a WCPFC observer with food, 
accommodation or medical facilities, as required in Sec.  300.215.
    (h) Offload, receive, or load fish from a purse seine vessel at sea 
in the Convention Area, in contravention of Sec.  300.216.
    (i) Fail to mark a fishing vessel or a boat, skiff, or other 
watercraft on board the fishing vessel as required in Sec.  300.217, or 
remove, obscure, or obstruct such markings, or attempt to do so.
    (j) Fail to maintain and report catch and effort information or 
transshipment information as required in Sec.  300.218.
    (k) Fail to install, activate, or operate a VMS unit as required in 
Sec.  300.219(c).
    (l) In the event of VMS unit failure or interruption, fail to repair 
or replace a VMS unit, fail to notify the SAC and follow the 
instructions provided, or otherwise fail to act as provided in Sec.  
300.219(c)(4).
    (m) Disable, destroy, damage or operate improperly a VMS unit 
installed under Sec.  300.219, or attempt to do any of the same, or fail 
to ensure that its operation is not impeded or interfered with, as 
provided in Sec.  300.219(e).
    (n) Fail to make a VMS unit installed under Sec.  300.219 or the 
position data obtained from it available for inspection, as provided in 
Sec.  300.219(f) and (g).
    (o) Fail to carry on board and monitor communication devices as 
required in Sec.  300.219(h).
    (p) Fail to carry on board and make available the required vessel 
documentation and authorizations as required in Sec.  300.221(a)(1).
    (q) Fail to continuously monitor the specified radio frequencies as 
required in Sec.  300.221(a)(2).
    (r) Fail to carry on board, and keep accessible, an up-to-date copy 
of the

[[Page 310]]

International Code of Signals as required in Sec.  300.221(a)(3).
    (s) Fail to provide access to, or fail to allow and assist, a WCPFC 
transshipment monitor as required in Sec.  300.221(a)(4).
    (t) Fail to comply with the instructions of, or fail to accept and 
facilitate prompt and safe boarding by, a WCPFC inspector, or fail to 
cooperate and assist a WCPFC inspector in the inspection of a fishing 
vessel, as provided in Sec.  300.221(b).
    (u) Fail to stow fishing gear or fishing equipment as required in 
Sec.  300.221(c).
    (v) Use a fishing vessel equipped with purse seine gear to fish in 
the ELAPS while the fishery is closed under Sec.  300.223(a).
    (w) Set a purse seine around, near or in association with a FAD or a 
vessel, deploy or service a FAD, or use lights in contravention of Sec.  
300.223(b).
    (x) Discard fish at sea in the Convention Area in contravention of 
Sec.  300.223(d).
    (y) Fail to comply with the sea turtle mitigation gear and handling 
requirements of Sec.  300.223(f).
    (z) Use a fishing vessel to retain on board, transship, or land 
bigeye tuna captured by longline gear in the Convention Area or to fish 
in contravention of Sec.  300.224(f)(1) or (f)(2).
    (aa) Use a fishing vessel to fish in the Pacific Ocean using 
longline gear both inside and outside the Convention Area on the same 
fishing trip in contravention of Sec.  300.224(f)(3).
    (bb) Fail to stow longline gear as required in Sec.  300.224(f)(4).
    (cc) Fail to carry on board a WCPFC observer during a transshipment 
at sea, as required in Sec.  300.215(d).
    (dd) Offload, receive, or load fish caught in the Convention Area 
from a purse seine vessel at sea in contravention of Sec.  300.216.
    (ee) Fail to ensure that a WCPFC observer is on board at least one 
of the vessels involved in the transshipment for the duration of the 
transshipment in contravention of Sec.  300.216(b)(2)(i), except as 
specified at Sec.  300.216(b)(4).
    (ff) Receive transshipments from more than one fishing vessel at a 
time in contravention of Sec.  300.216(b)(2)(ii), except as specified at 
Sec.  300.216(b)(4).
    (gg) Transship to or from another vessel, in contravention of Sec.  
300.216(b)(3)(i), except as specified at Sec.  300.216(b)(4).
    (hh) Provide bunkering, receive bunkering, or exchange supplies or 
provisions with another vessel, in contravention of Sec.  
300.216(b)(3)(ii).
    (ii) Engage in net sharing except as specified under Sec.  
300.216(c).
    (jj) Fail to submit, or ensure submission of, a transshipment report 
as required in Sec.  300.218(b), except as specified under Sec.  
300.218(c).
    (kk) Fail to submit, or ensure submission of, a transshipment notice 
as required in Sec.  300.218(d).
    (ll) Transship more than 24 nautical miles from the location 
indicated in the transshipment notice, in contravention of Sec.  
300.218(d)(3).
    (mm) Fail to submit, or ensure submission of, a discard report as 
required in Sec.  300.218(e).
    (nn) Fail to submit, or ensure submission of, a net sharing report 
as required in Sec.  300.218(f).
    (oo) Fail to submit, or ensure submission of, an entry or exit 
notice for the Eastern High Seas Special Management Area as required in 
Sec.  300.225.
    (pp) Fail to submit, or ensure submission of, a daily FAD report as 
required in Sec.  300.218(g).
    (qq) Fail to submit, or ensure submission of, a whale shark 
encirclement report as required in Sec.  300.218(h).
    (rr) Set or attempt to set a purse seine on or around a whale shark 
(Rhincodon typus) in contravention of Sec.  300.223(g).
    (ss) Fail to release a whale shark encircled in a purse seine net of 
a fishing vessel as required in Sec.  300.223(h).
    (tt) Use a fishing vessel to retain on board, transship, store, or 
land any part or whole carcass of an oceanic whitetip shark 
(Carcharhinus longimanus) or silky shark (Carcharhinus falciformis) in 
contravention of Sec.  300.226(a).
    (uu) Fail to release an oceanic whitetip shark or silky shark as 
required in Sec.  300.226(b).
    (vv) Fail to obtain an IMO number for a fishing vessel as required 
in Sec.  300.217(c).
    (ww) Fail to carry an observer as required in Sec.  300.223(e).

[[Page 311]]

    (xx) Fail to comply with any of the limits, restrictions, 
prohibitions, or requirements specified under Sec.  300.227.

[74 FR 38554, Aug. 4, 2009, as amended at 74 FR 64010, Dec. 7, 2009; 75 
FR 3355, Jan. 21, 2010; 77 FR 51714, Aug. 27, 2012; 77 FR 71512, Dec. 3, 
2012; 78 FR 30778, May 23, 2013; 79 FR 71331, Dec. 2, 2014; 80 FR 8815, 
Feb. 19, 2015; 80 FR 59048, Oct. 1, 2015; 81 FR 41250, June 24, 2016]



Sec.  300.223  Purse seine fishing restrictions.

    None of the requirements of this section apply in the territorial 
seas or archipelagic waters of the United States or any other nation, as 
defined by the domestic laws and regulations of that nation and 
recognized by the United States. All dates used in this section are in 
Universal Coordinated Time, also known as UTC; for example: the year 
2013 starts at 00:00 on January 1, 2013 UTC and ends at 24:00 on 
December 31, 2013 UTC; and July 1, 2013, begins at 00:00 UTC and ends at 
24:00 UTC.
    (a) Fishing effort limits. This paragraph establishes limits on the 
number of fishing days that fishing vessels of the United States 
equipped with purse seine gear may collectively spend in the ELAPS.
    (1) For calendar year 2016 there is a limit of 1,828 fishing days.
    (2) NMFS will determine the number of fishing days spent in the 
ELAPS in each of the applicable time periods using data submitted in 
logbooks and other available information. After NMFS determines that the 
limit in any applicable time period is expected to be reached by a 
specific future date, and at least seven calendar days in advance of the 
closure date, NMFS will publish a notice in the Federal Register 
announcing that the purse seine fishery in the ELAPS will be closed 
starting on that specific future date and will remain closed until the 
end of the applicable time period.
    (3) Once a fishery closure is announced pursuant to paragraph (a)(2) 
of this section, fishing vessels of the United States equipped with 
purse seine gear may not be used to fish in the ELAPS during the period 
specified in the Federal Register notice, except that such vessels are 
not prohibited from bunkering in the ELAPS during a fishery closure.
    (b) Use of fish aggregating devices. (1) During the periods and in 
the areas specified in paragraph (b)(2) of this section, owners, 
operators, and crew of fishing vessels of the United States shall not do 
any of the activities described below in the Convention Area in the area 
between 20 N. latitude and 20 S. latitude:
    (i) Set a purse seine around a FAD or within one nautical mile of a 
FAD.
    (ii) Set a purse seine in a manner intended to capture fish that 
have aggregated in association with a FAD or a vessel, such as by 
setting the purse seine in an area from which a FAD or a vessel has been 
moved or removed within the previous eight hours, or setting the purse 
seine in an area in which a FAD has been inspected or handled within the 
previous eight hours, or setting the purse seine in an area into which 
fish were drawn by a vessel from the vicinity of a FAD or a vessel.
    (iii) Deploy a FAD into the water.
    (iv) Repair, clean, maintain, or otherwise service a FAD, including 
any electronic equipment used in association with a FAD, in the water or 
on a vessel while at sea, except that:
    (A) A FAD may be inspected and handled as needed to identify the 
FAD, identify and release incidentally captured animals, un-foul fishing 
gear, or prevent damage to property or risk to human safety; and
    (B) A FAD may be removed from the water and if removed may be 
cleaned, provided that it is not returned to the water.
    (v) From a purse seine vessel or any associated skiffs, other 
watercraft or equipment, do any of the following, except in emergencies 
as needed to prevent human injury or the loss of human life, the loss of 
the purse seine vessel, skiffs, watercraft or aircraft, or environmental 
damage:
    (A) Submerge lights under water;
    (B) Suspend or hang lights over the side of the purse seine vessel, 
skiff, watercraft or equipment, or;
    (C) Direct or use lights in a manner other than as needed to 
illuminate the deck of the purse seine vessel or associated skiffs, 
watercraft or equipment, to

[[Page 312]]

comply with navigational requirements, and to ensure the health and 
safety of the crew.
    (2) The requirements of paragraph (b)(1) of this section shall 
apply:
    (i) From July 1 through September 30, 2016;
    (ii) From July 1 through September 30, 2017;
    (iii) During any period specified in a Federal Register notice 
issued by NMFS announcing that NMFS has determined that U.S. purse seine 
vessels have collectively made, or are projected to make, 2,522 sets on 
FADs in the Convention Area in the area between 20 N. latitude and 20 
S. latitude in 2016 or 2017. The Federal Register notice will be 
published at least seven days in advance of the start of the period 
announced in the notice. NMFS will estimate and project the number of 
FAD sets using vessel logbooks, and/or other information sources that it 
deems most appropriate and reliable for the purposes of this section; 
and
    (iv) In any area of high seas, from January 1 through December 31, 
2017.
    (c) [Reserved]
    (d) Catch retention. An owner and operator of a fishing vessel of 
the United States equipped with purse seine gear must ensure the 
retention on board at all times while at sea within the Convention Area 
any bigeye tuna (Thunnus obesus), yellowfin tuna (Thunnus albacares), or 
skipjack tuna (Katsuwonus pelamis), except in the following 
circumstances and with the following conditions:
    (1) Fish that are unfit for human consumption, including but not 
limited to fish that are spoiled, pulverized, severed, or partially 
consumed at the time they are brought on board, may be discarded.
    (2) If at the end of a fishing trip there is insufficient well space 
to accommodate all the fish captured in a given purse seine set, fish 
captured in that set may be discarded, provided that no additional purse 
seine sets are made during the fishing trip.
    (3) If a serious malfunction of equipment occurs that necessitates 
that fish be discarded.
    (e) Observer coverage. (1) A fishing vessel of the United States may 
not be used to fish with purse seine gear in the Convention Area without 
a WCPFC observer on board. This requirement does not apply to fishing 
trips that meet either of the following conditions:
    (i) The portion of the fishing trip within the Convention Area takes 
place entirely within areas under the jurisdiction of a single nation 
other than the United States; or,
    (ii) No fishing takes place during the fishing trip in the 
Convention Area in the area between 20 N. latitude and 20 S. latitude.
    (2) Owners, operators, and crew of fishing vessels subject to 
paragraph (e)(1) of this section must accommodate WCPFC observers in 
accordance with the provisions of Sec.  300.215(c).
    (3) Meeting either of the conditions in paragraphs (e)(1)(i) and 
(ii) of this section does not exempt a fishing vessel from having to 
carry and accommodate a WCPFC observer pursuant to Sec.  300.215 or 
other applicable regulations.
    (f) Sea turtle take mitigation measures. (1) Possession and use of 
required mitigation gear. Any owner or operator of a fishing vessel of 
the United States equipped with purse seine gear that is used to fish in 
the Convention Area must carry aboard the vessel the following gear:
    (i) Dip net. A dip net is intended to facilitate safe handling of 
sea turtles and access to sea turtles for purposes of removing sea 
turtles from fishing gear, bringing sea turtles aboard the vessel when 
appropriate, and releasing sea turtles from the vessel. The minimum 
design standards for dip nets that meet the requirements of this section 
are:
    (A) An extended reach handle. The dip net must have an extended 
reach handle with a minimum length of 150 percent of the freeboard 
height. The extended reach handle must be made of wood or other rigid 
material able to support a minimum of 100 lb (34.1 kg) without breaking 
or significant bending or distortion.
    (B) Size of dip net. The dip net must have a net hoop of at least 31 
inches (78.74 cm) inside diameter and a bag depth of at least 38 inches 
(96.52 cm). The bag mesh openings may be no more than 3 inches 3 inches 
(7.62 cm 7.62 cm) in size.

[[Page 313]]

    (ii) Optional turtle hoist. A turtle hoist is used for the same 
purpose as a dip net. It is not a required piece of gear, but a turtle 
hoist may be carried on board and used instead of the dip net to handle 
sea turtles as required in paragraph (f)(2) of this section. The minimum 
design standards for turtle hoists that are used instead of dip nets to 
meet the requirements of this section are:
    (A) Frame and net. The turtle hoist must consist of one or more 
rigid frames to which a bag of mesh netting is securely attached. The 
frame or smallest of the frames must have a minimum opening (e.g., 
inside diameter, if circular in shape) of 31 inches (78.74 cm) and be 
capable of supporting a minimum of 100 lb (34.1 kg). The frame or frames 
may be hinged or otherwise designed so they can be folded for ease of 
storage, provided that they have no sharp edges and can be quickly 
reassembled. The bag mesh openings may be no more than 3 inches x 3 
inches (7.62 cm x 7.62 cm) in size.
    (B) Lines. Lines used to lower and raise the frame and net must be 
securely attached to the frame in multiple places such that the frame 
remains stable when lowered and raised.
    (2) Handling requirements. Any owner or operator of a fishing vessel 
of the United States equipped with purse seine gear that is used to fish 
in the Convention Area must, if a sea turtle is observed to be enclosed 
or entangled in a purse seine, a FAD, or other fishing gear, comply with 
these handling requirements, including using the required mitigation 
gear specified in paragraph (f)(1) of this section as prescribed in 
these handling requirements. Any captured or entangled sea turtle must 
be handled in a manner to minimize injury and promote survival.
    (i) Sea turtles enclosed in purse seines. If the sea turtle is 
observed enclosed in a purse seine but not entangled, it must be 
released immediately from the purse seine with the dip net or turtle 
hoist.
    (ii) Sea turtles entangled in purse seines. If the sea turtle is 
observed entangled in a purse seine, the net roll must be stopped as 
soon as the sea turtle comes out of the water, and must not start again 
until the turtle has been disentangled and released. The sea turtle must 
be handled and released in accordance with paragraphs (f)(2)(iv), 
(f)(2)(v), (f)(2)(vi), and (f)(2)(vii) of this section.
    (iii) Sea turtles entangled in FADs. If the sea turtle is observed 
entangled in a FAD, it must be disentangled or the FAD must be cut 
immediately so as to remove the sea turtle. The sea turtle must be 
handled and released in accordance with paragraphs (f)(2)(iv), 
(f)(2)(v), (f)(2)(vi), and (f)(2)(vii) of this section.
    (iv) Disentangled sea turtles that cannot be brought aboard. After 
disentanglement, if the sea turtle is not already on board the vessel 
and it is too large to be brought aboard or cannot be brought aboard 
without sustaining further injury, it shall be left where it is in the 
water, or gently moved, using the dip net or turtle hoist if necessary, 
to an area away from the fishing gear and away from the propeller.
    (v) Disentangled sea turtles that can be brought aboard. After 
disentanglement, if the sea turtle is not too large to be brought aboard 
and can be brought aboard without sustaining further injury, the 
following actions shall be taken:
    (A) Using the dip net or a turtle hoist, the sea turtle must be 
brought aboard immediately; and
    (B) The sea turtle must be handled in accordance with the procedures 
in paragraphs (f)(2)(vi) and (f)(2)(vii) of this section.
    (vi) Sea turtle resuscitation. If a sea turtle brought aboard 
appears dead or comatose, the following actions must be taken:
    (A) The sea turtle must be placed on its belly (on the bottom shell 
or plastron) so that it is right side up and its hindquarters elevated 
at least 6 inches (15.24 cm) for a period of no less than 4 hours and no 
more than 24 hours. The amount of the elevation varies with the size of 
the sea turtle; greater elevations are needed for larger sea turtles;
    (B) A reflex test must be administered at least once every 3 hours. 
The test is to be performed by gently touching the eye and pinching the 
tail

[[Page 314]]

of a sea turtle to determine if the sea turtle is responsive;
    (C) The sea turtle must be kept shaded and damp or moist (but under 
no circumstances place the sea turtle into a container holding water). A 
water-soaked towel placed over the eyes (not covering the nostrils), 
carapace and flippers is the most effective method of keeping a sea 
turtle moist; and
    (D) If the sea turtle revives and becomes active, it must be 
returned to the sea in the manner described in paragraph (f)(2)(vii) of 
this section. Sea turtles that fail to revive within the 24-hour period 
must also be returned to the sea in the manner described in paragraph 
(f)(2)(vii) of this section, unless NMFS requests that the turtle or 
part thereof be kept on board and delivered to NMFS for research 
purposes.
    (vii) Sea turtle release. After handling a sea turtle in accordance 
with the requirements of paragraphs (f)(2)(v) and (f)(2)(vi) of this 
section, the sea turtle must be returned to the ocean after 
identification unless NMFS requests the retention of a dead sea turtle 
for research. In releasing a sea turtle the vessel owner or operator 
must:
    (A) Place the vessel engine in neutral gear so that the propeller is 
disengaged and the vessel is stopped;
    (B) Using the dip net or a turtle hoist to release the sea turtle 
with little impact, gently release the sea turtle away from any deployed 
gear; and
    (C) Observe that the turtle is safely away from the vessel before 
engaging the propeller and continuing operations.
    (viii) Other sea turtle requirements. No sea turtle, including a 
dead turtle, may be consumed or sold. A sea turtle may be landed, 
offloaded, transshipped or kept below deck only if NMFS requests the 
retention of a dead sea turtle or a part thereof for research.
    (g) Owners, operators, and crew of fishing vessels of the United 
States used for commercial fishing for HMS in the Convention Area shall 
not set or attempt to set a purse seine in the Convention Area on or 
around a whale shark (Rhincodon typus) if the animal is sighted at any 
time prior to the commencement of the set or the attempted set. This 
paragraph does not apply to the territorial seas or archipelagic waters 
of any nation, as defined by the domestic laws and regulations of that 
nation and recognized by the United States, or to areas under the 
national jurisdiction of the Parties to the Nauru Agreement.
    (h) The crew, operator, and owner of a fishing vessel of the United 
States used for commercial fishing for HMS in the Convention Area must 
release any whale shark that is encircled in a purse seine net in the 
Convention Area, and take reasonable steps for its safe release, without 
compromising the safety of any persons. This paragraph does not apply to 
the territorial seas or archipelagic waters of any nation, as defined by 
the domestic laws and regulations of that nation and recognized by the 
United States.

[74 FR 38554, Aug. 4, 2009, as amended at 76 FR 82183, Dec. 30, 2011; 77 
FR 71513, Dec. 3, 2012; 78 FR 30778, May 23, 2013; 79 FR 71331, Dec. 2, 
2014; 80 FR 8815, Feb. 19, 2015; 80 FR 29223, May 21, 2015; 80 FR 51480, 
Aug. 25, 2015; 80 FR 59048, Oct. 1, 2015; 81 FR 33149, May 25, 2016; 81 
FR 41250, June 24, 2016]



Sec.  300.224  Longline fishing restrictions.

    (a) Establishment of bigeye tuna catch limits. (1) During calendar 
year 2016 there is a limit of 3,554 metric tons of bigeye tuna that may 
be captured in the Convention Area by longline gear and retained on 
board by fishing vessels of the United States.
    (2) During calendar year 2017 there is a limit of 3,345 metric tons 
of bigeye tuna that may be captured in the Convention Area by longline 
gear and retained on board by fishing vessels of the United States.
    (b) Exception for bigeye tuna landed in territories. Except as 
provided in paragraphs (c) and (d), bigeye tuna landed in American 
Samoa, Guam, or the Commonwealth of the Northern Mariana Islands will be 
attributed to the longline fishery of the territory in which it is 
landed and will not be counted against the limit established under 
paragraph (a) of this section, provided that:
    (1) The bigeye tuna were not caught in the portion of the EEZ 
surrounding the Hawaiian Archipelago; and
    (2) The bigeye tuna were landed by a fishing vessel operated in 
compliance

[[Page 315]]

with a valid permit issued under Sec.  660.707 or Sec.  665.801 of this 
title.
    (c) Exception for bigeye tuna caught by vessels with American Samoa 
Longline Limited Access Permits. Except as provided in paragraph (d), 
bigeye tuna caught by a vessel registered for use under a valid American 
Samoa Longline Limited Access Permit issued under Sec.  665.801(c) of 
this title will be attributed to the longline fishery of American Samoa 
and will not be counted against the limit established under paragraph 
(a) of this section, provided that:
    (1) The bigeye tuna were not caught in the portion of the EEZ 
surrounding the Hawaiian Archipelago; and
    (2) The bigeye tuna were landed by a fishing vessel operated in 
compliance with a valid permit issued under Sec.  660.707 or Sec.  
665.801 of this title.
    (d) Exception for bigeye tuna caught by vessels included in 
specified fishing agreements under Sec.  665.819(c) of this title. 
Bigeye tuna caught by a vessel that is included in a specified fishing 
agreement under Sec.  665.819(c) of this title will be attributed to the 
longline fishery of American Samoa, Guam, or the Northern Mariana 
Islands, according to the terms of the agreement to the extent the 
agreement is consistent with Sec.  665.819(c) of this title and other 
applicable laws, and will not be counted against the limit, provided 
that:
    (1) The start date specified in Sec.  665.819(c)(9)(i) of this title 
has occurred or passed; and
    (2) NMFS has not made a determination under Sec.  665.819(c)(9)(iii) 
of this title that the catch of bigeye tuna exceeds the limit allocated 
to the territory that is a party to the agreement.
    (e) Announcement of catch limit being reached and fishing 
prohibitions. NMFS will monitor retained catches of bigeye tuna with 
respect to the limit established under paragraph (a) of this section 
using data submitted in logbooks and other available information. After 
NMFS determines that the limit is expected to be reached by a specific 
future date, and at least seven calendar days in advance of that 
specific future date, NMFS will publish a notice in the Federal Register 
announcing that specific prohibitions will be in effect starting on that 
specific future date and ending December 31 of that calendar year.
    (f) Prohibitions after catch limit is reached. Once an announcement 
is made pursuant to paragraph (e) of this section, the following 
restrictions will apply during the period specified in the announcement:
    (1) A fishing vessel of the United States may not be used to retain 
on board, transship, or land bigeye tuna captured by longline gear in 
the Convention Area, except as follows:
    (i) Any bigeye tuna already on board a fishing vessel upon the 
effective date of the prohibitions may be retained on board, 
transshipped, and/or landed, to the extent authorized by applicable laws 
and regulations, provided that they are landed within 14 days after the 
prohibitions become effective. The 14-day landing requirement does not 
apply to a vessel that has declared to NMFS, pursuant to Sec.  
665.803(a) of this title, that the current trip type is shallow-setting.
    (ii) Bigeye tuna captured by longline gear may be retained on board, 
transshipped, and/or landed if they are landed in American Samoa, Guam, 
or the Commonwealth of the Northern Mariana Islands, provided that:
    (A) The bigeye tuna were not caught in the portion of the EEZ 
surrounding the Hawaiian Archipelago;
    (B) Such retention, transshipment, and/or landing is in compliance 
with applicable laws and regulations; and
    (C) The bigeye tuna are landed by a fishing vessel operated in 
compliance with a valid permit issued under Sec.  660.707 or Sec.  
665.801 of this title.
    (iii) Bigeye tuna captured by longline gear may be retained on 
board, transshipped, and/or landed if they are caught by a vessel 
registered for use under a valid American Samoa Longline Limited Access 
Permit issued under Sec.  665.801(c) of this title, provided that:
    (A) The bigeye tuna were not caught in the portion of the EEZ 
surrounding the Hawaiian Archipelago;
    (B) Such retention, transshipment, and/or landing is in compliance 
with applicable laws and regulations; and
    (C) The bigeye tuna are landed by a fishing vessel operated in 
compliance

[[Page 316]]

with a valid permit issued under Sec.  660.707 or Sec.  665.801 of this 
title.
    (iv) Bigeye tuna caught by longline gear may be retained on board, 
transshipped, and/or landed if they were caught by a vessel that is 
included in a specified fishing agreement under Sec.  665.819(c) of this 
title, if the agreement provides for bigeye tuna to be attributed to the 
longline fishery of American Samoa, Guam, or the Northern Mariana 
Islands, provided that:
    (A) The start date specified in Sec.  665.819(c)(9)(i) of this title 
has occurred or passed; and
    (B) NMFS has not made a determination under Sec.  665.819(c)(9)(iii) 
of this title that the catch of bigeye tuna exceeds the limit allocated 
to the territory that is a party to the agreement.
    (2) Bigeye tuna caught by longline gear in the Convention Area may 
not be transshipped to a fishing vessel unless that fishing vessel is 
operated in compliance with a valid permit issued under Sec.  660.707 or 
Sec.  665.801 of this title.
    (3) A fishing vessel of the United States may not be used to fish in 
the Pacific Ocean using longline gear both inside and outside the 
Convention Area during the same fishing trip, with the exception of a 
fishing trip during which the prohibitions were put into effect as 
announced under paragraph (e) of this section, in which case the bigeye 
tuna on board the vessel may be retained on board, transshipped, and/or 
landed, to the extent authorized by applicable laws and regulations, 
provided that they are landed within 14 days after the prohibitions 
become effective. This prohibition does not apply to a vessel that 
catches bigeye tuna that is to be attributed to the longline fishery of 
American Samoa, Guam, or the Commonwealth of the Northern Mariana 
Islands in accordance with paragraphs (b), (c), or (d) of this section, 
or to a vessel for which a declaration has been made to NMFS, pursuant 
to Sec.  665.803(a) of this title, that the current trip type is 
shallow-setting.
    (4) If a fishing vessel of the United States, other than a vessel 
that catches bigeye tuna that is to be attributed to the longline 
fishery of American Samoa, Guam, or the Commonwealth of the Northern 
Mariana Islands, in accordance with paragraphs (b), (c), and (d) of this 
section, or a vessel for which a declaration has been made to NMFS, 
pursuant to Sec.  665.803(a) of this title, that the current trip type 
is shallow-setting, is used to fish in the Pacific Ocean using longline 
gear outside the Convention Area and the vessel enters the Convention 
Area at any time during the same fishing trip, the longline gear on the 
fishing vessel must, while it is in the Convention Area, be stowed in a 
manner so as not to be readily available for fishing; specifically, the 
hooks, branch or dropper lines, and floats used to buoy the mainline 
must be stowed and not available for immediate use, and any power-
operated mainline hauler on deck must be covered in such a manner that 
it is not readily available for use.

[78 FR 58246, Sept. 23, 2013, as amended at 79 FR 64111, Oct. 28, 2014; 
80 FR 43636, July 23, 2015; 81 FR 41251, June 24, 2016]



Sec.  300.225  Eastern High Seas Special Management Area.

    (a) Entry notices. The owner and operator of a fishing vessel of the 
United States used for commercial fishing for HMS must ensure the 
submission of a notice to the Commission at the address specified by the 
Pacific Islands Regional Administrator by fax or email at least six 
hours prior to entering the Eastern High Seas Special Management Area. 
The owner or operator must ensure the submission of a copy of the notice 
to NMFS at the address specified by the Pacific Islands Regional 
Administrator by fax or email at least six hours prior to entering the 
Eastern High Seas Special Management Area. The notice must be submitted 
in the format specified by the Pacific Island Regional Administrator and 
must include the following information:
    (1) The vessel identification markings located on the hull or 
superstructure of the vessel;
    (2) Date and time (in UTC) of anticipated point of entry;
    (3) Latitude and longitude, to nearest tenth of a degree, of 
anticipated point of entry;
    (4) Amount of fish product on board at the time of the notice, in 
kilograms, in total and for each of the following species or species 
groups: yellowfin

[[Page 317]]

tuna, bigeye tuna, albacore, skipjack tuna, swordfish, shark, other; and
    (5) An indication of whether the vessel intends to engage in any 
transshipments prior to exiting the Eastern High Seas Special Management 
Area.
    (b) Exit notices. The owner and operator of a fishing vessel of the 
United States used for commercial fishing for HMS must ensure the 
submission of a notice to the Commission at the address specified by the 
Pacific Islands Regional Administrator by fax or email no later than six 
hours prior to exiting the Eastern High Seas Special Management Area. 
The owner or operator must ensure the submission of a copy of the notice 
to NMFS at the address specified by the Pacific Islands Regional 
Administrator by fax or email no later than six hours prior to exiting 
the Eastern High Seas Special Management Area. The notices must be 
submitted in the format specified by the Pacific Island Regional 
Administrator and must include the following information:
    (1) The vessel identification markings located on the hull or 
superstructure of the vessel.
    (2) Date and time (in UTC) of anticipated point of exit.
    (3) Latitude and longitude, to nearest tenth of a degree, of 
anticipated point of exit.
    (4) Amount of fish product on board at the time of the notice, in 
kilograms, in total and for each of the following species or species 
groups: yellowfin tuna, bigeye tuna, albacore, skipjack tuna, swordfish, 
shark, other; and
    (5) An indication of whether the vessel has engaged in or will 
engage in any transshipments prior to exiting the Eastern High Seas 
Special Management Area.

[77 FR 71513, Dec. 3, 2012]



Sec.  300.226  Oceanic whitetip shark and silky shark.

    (a) The crew, operator, and owner of a fishing vessel of the United 
States used for commercial fishing for HMS cannot retain on board, 
transship, store, or land any part or whole carcass of an oceanic 
whitetip shark (Carcharhinus longimanus) or silky shark (Carcharhinus 
falciformis) that is caught in the Convention Area, unless subject to 
the provisions of paragraph (c) of this section.
    (b) The crew, operator, and owner of a fishing vessel of the United 
States used for commercial fishing for HMS must release any oceanic 
whitetip shark or silky shark caught in the Convention Area as soon as 
possible after the shark is caught and brought alongside the vessel, and 
take reasonable steps for its safe release, without compromising the 
safety of any persons, unless subject to the provisions of paragraph (c) 
of this section.
    (c) Paragraphs (a) and (b) of this section do not apply in the event 
that a WCPFC observer collects, or requests the assistance of the vessel 
crew, operator, or owner in the observer's collection of, samples of 
oceanic whitetip shark or silky shark in the Convention Area.
    (d) The crew, operator, and owner of a fishing vessel of the United 
States used for commercial fishing for HMS in the Convention Area must 
allow and assist a WCPFC observer to collect samples of oceanic whitetip 
shark or silky shark in the Convention Area, if requested to do so by 
the WCPFC observer.

[80 FR 8816, Feb. 19, 2015]



Sec.  300.227  Framework for catch and fishing effort limits.

    (a) General. To implement conservation and management measures 
adopted by the Commission, the Pacific Islands Regional Administrator 
may specify limits on catch or fishing effort by fishing vessels of the 
United States in the Convention Area, and other fishing-related 
restrictions and requirements (collectively called ``limits''). The 
limits will be specified as may be necessary to carry out the 
international obligations of the United States under the WCPF Convention 
and the Act, and will be designed to implement particular provisions of 
Commission-adopted conservation and management measures. For each 
specified limit, the Pacific Islands Regional Administrator will specify 
the area and period in which it applies, and as appropriate, the vessel 
types, gear types, species, fish sizes, and any other relevant 
attributes to which it applies. In addition to quantitative limits on

[[Page 318]]

catches and fishing effort, the Pacific Islands Regional Administrator 
may specify areas or periods in which particular fishing activities are 
restricted or prohibited, and other fishing-related requirements. For 
each specified quantitative limit, the Pacific Islands Regional 
Administrator will also specify the prohibitions and requirements that 
would go into effect after the limit is reached and the applicable dates 
of those prohibitions.
    (b) Application in territorial seas and archipelagic waters. Unless 
stated otherwise in particular specifications, the limits specified 
under the framework shall not apply in the territorial seas or 
archipelagic waters of the United States or any other nation, as defined 
by the domestic laws and regulations of that nation and recognized by 
the United States.
    (c) Types of limits. The types of limits that may be specified under 
this section include, but are not limited to:
    (1) Limits on the weight or number of fish or other living marine 
resources of specific types and/or sizes that may be caught, retained, 
transshipped, landed, and/or sold;
    (2) Limits on the amount of fishing effort that may be expended, 
such as the amount of time vessels spend at sea (e.g., days at sea) or 
engaged in fishing (e.g., fishing days), the amount of time vessels 
spend engaged in particular fishing activities (e.g., trolling hours), 
and the quantity of specific fishing activities (e.g., number of hooks 
set; number of longline sets or purse seine sets; number of purse seine 
sets made on FADs; number of FADs deployed); and
    (3) Areas or periods in which particular activities are restricted 
or prohibited, such as periods during which it is prohibited to set 
purse seines on FADs or to use FADs in specific other ways.
    (d) [Reserved]
    (e) Allocation of limits among sectors or vessels. (1) The Pacific 
Islands Regional Administrator may allocate a Commission-adopted limit 
among particular sectors or groups of fishing vessels of the United 
States, such as for vessels that use different types of fishing gear. In 
other words, the Pacific Islands Regional Administrator may specify 
separate limits for different sectors or groups of fishing vessels even 
when not required to do so under the Commission's conservation and 
management measures.
    (2) The Pacific Islands Regional Administrator may not, under this 
framework, allocate a Commission-adopted limit among individual fishing 
vessels of the United States. In other words, the Pacific Islands 
Regional Administrator may not, under this framework, specify limits for 
individual fishing vessels of the United States, except in the case 
where there is only one fishing vessel in a sector or group of fishing 
vessels that is subject to the limit. This does not preclude NMFS from 
allocating Commission-adopted limits among individual fishing vessels 
through other regulations.
    (f) Procedures for specifying limits. (1) For each specified limit, 
the Pacific Islands Regional Administrator will publish in the Federal 
Register a notice of the proposed catch or fishing effort limit 
specification and a request for public comment on the proposed 
specification, unless exempted under the Administrative Procedure Act, 5 
U.S.C. 553. The specification will include the characteristics of the 
limit and the restrictions that will go into effect if the limit is 
reached.
    (2) For each specified limit that is subject to prior notice and 
public comment, the Pacific Islands Regional Administrator will consider 
any public comment received on the proposed specification, and publish 
in the Federal Register a notice of the final catch or fishing effort 
limit specification, if appropriate.
    (g) Notification of limits being reached. For quantitative limits, 
NMFS will monitor catch or fishing effort with respect to the specified 
limit using data submitted in vessel logbooks and other available 
information. When NMFS estimates or projects that the specified limit 
has or will be reached, the Pacific Islands Regional Administrator will 
publish notification to that effect in the Federal Register.
    (h) Prohibitions after limit is reached. For quantitative limits, 
the Federal Register notice published under paragraph (g) of this 
section will include an advisement that specific activities will

[[Page 319]]

be prohibited during a specific period. The notice will specify the 
prohibitions and their start and end dates. The start date of the 
prohibitions may not be earlier than 7 days after the date of filing for 
public inspection at the Office of the Federal Register the notice to be 
published under paragraph (g) of this section. The prohibited activities 
may include, but are not limited to, possessing, retaining on board, 
transshipping, landing, or selling specific types and/or sizes of fish 
or other living marine resources, and fishing with specified gear types 
or methods in specified areas. The Pacific Islands Regional 
Administrator may, based on revised estimates or projections of catch or 
fishing effort with respect to specified limits, rescind or modify the 
prohibitions specified under this section. The Pacific Islands Regional 
Administrator will publish notice of any such rescissions or 
modifications in the Federal Register.

[80 FR 59048, Oct. 1, 2015]



                  Subpart P_Vessels on IUU Vessel Lists

    Source: 75 FR 59142, Sept. 27, 2010, unless otherwise noted.



Sec.  300.300  Purpose and scope.

    (a) This subpart implements internationally-adopted measures 
pertaining to foreign vessels determined to have engaged in illegal, 
unreported, and unregulated (IUU) fishing and placed on IUU vessel lists 
of the:
    (1) International Commission for the Conservation of Atlantic Tunas 
(ICCAT),
    (2) Commission for the Conservation of Antarctic Marine Living 
Resources (CCAMLR),
    (3) Northwest Atlantic Fisheries Organization (NAFO),
    (4) Western and Central Pacific Fisheries Commission (WCPFC),
    (5) Inter-American Tropical Tuna Commission (IATTC), and
    (6) Parties to the Agreement on the International Dolphin 
Conservation Program (AIDCP).
    (b) For purposes of this subpart, the above organizations are 
referred to as regional fishery management organizations (RFMOs). Each 
of these RFMOs adopts or approves an IUU vessel list in accordance with 
their respective rules and procedures. The lists are publicly available 
at each RFMO's Web site. The regulations in this subpart apply to all 
persons subject to the jurisdiction of the United States, wherever they 
are.



Sec.  300.301  Definitions.

    In addition to the terms defined in Sec.  300.2, the terms used in 
this subpart have the following meanings.
    Landing means to begin to offload fish, or to offload fish from any 
vessel.
    Listed IUU Vessel means a vessel that is included on a final IUU 
vessel list adopted or approved by an RFMO to which the United States is 
a party.
    Processing means the preparation or packaging of fish to render it 
suitable for human consumption, retail sale, industrial uses or long-
term storage, including, but not limited to, cooking, canning, smoking, 
salting, drying, filleting, freezing, or rendering into meal or oil.
    Transshipping means the offloading, unloading, or transferring of 
fish or fish products from one vessel to another.



Sec.  300.302  Port entry by foreign, listed IUU vessels.

    The Assistant Administrator may, in accordance with applicable 
provisions of RFMO conservation and management measures, deny a foreign, 
listed IUU vessel entry to any port or place subject to the jurisdiction 
of the United States, except in cases of force majeure.



Sec.  300.303  Port access by foreign, listed IUU vessels.

    If a foreign, listed IUU vessel is allowed to enter a port or place 
subject to the jurisdiction of the United States, the Assistant 
Administrator may, in accordance with applicable provisions of RFMO 
conservation and management measures, take one or more of the following 
actions:
    (a) Inspect the vessel;
    (b) Deny the vessel access to port services, including but not 
limited to refueling, resupplying, or disembarking or embarking of crew; 
or

[[Page 320]]

    (c) Prohibit the vessel from engaging in commercial transactions 
including, but not limited to, transshipping or landing product.



Sec.  300.304  Prohibitions.

    (a) It is unlawful for a foreign, listed IUU vessel denied entry 
under Sec.  300.302 to enter any port or place subject to the 
jurisdiction of the United States.
    (b) It is unlawful for any foreign, listed IUU vessel to obtain port 
services or engage in commercial transactions, or attempt to obtain such 
services or engage in such transactions, if such activities have been 
denied or prohibited under Sec.  300.303(b) and/or Sec.  300.303(c), or 
if the vessel has been denied entry under Sec.  300.302.
    (c) It is unlawful for any person, without prior authorization from 
the Assistant Administrator, to engage in commercial transactions with 
listed IUU vessels. Such transactions include, but are not limited to:
    (1) Transshipment;
    (2) Processing fish harvested or landed by a listed IUU vessel or 
processing fish using a listed IUU vessel;
    (3) Joint fishing operations;
    (4) Providing supplies, fuel, crew, or otherwise supporting a listed 
IUU vessel; or
    (5) Chartering or entering in a chartering arrangement with a listed 
IUU vessel.
    (d) The prohibitions listed in Sec.  300.304(c) shall not apply when 
the Assistant Administrator has authorized a listed IUU vessel to access 
such port services or engage in such commercial transactions, in 
accordance with applicable provisions of RFMO conservation and 
management measures, including in cases of force majeure and where the 
Assistant Administrator has determined that such services are essential 
to the safety, health, and welfare of the crew.



    Subpart Q_International Trade Documentation and Tracking Programs

    Source: 81 FR 51137, Aug. 3, 2016, unless otherwise noted.



Sec.  300.320  Purpose and scope.

    The regulations in this subpart are issued under the authority of 
the Atlantic Tunas Convention Act of 1975 (ATCA), the Magnuson-Stevens 
Fishery Conservation and Management Act, the Tuna Conventions Act of 
1950, and the Antarctic Marine Living Resources Convention Act of 1984. 
These regulations implement the applicable recommendations of the 
International Commission for the Conservation of Atlantic Tunas (ICCAT) 
for the conservation and management of tuna and tuna-like species in the 
Atlantic Ocean, the Inter-American Tropical Tuna Commission (IATTC) for 
the conservation and management of highly migratory fish resources in 
the eastern Pacific Ocean, and the Commission for the Conservation of 
Antarctic Marine Living Resources so far as they affect vessels and 
persons subject to the jurisdiction of the United States. These 
regulations are also issued under the Marine Mammal Protection Act of 
1972, the Dolphin Protection Consumer Information Act and the Security 
and Accountability for Every Port Act of 2006. The requirements in this 
subpart may be incorporated by reference in other regulations under this 
title.



Sec.  300.321  Definitions.

    ACE Implementation Guide for NMFS means the data set and document 
imaging requirements set forth in the Appendices to the Customs and 
Trade Automated Interface Requirements issued by Customs and Border 
Protection.
    AMLR trade program means the program for monitoring trade in 
Antarctic marine living resources including, inter alia, Dissostichus 
species as set forth in subpart G of this part.
    Automated Commercial Environment (ACE) means, for purposes of this 
subpart, the central point through which import shipment data required 
by multiple agencies is filed electronically to Customs and Border 
Protection (CBP).
    Automated Export System (AES) means, for purposes of this subpart, 
the central point through which export shipment data required by 
multiple agencies is filed electronically to Customs and Border 
Protection (CBP).

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    Catch and Statistical Document/Documentation means a document or 
documentation accompanying regulated seafood imports, exports and re-
exports that is submitted by importers and exporters to document 
compliance with TTVP, AMLR, and HMS ITP trade documentation programs as 
described in Sec.  216.24(f) of this title, and subparts G and M of this 
part.
    CBP means U.S. Customs and Border Protection, Department of Homeland 
Security.
    Documentation and data sets required under this subpart refers to 
documentation and data that must be submitted by an importer or exporter 
at the time of, or in advance of, the import, export or re-export of 
fish or fish products as required under this subpart, the AMLR trade 
program, the HMS ITP, or the TTVP. The required data sets and document 
images to be submitted for specific programs and transactions are posted 
by CBP as indicated in Sec.  300.323.
    Fish or fish products regulated under this subpart means species and 
products containing species regulated under this subpart, the AMLR trade 
program, the HMS ITP, or the TTVP.
    HMS ITP means the Highly Migratory Species International Trade 
Program which includes trade monitoring and/or reporting and consignment 
documentation for trade of bluefin tuna, southern bluefin tuna, frozen 
bigeye tuna, swordfish, and shark fins as described in subpart M of this 
part.
    Import has the same meaning as 16 U.S.C. 1802(22). Import includes, 
but is not limited to, customs entry for consumption, withdrawal from 
customs bonded warehouse for consumption, or entry for consumption from 
a foreign trade zone.
    International Fisheries Trade Permit (or IFTP) means the permit 
issued by NMFS under Sec.  300.222.
    TTVP means the Tuna Tracking and Verification Program, which 
regulates trade in certain fishery products as set forth in Sec.  
216.24(f)(2) of this title.



Sec.  300.322  International Fisheries Trade Permit.

    (a) General. Any person, including a resident agent for a 
nonresident corporation (see 19 CFR 141.18), who imports as defined in 
Sec.  300.321, exports, or re-exports fish or fish products regulated 
under this sub-part from any ocean area, must possess a valid 
International Fisheries Trade Permit (IFTP) issued under this section. 
Fish or fish products regulated under this subpart may not be imported 
into, or exported or re-exported from, the United States unless the IFTP 
holder files electronically the documentation and the data sets required 
under this subpart with U.S. Customs and Border Protection (CBP) via ACE 
at the time of, or in advance of, importation, exportation or re-
exportation. If authorized under other regulations under this title or 
other applicable laws and regulations, a representative or agent of the 
IFTP holder may make the electronic filings. Only persons resident in 
the United States are eligible to apply for the IFTP.
    (b) Application. A person must apply for an IFTP electronically via 
a Web site designated by NMFS. The application must be submitted 
electronically with the required permit fee payment, at least 30 days 
before the date upon which the applicant wishes the permit to be made 
effective.
    (c) Issuance. Except as provided in subpart D of 15 CFR part 904, 
NMFS will issue an IFTP within 30 days of receipt of a completed 
application. NMFS will notify the applicant of any deficiency in the 
application, including failure to provide information, documentation or 
reports required under this subpart. If the applicant fails to correct 
the deficiency within 30 days following the date of notification, the 
application will be considered abandoned.
    (d) Duration. An IFTP issued under this section is valid for a 
period of one year from the permit effective date.
    (e) Alteration. Any IFTP that is substantially altered, erased, or 
mutilated is invalid.
    (f) Replacement. NMFS may issue replacement permits. An application 
for a replacement permit is not considered a new application. An 
appropriate fee, consistent with paragraph (j) of this section, may be 
charged for issuance of a replacement permit.

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    (g) Transfer. An IFTP issued under this section is not transferable 
or assignable; it is valid only for the permit holder to whom it is 
issued.
    (h) Inspection. The permit holder must keep the IFTP issued under 
this section at his/her principal place of business. The IFTP must be 
displayed for inspection upon request of any authorized officer, or any 
employee of NMFS designated by NMFS 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. NMFS will 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 NMFS, for determining the 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 be 
submitted via a Web site designated by NMFS at the time of 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 permit holder must report the change to NMFS via a Web 
site designated by NMFS. If a change in permit information is not 
reported within 30 days, the permit is void as of the 30th day after 
such change.
    (l) Renewal. Persons must apply annually for an IFTP issued under 
this section. A renewal application must be submitted via a Web site 
designated by NMFS, at least 15 days before the permit expiration date 
to avoid a lapse in permitted status. NMFS will renew a permit provided 
that: The application for the requested permit renewal is complete; all 
documentation and reports required under this subpart and the Magnuson-
Stevens Act, Atlantic Tuna Conventions Act, the Tuna Conventions Act, 
the Marine Mammal Protection Act, the Dolphin Consumer Protection 
Information Act, and the Antarctic Marine Living Resources Act have been 
submitted, including those required under Sec. Sec.  216.24, 216.93, 
300.114, 300.183, 300.185, 300.186, 300.187 and 635.5 of this title; and 
the applicant is not subject to a permit sanction or denial under 
paragraph (i) of this section.



Sec.  300.323  Reporting requirements.

    Any person, including a resident agent for a nonresident entity (see 
19 CFR 141.18), who imports as defined in Sec.  300.321, exports, or re-
exports fish or fish products regulated under this sub-part from any 
ocean area, must file all reports and documentation required under the 
AMLR trade program, HMS ITP, and TTVP as specified under this title and 
under other regulations that incorporate by reference the requirements 
of this subpart. For imports, specific instructions for electronic 
filing are found in Customs and Trade Automated Interface Requirements 
(CATAIR) Appendix PGA (https://www.cbp.gov/document/guidance/appendix-
pga). For exports, specific instructions for electronic filing are found 
in Automated Export System Trade Interface Requirements (AESTIR) 
Appendix Q (https://www.cbp.gov/document/guidance/aestir-draft-appendix-
q-pga-record-formats). For fish and fish products regulated under this 
subpart, an ACE entry filing or AES export filing, as applicable, is 
required regardless of value, except in cases where CBP provides 
alternate means of collecting NMFS-required data and/or document images.



Sec.  300.324  Prohibitions.

    In addition to the prohibitions specified in Sec. Sec.  300.4, 
300.117, 300.189, 600.725 and 635.71 of this title, it is unlawful for 
any person subject to the jurisdiction of the United States to:
    (a) Violate any provision of this subpart, or the conditions of any 
IFTP issued under this subpart,
    (b) Import, export or re-export fish or fish products regulated 
under this subpart, including imports or exports otherwise eligible for 
the de minimis value exemption from filing requirements under CBP 
procedures, without a valid

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IFTP as required under Sec.  300.322 or without submitting complete and 
accurate information as required under Sec.  300.323.



                      Subpart R_High Seas Fisheries

    Authority: 16 U.S.C. 5501 et seq.

    Source: 80 FR 62495, Oct. 16, 2015, unless otherwise noted. 
Redesignated at 81 FR 51137, Aug. 3, 2016.



Sec.  300.330  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 and to ensure that such vessels do not operate in 
contravention of international conservation and management measures 
recognized by the United States.



Sec.  300.331  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 section 300.2, the Act, or the Agreement, the definition 
in this section shall apply.
    Bottom fishing means fishing using gear that is likely to contact 
the seafloor during the normal course of fishing operations.
    Enhanced mobile transceiver unit (EMTU) is defined in 50 CFR 
600.1500.
    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 permit means a permit issued under this subpart.
    High seas fishing vessel means any vessel of the United States used 
or intended for use on the high seas for the purpose of the commercial 
exploitation of living marine resources and as a harvesting vessel, 
mothership, or any other support vessel directly engaged in a fishing 
operation. Support vessels include vessels that process or transship 
fish on the high seas; provide supplies, personnel or fuel on the high 
seas to other fishing vessels; or conduct other activities in support 
of, or in preparation for fishing.
    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. Such 
measures may be adopted by global, regional, or sub-regional fisheries 
organizations, subject to the rights and obligations of their members, 
or by treaties or other international agreements.
    Observer means any person serving in the capacity of an observer 
employed by NMFS, either directly or under contract with a third party, 
or certified as an observer by NMFS.
    Office Director means the director of the NMFS Office for 
International Affairs and Seafood Inspection.
    Regional Administrator means any one of the Directors of a NMFS 
regional office, defined under Sec.  300.2.
    Transship or transshipment means offloading or receiving or 
otherwise transferring fish or fish products from one fishing vessel to 
another. Excluded from this definition is net sharing, which means the 
transfer of fish that have not yet been loaded on board any fishing 
vessel from the purse seine net of one vessel to another fishing vessel. 
Fish shall be considered to be on board a fishing vessel once they are 
on a deck or in a hold, or once they are first lifted out of the water 
by the vessel.
    Vessel monitoring system (VMS) is defined in 50 CFR 600.1500.



Sec.  300.332  Issuing offices.

    Any Regional Administrator or the Office Director may issue permits 
required under this subpart. While applicants for permits may submit an 
application to any Regional Administrator or the Office Director, 
applicants are

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encouraged to submit their applications (with envelopes marked ``Attn: 
HSFCA Permits'') to the Regional Administrator or the Office Director 
with whom they normally interact on fisheries matters.



Sec.  300.333  Vessel permits.

    (a) Eligibility. (1) Any vessel owner or operator of a high seas 
fishing vessel is eligible to receive a permit for a fishery authorized 
on the high seas 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 Administrator or Office Director demonstrating that the 
owner and operator at the time the vessel undermined the effectiveness 
of such measures have 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 Administrator 
or Office Director that issuing a permit would not subvert the purposes 
of the Agreement.
    (b) Applicability. Any high seas fishing vessel used for fishing, as 
defined under Sec.  300.2, on the high seas must have on board a valid 
permit issued under this subpart.
    (c) Application. Permit application forms are available from the 
NMFS Web site or from any Regional Administrator or the Office Director. 
Failure to submit a complete and accurate application, along with all 
other required documentation and the specified fee will preclude 
issuance of a permit. To apply for a permit under this subpart, the 
owner or operator of a high seas fishing vessel must submit the 
following to a Regional Administrator or Office Director:
    (1) A complete, accurate application form signed by the vessel owner 
or operator.
    (2) Information required under this section and Sec.  300.334(a).
    (3) A color photograph showing an entire bow-to-stern side-view of 
the vessel in its current form and appearance. The photograph must 
clearly and legibly display the vessel name and identification markings. 
If the vessel's form or appearance materially changes (such as the 
vessel is painted another color, the vessel's identification markings 
change, or the vessel undergoes a structural modification) the vessel 
owner and operator must submit a new photograph of the vessel within 15 
days of the change.
    (4) For vessels with state registration instead of U.S. Coast Guard 
documentation, the applicant must supply additional vessel information 
that NMFS may request.
    (5) The fee specified in the application form. Payment by a 
commercial instrument later determined to be insufficiently funded will 
invalidate any permit. NMFS charges this fee to recover the 
administrative expenses of permit issuance, and the amount of the fee is 
determined in accordance with the procedures of the NOAA Finance 
Handbook.
    (d) Permit issuance and validity. (1) Except as provided for in 
subpart D of 15 CFR part 904, and subject to paragraphs (a), (c), and 
(d)(2) and (3) of this section, the Regional Administrator or Office 
Director will issue a permit, which will include applicable conditions 
or restrictions, within 15 days of receipt of a completed application 
and payment of the appropriate fee.
    (2) The Regional Administrator or Office Director will not issue a 
permit unless an EMTU has been installed and activated on the vessel in 
accordance with Sec.  300.337(c)(2).
    (3) The Regional Administrator or Office Director will not issue a 
permit

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unless the applicant holds a valid permit for the subject vessel for any 
U.S. domestic fisheries related to the authorized high seas fishery.
    (4) Except as otherwise provided, permits issued under this subpart 
are valid for 5 years from the date of issuance. For a permit to remain 
valid to its expiration date, the vessel's U.S. Coast Guard 
documentation or state registration must be kept current. A permit 
issued under this subpart is void when the vessel owner or the name of 
the 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.
    (5) 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.
    (e) Display. A valid permit, or a copy thereof, issued under this 
subpart must be on board any high seas fishing vessel while operating on 
the high seas and available for inspection by an authorized officer.
    (f) Change in application information. Any changes in vessel 
documentation status or other permit application information must be 
reported in writing to the Regional Administrator or Office Director who 
issued the permit within 15 days of such changes.
    (g) Renewal. Application for renewal of a permit prior to its 
expiration is the responsibility of the permit holder and may be 
completed per Sec.  300.333(c). The Regional Administrator or Office 
Director will not consider a permit renewal application to be complete 
until the permit holder satisfies all required fishing activity report 
requirements under the permit and Sec.  300.341. The Regional 
Administrator or Office Director will not issue a renewed permit unless 
an EMTU has been activated on the vessel in accordance with Sec.  
300.337(c)(2) and the applicant holds a valid permit for the subject 
vessel for any U.S. domestic fisheries related to the authorized high 
seas fishery.
    (h) Marine mammals and ESA-listed species. Permits issued under this 
section do not authorize vessels or persons subject to the jurisdiction 
of the United States to take marine mammals or ESA-listed species. No 
marine mammals or ESA-listed species may be taken in the course of 
fishing operations unless the taking is allowed under the Marine Mammal 
Protection Act or the Endangered Species Act (ESA), pursuant to 
regulations, an authorization, or permit granted by NMFS or the U.S. 
Fish and Wildlife Service.
    (i) Permit Status Changes. NMFS may modify, suspend, or revoke a 
permit issued under this subpart if permitted activities may impact 
living marine resources in ways that were not considered at the time of 
permit issuance; are in contravention of an international conservation 
and management measure; or violate any applicable law. NMFS will notify 
an affected permit holder of any potential change in permit status by 
contacting the permit holder at the address of record provided on the 
permit application or as updated pursuant to paragraph (f) of this 
subsection and will provide an opportunity to respond, consistent with 
the Administrative Procedure Act and other applicable law.



Sec.  300.334  Fisheries authorized on the high seas.

    (a) General. When applying for a permit under Sec.  300.333, the 
owner or operator of a high seas fishing vessel must identify in the 
application the authorized fisheries in which he or she intends to fish. 
More than one authorized fishery may be selected. The following 
fisheries are authorized on the high seas:
    (1) 50 CFR part 300, subpart C--Eastern Pacific Tuna Fisheries.
    (2) 50 CFR part 300, subpart D--South Pacific Tuna Fisheries.
    (3) 50 CFR part 300, subpart G--Antarctic Marine Living Resources.
    (4) 50 CFR part 635--Atlantic Highly Migratory Species Fisheries.
    (5) 50 CFR part 660, subpart K--U.S. West Coast Fisheries for Highly 
Migratory Species.
    (6) 50 CFR part 665, subpart F--Western Pacific Pelagic Fisheries.
    (7) South Pacific Albacore Troll Fishery.
    (8) Northwest Atlantic Fishery.

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    (b) Requirements for authorized fisheries. For each of the 
authorized fisheries specified on the high seas fishing permit, the 
owner or operator of the high seas fishing vessel must:
    (1) Abide by the regulations, set forth in other parts of this 
chapter and Chapter VI, governing those authorized fisheries while 
operating on the high seas;
    (2) Obtain and renew any appropriate permits or authorizations; and
    (3) Notify the Regional Administrator or Office Director who issued 
the permit immediately in the event that a species listed as threatened 
or endangered under the ESA is taken incidental to the fishing 
activities without authorization under a relevant incidental take 
statement.
    (c) Change in authorized fisheries. If a high seas fishing permit 
holder elects to change the authorized fisheries specified on the 
permit, he or she shall notify the Regional Administrator or Office 
Director who issued the permit of the change(s) and shall obtain the 
underlying permits for the authorized fisheries prior to engaging in the 
fishery on the high seas. Per the process under Sec.  300.333(d), the 
Regional Administrator or Office Director will then issue a revised high 
seas fishing permit which will expire 5 years from the original 
effective date.
    (d) Revision of authorized fisheries list. Through rulemaking, NMFS 
will add a fishery to, or delete a fishery from, the list in paragraph 
(a) of this section. NMFS may add or delete fisheries from the list 
after completing any analyses required under the Endangered Species Act, 
Marine Mammal Protection Act, National Environmental Policy Act, and 
other applicable laws. In taking such action, NMFS, in consultation with 
the relevant Regional Fishery Management Council(s) where appropriate, 
will consider, among other things, whether:
    (1) The proposed fishing activities would detrimentally affect the 
well-being of the stock of any regulated species of fish, marine mammal, 
or species listed as threatened or endangered under the Endangered 
Species Act;
    (2) The proposed fishing activities would be inconsistent with 
relevant fishery management plans and their implementing regulations or 
other applicable law;
    (3) Insufficient mechanisms exist to effectively monitor the 
activities of vessels engaged in the proposed fishing activities; or
    (4) The proposed fishing activities would contravene international 
conservation and management measures recognized by the United States.
    (e) Request for revision of authorized fisheries list. A person may 
submit a written request to the Office Director to add a fishery to or 
delete a fishery from the list. A request to delete a fishery from the 
list of authorized fisheries must include the name of the fishery; 
information that addresses considerations under paragraph (d) of this 
section; and, if requested by NMFS, any additional information necessary 
for NMFS to conduct analyses required under applicable laws. A request 
to add a fishery to the list of authorized fisheries must include the 
following information:
    (1) The species (target and incidental) expected to be harvested and 
the anticipated amounts of such harvest and bycatch;
    (2) The approximate times and places when fishing is expected to 
take place, the number and type of vessels expected to participate, and 
the type, size, and amount of gear expected to be used;
    (3) A description of the specific area that may be affected by the 
fishing activities;
    (4) A description of any anticipated impacts on the environment, 
including impacts on fisheries, marine mammals, and species listed as 
threatened or endangered under the ESA or their critical habitat;
    (5) Other information that addresses considerations under paragraph 
(d) of this section; and
    (6) If requested by NMFS, any additional information necessary for 
NMFS to conduct analyses required under applicable laws.
    (7) Once all required information is received to proceed with 
consideration of a request, NMFS will publish in the Federal Register a 
proposed rule, noting receipt of the request to add an

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authorized fishery, and inviting information and comments. Relevant 
information received during the comment period may be considered by NMFS 
and, where appropriate, the relevant Regional Fishery Management 
Council(s), in analyzing potential environmental impacts of the 
fisheries and developing any conditions or restrictions. Based on its 
analysis, considerations under paragraph (d) of this section, and other 
relevant considerations, NMFS will publish its decision on the request 
in the Federal Register.
    (f) Deletion of a fishery from the authorized fisheries list. NMFS 
will delete (i.e., deauthorize) a fishery under paragraph (d) or (e) of 
this section through publication of a final rule. NMFS will also provide 
notice to affected permit holders by email and by Registered Mail at the 
addresses provided to NMFS in the high seas permit application. When a 
fishery is deleted from the list, any activities on the high seas 
related to that fishery are prohibited as of the effective date of the 
final rule. In addition, the high seas permit will be voided unless the 
permit holder notifies NMFS that he or she elects to change to another 
authorized high seas fishery or continue in any other authorized 
fisheries noted on the permit. Once the applicant so notifies NMFS and, 
if necessary, secures any underlying permits necessary for participation 
in another authorized high seas fishery, the Regional Administrator or 
Office Director will then issue a revised high seas fishing permit per 
the process under Sec.  300.333(d). The revised permit will expire 5 
years from the original effective date.



Sec.  300.335  Bottom fishing.

    (a) Bottom fishing may be permitted on the high seas when authorized 
by international conservation and management measures recognized by the 
United States. For bottom fishing activity not subject to international 
conservation measures recognized by the United States, a person who 
seeks to engage in such fishing must request authorization of a new high 
seas fishery as described in Sec.  300.334(e) and then, if the fishery 
is authorized, must obtain all applicable permits including a high seas 
fishing permit issued under Sec.  300.333. NMFS may specify conditions 
and restrictions in the permit to mitigate adverse impacts on VMEs, 
which may include the types of conditions that have been adopted in 
relevant RFMO measures recognized by the United States.
    (b) Permit. To be permitted under this section, the owner or 
operator of a high seas fishing vessel must follow the procedures under 
Sec.  300.334(e) or, if he or she seeks to change an existing permit, 
must follow the procedures under Sec.  300.334(c).



Sec.  300.336  Vessel identification.

    (a) General. A vessel permitted under this subpart must be marked 
for identification purposes in accordance with this section.
    (b) Marking. Vessels must be marked either:
    (1) In accordance with vessel identification requirements specified 
in Federal fishery regulations issued under the Magnuson-Stevens Act or 
under other Federal fishery management statutes; or
    (2) In accordance with the following identification requirements:
    (i) A vessel must be marked with its international radio call sign 
(IRCS) or, if not assigned an IRCS, must be marked (in order of 
priority) with its Federal, state, or other documentation number 
appearing on its high seas fishing permit and, if a WCPFC Area 
Endorsement has been issued for the vessel under Sec.  300.212, that 
documentation number must be preceded by the characters ``USA'' and a 
hyphen (that is, ``USA-'');
    (ii) The markings must be displayed at all times on the vessel's 
side or superstructure, port and starboard, as well as on a deck;
    (iii) The markings must be placed so that they do not extend below 
the waterline, are not obscured by fishing gear, whether stowed or in 
use, and are clear of flow from scuppers or overboard discharges that 
might damage or discolor the markings;
    (iv) Block lettering and numbering must be used;
    (v) The height of the letters and numbers must be in proportion to 
the size of the vessel as follows: for vessels

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25 meters (m) and over in length overall, the height of letters and 
numbers must be no less than 1.0 m; for vessels 20 m but less than 25 m 
in length overall, the height of letters and numbers must be no less 
than 0.8 m; for vessels 15 m but less than 20 m in length overall, the 
height of letters and numbers must be no less than 0.6 m; for vessels 12 
m but less than 15 m in length overall, the height of letters and 
numbers must be no less than 0.4 m; for vessels 5 m but less than 12 m 
in length overall, the height of letters and numbers must be no less 
than 0.3 m; and for vessels under 5 m in length overall, the height of 
letters and numbers must be no less than 0.1 m;
    (vi) The height of the letters and numbers to be placed on decks 
must be no less than 0.3 m;
    (vii) The length of the hyphen(s), if any, must be half the height 
(h) of the letters and numbers;
    (viii) The width of the stroke for all letters, numbers, and hyphens 
must be h/6;
    (ix) The space between letters and/or numbers must not exceed h/4 
nor be less than h/6;
    (x) The space between adjacent letters having sloping sides must not 
exceed h/8 nor be less than h/10;
    (xi) The marks must be white on a black background, or black on a 
white background;
    (xii) The background must extend to provide a border around the mark 
of no less than h/6; and
    (xiii) The marks and the background must be maintained in good 
condition at all times.



Sec.  300.337  Requirements for Enhanced Mobile Transceiver Units (EMTUs).

    (a) Vessel position information. The owner or operator of a vessel 
issued a permit under this subpart, or for which such permit is 
required, must have installed on board the vessel a NMFS type-approved 
enhanced mobile transceiver unit (EMTU). The operator or owner of the 
vessel must ensure that the EMTU is operational and properly reporting 
positions to NMFS as required by this section, except when exempt under 
paragraph (d)(1) or (2) of this section. If the vessel is also subject 
to EMTU requirements in other parts of this title, the more restrictive 
requirements apply.
    (b) Contact information and business hours. With respect to the 
requirements in this section, vessel owners and operators should consult 
with the divisional office of the NOAA Office of Law Enforcement (OLE) 
in, or nearest, the Region issuing the permit under this subpart. The 
OLE VMS Helpdesk in OLE headquarters office may also be contacted.
    (c) EMTU installation and activation--(1) EMTU installation. The 
vessel owner or operator shall obtain and have installed on the fishing 
vessel, by a qualified marine electrician and in accordance with any 
instructions provided by the VMS Helpdesk or OLE divisional office, a 
NMFS type-approved EMTU. OLE is authorized to receive and relay 
transmissions from the EMTU. The vessel owner and operator shall arrange 
for a type-approved mobile communications service to receive and 
transmit position reports and email communications from the EMTU to OLE. 
NMFS makes available lists of type-approved EMTUs and mobile 
communications service providers. Vessel owners must ensure that the 
EMTU and communications service hardware purchased is type-approved for 
all fisheries and regions in which their vessel will be operating.
    (2) EMTU activation. When an EMTU is installed or reinstalled or the 
mobile communications service provider changes, or if directed by OLE, 
the vessel owner and operator shall, prior to leaving port:
    (i) Turn on the EMTU to make it operational;
    (ii) Submit a VMS Installation and Activation Certification form, or 
an activation report as directed by OLE, to the OLE divisional office 
within or nearest to the region issuing the permit under this subpart; 
and
    (iii) Receive confirmation from OLE that transmissions are being 
received properly from the EMTU.
    (d) EMTU operation. Unless otherwise provided below, and subject to 
more restrictive requirements where applicable, the vessel owner or 
operator shall continuously operate the EMTU so

[[Page 329]]

that it automatically transmits position information to OLE, once every 
hour or as directed by OLE.
    (1) In-port exemption: The EMTU may be powered down when the vessel 
will remain at a dock or permanent mooring for more than 72 consecutive 
hours and after the notice required in paragraph (d)(3) of this section 
is submitted to OLE. When powering up the EMTU after the in-port 
exemption, the vessel owner or operator must submit the report required 
in paragraph (d)(4) of this section at least 2 hours before leaving port 
or mooring.
    (2) Long-term exemption: The EMTU may be powered down if the vessel 
will not operate on the high seas, or in any fishery that requires EMTU 
operation, for more than 30 consecutive days and after the notice 
required in paragraph (d)(3) of this section is submitted. When powering 
up the EMTU from the long-term exemption, the vessel owner or operator 
must submit the report required in paragraph (d)(4) of this section.
    (3) Prior to each power-down of the EMTU, under paragraph (d)(1) or 
(2) of this section, the vessel owner or operator must report to the OLE 
divisional office in, or nearest, the Region issuing the permit under 
this subpart during business hours, via email or other means as directed 
by OLE: the vessel's name; the vessel's official number; the intent to 
power down the EMTU; the reason for power-down; the port where the 
vessel is docked or area where it will be operating; and the full name, 
telephone, and email contact information for the vessel owner or 
operator.
    (4) When powering up the EMTU, the vessel owner or operator must 
report to the OLE divisional office in, or nearest, the Region issuing 
the permit under this subpart during business hours, via email or other 
means as directed by OLE: The fact that the EMTU has been powered up; 
the vessel's name; the vessel's official number; port name; intended 
fishery; and full name, telephone, and email contact information for the 
vessel owner or operator.
    (5) If the EMTU is powered up after a long-term or in-port 
exemption, the vessel owner must receive confirmation from the OLE 
divisional office in, or nearest, the Region issuing the permit under 
this subpart that EMTU transmissions are being received properly before 
leaving port, entering the high seas, or entering a fishery that 
requires EMTU operation.
    (e) Failure of EMTU. If the vessel owner or operator becomes aware 
that the EMTU has become inoperable or that transmission of automatic 
position reports from the EMTU has been interrupted, or if notified by 
OLE or the U.S. Coast Guard that automatic position reports are not 
being received from the EMTU or that an inspection of the EMTU has 
revealed a problem with the performance of the EMTU, the vessel owner or 
operator shall comply with the following requirements:
    (1) If the vessel is in port, the vessel owner or operator shall 
repair or replace the EMTU and comply with the requirements in paragraph 
(c)(2) of this section before the vessel leaves port.
    (2) If the vessel is at sea, the vessel owner, operator, or designee 
shall contact the OLE divisional office in, or nearest, the Region 
issuing the permit under this subpart by telephone or email at the 
earliest opportunity during business hours and identify the caller, 
vessel name, vessel location, and the type of fishing permit(s). The 
vessel operator shall follow the instructions provided by the OLE 
divisional office, which could include: Ceasing fishing, stowing fishing 
gear, returning to port, or submitting periodic position reports at 
specified intervals by other means. The vessel owner or operator must 
repair or replace the EMTU and comply with the requirements in paragraph 
(c)(2) of this section within 30 days or before the vessel leaves port, 
whichever is sooner.
    (f) Related VMS requirements. Unless specified otherwise in the high 
seas fishing permit, a vessel owner's and operator's compliance with 
requirements in part 300, 635, 660, or 665 of this title relating to the 
installation, carrying, and operation of EMTUs will satisfy the 
requirements of this section, if the requirements are the same or more 
restrictive than those in this section and provided that:

[[Page 330]]

    (1) On the high seas, the EMTU is operated continuously and position 
information is automatically transmitted a minimum of once every hour;
    (2) The EMTU is type-approved by NMFS;
    (3) OLE is authorized to receive and relay transmissions from the 
EMTU; and
    (4) The requirements of paragraph (d) of this section are complied 
with. If the EMTU is owned by NMFS, the requirement under paragraph (e) 
of this section to repair or replace the EMTU will be the responsibility 
of NMFS, but the vessel owner and operator shall be responsible for 
ensuring that the EMTU complies with the requirements specified in 
paragraph (c)(2) of this section before the vessel leaves port.
    (g) Costs. The vessel owner and operator shall be responsible for 
all costs associated with the purchase, installation, operation, and 
maintenance of the EMTU and for all charges levied by vendors as 
necessary to ensure the transmission of automatic position reports to 
OLE as required in paragraph (c) of this section. However, if the EMTU 
is being carried and operated in compliance with the requirements in 
part 300, 635, 660, or 665 of this title relating to the installation, 
carrying, and operation of EMTUs, the vessel owner and operator shall 
not be responsible for any costs that are the responsibility of NMFS 
under those regulations.
    (h) Tampering. The vessel owner and operator shall ensure that the 
EMTU is not tampered with, disabled, destroyed, damaged or operated 
improperly, and that its operation is not impeded or interfered with.
    (i) Inspection. The vessel owner and operator shall make the EMTU, 
including its antenna, connectors and antenna cable, available for 
inspection by authorized officers or by officers conducting boarding and 
inspection under a scheme adopted by an RFMO of which the United States 
is a member.
    (j) Access to data. As required under fishery-specific regulations 
in other parts of this title, the vessel owner and operator shall make 
the vessel's position data, obtained from the EMTU or other means, 
available to authorized officers and to any inspector conducting a high 
seas boarding and inspection pursuant to a scheme adopted by an RFMO of 
which the United States is a member.
    (k) Communication devices. In cases of EMTU failure as specified 
under paragraph (e) of this section, and to facilitate communication 
with management and enforcement authorities regarding the functioning of 
the EMTU and other purposes, the vessel operator shall, while the vessel 
is at sea, carry on board and continuously monitor a two-way 
communication device, in addition to the EMTU, that is capable of real-
time communication with the OLE divisional office in, or nearest, the 
Region issuing the permit under this subpart.



Sec.  300.338  Observers.

    (a) Where observer coverage is not otherwise required by other 
regulations or relevant RFMO conservation and management measures, NMFS 
may select for at-sea observer coverage any vessel that has been issued 
a high seas fishing permit. A vessel so selected by NMFS must carry an 
observer when directed to do so.
    (b) NMFS will contact a vessel owner, in writing, when his or her 
vessel is selected for observer coverage under this section.
    (c) A vessel shall not fish on the high seas without taking an 
observer if NMFS contacted the vessel owner under paragraph (b) of this 
section, or if so required as a condition of a permit issued under this 
subpart or pursuant to other legal authorities, unless the requirement 
to carry an observer has been waived under paragraph (d) of this 
section.
    (d) The vessel owner that NMFS contacts under paragraph (b) of this 
section must notify NMFS of his or her next fishing trip that may take 
place on the high seas before commencing the fishing trip. NMFS will 
specify the notification procedures and information requirements, such 
as expected gear deployment, trip duration and fishing area, in its 
selection letter. Once notified of a trip by the vessel owner, NMFS will 
assign an observer for that trip or notify the vessel owner that 
coverage pursuant to this subpart

[[Page 331]]

is not required, given the existing requirement for observer coverage 
under other legal authorities.
    (e) The owner, operator, and crew of a vessel on which a NMFS-
approved observer is assigned must comply with safety regulations at 
Sec. Sec.  600.725 and 600.746 of this title and--
    (1) Facilitate the safe embarkation and debarkation of the observer.
    (2) Provide the observer with accommodations, food, and amenities 
that are equivalent of those provided to vessel officers.
    (3) Allow the observer access to all areas of the vessel necessary 
to conduct observer duties.
    (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.
    (5) Allow the observer access to EMTUs, communications equipment, 
and navigation equipment to verify operation, obtain data, and use the 
communication capabilities of the units for official purposes.
    (6) Allow the observer to inspect and copy the vessel's log, 
communications logs, and any records associated with the catch and 
disposition of fish for that trip.
    (7) Provide accurate vessel locations by latitude and longitude upon 
request by the observer.
    (8) Provide access to sea turtle, marine mammal, sea bird, or other 
specimens as requested by the observer.
    (9) Notify the observer in a timely fashion when commercial fishing 
activity is to begin and end.
    (f) The permit holder, vessel operator, and crew must cooperate with 
the observer in the performance of the observer's duties.
    (g) The permit holder, vessel operator, and crew must comply with 
other terms and conditions to ensure the effective deployment and use of 
observers that the Regional Administrator or Office Director imposes by 
written notice.



Sec.  300.339  Transshipment on the high seas.

    (a) In addition to any other applicable restrictions on 
transshipment, including those under parts 300 and 635 of this title, 
the following requirements apply to transshipments, when authorized, 
taking place on the high seas:
    (1) The owner or operator of a U.S. vessel receiving or offloading 
fish on the high seas shall provide a notice by fax or email to the 
Regional Administrator or the Office Director at least 36 hours prior to 
any intended transshipment on the high seas with the following 
information: the vessels offloading and receiving the transshipment 
(names, official numbers, and vessel types); the location (latitude and 
longitude to the nearest tenth of a degree) of transshipment; date and 
time that transshipment is expected to occur; and species, processed 
state, and quantities (in metric tons) expected to be transshipped. If 
another requirement for prior notice applies, the more restrictive 
requirement (i.e., a requirement for greater advance notice and/or more 
specific information regarding vessels, location etc.) must be followed.
    (2) U.S. high seas fishing vessels shall report transshipments on 
the high seas to the Regional Administrator or Office Director within 15 
calendar days after the vessel first enters into port, using the form 
obtained from the Regional Administrator or Office Director. If there 
are applicable transshipment reporting requirements in other parts of 
this title, the more restrictive requirement (e.g., a reporting 
requirement of fewer than 15 calendar days) must be followed.
    (b) [Reserved]



Sec.  300.340  Prohibitions.

    In addition to the prohibitions in Sec.  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) Fish on the high seas unless the vessel has been issued, and has 
on board, a valid permit issued under Sec.  300.333(d).
    (c) Fish on the high seas unless the vessel has been issued, and has 
on board, valid permits related to the authorized fisheries noted on the 
high seas fishing permit, as required under Sec.  300.334(b).

[[Page 332]]

    (d) Operate a high seas fishing vessel on the high seas that is not 
marked in accordance with Sec.  300.336.
    (e) With respect to the EMTU,
    (1) Fail to install, activate, or continuously operate a properly 
functioning and type-approved EMTU as required in Sec.  300.337;
    (2) Power-down or power-up the EMTU without following the procedures 
required in Sec.  300.337;
    (3) In the event of EMTU failure or interruption, fail to repair or 
replace an EMTU, fail to notify the appropriate OLE divisional office 
and follow the instructions provided, or otherwise fail to act as 
required in Sec.  300.337;
    (4) Disable, destroy, damage or operate improperly an EMTU installed 
under Sec.  300.337, attempt to do any of the same, or fail to ensure 
that its operation is not impeded or interfered with, as provided in 
Sec.  300.337;
    (5) Fail to make an EMTU installed under Sec.  300.337 or the 
position data obtained from it available for inspection, as provided in 
Sec.  300.337; or
    (6) Fail to carry on board and monitor communication devices as 
required in Sec.  300.337(l);
    (f) With respect to observers,
    (1) Fail to provide to an observer, a NMFS employee, or a designated 
observer provider, information that has been requested pursuant to Sec.  
300.338 or Sec.  600.746 of this title, or fail to allow an observer, a 
NMFS employee, or a designated observer provider to inspect any item 
described at Sec.  300.338 or Sec.  600.746 of this title;
    (2) Fish without an observer when the vessel is required to carry an 
observer pursuant to Sec.  300.338(c);
    (3) Assault, oppose, harass, impede, intimidate, or interfere with 
an observer;
    (4) Prohibit or bar by command, impediment, threat, coercion, 
interference, or refusal of reasonable assistance, an observer from 
conducting his or her duties as an observer; or
    (5) Tamper with or destroy samples or equipment.
    (g) Fail to submit a prior notice or a report of a transshipment as 
provided in Sec.  300.339(b) of this title.
    (h) Fail to comply with reporting requirements as provided in Sec.  
300.341.



Sec.  300.341  Reporting.

    (a) General. The operator of any vessel permitted under this subpart 
must accurately maintain on board the vessel a complete record of 
fishing activities, such as catch, effort, and other data and report 
high seas catch and effort information to NMFS in a manner consistent 
with the reporting requirements of the authorized fishery(ies) noted on 
the high seas permit. Reports must include: identification information 
for vessel and operator; operator signature; crew size; whether an 
observer is aboard; target species; gear used; dates, times, locations, 
and conditions under which fishing was conducted; species and amounts of 
fish retained and discarded; and details of any interactions with sea 
turtles, marine mammals, or birds.
    (1) The vessel owner and operator are responsible for obtaining and 
completing the reporting forms from the Regional Administrator or Office 
Director who issued the permit holder's high seas fishing permit. The 
completed forms must be submitted to the same Regional Administrator or 
Office Director or, if directed by NMFS, to a Science Center.
    (2) Reports must be submitted within the deadline provided for in 
the authorized fishery or within 15 days following the end of a fishing 
trip, whichever is sooner. Contact information for the Regional 
Administrators and Science Center Directors can be found on the NMFS Web 
site.
    (b) [Reserved]

                        PARTS 301	399 [RESERVED]

[[Page 333]]



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
400

[Reserved]

401             Anadromous fisheries conservation, 
                    development and enhancement.............         335
402             Interagency cooperation--Endangered Species 
                    Act of 1973, as amended.................         338
403             Transfer of marine mammal management 
                    authority to States.....................         357
404             Papah[amacr]naumoku[amacr]kea Marine 
                    National Monument.......................         365
424             Listing endangered and threatened species 
                    and designating critical habitat........         385
                         SUBCHAPTER B [RESERVED]
           SUBCHAPTER C--ENDANGERED SPECIES EXEMPTION PROCESS
450             General provisions..........................         397
451             Application procedure.......................         398
452             Consideration of application by the 
                    Secretary...............................         400
453             Endangered Species Committee................         403
454-499

[Reserved]

[[Page 335]]



                              SUBCHAPTER A



                           PART 400 [RESERVED]



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

[[Page 336]]

Wildlife Service, or for projects relating generally to commercial 
fisheries of the concerned Regional Office of the National Marine 
Fisheries Service.



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

[[Page 337]]

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 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.

[[Page 338]]



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).



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.

  Subpart C_Counterpart Regulations For Implementing the National Fire 
                                  Plan

402.30 Definitions.
402.31 Purpose.
402.32 Scope.
402.33 Procedures.
402.34 Oversight.

    Subpart D_Counterpart Regulations Governing Actions by the U.S. 
Environmental Protection Agency Under the Federal Insecticide, Fungicide 
                           and Rodenticide Act

402.40 Definitions.
402.41 Purpose.
402.42 Scope and applicability
402.43 Interagency exchanges of information.
402.44 Advance coordination for FIFRA actions.
402.45 Alternative consultation on FIFRA actions that are not likely to 
          adversely affect listed species or critical habitat.
402.46 Optional formal consultation procedure for FIFRA actions.
402.47 Special consultation procedures for complex FIFRA actions.
402.48 Conference on proposed species or proposed critical habitat.

    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

[[Page 339]]

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 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.

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    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 of critical habitat for 
the conservation of a listed species. Such alterations may include, but 
are not limited to, those that alter the physical or biological features 
essential to the conservation of a species or that preclude or 
significantly delay development of such features.
    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.
    Framework programmatic action means, for purposes of an incidental 
take statement, a Federal action that approves a framework for the 
development of future action(s) that are authorized, funded, or carried 
out at a later time, and any take of a listed species would not occur 
unless and until those future action(s) are authorized, funded, or 
carried out and subject to further section 7 consultation.
    Incidental take refers to takings that result from, but are not the 
purpose of,

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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)].
    Mixed programmatic action means, for purposes of an incidental take 
statement, a Federal action that approves action(s) that will not be 
subject to further section 7 consultation, and also approves a framework 
for the development of future action(s) that are authorized, funded, or 
carried out at a later time and any take of a listed species would not 
occur unless and until those future action(s) are authorized, funded, or 
carried out and subject to further section 7 consultation.
    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 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.

[51 FR 19957, June 3, 1986, as amended at 73 FR 76286, Dec. 16, 2008; 74 
FR 20422, May 4, 2009; 80 FR 26844, May 11, 2015; 81 FR 7225, Feb. 11, 
2016]



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.

[74 FR 20423, May 4, 2009]



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

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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 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

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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 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

[[Page 344]]

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 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

[[Page 345]]

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.
    (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

[[Page 346]]

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.

[74 FR 20423, May 4, 2009]



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.
    (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

[[Page 347]]

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.
    (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

[[Page 348]]

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 
is reasonably certain to 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 (A surrogate (e.g., similarly affected 
species or habitat or ecological conditions) may be used to express the 
amount or extent of anticipated take provided that the biological 
opinion or incidental take statement: Describes the causal link between 
the surrogate and take of the listed species, explains why it is not 
practical to express the amount or extent of anticipated take or to 
monitor take-related impacts in terms of individuals of the listed 
species, and sets a clear standard for determining when the level of 
anticipated take has been exceeded.);
    (ii) Specifies those reasonable and prudent measures that the 
Director considers necessary or appropriate to minimize such impact;
    (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

[[Page 349]]

incidental take statement. The reporting requirements will be 
established in accordance with 50 CFR 13.45 and 18.27 for FWS and 50 CFR 
216.105 and 222.301(h) 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.
    (6) For a framework programmatic action, an incidental take 
statement is not required at the programmatic level; any incidental take 
resulting from any action subsequently authorized, funded, or carried 
out under the program will be addressed in subsequent section 7 
consultation, as appropriate. For a mixed programmatic action, an 
incidental take statement is required at the programmatic level only for 
those program actions that are reasonably certain to cause take and are 
not subject to further section 7 consultation.
    (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; 
73 FR 76287, Dec. 16, 2008; 74 FR 20423, May 4, 2009; 80 FR 26844, May 
11, 2015]



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.
    (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,

[[Page 350]]

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.



  Subpart C_Counterpart Regulations for Implementing the National Fire 
                                  Plan

    Source: 68 FR 68264, Dec. 8, 2003, unless otherwise noted.



Sec.  402.30  Definitions.

    The definitions in Sec.  402.02 are applicable to this subpart. In 
addition, the following definitions are applicable only to this subpart.
    Action Agency refers to the Department of Agriculture Forest Service 
(FS) or the Department of the Interior Bureau of Indian Affairs (BIA), 
Bureau of Land Management (BLM), Fish and Wildlife Service (FWS), or 
National Park Service (NPS).
    Alternative Consultation Agreement (ACA) is the agreement described 
in Sec.  402.33 of this subpart.
    Fire Plan Project is an action determined by the Action Agency to be 
within the scope of the NFP as defined in this section.
    National Fire Plan (NFP) is the September 8, 2000, report to the 
President from the Departments of the Interior and Agriculture entitled 
``Managing the Impact of Wildfire on Communities and the Environment'' 
outlining a new approach to managing fires, together with the 
accompanying budget requests, strategies, plans, and direction, or any 
amendments thereto.
    Service Director refers to the FWS Director or the Assistant 
Administrator for Fisheries for the National Oceanic and Atmospheric 
Administration.



Sec.  402.31  Purpose.

    The purpose of these counterpart regulations is to enhance the 
efficiency and effectiveness of the consultation process under section 7 
of the ESA for Fire Plan Projects by providing an optional alternative 
to the procedures found in Sec. Sec.  402.13 and 402.14(b) of this part. 
These regulations permit an Action Agency to enter into an Alternative 
Consultation Agreement (ACA) with the Service, as described in Sec.  
402.33, which will allow the Action Agency to determine that a Fire Plan 
Project is ``not likely to adversely affect'' (NLAA) a listed species or 
designated critical habitat without formal or informal consultation with 
the Service or written concurrence from the Service. An NLAA 
determination for a Fire Plan Project made under an ACA, as described in 
Sec.  402.33, completes the Action Agency's statutory obligation to 
consult with the Service for that Project. In situations where the 
Action Agency does not make an NLAA determination under the ACA, the 
Action Agency would still be required to conduct formal consultation 
with the Service when required by Sec.  402.14. This process will be as 
protective to listed species and designated critical habitat as the 
process established in subpart B of this part. The standards and 
requirements for formal consultation under subpart B for Fire Plan 
Projects that do not receive an NLAA determination are unchanged.



Sec.  402.32  Scope.

    (a) Section 402.33 establishes a process by which an Action Agency 
may determine that a proposed Fire Plan Project is not likely to 
adversely affect any listed species or designated critical habitat 
without conducting formal or informal consultation or obtaining written 
concurrence from the Service.
    (b) Section 402.34 establishes the Service's oversight 
responsibility and the standard for review under this subpart.
    (c) Nothing in this subpart C precludes an Action Agency at its 
discretion from initiating early, informal, or

[[Page 351]]

formal consultation as described in Sec. Sec.  402.11, 402.13, and 
402.14, respectively.
    (d) The authority granted in this subpart is applicable to an Action 
Agency only where the Action Agency has entered into an ACA with the 
Service. An ACA entered into with one Service is valid with regard to 
listed species and designated critical habitat under the jurisdiction of 
that Service whether or not the Action Agency has entered into an ACA 
with the other Service.



Sec.  402.33  Procedures.

    (a) The Action Agency may make an NLAA determination for a Fire Plan 
Project without informal consultation or written concurrence from the 
Director if the Action Agency has entered into and implemented an ACA. 
The Action Agency need not initiate formal consultation on a Fire Plan 
Project if the Action Agency has made an NLAA determination for the 
Project under this subpart. The Action Agency and the Service will use 
the following procedures in establishing an ACA.
    (1) Initiation: The Action Agency submits a written notification to 
the Service Director of its intent to enter into an ACA.
    (2) Development and Adoption of the Alternative Consultation 
Agreement: The Action Agency enters into an ACA with the Service 
Director. The ACA will, at a minimum, include the following components:
    (i) A list or description of the staff positions within the Action 
Agency that will have authority to make NLAA determinations under this 
subpart C.
    (ii) Procedures for developing and maintaining the skills necessary 
within the Action Agency to make NLAA determinations, including a 
jointly developed training program based on the needs of the Action 
Agency.
    (iii) A description of the standards the Action Agency will apply in 
assessing the effects of the action, including direct and indirect 
effects of the action and effects of any actions that are interrelated 
or interdependent with the proposed action.
    (iv) Provisions for incorporating new information and newly listed 
species or designated critical habitat into the Action Agency's effects 
analysis of proposed actions.
    (v) A mutually agreed upon program for monitoring and periodic 
program evaluation to occur at the end of the first year following 
signature of the ACA and periodically thereafter.
    (vi) Provisions for the Action Agency to maintain a list of Fire 
Plan Projects for which the Action Agency has made NLAA determinations. 
The Action Agency will also maintain the necessary records to allow the 
Service to complete the periodic program evaluations.
    (3) Training: Upon completion of the ACA, the Action Agency and the 
Service will implement the training program outlined in the ACA to the 
mutual satisfaction of the Action Agency and the Service.
    (b) The Action Agency may, at its discretion, allow any subunit of 
the Action Agency to implement this subpart as soon as the subunit has 
fulfilled the training requirements of the ACA, upon written 
notification to the Service. The Action Agency shall at all times have 
responsibility for the adequacy of all NLAA determinations it makes 
under this subpart.
    (c) The ACA and any related oversight or monitoring reports shall be 
made available to the public through a notice of availability in the 
Federal Register.



Sec.  402.34  Oversight.

    (a) Through the periodic program evaluation set forth in the ACA, 
the Service will determine whether the implementation of this subpart by 
the Action Agency is consistent with the best available scientific and 
commercial information, the ESA, and section 7 regulations.
    (b) The Service Director may use the results of the periodic program 
evaluation described in the ACA to recommend changes to the Action 
Agency's implementation of the ACA. If and as appropriate, the Service 
Director may suspend any subunit participating in the ACA or exclude any 
subunit from the ACA.
    (c) The Service Director retains discretion to terminate the ACA if 
the Action Agency fails to comply with the requirements of this subpart, 
section 7

[[Page 352]]

of the ESA, or the terms of the ACA. Termination, suspension, or 
modification of an ACA does not affect the validity of any NLAA 
determinations made previously under the authority of this subpart.



    Subpart D_Counterpart Regulations Governing Actions by the U.S. 
Environmental Protection Agency Under the Federal Insecticide, Fungicide 
                           and Rodenticide Act

    Source: 69 FR 47759, Aug. 5, 2004, unless otherwise noted.



Sec.  402.40  Definitions.

    The definitions in Sec.  402.02 are applicable to this subpart. In 
addition, the following definitions are applicable only to this subpart.
    (a) Alternative consultation agreement is the agreement described in 
Sec.  402.45.
    (b) Effects determination is a written determination by the U.S. 
Environmental Protection Agency (EPA) addressing the effects of a FIFRA 
action on listed species or critical habitat. The contents of an effects 
determination will depend on the nature of the action. An effects 
determination submitted under Sec.  402.46 or Sec.  402.47 shall contain 
the information described in Sec.  402.14(c)(1)-(6) and a summary of the 
information on which the determination is based, detailing how the FIFRA 
action affects the listed species or critical habitat. EPA may consider 
the following additional sections for inclusion in an effects 
determination:
    (1) A conclusion whether or not the FIFRA action is likely to 
jeopardize the continued existence of any listed species or result in 
the destruction or adverse modification of critical habitat and a 
description of any reasonable and prudent alternatives that may be 
available;
    (2) A description of the impact of any anticipated incidental taking 
of such listed species resulting from the FIFRA action, reasonable and 
prudent measures considered necessary or appropriate to minimize such 
impact, and terms and conditions necessary to implement such measures; 
and
    (3) A summary of any information or recommendations from an 
applicant. An effects determination shall be based on the best 
scientific and commercial data available.
    (c) FIFRA action is an action by EPA to approve, permit or authorize 
the sale, distribution or use of a pesticide under sections 136-136y of 
the Federal Insecticide, Fungicide and Rodenticide Act, 7 U.S.C. 136 et 
seq. (FIFRA). In any consultation under this subpart, EPA shall 
determine the nature and scope of a FIFRA action.
    (d) Listed species is a species listed as endangered or threatened 
under section 4 of the Act.
    (e) Partial biological opinion is the document provided under Sec.  
402.47(a), pending the conclusion of consultation under Sec.  402.47(b), 
stating the opinion of the Service as to whether or not a FIFRA action 
is likely to jeopardize the continued existence of one or more listed 
species or result in the destruction or adverse modification of one or 
more critical habitats, and describing the impact of any anticipated 
incidental taking of such listed species resulting from the FIFRA 
action, reasonable and prudent measures considered necessary or 
appropriate to minimize such impact, and terms and conditions necessary 
to implement such measures.
    (f) Service Director refers to the Director of the U.S. Fish and 
Wildlife Service or the Assistant Administrator for Fisheries for the 
National Oceanic and Atmospheric Administration.
    (g) Service Representative is the person or persons designated to 
participate in advance coordination as provided in this subpart.



Sec.  402.41  Purpose.

    The purpose of these counterpart regulations is to enhance the 
efficiency and effectiveness of the existing consultation process under 
section 7 of the Endangered Species Act (Act), 16 U.S.C. 1531 et seq., 
by providing Fish and Wildlife Service and the National Marine Fisheries 
Service (referred to jointly as ``Services'' and individually as 
``Service'') and EPA with additional means to satisfy the requirements 
of section 7(a)(2) of the Act for certain regulatory actions under 
FIFRA. These additional means will permit the Services and

[[Page 353]]

EPA to more effectively use the scientific and commercial data generated 
through the FIFRA regulatory process as part of the best scientific and 
commercial data available to protect listed species and critical 
habitat. The procedures authorized by these counterpart regulations will 
be as protective of listed species and critical habitat as the process 
established in subpart B of this part.



Sec.  402.42  Scope and applicability.

    (a) Available consultation procedures. This subpart describes 
consultation procedures available to EPA to satisfy the obligations of 
section 7(a)(2) of the Act in addition to those in subpart B of this 
part for FIFRA actions authorized, funded, or carried out by EPA in 
which EPA has discretionary Federal involvement or control. EPA retains 
discretion to initiate early, informal, or formal consultation as 
described in Sec. Sec.  402.11, 402.13, and 402.14 for any FIFRA action. 
The procedures in this subpart may be employed for FIFRA actions as 
follows:
    (1) Interagency exchanges of information under Sec.  402.43 and 
advance coordination under Sec.  402.44 are available for any FIFRA 
action.
    (2) Alternative consultation under Sec.  402.45 is available for a 
listed species or critical habitat if EPA determines the FIFRA action is 
not likely to adversely affect the listed species or critical habitat.
    (3) Optional formal consultation under Sec.  402.46 is available for 
any FIFRA action with respect to any listed species or critical habitat.
    (4) The special procedures in Sec.  402.47 are available for 
consultations on FIFRA actions that will be unusually complex due to 
factors such as the geographic area or number of species that may be 
affected by the action.
    (5) EPA shall engage in consultation as to all listed species and 
critical habitat that may be affected by a FIFRA action, and may in its 
discretion employ more than one of the available consultation procedures 
for a FIFRA action that may affect more than one listed species or 
critical habitat.
    (6) EPA shall engage in consultation on actions involving requests 
for emergency exemptions under section 18 of FIFRA that may affect 
listed species or critical habitat, and may choose to do so under Sec.  
402.05 or other provisions of this subpart or subpart B of this part. 
Any required formal consultation shall be initiated as soon as 
practicable after the emergency is under control. For the purposes of 
Sec.  402.05(b) the definition of formal consultation in Sec.  402.02 
includes the procedures in Sec.  402.46.
    (7) EPA must prepare a biological assessment for a FIFRA action to 
the extent required by Sec.  402.12.
    (8) EPA must comply with Sec.  402.15 for all FIFRA actions.
    (9) After a consultation under this subpart has been concluded, EPA 
shall reinitiate consultation as required by Sec.  402.16 as soon as 
practicable after a circumstance requiring reinitiation occurs, and may 
employ the procedures in this subpart or subpart B of this part in any 
reinitiated consultation.
    (b) Exchanges of scientific information. As part of any of the 
additional consultation procedures provided in this subpart, EPA and the 
Services shall establish mutually-agreeable procedures for regular and 
timely exchanges of scientific information to achieve accurate and 
informed decision-making under this subpart and to ensure that the FIFRA 
process considers the best scientific and commercial data available on 
listed species and critical habitat in a manner consistent with the 
requirements of FIFRA and ESA.



Sec.  402.43  Interagency exchanges of information.

    EPA may convey to the Service a written request for a list of any 
listed species or critical habitat that may be present in any area that 
may be affected by a FIFRA action. Within 30 days of receipt of such a 
request the Service shall advise EPA in writing whether, based on the 
best scientific and commercial data available, any listed species or 
critical habitat may be present in any such area. EPA may thereafter 
request the Service to provide available information (or references 
thereto) describing the applicable environmental baseline for each 
species or habitat that EPA determines may be affected by a FIFRA 
action,

[[Page 354]]

and the Service shall provide such information within 30 days of the 
request.



Sec.  402.44  Advance coordination for FIFRA actions.

    (a) Advance coordination. EPA may request the Service to designate a 
Service Representative to work with EPA in the development of an effects 
determination for one or more listed species or critical habitat. EPA 
shall make such a request in writing and shall provide sufficient detail 
as to a FIFRA action planned for consultation to enable the Service to 
designate a representative with appropriate training and experience who 
shall normally be available to complete advance coordination with EPA 
within 60 days of the date of designation. Within 14 days of receiving 
such a request, the Service shall advise EPA of the designated Service 
Representative.
    (b) Participation of Service Representative in preparation of 
effects determination. The Service Representative designated under 
paragraph (a) of this section shall participate with EPA staff in the 
preparation of the effects determination identified under paragraph (a) 
of this section. EPA shall use its best efforts to include the 
designated Service Representative in all relevant discussions on the 
effects determination, to provide the designated Service Representative 
with access to all documentation used to prepare the effects 
determination, and to provide the designated Service Representative 
office and staff support sufficient to allow the Service Representative 
to participate meaningfully in the preparation of the effects 
determination. EPA shall consider all information timely identified by 
the designated Service Representative during the preparation of the 
effects determination.



Sec.  402.45  Alternative consultation on FIFRA actions that are not
likely to adversely affect listed species or critical habitat.

    (a) Consultation obligations for FIFRA actions that are not likely 
to adversely affect listed species or critical habitat when alternative 
consultation agreement is in effect. If EPA and the Service have entered 
into an alternative consultation agreement as provided below, EPA may 
make a determination that a FIFRA action is not likely to adversely 
affect a listed species or critical habitat without informal 
consultation or written concurrence from the Director, and upon making 
such a determination for a listed species or critical habitat, EPA need 
not initiate any additional consultation on that FIFRA action as to that 
listed species or critical habitat. As part of any subsequent request 
for formal consultation on that FIFRA action under this subpart or 
subpart B of this part, EPA shall include a list of all listed species 
and critical habitat for which EPA has concluded consultation under this 
section.
    (b) Procedures for adopting and implementing an alternative 
consultation agreement. EPA and the Service may enter into an 
alternative consultation agreement using the following procedures:
    (1) Initiation. EPA submits a written notification to the Service 
Director of its intent to enter into an alternative consultation 
agreement.
    (2) Required contents of the alternative consultation agreement. The 
alternative consultation agreement will, at a minimum, include the 
following components:
    (i) Adequacy of EPA Determinations under the ESA. The alternative 
consultation agreement shall describe actions that EPA and the Service 
have taken to ensure that EPA's determinations regarding the effects of 
its actions on listed species or critical habitat are consistent with 
the ESA and applicable implementing regulations.
    (ii) Training. The alternative consultation agreement shall describe 
actions that EPA and the Service intend to take to ensure that EPA and 
Service personnel are adequately trained to carry out their respective 
roles under the alternative consultation agreement. The alternative 
consultation agreement shall provide that all effects determinations 
made by EPA under this subpart have been reviewed and concurred on by an 
EPA staff member who holds a current certification as having received 
appropriate training under the alternative consultation agreement.

[[Page 355]]

    (iii) Incorporation of new information. The alternative consultation 
agreement shall describe processes that EPA and the Service intend to 
use to ensure that new information relevant to EPA's effects 
determinations is timely and appropriately considered.
    (iv) Incorporation of scientific advances. The alternative 
consultation agreement shall describe processes that EPA and the Service 
intend to use to ensure that the ecological risk assessment 
methodologies supporting EPA's effects determinations incorporate 
relevant scientific advances.
    (v) Oversight. The alternative consultation agreement shall describe 
the program and associated record keeping procedures that the Service 
and EPA intend to use to evaluate EPA's processes for making effects 
determinations consistent with these regulations and the alternative 
consultation agreement. The alternative consultation agreement shall 
provide that the Service's oversight will be based on periodic 
evaluation of EPA's program for making effects determinations under this 
subpart. Periodic program evaluation will occur at the end of the first 
year following signature of the alternative consultation agreement and 
should normally occur at least every five years thereafter.
    (vi) Records. The alternative consultation agreement shall include a 
provision for EPA to maintain a list of FIFRA actions for which EPA has 
made determinations under this section and to provide the list to the 
Services on request. EPA will also maintain the necessary records to 
allow the Service to complete program evaluations.
    (vii) Review of Alternative Consultation Agreement. The alternative 
consultation agreement shall include provisions for regular review and, 
as appropriate, modification of the agreement by EPA and the Service, 
and for departure from its terms in a particular case to the extent 
deemed necessary by both EPA and the Service.
    (3) Training. After EPA and the Service enter into the alternative 
consultation agreement, EPA and the Service will implement the training 
program outlined in the alternative consultation agreement to the mutual 
satisfaction of EPA and the Service.
    (4) Public availability. The alternative consultation agreement and 
any related oversight or monitoring reports shall be made available to 
the public to the extent provided by law.
    (c) Oversight of alternative consultation agreement implementation. 
Through the program evaluations set forth in the alternative 
consultation agreement, the Service will determine whether the 
implementation of this section by EPA is consistent with the best 
scientific and commercial information available, the ESA, and applicable 
implementing regulations. The Service Director may use the results of 
the program evaluations described in the alternative consultation 
agreement to recommend changes to EPA's implementation of the 
alternative consultation agreement. The Service Director retains 
discretion to terminate or suspend the alternative consultation 
agreement if, in using the procedures in this subpart, EPA fails to 
comply with the requirements of this subpart, section 7 of the ESA, or 
the terms of the alternative consultation agreement. Termination, 
suspension, or modification of an alternative consultation agreement 
does not affect the validity of any NLAA determinations made previously 
under the authority of this subpart.



Sec.  402.46  Optional formal consultation procedure for FIFRA actions.

    (a) Initiation of consultation. EPA may initiate consultation on a 
FIFRA action under this section by delivering to the Service a written 
request for consultation. The written request shall be accompanied by an 
effects determination as defined in Sec.  402.40(b) and a list or 
summary of all references and data relied upon in the determination. All 
such references and data shall be made available to the Service on 
request and shall constitute part of the Service's administrative record 
for the consultation. The time for conclusion of the consultation under 
section 7(b)(1) of the Act is calculated from the date the Service 
receives the written request from EPA. Any subsequent interchanges 
regarding EPA's submission, including interchanges about the 
completeness of the effects determination,

[[Page 356]]

shall occur during consultation and do not extend the time for 
conclusion of the consultation unless EPA withdraws the request for 
consultation.
    (b) Additional information determination. For an effects 
determination prepared without advance coordination under Sec.  402.44, 
the Service may determine that additional available information would 
provide a better information base for the effects determination, in 
which case the Service Director shall notify the EPA Administrator 
within 45 days of the date the Service receives the effects 
determination. The notification shall describe such additional 
information in detail, and shall identify a means for obtaining that 
information within the time period available for consultation. EPA shall 
provide a copy of the Service Director's notification to any applicant. 
EPA may thereafter revise its effects determination, and may resubmit 
the revised effects determination to the Service. If EPA advises the 
Service it will not resubmit a revised effects determination to the 
Service, its initiation of consultation on the effects determination is 
deemed withdrawn.
    (c) Service responsibilities. (1) Within the later of 90 days of the 
date the Service receives EPA's written request for consultation or 45 
days of the date the Service receives an effects determination 
resubmitted under paragraph (b) of this section, and consistent with 
section 7(b)(1) of the Act, the Service shall take one of the following 
actions:
    (i) If the Service finds that the effects determination contains the 
information required by Sec.  402.40(b) and satisfies the requirements 
of section 7(b)(4) of the Act, and the Service concludes that the FIFRA 
action that is the subject of the consultation complies with section 
7(a)(2) of the Act, the Service will issue a written statement adopting 
the effects determination; or
    (ii) The Service will provide EPA a draft of a written statement 
modifying the effects determination, which shall meet the requirements 
of Sec.  402.14(i), and as modified adopting the effects determination, 
and shall provide a detailed explanation of the scientific and 
commercial data and rationale supporting any modification it makes; or
    (iii) The Service will provide EPA a draft of a biological opinion 
finding that the FIFRA action is likely to jeopardize the continued 
existence of a listed species or result in the destruction or adverse 
modification of critical habitat, and describing any reasonable and 
prudent alternatives if available.
    (2) If the Service acts under paragraphs (c)(1)(ii) or (c)(1)(iii) 
of this section, EPA shall, on request from an applicant, provide the 
applicant a copy of the draft written statement or draft biological 
opinion received from the Service. The Service shall at the request of 
EPA or an applicant discuss with EPA and the applicant the Service's 
review and evaluation under this section, and the basis for its 
findings. EPA and any applicant may submit written comments to the 
Service within 30 days after EPA receives the draft written statement or 
opinion from the Service unless the Service, EPA and any applicant agree 
to an extended deadline consistent with section 7(b)(1) of the Act.
    (3) The Service will issue a final written statement or final 
biological opinion within 45 days after EPA receives the draft statement 
or opinion from the Service unless the deadline is extended under 
section 7(b)(1) of the Act.
    (d) Opinion of the Secretary. The written statement or opinion by 
the Service under paragraphs (c)(1) or (c)(3) of this section shall 
constitute the opinion of the Secretary and the incidental take 
statement, reasonable and prudent measures, and terms and conditions 
under section 7(b) of the Act.
    (e) Delegation of Authority for Service decisions. Any written 
statement modifying an effects determination or any biological opinion 
issued under this section shall be signed by the Service Director and 
such authority may not be delegated below the level of Assistant 
Director for Endangered Species (FWS) or Director of Office of Protected 
Resources (NOAA Fisheries).



Sec.  402.47  Special consultation procedures for complex FIFRA actions.

    (a) Successive effects determinations. If EPA determines after 
conferring with the Service that consultation on a

[[Page 357]]

FIFRA action will be unusually complex due to factors such as the 
geographic area or number of species that may be affected by the action, 
EPA may address the effects of the action through successive effects 
determinations under this subpart addressing groupings or categories of 
species or habitats as established by EPA. EPA may initiate consultation 
based upon each such effects determination using the procedure in Sec.  
402.46(a), and the provisions of Sec.  402.46(b) and (c) shall apply to 
any such consultation. When consultation is conducted under this 
section, the written statement or opinion provided by the Service under 
Sec.  402.46(c) constitutes a partial biological opinion as to the 
species or habitats that are the subject of the consultation. While not 
constituting completion of consultation under section 7(a)(2), EPA 
retains authority to use such a partial biological opinion along with 
other available information in making a finding under section 7(d) of 
the Act.
    (b) Opinion of the Secretary. After conclusion of all consultation 
on the FIFRA action, the partial biological opinions issued under 
paragraph (a) of this section shall then collectively constitute the 
opinion of the Secretary and the incidental take statement, reasonable 
and prudent measures, and terms and conditions under section 7(b) of the 
Act except to the extent a partial biological opinion is modified by the 
Service in accordance with the procedures in Sec.  402.46(c). The 
Service shall so advise EPA in writing upon issuance of the last partial 
biological opinion for the consultation.



Sec.  402.48  Conference on proposed species or proposed critical habitat.

    EPA may employ the procedures described in Sec.  402.10 to confer on 
any species proposed for listing or any habitat proposed for designation 
as critical habitat. For the purposes of Sec.  402.10(d), the procedures 
in Sec.  402.46 are a permissible form of formal consultation.



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 Sec. Sec.  
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:

[[Page 358]]

    (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, 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

[[Page 359]]

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 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--

[[Page 360]]

    (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 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

[[Page 361]]

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 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

[[Page 362]]

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 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,

[[Page 363]]

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.
    (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.

[[Page 364]]

    (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 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

[[Page 365]]

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 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 404_PAPAHANAUMOKUAKEA MARINE NATIONAL MONUMENT--Table of Contents



Sec.
404.1 Scope and purpose.
404.2 Boundary.
404.3 Definitions.
404.4 Access to the Monument.
404.5 Requirements for a vessel monitoring system.
404.6 Prohibited activities.
404.7 Regulated activities.
404.8 Emergencies and law enforcement activities.
404.9 Armed Forces actions.
404.10 Commercial fishing.
404.11 Permitting procedures and criteria.
404.12 International law.

Appendix A to Part 404--Map of the Monument Outer Boundary and 
          Ecological Reserves, Special Preservation Areas, and Midway 
          Atoll Special Management Area
Appendix B to Part 404--Approved Vessel Monitoring Systems
Appendix C to Part 404--Boundary Coordinated for Papahanaumokuakea 
          Marine National Monument Areas To Be Avoided
Appendix D to Part 404--Boundary Coordinates for Papahanaumokuakea 
          Marine National Monument Ship Reporting Area
Appendix E to Part 404--Content and Syntax for Papahanaumokuakea Ship 
          Reporting System

    Authority: 16 U.S.C. 431 et seq.; 16 U.S.C. 460k-3; 16 U.S.C. 1801 
et seq.; 16 U.S.C. 742f, 16 U.S.C. 742l, and 16 U.S.C. 668dd-ee; 16 
U.S.C. 1361 et seq.; 16 U.S.C. 1531 et seq., Pub. L. No. 106-513, Sec.  
6(g) (2000).

    Source: 71 FR 51135, Aug. 29, 2006, unless otherwise noted.



Sec.  404.1  Scope and purpose.

    The regulations in this part codify the provisions of Presidential 
Proclamation 8031, and govern the administration of the Northwestern 
Hawaiian Islands Marine National Monument. These regulations are jointly 
implemented by the Secretaries of the Interior, through the U.S. Fish 
and Wildlife Service (USFWS), and Commerce, through the National Oceanic 
and Atmospheric Administration (NOAA). Nothing in these regulations 
shall be deemed to diminish or enlarge the jurisdiction of the State of 
Hawaii.



Sec.  404.2  Boundary.

    The Northwestern Hawaiian Islands Marine National Monument consists 
of all lands and interest in lands owned or controlled by the Government 
of the United States within the boundaries of the Monument, including 
emergent and submerged lands and waters of the Northwestern Hawaiian 
Islands. The map in appendix A to this part 404 depicts the outer 
boundary of the Monument, which consists of the geodetic lines 
connecting the coordinates specified in the Proclamation.



Sec.  404.3  Definitions.

    The following definitions are applicable only to this part.

[[Page 366]]

    Areas to be avoided means the four designated areas that should be 
avoided by vessels that are conducting passage through the Monument 
without interruption. Appendix C sets forth the coordinates of these 
areas.
    Attract or Attracting means luring or attempting to lure a living 
resource by any means, except the mere presence of human beings (e.g., 
swimmers, divers, boaters).
    Bottomfish Species means Bottomfish management unit species as 
defined at 50 CFR 665.12.
    Categories of hazardous cargoes means goods classified in the 
International Maritime Dangerous Goods (IMDG) Code; substances 
classified in chapter 17 of the International Code for the Construction 
and Equipment of Ships Carrying Dangerous Chemicals in Bulk (IBC Code) 
and chapter 19 of the International Code for the Construction and 
Equipment of Ships Carrying Liquefied Gases in Bulk (IGC Code); oils as 
defined in MARPOL Annex I; noxious liquid substances as defined in 
MARPOL Annex II; harmful substances as defined in MARPOL Annex III; and 
radioactive materials specified in the Code for the Safe Carriage of the 
Irradiated Nuclear Fuel, Plutonium and High-Level Radioactive Wastes in 
Flasks on Board Ships (INF Code).
    Commercial Bottomfishing means commercial fishing for bottomfish 
species.
    Commercial passenger vessel means a vessel that carries individuals 
who have paid for such carriage.
    Commercial pelagic trolling means commercial fishing for pelagic 
species.
    Deserting a vessel means:
    (1) Leaving a vessel aground or adrift:
    (i) Without notifying the Secretaries of the vessel going aground or 
adrift within 12 hours of its discovery and developing and presenting to 
the Secretaries a preliminary salvage plan within 24 hours of such 
notification;
    (ii) After expressing or manifesting intention to not undertake or 
to cease salvage efforts; or
    (iii) When the Secretaries are unable, after reasonable efforts, to 
reach the owner/operator within 12 hours of the vessel's condition being 
reported to authorities.
    (2) Leaving a vessel at anchor when its condition creates potential 
for a grounding, discharge, or deposit and the owner/operator fails to 
secure the vessel in a timely manner.
    Ecological Reserve means the areas of the Monument, identified in 
the Proclamation, consisting of contiguous, diverse habitats that 
provide natural spawning, nursery, and permanent residence areas for the 
replenishment and genetic protection of marine life, and also to protect 
and preserve natural assemblages of habitats and species within areas 
representing a broad diversity of resources and habitats found within 
the Monument. Specific coordinates for Ecological Reserves within the 
Monument are found in the Proclamation, and the Ecological Reserves 
consist of the areas within the geodetic lines connecting these 
coordinates. The Ecological Reserves are depicted on the map in appendix 
A to part 404.
    Ecological integrity means a condition determined to be 
characteristic of an ecosystem that has the ability to maintain the 
function, structure, and abundance of natural biological communities, 
including rates of change in response to natural environmental 
variation.
    Fishing year means the year beginning at 0001 local time on January 
1 and ending at 2400 local time on December 31.
    IMO means the International Maritime Organization.
    Introduced Species means:
    (1) A species (including, but not limited to, any of its biological 
matter capable of propagation) that is non-native to the ecosystem(s) 
protected by the Monument; or
    (2) Any organism into which genetic matter from another species has 
been transferred in order that the host organism acquires the genetic 
traits of the transferred genes.
    Landing means offloading fish from a fishing vessel or causing fish 
to be offloaded from a fishing vessel.
    Midway Atoll Special Management Area means the area of the Monument 
surrounding Midway Atoll out to a distance of 12 nautical miles, 
established for the enhanced management, protection, and preservation of 
Monument wildlife and historical resources. The

[[Page 367]]

geographic coordinates of this area, which consists of the area within 
the geodetic lines connecting these coordinates, are found in the 
Proclamation. The Midway Atoll Special Management Area is depicted on 
the map in appendix A to part 404.
    Mobile transceiver unit means a vessel monitoring system or VMS 
device, as described in appendix E to this part, installed on board a 
vessel that is used for vessel monitoring and transmitting the vessel's 
position as required by this part.
    Monument means the Northwestern Hawaiian Islands Marine National 
Monument.
    Native Hawaiian Practices means cultural activities conducted for 
the purposes of perpetuating traditional knowledge, caring for and 
protecting the environment and strengthening cultural and spiritual 
connections to the Northwestern Hawaiian Islands that have demonstrable 
benefits to the Native Hawaiian community. This may include, but is not 
limited to, the non-commercial use of Monument resources for direct 
personal consumption while in the Monument.
    Ocean-based ecotourism means a class of fee-for-service activities 
that involves visiting the Monument for study, enjoyment, or volunteer 
assistance for purposes of conservation and management.
    Office for Law Enforcement (OLE) refers to NOAA, National Marine 
Fisheries Service, Office for Law Enforcement.
    Pelagic Species means Pacific Pelagic Management Unit Species as 
defined at 50 CFR 665.12.
    Pono means appropriate, correct, and deemed necessary by traditional 
standards in the Hawaiian culture.
    Proclamation means Presidential Proclamation 8031, dated June 15, 
2006 (71 FR 36443).
    Recreational activity means an activity conducted for personal 
enjoyment that does not result in the extraction of Monument resources 
and that does not involve a fee-for-service transaction. This includes, 
but is not limited to, wildlife viewing, SCUBA diving, snorkeling, and 
boating.
    Reporting area means the area within the coordinates set forth in 
appendix D.
    Secretaries means the Secretary of Commerce and the Secretary of the 
Interior or their designees.
    Special Preservation Area (SPA) means discrete, biologically 
important areas of the Monument, identified in the Proclamation, within 
which uses are subject to conditions, restrictions, and prohibitions, 
including but not limited to access restrictions. SPAs are used to avoid 
concentrations of uses that could result in declines in species 
populations or habitat, to reduce conflicts between uses, to protect 
areas that are critical for sustaining important marine species or 
habitats, or to provide opportunities for scientific research. Specific 
coordinates for Special Preservation Areas within the Monument are found 
in the Proclamation, and the Special Preservation Areas consist of the 
areas within the geodetic lines connecting these coordinates. The 
Special Preservation Areas are depicted on the map in appendix A to part 
404.
    Special ocean use means an activity or use of the Monument that is 
engaged in to generate revenue or profits for one or more of the persons 
associated with the activity or use, and does not destroy, cause the 
loss of, or injure Monument resources. This includes ocean-based 
ecotourism and other activities such as educational and research 
activities that are engaged in to generate revenue, but does not include 
commercial fishing for bottomfish or pelagic species conducted pursuant 
to a valid permit issued by NOAA.
    Stowed and not available for immediate use means not readily 
accessible for immediate use, e.g., by being securely covered and lashed 
to a deck or bulkhead, tied down, unbaited, unloaded, or partially 
disassembled (such as spear shafts being kept separate from spear guns).
    Sustenance fishing means fishing for bottomfish or pelagic species 
in which all catch is consumed within the Monument, and that is 
incidental to an activity permitted under this part.
    Vessel monitoring system or VMS means a vessel monitoring system or 
mobile transceiver unit as described in Sec.  404.5 and approved by 
Office for Law

[[Page 368]]

Enforcement for use on vessels permitted to access the Monument, as 
required by this part.

[71 FR 51135, Aug. 29, 2006, as amended at 73 FR 73598, Dec. 3, 2008]



Sec.  404.4  Access to Monument.

    (a) Entering the Monument is prohibited and thus unlawful except:
    (1) As provided in Sec. Sec.  404.8 and 404.9;
    (2) Pursuant to a permit issued under Sec.  404.10 or Sec.  404.11; 
or
    (3) When conducting passage without interruption in accordance with 
paragraphs (b) through (f) of this section.
    (b) Any person passing through the Monument without interruption is 
subject to the prohibitions in Sec. Sec.  404.5, 404.6, and 404.7.
    (c) The following vessels, except vessels entitled to sovereign 
immunity under international law, passing through the Monument without 
interruption must participate in the ship reporting system as provided 
in paragraphs (d) and (e) of this section:
    (1) Vessels of the United States, except as provided in paragraph 
(f) of this section;
    (2) All other ships 300 gross tonnage or greater, entering or 
departing a United States port or place; and
    (3) All other ships in the event of an emergency, entering or 
departing a United States port or place.
    (d) Immediately upon entering the reporting area, the vessels 
described in paragraph (c) of this section must provide the following 
information by e-mail sent to [email protected] in the IMO 
standard reporting format and data syntax shown in appendix E:
    (1) Vessel name, call sign or ship station identity, flag, and IMO 
identification number if applicable, and either Federal documentation or 
State registration number if applicable.
    (2) Date, time (UTC) and month of entry.
    (3) Position.
    (4) True course.
    (5) Speed in knots and tenths.
    (6) Destination and estimated time of arrival.
    (7) Intended route through the Monument and the reporting area.
    (8) Vessel draft (in meters).
    (9) Categories of hazardous cargoes on board.
    (10) Any vessel defects or deficiencies that restrict 
maneuverability or impair normal navigation.
    (11) Any pollution incident or goods lost overboard within the 
Monument, the reporting area, or the U.S. EEZ.
    (12) Contact information for the vessel's agent or owner.
    (13) Vessel size (length overall, gross tonnage) and type.
    (14) Total number of persons on board.
    (e) Immediately upon leaving the reporting area, the vessels 
described in paragraph (c) must provide the following information by e-
mail sent to [email protected] in the IMO standard reporting 
format and data syntax shown in appendix E:
    (1) Vessel name, call sign or ship station identity, flag, and IMO 
identification number if applicable, and either Federal documentation or 
State registration number if applicable.
    (2) Date, time (UTC) and month of exit.
    (3) Position.
    (4) Any pollution incident or goods lost overboard within the 
Monument, the reporting area, or the U.S. EEZ.
    (f)(1) Vessels of the United States less than 300 gross tonnage that 
are not equipped with onboard e-mail capability must provide 
notification of entry and the information described in paragraphs 
(d)(1), (2), (3) as applicable, (6), (7), (8), (9) as applicable, (10), 
(12), (13), and (14) of this section at least 72 hours, but no longer 
than 1 month, prior to the entry date. Notification of departure from 
the Monument and the information described in paragraph (e) of this 
section must be provided within 12 hours of leaving. Notification under 
this paragraph may be made by e-mail, telephone, or fax, by contacting: 
(i) E-mail: [email protected];
    (ii) Telephone: 1-866-478-NWHI (6944);
    (iii) Fax: 1-808-455-3093.
    (2) The information must be provided in the IMO standard reporting 
format and data syntax shown in appendix E.
    (g) All vessels passing through the Monument without interruption 
other than those described in paragraphs (c)(1) through (3) of this 
section should

[[Page 369]]

participate in the ship reporting system set forth in paragraphs (d) and 
(e) of this section.

[73 FR 73598, Dec. 3, 2008, as amended at 79 FR 44317, July 31, 2014]



Sec.  404.5  Requirements for a vessel monitoring system.

    (a) Requirement for use. Effective August 28, 2006, an owner or 
operator of a vessel that has been issued a permit for accessing the 
Monument must ensure that such vessel has an OLE-approved, operating VMS 
on board when voyaging within the Monument. An operating VMS includes an 
operating mobile transmitting unit on the vessel and a functioning 
communication link between the unit and OLE as provided by an OLE-
approved communication service provider. Appendix B to this part 404 
provides information regarding OLE-approved transmitting units.
    (b) Installing and activating the VMS. Only a VMS that has been 
approved by OLE may be used. When installing and activating the OLE-
approved VMS, or when reinstalling and reactivating such VMS, the vessel 
owner or operator must:
    (1) Follow procedures indicated on an installation and activation 
checklist, which is available from OLE; and
    (2) Submit to OLE a statement certifying compliance with the 
checklist, as prescribed on the checklist.
    (c) Interference with the VMS. No person may interfere with, tamper 
with, alter, damage, disable, or impede the operation of the VMS, or 
attempt any of the same.
    (d) Interruption of operation of the VMS. When a vessel's VMS is not 
operating properly, the owner or operator must immediately contact OLE, 
and follow instructions from that office. If notified by OLE that a 
vessel's VMS is not operating properly, the owner and operator must 
follow instructions from that office. In either event, such instructions 
may include, but are not limited to, manually communicating to a 
location designated by OLE the vessel's positions or returning to port 
until the VMS is operable.
    (e) Access to position data. As a condition of authorized access to 
the Monument, a vessel owner or operator subject to the requirements for 
a VMS in this section must allow OLE, the USCG, and their authorized 
officers and designees access to the vessel's position data obtained 
from the VMS. Consistent with other applicable laws, including the 
limitations on access to, and use of, VMS data collected under the 
Magnuson-Stevens Fishery Conservation and Management Act, the 
Secretaries may have access to, and use of, collected data for 
scientific, statistical, and management purposes.
    (f) Authority for installation and operation. OLE has authority over 
the installation and operation of the VMS unit. OLE may authorize the 
connection or order the disconnection of additional equipment, including 
a computer, to any VMS unit when deemed appropriate by OLE.
    (g) Activities Regarding Vessel Monitoring Systems. Effective August 
28, 2006, the following activities regarding vessel monitoring systems 
are prohibited and thus unlawful for any person to conduct or cause to 
be conducted:
    (1) Operating any vessel within the Monument without an OLE type-
approved mobile transceiver unit described in this section;
    (2) Failing to install, activate, repair, or replace a mobile 
transceiver unit prior to leaving port;
    (3) Failing to operate and maintain a mobile transceiver unit on 
board the vessel at all times as specified in this section;
    (4) Tampering with, damaging, destroying, altering, or in any way 
distorting, rendering useless, inoperative, ineffective, or inaccurate 
the VMS, mobile transceiver unit, or VMS signal required to be installed 
on or transmitted by a vessel as specified in this section;
    (5) Failing to contact OLE or follow OLE instructions when automatic 
position reporting has been interrupted as specified in this section;
    (6) Registering a VMS or mobile transceiver unit to more than one 
vessel at the same time;
    (7) Connecting or leaving connected additional equipment to a VMS 
unit or mobile transceiver unit without the prior approval of OLE; and

[[Page 370]]

    (8) Making a false statement, oral or written, to an authorized 
officer regarding the installation, use, operation, or maintenance of a 
VMS unit or mobile transceiver unit or communication service provider.



Sec.  404.6  Prohibited activities.

    The following activities are prohibited and thus unlawful for any 
person to conduct or cause to be conducted:
    (a) Exploring for, developing, or producing oil, gas, or minerals 
within the Monument;
    (b) Using or attempting to use poisons, electrical charges, or 
explosives in the collection or harvest of a Monument resource;
    (c) Introducing or otherwise releasing an introduced species from 
within or into the Monument; and
    (d) Anchoring on or having a vessel anchored on any living or dead 
coral with an anchor, anchor chain, or anchor rope.



Sec.  404.7  Regulated activities.

    Except as provided in Sec. Sec.  404.8, 404.9 and 404.10, the 
following activities are prohibited and thus unlawful for any person to 
conduct or cause to be conducted within the Monument without a valid 
permit as provided for in Sec.  404.11:
    (a) Removing, moving, taking, harvesting, possessing, injuring, 
disturbing, or damaging; or attempting to remove, move, take, harvest, 
possess, injure, disturb, or damage any living or nonliving Monument 
resource;
    (b) Drilling into, dredging, or otherwise altering the submerged 
lands other than by anchoring a vessel; or constructing, placing, or 
abandoning any structure, material, or other matter on the submerged 
lands;
    (c) Anchoring a vessel;
    (d) Deserting a vessel aground, at anchor, or adrift;
    (e) Discharging or depositing any material or other matter into 
Special Preservation Areas or the Midway Atoll Special Management Area 
except vessel engine cooling water, weather deck runoff, and vessel 
engine exhaust;
    (f) Discharging or depositing any material or other matter into the 
Monument, or discharging or depositing any material or other matter 
outside the Monument that subsequently enters the Monument and injures 
any resources of the Monument, except fish parts (i.e., chumming 
material or bait) used in and during authorized fishing operations, or 
discharges incidental to vessel use such as deck wash, approved marine 
sanitation device effluent, cooling water, and engine exhaust;
    (g) Touching coral, living or dead;
    (h) Possessing fishing gear except when stowed and not available for 
immediate use during passage without interruption through the Monument;
    (i) Swimming, snorkeling, or closed or open circuit SCUBA diving 
within any Special Preservation Area or the Midway Atoll Special 
Management Area; and
    (j) Attracting any living Monument resource.



Sec.  404.8  Emergencies and law enforcement activities.

    The prohibitions in this part do not apply to activities necessary 
to respond to emergencies threatening life, property, or the 
environment, or to activities necessary for law enforcement purposes.



Sec.  404.9  Armed Forces actions.

    (a) The prohibitions in this part do not apply to activities and 
exercises of the Armed Forces (including those carried out by the United 
States Coast Guard) that are consistent with applicable laws.
    (b) These regulations shall not limit agency actions to respond to 
emergencies posing an unacceptable threat to human health or safety or 
to the marine environment and admitting of no other feasible solution.
    (c) All activities and exercises of the Armed Forces shall be 
carried out in a manner that avoids, to the extent practicable and 
consistent with operational requirements, adverse impacts on Monument 
resources and qualities.
    (d) In the event of threatened or actual destruction of, loss of, or 
injury to a Monument resource or quality resulting from an incident, 
including but not limited to spills and groundings, caused by a 
component of the Department of Defense or the United States Coast Guard, 
the cognizant component shall promptly coordinate with the Secretaries 
for the purpose of taking

[[Page 371]]

appropriate actions to respond to and mitigate the harm and, if 
possible, restore or replace the Monument resource or quality.



Sec.  404.10  Commercial fishing.

    (a) Lobster fishing. Any commercial lobster fishing permit is 
subject to a zero annual harvest limit condition.
    (b) Fishing and bottomfish and pelagic species. (1) Notwithstanding 
the prohibitions in Sec.  404.7(a) and (h), commercial fishing for 
bottomfish and associated pelagic species may continue within the 
Monument subject to paragraph (c) of this section, until June 15, 2011, 
provided that:
    (i) The fishing is conducted in accordance with a valid commercial 
bottomfish permit issued by NOAA; and
    (ii) Such permit was in effect on June 15, 2006, and is subsequently 
renewed pursuant to NOAA regulations at 50 CFR part 665, subpart E as 
necessary.
    (2) Total landings for each fishing year from fishing allowed under 
paragraph (b)(1) of this section may not exceed the following amounts:
    (i) 350,000 pounds for bottomfish species; and
    (ii) 180,000 pounds for pelagic species.
    (3) Commercial fishing for bottomfish and associated pelagic species 
is prohibited in the Monument after June 15, 2011.
    (c) General requirements. Any commercial fishing within the Monument 
shall be conducted in accordance with the following restrictions and 
conditions:
    (1) A valid permit or facsimile of a valid permit shall be on board 
the fishing vessel and available for inspection by an authorized 
officer;
    (2) No attempt is made to falsify or fail to make, keep, maintain, 
or submit any logbook or logbook form or other required record or 
report.
    (3) Only gear specifically authorized by the relevant permit issued 
under the Magnuson-Stevens Fishery Conservation and Management Act is 
allowed to be in the possession of a person conducting commercial 
fishing under this section;
    (4) Any person conducting commercial fishing notifies the 
Secretaries by telephone, facsimile, or electronic mail at least 72 
hours before entering the Monument and within 12 hours after leaving the 
Monument in accordance with Sec.  404.4(b) and (c);
    (5) All fishing vessels must carry an activated and functioning VMS 
unit on board at all times whenever the vessel is in the Monument;
    (6) All fishing vessels must carry an observer when requested to do 
so by the Secretaries;
    (7) The activity does not take place within any Ecological Reserve, 
any Special Preservation Area, or the Midway Atoll Special Management 
Area.



Sec.  404.11  Permitting procedures and criteria.

    (a) Issuance. Subject to such terms and conditions as the 
Secretaries deem appropriate, a person may conduct an activity 
prohibited by Sec.  404.7 if such activity is specifically authorized by 
a permit issued under this section.
    (b) Application requirements. Applicants for permits under this 
section shall submit applications to: NOAA/Inouye Regional Center; NOS/
ONMS/PMNM/Attn: Permit Coordinator; 1845 Wasp Blvd., Building 176; 
Honolulu, HI 96818.
    (c) Permit Types. A permit under this subpart may be issued if the 
Secretaries find that the activity:
    (1) Is research designed to further understanding of Monument 
resources and qualities;
    (2) Will further the educational value of the Monument;
    (3) Will assist in the conservation and management of the Monument;
    (4) Will allow Native Hawaiian practices subject to paragraph (e) of 
this section;
    (5) Will allow a special ocean use subject to paragraph (f) of this 
section; or
    (6) Will allow recreational activities subject to paragraph (g) of 
this section.
    (d) Findings. A permit may not be issued under this section unless 
the Secretaries find:
    (1) The activity can be conducted with adequate safeguards for the 
resources and ecological integrity of the Monument;
    (2) The activity will be conducted in a manner compatible with the 
purposes of the Proclamation, considering the

[[Page 372]]

extent to which the conduct of the activity may diminish or enhance 
Monument resources, qualities, and ecological integrity, any indirect, 
secondary or cumulative effects of the activity, and the duration of 
such effects;
    (3) There is no practicable alternative to conducting the activity 
within the Monument;
    (4) The end value of the activity outweighs its adverse impacts on 
Monument resources, qualities, and ecological integrity;
    (5) The duration of the activity is no longer than necessary to 
achieve its stated purpose;
    (6) The applicant is qualified to conduct and complete the activity 
and mitigate any potential impacts resulting from its conduct;
    (7) The applicant has adequate financial resources available to 
conduct and complete the activity and mitigate any potential impacts 
resulting from its conduct;
    (8) The methods and procedures proposed by the applicant are 
appropriate to achieve the proposed activity's goals in relation to 
their impacts to Monument resources, qualities, and ecological 
integrity;
    (9) The applicant's vessel has been outfitted with a mobile 
transceiver unit approved by OLE and complies with the requirements of 
Sec.  404.5; and
    (10) There are no other factors that would make the issuance of a 
permit for the activity inappropriate.
    (e) Additional findings for Native Hawaiian practice permits. In 
addition to the findings listed in paragraph (d) of this section, a 
permit to allow Native Hawaiian practices under paragraph (c)(4) of this 
section, may not be issued unless:
    (1) The activity is non-commercial and will not involve the sale of 
any organism or material collected;
    (2) The purpose and intent of the activity are appropriate and 
deemed necessary by traditional standards in the Native Hawaiian culture 
(pono), and demonstrate an understanding of, and background in, the 
traditional practice, and its associated values and protocols;
    (3) The activity benefits the resources of the Northwestern Hawaiian 
Islands and the Native Hawaiian community;
    (4) The activity supports or advances the perpetuation of 
traditional knowledge and ancestral connections of Native Hawaiians to 
the Northwestern Hawaiian Islands; and
    (5) Any Monument resource harvested from the Monument will be 
consumed in the Monument.
    (f) Additional findings, criteria, and requirements for special 
ocean use permits. (1) In addition to the findings listed in paragraph 
(d) of this section, the following requirements apply to the issuance of 
a permit for a special ocean use under paragraph (c)(5) of this section:
    (i) Any permit for a special ocean use issued under this section:
    (A) Shall authorize the conduct of an activity only if that activity 
is compatible with the purposes for which the Monument is designated and 
with protection of Monument resources;
    (B) Shall not authorize the conduct of any activity for a period of 
more than 5 years unless renewed;
    (C) Shall require that activities carried out under the permit be 
conducted in a manner that does not destroy, cause the loss of, or 
injure Monument resources; and
    (D) Shall require the permittee to purchase and maintain 
comprehensive general liability insurance, or post an equivalent bond, 
against claims arising out of activities conducted under the permit and 
to agree to hold the United States harmless against such claims;
    (ii) Each person issued a permit for a special ocean use under this 
section shall submit an annual report to the Secretaries not later than 
December 31 of each year which describes activities conducted under that 
permit and revenues derived from such activities during the year.
    (2) In addition to the findings listed in paragraph (d) of this 
section, a permit may not be issued for a special ocean use unless the 
activity has been determined to be consistent with the findings made 
pursuant to paragraph (f) of this section.
    (3) Categories of special ocean use being permitted for the first 
time under this section will be restricted in duration and permitted as 
a special

[[Page 373]]

ocean use pilot project. Subsequent permits for any category of special 
ocean use may only be issued if a special ocean use pilot project for 
that category meets the requirements of this section, and any terms and 
conditions placed on the permit for the pilot project.
    (4) Public notice shall be provided prior to requiring a special 
ocean use permit for any category of activity not previously identified 
as a special ocean use.
    (5) The following requirements apply to permits for a special ocean 
use for an activity within the Midway Atoll Special Management Area.
    (i) A permit for a special ocean use for activities within the 
Midway Atoll Special Management Area may be issued provided:
    (A) The activity furthers the conservation and management of the 
Monument; and
    (B) The Director of the United States Fish and Wildlife Service or 
his or her designee has determined that the activity is compatible with 
the purposes for which the Midway Atoll National Wildlife Refuge was 
designated.
    (ii) As part of a permit issued pursuant to this paragraph (f)(5), 
vessels may be allowed to transit the Monument as necessary to enter the 
Midway Atoll Special Management Area.
    (6) A permit for a special ocean use for activities outside the 
Midway Atoll Special Management Area may be issued provided:
    (i) The activity will directly benefit the conservation and 
management of the Monument;
    (ii) The purpose of the activity is for research or education 
related to the resources or qualities of the Monument;
    (iii) Public notice of the application and an opportunity to provide 
comments is given at least 30 days prior to issuing the permit; and
    (iv) The activity does not involve the use of a commercial passenger 
vessel.
    (g) Additional findings for recreation permits. A permit for 
recreational activities under paragraph (c)(6) of this section may be 
issued for activities to be conducted within the Midway Atoll Special 
Management area if, in addition to the findings listed in paragraph (d) 
of this section:
    (1) The activity is for the purpose of recreation as defined in 
section 404.3;
    (2) The activity is not associated with any for-hire operation; and
    (3) The activity does not involve any extractive use.
    (h) Sustenance fishing. Sustenance fishing, as defined in 404.3, may 
be allowed outside of any Special Preservation Area as a term or 
condition of any permit issued under this part. Sustenance fishing in 
the Midway Atoll Special Management Area shall not be allowed unless the 
activity has been determined by the Director of the U.S. Fish and 
Wildlife Service or his or her designee to be compatible with the 
purposes for which the Midway Atoll National Wildlife Refuge was 
established. Sustenance fishing must be conducted in a manner compatible 
with the Proclamation and this part, including considering the extent to 
which the conduct of the activity may diminish Monument resources, 
qualities, and ecological integrity, as well as any indirect, secondary, 
or cumulative effects of the activity and the duration of such effects. 
Sustenance fishing is subject to systematic reporting requirements when 
developed by the Secretaries.

[71 FR 51135, Aug. 29, 2006, as amended at 72 FR 5643, Feb. 7, 2007; 79 
FR 44317, July 31, 2014]



Sec.  404.12  International law.

    These regulations shall be applied in accordance with international 
law. No restrictions shall apply to or be enforced against a person who 
is not a citizen, national, or resident alien of the United States 
(including foreign flag vessels) unless in accordance with international 
law.



  Sec. Appendix A to Part 404--Map of the Monument Outer Boundary and 
   Ecological Reserves, Special Preservation Areas, and Midway Atoll 
                         Special Management Area

[[Page 374]]

[GRAPHIC] [TIFF OMITTED] TR29AU06.000


[[Page 375]]





                Sec. Appendix B to Part 404--Approved VMS

                     I. VMS Mobile Transceiver Unit

                  Thrane & Thrane Sailor 3026D Gold VMS

    The Thrane & Thrane Sailor 3026D Gold VMS (TT-3026D) has been found 
to meet the minimum technical requirements for vessels issued permits to 
operate in the Northwestern Hawaiian Islands Marine National Monument. 
The address for the Thrane & Thrane distributor contact is provided in 
this notice under the heading VMS Provider Address.
    The TT-3026D Gold VMS features an integrated GPS/Inmarsat-C unit and 
a marine grade monitor with keyboard and integrated mouse. The unit is 
factory pre-configured for NMFS VMS operations (non-Global Maritime 
Distress & Safety System (non-GMDSS)). Satellite commissioning services 
are provided by Thrane & Thrane personnel.
    Automatic GPS position reporting starts after transceiver 
installation and power activation onboard the vessel. The unit is an 
integrated transceiver/antenna/GPS design using a floating 10 to 32 VDC 
power supply. The unit is configured for automatic reduced position 
transmissions when the vessel is stationary (i.e., in port). It allows 
for port stays without power drain or power shut down. The unit restarts 
normal position transmission automatically when the vessel goes to sea.
    The TT-3026D provides operation down to 15 
degree angles. The unit has the capability of two-way communications to 
send formatted forms and to receive e-mail and other messages. A 
configuration option is available to automatically send position reports 
to a private address, such as a fleet management company.
    A vessel owner may purchase this system by contacting the entity 
identified in this notice under the heading ``VMS Provider Address'' The 
owner should identify himself or herself as a vessel owner issued a 
permit to operate in the Northwestern Hawaiian Islands Marine National 
Monument, so the transceiver set can be properly configured. To use the 
TT-3026D the vessel owner will need to establish an Inmarsat-C system 
use contract with an approved Inmarsat-C communications service 
provider. The owner will be required to complete the Inmarsat-C 
``Registration for Service Activation for Maritime Mobile Earth 
Station.'' The owner should consult with Thrane & Thrane when completing 
this form.
    Thrane & Thrane personnel will perform the following services before 
shipment: (1) Configure the transceiver according to OLE specifications 
for vessels issued permits to operate in the Northwestern Hawaiian 
Islands Marine National Monument; (2) download the predetermined NMFS 
position reporting and broadcast command identification numbers into the 
unit; (3) test the unit to ensure operation when installation has been 
completed on the vessel; and (4) forward the Inmarsat service provider 
and the transceiver identifying information to OLE.

                 II. Inmarsat-C Communications Providers

    It is recommended, for vendor warranty and customer service 
purposes, that the vessel owner keep for his or her records and that 
Telenor and Xantic have on record the following identifying information: 
(1) Signed and dated receipts and contracts; (2) transceiver serial 
number; (3) Telenor or Xantic customer number, user name and password; 
(4) e-mail address of transceiver; (5) Inmarsat identification number; 
(6) owner name; (7) vessel name; (8) vessel documentation or 
registration number; and (9) mobile earth station license (FCC license).
    The OLE will provide an installation and activation checklist that 
the vessel owner must follow. The vessel owner must sign a statement on 
the checklist certifying compliance with the installation procedures and 
return the checklist to OLE. Installation can be performed by an 
experienced crew or by an electronics specialist, and the installation 
cost is paid by the owner.
    The owner may confirm the TT-3026D operation and communications 
service to ensure that position reports are automatically sent to and 
received by OLE before leaving on a trip under VMS. The OLE does not 
regard the vessel as meeting requirements until position reports are 
automatically received. For confirmation purposes, contact the NOAA 
Fisheries Office for Law Enforcement, 8484 Georgia Ave., Suite 415, 
Silver Spring, MD 20910, phone 888-219-9228, fax 301-427-0049.

                       Telenor Satellite Services

    Inmarsat-C is a store-and-forward data messaging service. Inmarsat-C 
allows users to send and receive information virtually anywhere in the 
world, on land, at sea, and in the air. Inmarsat-C supports a wide 
variety of applications including Internet, e-mail, position and weather 
reporting, a free daily news service, and remote equipment monitoring 
and control. Mariners can use Inmarsat-C free of charge to send critical 
safety at sea messages as part of the U.S. Coast Guard's Automated 
Mutual-Assistance Vessel Rescue system and of the NOAA Shipboard 
Environmental Acquisition System programs. Telenor Vessel Monitoring 
System Services is being sold through Thrane & Thrane, Inc. For the 
Thrane & Thrane and Telenor addresses, look inside this notice under the 
heading ``VMS Provider Address''

[[Page 376]]

                                 Xantic

    Xantic is a provider of Vessel Monitoring Services to the maritime 
industry. By installing an approved OLE Inmarsat-C transceiver on the 
vessel, vessels can send and receive e-mail, to and from land, while the 
transceiver automatically sends vessel position reports to OLE, and is 
fully compliant with the International Coast Guard Search and Rescue 
Centers. Xantic Vessel Monitoring System Services are being sold through 
Thrane & Thrane, Inc. For the Thrane & Thrane and Xantic addresses, look 
in this notice under the heading ``VMS Provider Address''
    For Telenor and Xantic, Thrane & Thrane customer service supports 
the security and privacy of vessel accounts and messages with the 
following: (a) Password authentication for vessel owners or agents and 
for OLE to prevent unauthorized changes or inquiries; and (b) separation 
of private messages from OLE messages. (OLE requires VMS-related 
position reports, only.)
    Billing is separated between accounts for the vessel owner and the 
OLE. VMS position reports and vessel-initiated messaging are paid for by 
the vessel owner. Messaging initiated from OLE operations center is paid 
for by NOAA.
    Thrane & Thrane provides customer service for Telenor and Xantic 
users to support and establish two-way transmission of transceiver unit 
configuration commands between the transceiver and land-based control 
centers. This supports OLE's message needs and, optionally, the crew's 
private message needs.
    The vessel owner can configure automatic position reports to be sent 
to a private address, such as to a fleet management company.
    Vessel owners wishing to use Telenor or Xantic services will need to 
purchase an Inmarsat-C transceiver approved for vessels issued permits 
to operate in the Northwestern Hawaiian Islands Marine National 
Monument. The owner will need to complete an Inmarsat-C system use 
contract with Telenor or Xantic, including a mobile earth station 
license (FCC requirement). The transceiver will need to be commissioned 
with Inmarsat according to Telenor or Xantic's instructions. The owner 
should refer to and follow the configuration, installation, and service 
activation procedures for the specific transceiver purchased.

                        III. VMS Provider Address

    For TT-3026D, Telenor, or Xantic information, contact Ronald 
Lockerby, Marine Products, Thrane & Thrane, Inc., 509 Viking Drive, 
Suite K, L & M, Virginia Beach, VA 23452; voice: 757-463-9557; fax: 757-
463-9581, e-mail: [email protected]; Web site: http://
www.landseasystems.com.



Sec. Appendix C to Part 404--Boundary Coordinated for Papahanaumokuakea 
              Marine National Monument Areas To Be Avoided

                  Appendix C--Geographical Coordinates

                           Areas To Be Avoided

               Papahanaumokuakea Marine National Monument

    Reference chart: United States 540, 2008 edition; 19016, 2008 
edition; 19019, 2008 edition; 19022, 2008 edition.
    These charts are based on World Geodetic System 1984 Datum (WGS-84) 
and astronomic datum.

     Table C-1--Kure Atoll, Midway Atoll, and Pearl and Hermes Atoll
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2714".76            17629".87
2...............................  2724".95            17733".31
3...............................  2735".87            17829".90
4...............................  2736".64            17833".93
5...............................  2737".53            17837".32
6...............................  2738".60            17840".65
7...............................  2739".85            17843".90
8...............................  2741".28            17847".05
9...............................  2742".89            17850".10
10..............................  2744".66            17853".03
11..............................  2746".59            17855".83
12..............................  2748".67            17858".49
13..............................  2750".89            17901".00
14..............................  2753".22            17903".39
15..............................  2755".69            17905".61
16..............................  2758".29            17907".61
17..............................  2801".01            17909".47
18..............................  2803".81            17911".10
19..............................  2806".71            17912".53
20..............................  2809".67            17913".75
21..............................  2812".70            17914".75
22..............................  2815".78            17915".54
23..............................  2818".91            17916".11
24..............................  2822".04            17916".45
25..............................  2824".72            17916".56
26..............................  2825".20            17916".57
27..............................  2825".81            17916".56
28..............................  2828".35            17916".44
29..............................  2831".49            17916".10
30..............................  2834".61            17915".54
31..............................  2837".69            17914".75
32..............................  2840".71            17913".74
33..............................  2843".68            17912".54
34..............................  2846".58            17911".13
35..............................  2849".39            17909".52
36..............................  2852".11            17907".70
37..............................  2854".72            17905".70
38..............................  2857".21            17903".51
39..............................  2859".58            17901".15
40..............................  2901".81            17858".62
41..............................  2903".90            17855".93
42..............................  2905".83            17853".10
43..............................  2907".60            17850".13
44..............................  2909".21            17847".04
45..............................  2910".64            17843".84
46..............................  2911".89            17840".54
47..............................  2912".95            17837".16
48..............................  2913".82            17833".71
49..............................  2914".50            17830".21

[[Page 377]]

 
50..............................  2914".99            17826".66
51..............................  2915".28            17823".08
52..............................  2915".36            17819".49
53..............................  2915".25            17815".90
54..............................  2914".94            17812".32
55..............................  2914".43            17808".78
56..............................  2903".47            17712".07
57..............................  2902".55            17707".29
58..............................  2838".96            17535".47
59..............................  2838".67            17534".35
60..............................  2834".91            17519".74
61..............................  2826".24            17510".65
62..............................  2824".61            17508".95
63..............................  2824".53            17509".04
64..............................  2820".09            17504".91
65..............................  2816".05            17501".92
66..............................  2811".78            17459".33
67..............................  2807".29            17457".23
68..............................  2802".63            17455".68
69..............................  2757".84            17454".62
70..............................  2753".01            17454".05
71..............................  2748".12            17454".05
72..............................  2743".28            17454".62
73..............................  2738".48            17455".71
74..............................  2733".81            17457".32
75..............................  2729".30            17459".43
76..............................  2725".00            17502".03
77..............................  2720".93            17505".07
78..............................  2717".18            17508".59
79..............................  2713".73            17512".47
80..............................  2710".59            17516".67
81..............................  2707".88            17521".25
82..............................  2705".57            17526".09
83..............................  2703".66            17531".15
84..............................  2702".22            17536".40
85..............................  2701".29            17541".78
86..............................  2700".73            17547".22
87..............................  2700".68            17552".74
88..............................  2701".09            17558".16
89..............................  2701".99            17603".53
90..............................  2703".34            17608".81
91..............................  2705".12            17613".91
92..............................  2707".37            17618".79
93..............................  2709".98            17623".40
94..............................  2713".02            17627".74
95..............................  2713".77            17628".70
------------------------------------------------------------------------


  Table C-2--Lisianski Island, Laysan Island, Maro Reef, and Raita Bank
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2650".89            17330".79
2...............................  2636".00            17137".70
3...............................  2635".49            17133".84
4...............................  2635".10            17130".84
5...............................  2634".07            17127".50
6...............................  2633".35            17125".16
7...............................  2614".26            17023".04
8...............................  2608".69            16948".96
9...............................  2608".36            16949".03
10..............................  2607".62            16945".83
11..............................  2606".03            16940".57
12..............................  2603".97            16935".64
13..............................  2601".51            16930".91
14..............................  2558".65            16926".45
15..............................  2555".32            16922".34
16..............................  2551".67            16918".60
17..............................  2547".78            16915".19
18..............................  2543".54            16912".34
19..............................  2539".05            16909".93
20..............................  2534".37            16908".08
21..............................  2529".54            16906".76
22..............................  2524".61            16905".93
23..............................  2519".63            16905".64
24..............................  2514".65            16905".93
25..............................  2509".69            16906".66
26..............................  2504".85            16908".02
27..............................  2500".17            16909".96
28..............................  2455".66            16912".35
29..............................  2451".35            16915".14
30..............................  2447".37            16918".48
31..............................  2443".69            16922".22
32..............................  2440".34            16926".31
33..............................  2437".42            16930".78
34..............................  2435".00            16935".64
35..............................  2433".02            16940".66
36..............................  2431".34            16945".88
37..............................  2430".31            16951".08
38..............................  2429".68            16956".53
39..............................  2429".56            17001".81
40..............................  2429".61            17004".57
41..............................  2435".77            17044".39
42..............................  2436".29            17047".58
43..............................  2437".18            17050".37
44..............................  2437".76            17052".17
45..............................  2456".23            17150".19
46..............................  2516".61            17424".84
47..............................  2529".56            17438".45
48..............................  2533".28            17442".03
49..............................  2537".33            17445".20
50..............................  2541".68            17447".84
51..............................  2546".23            17450".05
52..............................  2550".93            17451".77
53..............................  2555".80            17452".91
54..............................  2600".71            17453".47
55..............................  2605".67            17453".61
56..............................  2610".59            17453".07
57..............................  2615".46            17452".08
58..............................  2620".20            17450".57
59..............................  2624".75            17448".44
60..............................  2629".15            17445".94
61..............................  2633".26            17442".96
62..............................  2637".11            17439".49
63..............................  2640".60            17435".63
64..............................  2643".75            17431".43
65..............................  2646".49            17426".87
66..............................  2648".90            17422".09
67..............................  2650".79            17417".03
68..............................  2652".20            17411".79
69..............................  2653".21            17406".43
70..............................  2653".74            17400".98
71..............................  2653".74            17355".48
72..............................  2653".29            17350".02
73..............................  2652".56            17344".58
74..............................  2651".85            17339".14
75..............................  2651".13            17333".69
76..............................  2650".75            17330".87
------------------------------------------------------------------------


 Table C-3--Gardner Pinnacles, French Frigate Shoals, and Necker Island
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2549".64            16752".66
2...............................  2549".70            16752".65
3...............................  2548".99            16748".35
4...............................  2547".09            16736".72
5...............................  2539".84            16726".48
6...............................  2535".10            16719".79

[[Page 378]]

 
7...............................  2510".43            16645".00
8...............................  2440".91            16603".36
9...............................  2435".64            16534".99
10..............................  2423".78            16431".12
11..............................  2423".59            16431".14
12..............................  2423".31            16429".74
13..............................  2421".85            16424".52
14..............................  2420".10            16419".39
15..............................  2417".75            16414".56
16..............................  2414".99            16409".97
17..............................  2411".86            16405".69
18..............................  2408".30            16401".80
19..............................  2404".48            16358".23
20..............................  2400".27            16355".22
21..............................  2355".85            16352".59
22..............................  2351".17            16350".56
23..............................  2346".33            16348".98
24..............................  2341".37            16347".99
25..............................  2336".34            16347".56
26..............................  2331".27            16347".60
27..............................  2326".27            16348".28
28..............................  2321".34            16349".50
29..............................  2316".53            16351".14
30..............................  2311".96            16353".47
31..............................  2307".54            16356".15
32..............................  2303".46            16359".38
33..............................  2259".65            16403".01
34..............................  2256".27            16407".10
35..............................  2253".22            16411".49
36..............................  2250".60            16416".18
37..............................  2248".48            16421".16
38..............................  2246".73            16426".28
39..............................  2245".49            16431".60
40..............................  2244".83            16437".03
41..............................  2244".65            16442".51
42..............................  2244".92            16447".99
43..............................  2245".11            16449".52
44..............................  2245".39            16451".48
45..............................  2245".17            16451".53
46..............................  2250".26            16534".99
47..............................  2255".50            16619".63
48..............................  2255".93            16623".32
49..............................  2257".41            16636".00
50..............................  2303".75            16645".00
51..............................  2305".48            16647".45
52..............................  2412".70            16822".86
53..............................  2412".88            16822".78
54..............................  2416".05            16827".28
55..............................  2419".15            16831".66
56..............................  2422".27            16835".95
57..............................  2425".71            16839".94
58..............................  2429".51            16843".55
59..............................  2433".67            16846".63
60..............................  2438".06            16849".29
61..............................  2442".68            16851".46
62..............................  2447".45            16853".12
63..............................  2452".34            16854".28
64..............................  2457".32            16854".82
65..............................  2502".32            16854".95
66..............................  2507".30            16854".43
67..............................  2512".19            16853".32
68..............................  2516".99            16851".76
69..............................  2521".57            16849".60
70..............................  2525".94            16846".93
71..............................  2530".09            16843".86
72..............................  2533".89            16840".42
73..............................  2537".37            16836".52
74..............................  2540".49            16832".24
75..............................  2543".24            16827".68
76..............................  2545".57            16822".82
77..............................  2547".43            16817".76
78..............................  2548".79            16812".47
79..............................  2549".72            16807".09
80..............................  2550".11            16801".62
81..............................  2550".18            16800".09
------------------------------------------------------------------------


                         Table C-4--Nihoa Island
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2352".82            16144".54
2...............................  2352".10            16141".20
3...............................  2351".18            16137".92
4...............................  2350".08            16134".71
5...............................  2348".79            16131".58
6...............................  2347".33            16128".55
7...............................  2345".69            16125".62
8...............................  2343".88            16122".81
9...............................  2341".92            16120".13
10..............................  2339".80            16117".60
11..............................  2337".54            16115".21
12..............................  2335".14            16112".99
13..............................  2332".62            16110".93
14..............................  2329".99            16109".05
15..............................  2327".25            16107".35
16..............................  2324".42            16105".85
17..............................  2321".51            16104".54
18..............................  2318".52            16103".43
19..............................  2315".48            16102".53
20..............................  2312".39            16101".84
21..............................  2309".27            16101".35
22..............................  2306".13            16101".09
23..............................  2302".97            16101".03
24..............................  2259".82            16101".19
25..............................  2256".69            16101".57
26..............................  2253".58            16102".15
27..............................  2250".51            16102".95
28..............................  2247".50            16103".95
29..............................  2244".55            16105".15
30..............................  2241".67            16106".54
31..............................  2238".88            16108".13
32..............................  2236".19            16109".90
33..............................  2233".61            16111".85
34..............................  2231".14            16113".97
35..............................  2228".81            16116".25
36..............................  2226".61            16118".69
37..............................  2224".56            16121".26
38..............................  2222".66            16123".97
39..............................  2220".92            16126".80
40..............................  2219".35            16129".74
41..............................  2217".95            16132".78
42..............................  2216".73            16135".90
43..............................  2215".70            16139".10
44..............................  2214".85            16142".37
45..............................  2214".20            16145".68
46..............................  2213".73            16149".03
47..............................  2213".47            16152".41
48..............................  2213".40            16155".80
49..............................  2213".53            16159".18
50..............................  2213".85            16202".55
51..............................  2214".31            16205".45
52..............................  2214".37            16205".89
53..............................  2214".59            16206".88
54..............................  2215".87            16212".18
55..............................  2217".70            16217".31
56..............................  2219".97            16222".20
57..............................  2222".73            16226".84
58..............................  2225".88            16231".15
59..............................  2229".41            16235".09

[[Page 379]]

 
60..............................  2233".28            16238".61
61..............................  2237".47            16241".72
62..............................  2241".93            16244".34
63..............................  2246".63            16246".47
64..............................  2251".48            16248".05
65..............................  2256".46            16249".09
66..............................  2301".50            16249".58
67..............................  2306".58            16249".49
68..............................  2311".61            16248".89
69..............................  2316".57            16247".70
70..............................  2321".36            16245".98
71..............................  2326".02            16243".75
72..............................  2330".40            16241".01
73..............................  2334".51            16237".83
74..............................  2338".26            16234".18
75..............................  2341".69            16230".18
76..............................  2344".72            16225".79
77..............................  2347".36            16221".11
78..............................  2349".55            16216".16
79..............................  2351".24            16210".99
80..............................  2352".44            16205".63
81..............................  2353".14            16200".25
82..............................  2353".36            16154".75
83..............................  2353".09            16149".28
84..............................  2352".82            16147".09
85..............................  2352".39            16144".67
------------------------------------------------------------------------


[73 FR 73599, Dec. 3, 2008]



Sec. Appendix D to Part 404--Boundary Coordinates for Papahanaumokuakea 
              Marine National Monument Ship Reporting Area

                  Appendix D--Geographical Coordinates

                           Ship Reporting Area

               Papahanaumokuakea Marine National Monument

    Reference chart: United States 540, 2008 edition; 19016, 2008 
edition; 19019, 2008 edition; 19022, 2008 edition.
    These charts are based on World Geodetic System 1984 Datum (WGS-84) 
and astronomic datum.

                        Table D-1--Outer Boundary
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2925".47            17816".97
2...............................  2843".73            17513".84
3...............................  2700".77            17325".78
4...............................  2644".91            17128".07
5...............................  2624".23            17020".59
6...............................  2556".43            16732".10
7...............................  2450".20            16558".69
8...............................  2405".52            16156".86
9...............................  2405".29            16156".62
10..............................  2404".37            16151".53
11..............................  2403".44            16146".45
12..............................  2402".41            16141".39
13..............................  2401".31            16136".35
14..............................  2359".68            16131".55
15..............................  2357".85            16126".85
16..............................  2355".54            16122".31
17..............................  2352".96            16117".92
18..............................  2350".12            16113".72
19..............................  2346".94            16110".08
20..............................  2343".49            16106".47
21..............................  2339".71            16103".09
22..............................  2335".72            16100".14
23..............................  2331".59            16057".46
24..............................  2327".32            16055".23
25..............................  2322".74            16053".71
26..............................  2318".29            16052".17
27..............................  2313".57            16051".04
28..............................  2308".68            16050".46
29..............................  2303".70            16050".17
30..............................  2258".67            16050".35
31..............................  2253".84            16051".04
32..............................  2249".11            16052".20
33..............................  2244".46            16053".56
34..............................  2240".03            16055".52
35..............................  2235".73            16057".68
36..............................  2231".54            16100".25
37..............................  2227".57            16103".23
38..............................  2223".76            16106".64
39..............................  2220".24            16110".23
40..............................  2217".02            16114".13
41..............................  2214".04            16118".34
42..............................  2211".35            16122".80
43..............................  2209".19            16127".45
44..............................  2207".29            16132".11
45..............................  2205".87            16136".94
46..............................  2204".62            16141".89
47..............................  2203".94            16147".09
48..............................  2203".41            16152".36
49..............................  2203".41            16157".51
50..............................  2203".82            16202".83
51..............................  2204".49            16208".04
52..............................  2205".43            16213".12
53..............................  2205".97            16216".41
54..............................  2206".29            16216".85
55..............................  2234".57            16447".27
56..............................  2247".60            16638".23
57..............................  2403".82            16827".91
58..............................  2425".76            17045".39
59..............................  2446".54            17153".03
60..............................  2507".60            17428".71
61..............................  2705".82            17635".51
62..............................  2727".32            17838".66
63..............................  2728".93            17843".56
64..............................  2730".64            17848".40
65..............................  2732".74            17852".96
66..............................  2735".06            17857".30
67..............................  2737".89            17901".49
68..............................  2740".90            17905".60
69..............................  2744".17            17909".41
70..............................  2747".74            17912".85
71..............................  2751".45            17916".00
72..............................  2755".32            17918".82
73..............................  2759".33            17921".13
74..............................  2803".49            17923".15
75..............................  2807".82            17924".76
76..............................  2812".31            17926".18
77..............................  2816".95            17927".05
78..............................  2821".61            17927".63
79..............................  2826".18            17927".77
80..............................  2830".87            17927".48
81..............................  2835".61            17926".95
82..............................  2840".09            17925".75
83..............................  2844".46            17924".31
84..............................  2848".70            17922".50
85..............................  2852".81            17920".43
86..............................  2856".71            17917".77
87..............................  2900".58            17914".92
88..............................  2904".18            17911".69

[[Page 380]]

 
89..............................  2907".62            17908".20
90..............................  2910".86            17904".37
91..............................  2913".76            17900".21
92..............................  2916".24            17855".78
93..............................  2918".51            17851".26
94..............................  2920".45            17846".50
95..............................  2922".26            17841".67
96..............................  2923".52            17836".64
97..............................  2924".53            17831".54
98..............................  2925".16            17826".31
99..............................  2925".42            17820".92
100.............................  2925".29            17816".70
------------------------------------------------------------------------


Table D-2--Inner Boundary Around Kure Atoll, Midway Atoll, and Pearl and
                              Hermes Atoll
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2714".76            17629".87
2...............................  2724".95            17733".31
3...............................  2735".87            17829".90
4...............................  2736".64            17833".93
5...............................  2737".53            17837".32
6...............................  2738".60            17840".65
7...............................  2739".85            17843".90
8...............................  2741".28            17847".05
9...............................  2742".89            17850".10
10..............................  2744".66            17853".03
11..............................  2746".59            17855".83
12..............................  2748".67            17858".49
13..............................  2750".89            17901".00
14..............................  2753".22            17903".39
15..............................  2755".69            17905".61
16..............................  2758".29            17907".61
17..............................  2801".01            17909".47
18..............................  2803".81            17911".10
19..............................  2806".71            17912".53
20..............................  2809".67            17913".75
21..............................  2812".70            17914".75
22..............................  2815".78            17915".54
23..............................  2818".91            17916".11
24..............................  2822".04            17916".45
25..............................  2824".72            17916".56
26..............................  2825".20            17916".57
27..............................  2825".81            17916".56
28..............................  2828".35            17916".44
29..............................  2831".49            17916".10
30..............................  2834".61            17915".54
31..............................  2837".69            17914".75
32..............................  2840".71            17913".74
33..............................  2843".68            17912".54
34..............................  2846".58            17911".13
35..............................  2849".39            17909".52
36..............................  2852".11            17907".70
37..............................  2854".72            17905".70
38..............................  2857".21            17903".51
39..............................  2859".58            17901".15
40..............................  2901".81            17858".62
41..............................  2903".90            17855".93
42..............................  2905".83            17853".10
43..............................  2907".60            17850".13
44..............................  2909".21            17847".04
45..............................  2910".64            17843".84
46..............................  2911".89            17840".54
47..............................  2912".95            17837".16
48..............................  2913".82            17833".71
49..............................  2914".50            17830".21
50..............................  2914".99            17826".66
51..............................  2915".28            17823".08
52..............................  2915".36            17819".49
53..............................  2915".25            17815".90
54..............................  2914".94            17812".32
55..............................  2914".43            17808".78
56..............................  2903".47            17712".07
57..............................  2902".55            17707".29
58..............................  2838".96            17535".47
59..............................  2838".67            17534".35
60..............................  2834".91            17519".74
61..............................  2826".24            17510".65
62..............................  2824".61            17508".95
63..............................  2824".53            17509".04
64..............................  2820".09            17504".91
65..............................  2816".05            17501".92
66..............................  2811".78            17459".33
67..............................  2807".29            17457".23
68..............................  2802".63            17455".68
69..............................  2757".84            17454".62
70..............................  2753".01            17454".05
71..............................  2748".12            17454".05
72..............................  2743".28            17454".62
73..............................  2738".48            17455".71
74..............................  2733".81            17457".32
75..............................  2729".30            17459".43
76..............................  2725".00            17502".03
77..............................  2720".93            17505".07
78..............................  2717".18            17508".59
79..............................  2713".73            17512".47
80..............................  2710".59            17516".67
81..............................  2707".88            17521".25
82..............................  2705".57            17526".09
83..............................  2703".66            17531".15
84..............................  2702".22            17536".40
85..............................  2701".29            17541".78
86..............................  2700".73            17547".22
87..............................  2700".68            17552".74
88..............................  2701".09            17558".16
89..............................  2701".99            17603".53
90..............................  2703".34            17608".81
91..............................  2705".12            17613".91
92..............................  2707".37            17618".79
93..............................  2709".98            17623".40
94..............................  2713".02            17627".74
95..............................  2713".77            17628".70
------------------------------------------------------------------------


 Table D-3--Inner Boundary Around Lisianski Island, Laysan Island, Maro
                          Reef, and Raita Bank
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2650".89            17330".79
2...............................  2636".00            17137".70
3...............................  2635".49            17133".84
4...............................  2635".10            17130".84
5...............................  2634".07            17127".50
6...............................  2633".35            17125".16
7...............................  2614".26            17023".04
8...............................  2608".69            16948".96
9...............................  2608".36            16949".03
10..............................  2607".62            16945".83
11..............................  2606".03            16940".57
12..............................  2603".97            16935".64
13..............................  2601".51            16930".91
14..............................  2558".65            16926".45
15..............................  2555".32            16922".34
16..............................  2551".67            16918".60
17..............................  2547".78            16915".19
18..............................  2543".54            16912".34

[[Page 381]]

 
19..............................  2539".05            16909".93
20..............................  2534".37            16908".08
21..............................  2529".54            16906".76
22..............................  2524".61            16905".93
23..............................  2519".63            16905".64
24..............................  2514".65            16905".93
25..............................  2509".69            16906".66
26..............................  2504".85            16908".02
27..............................  2500".17            16909".96
28..............................  2455".66            16912".35
29..............................  2451".35            16915".14
30..............................  2447".37            16918".48
31..............................  2443".69            16922".22
32..............................  2440".34            16926".31
33..............................  2437".42            16930".78
34..............................  2435".00            16935".64
35..............................  2433".02            16940".66
36..............................  2431".34            16945".88
37..............................  2430".31            16951".08
38..............................  2429".68            16956".53
39..............................  2429".56            17001".81
40..............................  2429".61            17004".57
41..............................  2435".77            17044".39
42..............................  2436".29            17047".58
43..............................  2437".18            17050".37
44..............................  2437".76            17052".17
45..............................  2456".23            17150".19
46..............................  2516".61            17424".84
47..............................  2529".56            17438".45
48..............................  2533".28            17442".03
49..............................  2537".33            17445".20
50..............................  2541".68            17447".84
51..............................  2546".23            17450".05
52..............................  2550".93            17451".77
53..............................  2555".80            17452".91
54..............................  2600".71            17453".47
55..............................  2605".67            17453".61
56..............................  2610".59            17453".07
57..............................  2615".46            17452".08
58..............................  2620".20            17450".57
59..............................  2624".75            17448".44
60..............................  2629".15            17445".94
61..............................  2633".26            17442".96
62..............................  2637".11            17439".49
63..............................  2640".60            17435".63
64..............................  2643".75            17431".43
65..............................  2646".49            17426".87
66..............................  2648".90            17422".09
67..............................  2650".79            17417".03
68..............................  2652".20            17411".79
69..............................  2653".21            17406".43
70..............................  2653".74            17400".98
71..............................  2653".74            17355".48
72..............................  2653".29            17350".02
73..............................  2652".56            17344".58
74..............................  2651".85            17339".14
75..............................  2651".13            17333".69
76..............................  2650".75            17330".87
------------------------------------------------------------------------


   Table D-4--Inner Boundary Around Gardner Pinnacles, French Frigate
                        Shoals, and Necker Island
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2549".64            16752".66
2...............................  2549".70            16752".65
3...............................  2548".99            16748".35
4...............................  2547".09            16736".72
5...............................  2539".84            16726".48
6...............................  2535".10            16719".79
7...............................  2510".43            16645".00
8...............................  2440".91            16603".36
9...............................  2435".64            16534".99
10..............................  2423".78            16431".12
11..............................  2423".59            16431".14
12..............................  2423".31            16429".74
13..............................  2421".85            16424".52
14..............................  2420".10            16419".39
15..............................  2417".75            16414".56
16..............................  2414".99            16409".97
17..............................  2411".86            16405".69
18..............................  2408".30            16401".80
19..............................  2404".48            16358".23
20..............................  2400".27            16355".22
21..............................  2355".85            16352".59
22..............................  2351".17            16350".56
23..............................  2346".33            16348".98
24..............................  2341".37            16347".99
25..............................  2336".34            16347".56
26..............................  2331".27            16347".60
27..............................  2326".27            16348".28
28..............................  2321".34            16349".50
29..............................  2316".53            16351".14
30..............................  2311".96            16353".47
31..............................  2307".54            16356".15
32..............................  2303".46            16359".38
33..............................  2259".65            16403".01
34..............................  2256".27            16407".10
35..............................  2253".22            16411".49
36..............................  2250".60            16416".18
37..............................  2248".48            16421".16
38..............................  2246".73            16426".28
39..............................  2245".49            16431".60
40..............................  2244".83            16437".03
41..............................  2244".65            16442".51
42..............................  2244".92            16447".99
43..............................  2245".11            16449".52
44..............................  2245".39            16451".48
45..............................  2245".17            16451".53
46..............................  2250".26            16534".99
47..............................  2255".50            16619".63
48..............................  2255".93            16623".32
49..............................  2257".41            16636".00
50..............................  2303".75            16645".00
51..............................  2305".48            16647".45
52..............................  2412".70            16822".86
53..............................  2412".88            16822".78
54..............................  2416".05            16827".28
55..............................  2419".15            16831".66
56..............................  2422".27            16835".95
57..............................  2425".71            16839".94
58..............................  2429".51            16843".55
59..............................  2433".67            16846".63
60..............................  2438".06            16849".29
61..............................  2442".68            16851".46
62..............................  2447".45            16853".12
63..............................  2452".34            16854".28
64..............................  2457".32            16854".82
65..............................  2502".32            16854".95
66..............................  2507".30            16854".43
67..............................  2512".19            16853".32
68..............................  2516".99            16851".76
69..............................  2521".57            16849".60
70..............................  2525".94            16846".93
71..............................  2530".09            16843".86
72..............................  2533".89            16840".42
73..............................  2537".37            16836".52

[[Page 382]]

 
74..............................  2540".49            16832".24
75..............................  2543".24            16827".68
76..............................  2545".57            16822".82
77..............................  2547".43            16817".76
78..............................  2548".79            16812".47
79..............................  2549".72            16807".09
80..............................  2550".11            16801".62
81..............................  2550".18            16800".09
------------------------------------------------------------------------


              Table D-5--Inner Boundary Around Nihoa Island
------------------------------------------------------------------------
              Point                  Latitude (N)        Longitude (W)
------------------------------------------------------------------------
1...............................  2352".82            16144".54
2...............................  2352".10            16141".20
3...............................  2351".18            16137".92
4...............................  2350".08            16134".71
5...............................  2348".79            16131".58
6...............................  2347".33            16128".55
7...............................  2345".69            16125".62
8...............................  2343".88            16122".81
9...............................  2341".92            16120".13
10..............................  2339".80            16117".60
11..............................  2337".54            16115".21
12..............................  2335".14            16112".99
13..............................  2332".62            16110".93
14..............................  2329".99            16109".05
15..............................  2327".25            16107".35
16..............................  2324".42            16105".85
17..............................  2321".51            16104".54
18..............................  2318".52            16103".43
19..............................  2315".48            16102".53
20..............................  2312".39            16101".84
21..............................  2309".27            16101".35
22..............................  2306".13            16101".09
23..............................  2302".97            16101".03
24..............................  2259".82            16101".19
25..............................  2256".69            16101".57
26..............................  2253".58            16102".15
27..............................  2250".51            16102".95
28..............................  2247".50            16103".95
29..............................  2244".55            16105".15
30..............................  2241".67            16106".54
31..............................  2238".88            16108".13
32..............................  2236".19            16109".90
33..............................  2233".61            16111".85
34..............................  2231".14            16113".97
35..............................  2228".81            16116".25
36..............................  2226".61            16118".69
37..............................  2224".56            16121".26
38..............................  2222".66            16123".97
39..............................  2220".92            16126".80
40..............................  2219".35            16129".74
41..............................  2217".95            16132".78
42..............................  2216".73            16135".90
43..............................  2215".70            16139".10
44..............................  2214".85            16142".37
45..............................  2214".20            16145".68
46..............................  2213".73            16149".03
47..............................  2213".47            16152".41
48..............................  2213".40            16155".80
49..............................  2213".53            16159".18
50..............................  2213".85            16202".55
51..............................  2214".31            16205".45
52..............................  2214".37            16205".89
53..............................  2214".59            16206".88
54..............................  2215".87            16212".18
55..............................  2217".70            16217".31
56..............................  2219".97            16222".20
57..............................  2222".73            16226".84
58..............................  2225".88            16231".15
59..............................  2229".41            16235".09
60..............................  2233".28            16238".61
61..............................  2237".47            16241".72
62..............................  2241".93            16244".34
63..............................  2246".63            16246".47
64..............................  2251".48            16248".05
65..............................  2256".46            16249".09
66..............................  2301".50            16249".58
67..............................  2306".58            16249".49
68..............................  2311".61            16248".89
69..............................  2316".57            16247".70
70..............................  2321".36            16245".98
71..............................  2326".02            16243".75
72..............................  2330".40            16241".01
73..............................  2334".51            16237".83
74..............................  2338".26            16234".18
75..............................  2341".69            16230".18
76..............................  2344".72            16225".79
77..............................  2347".36            16221".11
78..............................  2349".55            16216".16
79..............................  2351".24            16210".99
80..............................  2352".44            16205".63
81..............................  2353".14            16200".25
82..............................  2353".36            16154".75
83..............................  2353".09            16149".28
84..............................  2352".82            16147".09
85..............................  2352".39            16144".67
------------------------------------------------------------------------


[73 FR 73601, Dec. 3, 2008]



 Sec. Appendix E to Part 404--Content and Syntax for Papahanaumokuakea 
                          Ship Reporting System

    Immediately upon crossing the reporting area boundary, notification 
should be sent as a direct e-mail to [email protected] in the 
prescribed format and data syntax shown. Use of batch message routing 
services which may delay receipt of a report should not be used. Failure 
to follow the exact format (e.g., extra information, extraneous 
characters, or double spacing) may cause the automated computer system 
to reject your report.

    Note Report transmission costs via INMARSAT-C will be assumed by 
NOAA.

                      E.1 Entry Notification Format

    Immediately upon entering the Reporting Area, vessels required to 
participate must provide the following information.

[[Page 383]]



         Table E.1--Information required for entry notification
------------------------------------------------------------------------
                    Function           Information       Example field
              --------------------      required              text
  Telegraphy                      --------------------------------------
                System identifier   CORAL SHIPREP //    CORAL SHIPREP //
------------------------------------------------------------------------
A............  Ship..............  Vessel name/call    A/OCEAN VOYAGER/
                                    sign/flag/IMO       C5FU8/BAHAMAS/
                                    number/Federal      IMO 9359165//
                                    documentation or
                                    State
                                    registration
                                    number if
                                    applicable //.
B............  Date, time (UTC),   A 6-digit group     B/271107Z DEC//
                and month of        giving day of
                entry.              month (first two
                                    digits), hours
                                    and minutes (last
                                    four digits) in
                                    coordinated
                                    universal time,
                                    suffixed by the
                                    letter Z
                                    (indicating time
                                    in UTC), and
                                    three letters
                                    indicating month /
                                    /.
C............  Position..........  A 4-digit group     C/2728N/17356W//
                                    giving latitude
                                    in degrees and
                                    minutes, suffixed
                                    with the letter N
                                    (indicating
                                    north), followed
                                    by a single /,
                                    and a five-digit
                                    group giving
                                    longitude in
                                    degrees and
                                    minutes, suffixed
                                    with the letter W
                                    (indicating west)
                                    // [Report in the
                                    World Geodetic
                                    System 1984 Datum
                                    (WGS-84)].
E............  True course.......  3-digit number      E/180//
                                    indicating true
                                    course //.
F............  Speed in knots and  3-digit group       F/20.5//
                tenths.             indicating knots
                                    decimal tenths //.
I............  Destination and     Name of port city/  I/SEATTLE/USA/
                estimated time of   country/estimated   311230Z DEC//
                arrival.            arrival date and
                                    time group
                                    expressed as in
                                    (B) //.
L............  Intended route      Route information   L/RL/215/20.5//
                through the         should be          -OR-
                reporting area.     reported as a      L/WP/2734N/17352W/
                                    direct rhumbline    20.5//
                                    (RL) course        L/WP/2641N/17413W/
                                    through the         20.5//
                                    reporting area     L/WP/2605N/17530W/
                                    and intended        20.5//
                                    speed (expressed
                                    as in E and F) or
                                    a series of
                                    waypoints (WP).
                                    Each waypoint
                                    entry should be
                                    reported as
                                    latitude and
                                    longitude,
                                    expressed as in
                                    (C), and intended
                                    speed between
                                    waypoints (as in
                                    F) // (Note: As
                                    many ``L'' lines
                                    as needed may be
                                    used to describe
                                    the vessel's
                                    intended route.).
O............  Vessel draft in     Maximum present     O/11.50//
                meters.             static draft
                                    reported in
                                    meters decimal
                                    centimeters //.
P............  Categories of       Classification      P/IMDG/
                Hazardous           Code (e.g. IMDG,    1.4G,2.1,2.2,2.3
                Cargoes*.           IBC, IGC, INF) /    ,3,4.1,6.1,8,9//
                                    and all
                                    corresponding
                                    Categories of
                                    Hazardous Cargoes
                                    (delimited by
                                    commas) // Note:
                                    If necessary, use
                                    a separate ``P''
                                    line for each
                                    type of
                                    Classification
                                    Code.
Q............  Defects or          Brief details of    Q/Include details
                deficiencies**.     defects, damage,    as required//
                                    deficiencies or
                                    limitations that
                                    restrict
                                    maneuverability
                                    or impair normal
                                    navigation // (If
                                    none, enter the
                                    number zero.).
R............  Pollution incident  Description of      R/0//
                or goods lost       pollution
                overboard**.        incident or goods
                                    lost overboard
                                    within the
                                    Monument, the
                                    Reporting Area,
                                    or the U.S.
                                    Exclusive
                                    Economic Zone//
                                    (If none, enter
                                    the number zero.).
T............  Contact             Name/address/and    T/JOHN DOE/
                information of      phone number of     GENERIC SHIPPING
                ship's agent or     ship's agent or     COMPANY INC,
                owner.              owner //.           6101 ACME ROAD,
                                                        ROOM 123, CITY,
                                                        STATE, COUNTRY
                                                        12345/123-123-
                                                        1234//
U............  Ship size (length   Length overall      U/294.14/54592/
                overall and gross   reported in         CONTAINER SHIP//
                tonnage) and type.  meters decimal
                                    centimeters/
                                    number of gross
                                    tons/type of ship
                                    (e.g. bulk
                                    carrier, chemical
                                    tanker, oil
                                    tanker, gas
                                    tanker,
                                    container,
                                    general cargo,
                                    fishing vessel,
                                    research,
                                    passenger, OBO,
                                    RORO) //.
W............  Persons...........  Total number of     W/15//
                                    persons on board /
                                    /.
------------------------------------------------------------------------
Table E.1 Notes
*Categories of hazardous cargoes means goods classified in the
  International Maritime Dangerous Goods (IMDG) Code; substances
  classified in chapter 17 of the International Code for the
  Construction and Equipment of Ships Carrying Dangerous Chemicals in
  Bulk (IBC Code) and chapter 19 of the International Code for the
  Construction and Equipment of Ships Carrying Liquefied Gases in Bulk
  (IGC Code); oils as defined in MARPOL Annex I; noxious liquid
  substances as defined in MARPOL Annex II; harmful substances as
  defined in MARPOL Annex III; and radioactive materials specified in
  the Code for the Safe Carriage of the Irradiated Nuclear Fuel,
  Plutonium and High-Level Radioactive Wastes in Flasks on Board Ships
  (INF Code).
**In accordance with the provisions of the MARPOL Convention, ships must
  report information relating to defects, damage, deficiencies or other
  limitations as well as, if necessary, information relating to
  pollution incidents or loss of cargo. Safety related reports must be
  provided to CORAL SHIPREP without delay should a ship suffer damage,
  failure or breakdown affecting the safety of the ship (Item Q), or if
  a ship makes a marked deviation from a route, course or speed
  previously advised (Item L). Pollution or cargo lost overboard must be
  reported without delay (Item R).


[[Page 384]]

                 E.2 Prior Notification of Entry Format

    Vessels of the United States less than 300 gross tonnage that are 
not equipped with onboard email capability must provide the following 
notification of entry at least 72 hrs, but no longer than 1 month, prior 
to entry date, utilizing the data syntax described above. Notification 
may be made via the following communication methods, listed in order of 
preference: Email [[email protected]]; fax [1-808-455-3093]; 
telephone [1-866-478-NWHI (6944)].

         Table E.2--Information Required for Prior Notification
------------------------------------------------------------------------
 
------------------------------------------------------------------------
System identifier.........................  PRIOR NOTICE //.
Items.....................................  A, B, C (as applicable), I,
                                             L, O, P (as applicable), Q,
                                             T, U, W.
------------------------------------------------------------------------


                      E.3 Exit Notification Format

    Immediately upon leaving the Reporting Area, vessels required to 
participate must provide the following information. Vessels of the 
United States less than 300 gross tonnage that are not equipped with 
onboard email capability must provide the following Exit Notification 
information within 12 hrs of leaving the Reporting Area. Notification 
may be made via the following communication methods, listed in order of 
preference: Email [[email protected]]; fax [1-808-455-3093]; 
telephone [1-866-478-NWHI (6944)].

          Table E.3--Information Required for Exit Notification
------------------------------------------------------------------------
                      Function         Information       Example field
                -------------------      required             text
   Telegraphy                      -------------------------------------
                 System identifier   CORAL SHIPREP //   CORAL SHIPREP//
------------------------------------------------------------------------
A..............  Ship.............  Vessel name /      A/OCEAN VOYAGER/
                                     call sign / flag   C5FU8/BAHAMAS/
                                     / IMO number /     IMO9359165//
                                     Federal
                                     documentation or
                                     State
                                     registration
                                     number if
                                     applicable //.
B..............  Date, time (UTC),  A 6-digit group    B/271657Z DEC//
                  and month of       giving day of
                  exit.              month (first two
                                     digits), hours
                                     and minutes
                                     (last four
                                     digits),
                                     suffixed by the
                                     letter Z
                                     indicating time
                                     in UTC, and
                                     three letters
                                     indicating month/
                                     /.
C..............  Position.........  A 4-digit group    C/2605N/17530W//
                                     giving latitude
                                     in degrees and
                                     minutes,
                                     suffixed with
                                     the letter N
                                     (indicating
                                     north), followed
                                     by a single //,
                                     and a five digit
                                     group giving
                                     longitude in
                                     degrees and
                                     minutes,
                                     suffixed with
                                     the letter W
                                     (indicating
                                     west) // [Report
                                     in the World
                                     Geodetic System
                                     1984 Datum (WGS-
                                     84)].
R..............  Pollution          Description of     R/0//
                  incident or        pollution
                  goods lost         incident or
                  overboard.         goods lost
                                     overboard within
                                     the Monument,
                                     the Reporting
                                     Area, or the
                                     U.S. Exclusive
                                     Economic Zone //
                                     (If none, enter
                                     the number zero).
------------------------------------------------------------------------

                        E.4 Example Entry Report

CORAL SHIPREP//
A/SEA ROVER/WFSU/USA/IMO 8674208/DOC 602011//
B/010915Z JUN//
C/2636N/17600W//
E/050//
F/20.0//
I/LOS ANGELES/USA/081215Z JUN//
L/RL/050/20.0//
O/10.90//
P/IMDG/3,4.1,6.1,8,9//
Q/0//
R/0//
T/JOHN DOE/CONTAINER SHIPPERS INC, 500 PORT ROAD, ROOM 123, LOS ANGELES, 
CA, USA 90050/213-123-1234//
U/199.90/27227/CONTAINER SHIP//
W/15//

                         E.5 Example Exit Report

CORAL SHIPREP//
A/SEA ROVER/WFSU/USA/IMO 8674208/DOC 602011//
B/011515Z JUN//
C/2747N/17416W//
R/0//

[73 FR 73603, Dec. 3, 2008, as amended at 79 FR 44317, July 31, 2014]

[[Page 385]]



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.
424.03 Has the Office of Management and Budget approved the collection 
          of information?

                     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 Impact analysis and exclusions from critical habitat.
424.20 Emergency rules.
424.21 Periodic review.

    Authority: 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 regulations for revising the Lists of 
Endangered and Threatened Wildlife and Plants and designating or 
revising the critical habitats of listed species. Part 424 provides 
criteria for determining whether species are endangered or threatened 
species and for designating critical habitats. Part 424 also establishes 
procedures for receiving and considering petitions to revise the lists 
and for conducting periodic reviews of listed species.
    (b) The purpose of the regulations in part 424 is to interpret and 
implement those portions of the Act that pertain to the listing of 
species as threatened or endangered species and the designation of 
critical habitat.

[81 FR 7438, Feb. 11, 2016]



Sec.  424.02  Definitions.

    The definitions contained in the Act and parts 17, 222, and 402 of 
this title apply to this part, unless specifically modified by one of 
the following definitions. Definitions contained in part 17 of this 
title apply only to species under the jurisdiction of the U.S. Fish and 
Wildlife Service. Definitions contained in part 222 of this title apply 
only to species under the jurisdiction of the National Marine Fisheries 
Service.
    Candidate. Any species being considered by the Secretary for listing 
as an endangered or threatened species, but not yet the subject of a 
proposed rule.
    Conserve, conserving, and conservation. 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, i.e., the species is recovered in 
accordance with Sec.  402.02 of this chapter. 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.
    Geographical area occupied by the species. An area that may 
generally be delineated around species' occurrences, as determined by 
the Secretary (i.e., range). Such areas may include those areas used 
throughout all or part of the species' life cycle, even if not used on a 
regular basis (e.g., migratory corridors, seasonal habitats, and 
habitats used periodically, but not solely by vagrant individuals).
    List or lists. The Lists of Endangered and Threatened Wildlife and 
Plants found at 50 CFR 17.11(h) or 17.12(h).
    Physical or biological features. The features that support the life-
history needs of the species, including but not limited to, water 
characteristics, soil type, geological features, sites, prey, 
vegetation, symbiotic species, or other features. A feature may be a 
single habitat characteristic, or a more complex combination of habitat 
characteristics. Features may include habitat

[[Page 386]]

characteristics that support ephemeral or dynamic habitat conditions. 
Features may also be expressed in terms relating to principles of 
conservation biology, such as patch size, distribution distances, and 
connectivity.
    Public hearing. 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.
    Special management considerations or protection. Methods or 
procedures useful in protecting the physical or biological features 
essential to the conservation of listed species.
    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.
    Wildlife or fish and wildlife. 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.

[81 FR 7438, Feb. 11, 2016]



Sec.  424.03  Has the Office of Management and Budget approved the
collection of information?

    The Office of Management and Budget reviewed and approved the 
information collection requirements contained in subpart B and assigned 
OMB Control No. 1018-0165. We use the information to evaluate and make 
decisions on petitions. We may not conduct or sponsor and you are not 
required to respond to a collection of information unless it displays a 
currently valid OMB control number. You may send comments on the 
information collection requirements to the Information Collection 
Clearance Officer, U.S. Fish and Wildlife Service, at the address listed 
at 50 CFR 2.1(b).

    Effective Date Note: At 81 FR 66484, Sept. 27, 2016, Sec.  424.03 
was revised, effective Oct. 27, 2016.



                     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;
    (4) The inadequacy of existing regulatory mechanisms; or
    (5) Other natural or manmade factors affecting its continued 
existence.

[[Page 387]]

    (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) To the maximum extent prudent and determinable, we will propose 
and finalize critical habitat designations concurrent with issuing 
proposed and final listing rules, respectively. If designation of 
critical habitat is not prudent or if critical habitat is not 
determinable, the Secretary will state the reasons for not designating 
critical habitat in the publication of proposed and final rules listing 
a species. The Secretary will make a final designation of critical 
habitat on the basis of the best scientific data available, after taking 
into consideration the probable economic, national security, and other 
relevant impacts of making such a designation in accordance with Sec.  
424.19.
    (1) A designation of critical habitat is not prudent when any 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. In determining whether a designation would not be 
beneficial, the factors the Services may consider include but are not 
limited to: Whether the present or threatened destruction, modification, 
or curtailment of a species' habitat or range is not a threat to the 
species, or whether any areas meet the definition of ``critical 
habitat.''

[[Page 388]]

    (2) Designation of critical habitat is not determinable when one or 
both of the following situations exist:
    (i) Data sufficient to perform required analyses are lacking; or
    (ii) The biological needs of the species are not sufficiently well 
known to identify any area that meets the definition of ``critical 
habitat.''
    (b) Where designation of critical habitat is prudent and 
determinable, the Secretary will identify specific areas within the 
geographical area occupied by the species at the time of listing and any 
specific areas outside the geographical area occupied by the species to 
be considered for designation as critical habitat.
    (1) The Secretary will identify, at a scale determined by the 
Secretary to be appropriate, specific areas within the geographical area 
occupied by the species for consideration as critical habitat. The 
Secretary will:
    (i) Identify the geographical area occupied by the species at the 
time of listing.
    (ii) Identify physical and biological features essential to the 
conservation of the species at an appropriate level of specificity using 
the best available scientific data. This analysis will vary between 
species and may include consideration of the appropriate quality, 
quantity, and spatial and temporal arrangements of such features in the 
context of the life history, status, and conservation needs of the 
species.
    (iii) Determine the specific areas within the geographical area 
occupied by the species that contain the physical or biological features 
essential to the conservation of the species.
    (iv) Determine which of these features may require special 
management considerations or protection.
    (2) The Secretary will identify, at a scale determined by the 
Secretary to be appropriate, specific areas outside the geographical 
area occupied by the species that are essential for its conservation, 
considering the life history, status, and conservation needs of the 
species based on the best available scientific data.
    (c) Each critical habitat area will be shown on a map, with more-
detailed information discussed in the preamble of the rulemaking 
documents published in the Federal Register and made available from the 
lead field office of the Service responsible for such designation. 
Textual information may be included for purposes of clarifying or 
refining the location and boundaries of each area or to explain the 
exclusion of sites (e.g., paved roads, buildings) within the mapped 
area. Each area will be referenced to the State(s), county(ies), or 
other local government 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 informational purposes only and do not constitute the 
boundaries of the area. Ephemeral reference points (e.g., trees, sand 
bars) shall not be used in any textual description used to clarify or 
refine the boundaries of critical habitat.
    (d) When several habitats, each satisfying the requirements for 
designation as critical habitat, are located in proximity to one 
another, the Secretary may designate an inclusive area as critical 
habitat.
    (e) The Secretary may designate critical habitat for those species 
listed as threatened or endangered but for which no critical habitat has 
been previously designated. For species listed prior to November 10, 
1978, the designation of critical habitat is at the discretion of the 
Secretary.
    (f) The Secretary may revise existing designations of critical 
habitat according to procedures in this section as new data become 
available.
    (g) The Secretary will not designate critical habitat within foreign 
countries or in other areas outside of the jurisdiction of the United 
States.
    (h) The Secretary will not designate as critical habitat land or 
other geographic areas owned or controlled by the Department of Defense, 
or designated for its use, that are subject to a compliant or 
operational integrated natural resources management plan (INRMP) 
prepared under section 101 of the Sikes Act (16 U.S.C. 670a) if the 
Secretary determines in writing that such plan provides a conservation 
benefit to the species for which critical habitat is being designated. 
In determining whether such a benefit is provided, the Secretary will 
consider:

[[Page 389]]

    (1) The extent of the area and features present;
    (2) The type and frequency of use of the area by the species;
    (3) The relevant elements of the INRMP in terms of management 
objectives, activities covered, and best management practices, and the 
certainty that the relevant elements will be implemented; and
    (4) The degree to which the relevant elements of the INRMP will 
protect the habitat from the types of effects that would be addressed 
through a destruction-or-adverse-modification analysis.

[49 FR 38908, Oct. 1, 1984, as amended at 77 FR 25622, May 1, 2012; 81 
FR 7439, Feb. 11, 2016]



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 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

[[Page 390]]

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--
    (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.

    Effective Date Note: At 81 FR 66484, Sept. 27, 2016, Sec.  424.14 
was revised, effective Oct. 27, 2014. For the convenience of the user, 
the revised text is set forth as follows:



Sec.  424.14  Petitions.

    (a) Ability to petition. Any interested person may submit a written 
petition to the Services requesting that one of the actions described in 
Sec.  424.10 be taken for a species.
    (b) Notification of intent to file petition. For a petition to list, 
delist, or reclassify a species, or for petitions to revise critical 
habitat, petitioners must provide notice to the State agency responsible 
for the management and conservation of fish, plant, or wildlife 
resources in each State where the species that is the subject of the 
petition occurs. This notification must be made at least 30 days prior 
to submission of the petition. This notification requirement shall not 
apply to any petition submitted pertaining to a species that does not 
occur within the United States.
    (c) Requirements for petitions. A petition must clearly identify 
itself as such, be dated, and contain the following information:
    (1) The name, signature, address, telephone number, if any, and the 
association, institution, or business affiliation, if any, of the 
petitioner;
    (2) The scientific name and any common name of a species of fish or 
wildlife or plants that is the subject of the petition. Only one species 
may be the subject of a petition, which may include, by hierarchical 
extension based on taxonomy and the Act, any subspecies or variety, or 
(for vertebrates) any potential distinct population segments of that 
species;
    (3) A clear indication of the administrative action the petitioner 
seeks (e.g., listing of a species or revision of critical habitat);

[[Page 391]]

    (4) A detailed narrative justifying the recommended administrative 
action that contains an analysis of the information presented;
    (5) Literature citations that are specific enough for the Services 
to readily locate the information cited in the petition, including page 
numbers or chapters as applicable;
    (6) Electronic or hard copies of supporting materials, to the extent 
permitted by U.S. copyright law, or appropriate excerpts or quotations 
from those materials (e.g., publications, maps, reports, letters from 
authorities) cited in the petition;
    (7) For a petition to list, delist, or reclassify a species, 
information to establish whether the subject entity is a ``species'' as 
defined in the Act;
    (8) For a petition to list a species, or for a petition to delist or 
reclassify a species in cases where the species' range has changed since 
listing, information on the current and historical geographic range of 
the species, including the States or countries intersected, in whole or 
part, by that range; and
    (9) For a petition to list, delist or reclassify a species, or for 
petitions to revise critical habitat, copies of the notification letters 
or electronic communication which petitioners provided to the State 
agency or agencies responsible for the management and conservation of 
fish, plant, or wildlife resources in each State where the species that 
is the subject of the petition currently occurs.
    (d) Information to be included in petitions to add or remove species 
from the lists, or change the listed status of a species. The Service's 
determination as to whether the petition provides substantial scientific 
or commercial information indicating that the petitioned action may be 
warranted will depend in part on the degree to which the petition 
includes the following types of information:
    (1) Information on current population status and trends and 
estimates of current population sizes and distributions, both in 
captivity and the wild, if available;
    (2) Identification of the factors under section 4(a)(1) of the Act 
that may affect the species and where these factors are acting upon the 
species;
    (3) Whether and to what extent any or all of the factors alone or in 
combination identified in section 4(a)(1) of the Act may cause the 
species to be an endangered species or threatened species (i.e., the 
species is currently in danger of extinction or is likely to become so 
within the foreseeable future), and, if so, how high in magnitude and 
how imminent the threats to the species and its habitat are;
    (4) Information on adequacy of regulatory protections and 
effectiveness of conservation activities by States as well as other 
parties, that have been initiated or that are ongoing, that may protect 
the species or its habitat; and
    (5) A complete, balanced representation of the relevant facts, 
including information that may contradict claims in the petition.
    (e) Information to be included in petitions to revise critical 
habitat. The Services' determinations as to whether the petition 
provides substantial scientific information indicating that the 
petitioned action may be warranted will depend in part on the degree to 
which the petition includes the following types of information:
    (1) A description and map(s) of areas that the current designation 
does not include that should be included, or includes that should no 
longer be included, and a description of the benefits of designating or 
not designating these specific areas as critical habitat. Petitioners 
should include sufficient supporting information to substantiate the 
requested changes, which may include GIS data or boundary layers that 
relate to the request, if appropriate;
    (2) A description of physical or biological features essential for 
the conservation of the species and whether they may require special 
management considerations or protection;
    (3) For any areas petitioned to be added to critical habitat within 
the geographical area occupied by the species at time it was listed, 
information indicating that the specific areas contain one or more of 
the physical or biological features (including characteristics that 
support ephemeral or dynamic habitat conditions) that are essential to 
the conservation of the species and may require special management 
considerations or protection. The petitioner should also indicate which 
specific areas contain which features;
    (4) For any areas petitioned for removal from currently designated 
critical habitat within the geographical area occupied by the species at 
the time it was listed, information indicating that the specific areas 
do not contain the physical or biological features (including 
characteristics that support ephemeral or dynamic habitat conditions) 
that are essential to the conservation of the species, or that these 
features do not require special management considerations or protection;
    (5) For areas petitioned to be added to or removed from critical 
habitat that were outside the geographical area occupied by the species 
at the time it was listed, information indicating why the petitioned 
areas are or are not essential for the conservation of the species; and
    (6) A complete, balanced representation of the relevant facts, 
including information that may contradict claims in the petition.
    (f) Response to petitions. (1) If a request does not meet the 
requirements set forth at paragraph (c) of this section, the Services 
will generally reject the request without making

[[Page 392]]

a finding, and will, within a reasonable timeframe, notify the sender 
and provide an explanation of the rejection. However, the Services 
retain discretion to process a petition where the Services determine 
there has been substantial compliance with the relevant requirements.
    (2) If a request does meet the requirements set forth at paragraph 
(c) of this section, the Services will acknowledge receipt of the 
petition by posting information on the respective Service's Web site.
    (g) Supplemental information. If the petitioner provides 
supplemental information before the initial finding is made and states 
that it is part of the petition, the new information, along with the 
previously submitted information, is treated as a new petition that 
supersedes the original petition, and the statutory timeframes will 
begin when such supplemental information is received.
    (h) Findings on petitions to add or remove a species from the lists, 
or change the listed status of a species. (1) To the maximum extent 
practicable, within 90 days of receiving a petition to add a species to 
the lists, remove a species from the lists, or change the listed status 
of a species, the Services will make a finding as to whether the 
petition presents substantial scientific or commercial information 
indicating that the petitioned action may be warranted. The Services 
will publish the finding in the Federal Register.
    (i) For the purposes of this section, ``substantial scientific or 
commercial information'' refers to credible scientific or commercial 
information in support of the petition's claims such that a reasonable 
person conducting an impartial scientific review would conclude that the 
action proposed in the petition may be warranted. Conclusions drawn in 
the petition without the support of credible scientific or commercial 
information will not be considered ``substantial information.''
    (ii) In reaching the initial finding on the petition, the Services 
will consider the information referenced at paragraphs (c), (d), and (g) 
of this section. The Services may also consider information readily 
available at the time the determination is made. The Services are not 
required to consider any supporting materials cited by the petitioner if 
the cited document is not provided in accordance with paragraph (c)(6) 
of this section.
    (iii) The ``substantial scientific or commercial information'' 
standard must be applied in light of any prior reviews or findings the 
Services have made on the listing status of the species that is the 
subject of the petition. Where the Services have already conducted a 
finding on, or review of, the listing status of that species (whether in 
response to a petition or on the Services' own initiative), the Services 
will evaluate any petition received thereafter seeking to list, delist, 
or reclassify that species to determine whether a reasonable person 
conducting an impartial scientific review would conclude that the action 
proposed in the petition may be warranted despite the previous review or 
finding. Where the prior review resulted in a final agency action, a 
petitioned action generally would not be considered to present 
substantial scientific and commercial information indicating that the 
action may be warranted unless the petition provides new information not 
previously considered.
    (2) If the Services find that a petition presents substantial 
information indicating that the petitioned action may be warranted, the 
Services will commence a review of the status of the species concerned. 
At the conclusion of the status review and within 12 months of receipt 
of the petition, the Services will make one of the following findings:
    (i) The petitioned action is not warranted, in which case the 
Service shall publish a finding in the Federal Register.
    (ii) The petitioned action is warranted, in which case the Services 
shall publish in the Federal Register a proposed regulation to implement 
the action pursuant to Sec.  424.16; or
    (iii) The petitioned action is warranted, but:
    (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 change the listed status of species; and
    (B) Expeditious progress is being made to list, delist, or change 
the listed status of qualified species, in which case such finding will 
be published in the Federal Register together with a description and 
evaluation of the reasons and data on which the finding is based. The 
Secretary will make any determination of expeditious progress in 
relation to the amount of funds available after complying with 
nondiscretionary duties under section 4 of the Act and court orders and 
court-approved settlement agreements to take actions pursuant to section 
4 of the Act.
    (3) If a finding is made under paragraph (h)(2)(iii) of this section 
with regard to any petition, the Services will, within 12 months of such 
finding, again make one of the findings described in paragraph (h)(2) of 
this section with regard to such petition.
    (i) Findings on 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 Services will make a finding 
as to whether the petition presents substantial scientific information 
indicating that the revision may be warranted. The Services will publish 
such finding in the Federal Register.
    (i) For the purposes of this section, ``substantial scientific 
information'' refers to credible scientific information in support of 
the petition's claims such that a reasonable

[[Page 393]]

person conducting an impartial scientific review would conclude that the 
revision proposed in the petition may be warranted. Conclusions drawn in 
the petition without the support of credible scientific information will 
not be considered ``substantial information.''
    (ii) The Services will consider the information referenced at 
paragraphs (c), (e), and (g) of this section. The Services may also 
consider other information readily available at the time the 
determination is made in reaching its initial finding on the petition. 
The Services are not required to consider any supporting materials cited 
by the petitioner if the cited documents are not provided in accordance 
with paragraph (b)(6) of this section.
    (2) If the Services find that the petition presents substantial 
information that the requested revision may be warranted, the Services 
will determine, within 12 months of receiving the petition, how to 
proceed with the requested revision, and will promptly publish notice of 
such intention in the Federal Register. That notice may, but need not, 
take a form similar to one of the findings described under paragraph 
(h)(2) of this section.
    (j) Petitions to designate critical habitat or adopt rules under 
sections 4(d), 4(e), or 10(j) of the Act. The Services will conduct a 
review of petitions to designate critical habitat or to adopt a rule 
under section 4(d), 4(e), or 10(j) of the Act in accordance with the 
Administrative Procedure Act (5 U.S.C. 553) and applicable Departmental 
regulations, and take appropriate action.
    (k) Withdrawal of petition. A petitioner may withdraw the petition 
at any time during the petition process by submitting such request in 
writing. If a petition is withdrawn, the Services may, at their 
discretion, discontinue action on the petition finding, even if the 
Services have already made a 90-day finding that there is substantial 
information indicating that the requested action may be warranted.



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 Sec. Sec.  
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 will contain a detailed description of 
the proposed action and a summary of the data on which the proposal is 
based (including, as appropriate, citation of pertinent information 
sources) and will show the relationship of such data to the rule 
proposed. If such a rule proposes to designate or revise critical 
habitat, such summary will, 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. 
For any proposed rule to designate or revise critical habitat, the 
detailed description of the action will include a map of the critical 
habitat area, and may also include rule text that clarifies or modifies 
the map. Any such notice proposing the listing, delisting, or 
reclassification of a species or the designation or revision of

[[Page 394]]

critical habitat will also include a summary of factors affecting the 
species and/or its designated 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 to the 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.

[49 FR 38908, Oct. 1, 1984, as amended at 77 FR 25622, May 1, 2012]



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

[[Page 395]]

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 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 a detailed description of the action being finalized, 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 will also provide a summary of 
factors affecting the species.
    (1) For a rule designating or revising critical habitat, the 
detailed description of the action will include a map of the critical 
habitat area, and may also include rule text that clarifies or modifies 
the map. The map itself, as modified by any rule text, constitutes the 
official boundary of the designation.
    (i) The Service responsible for the designation will include more-
detailed information in the preamble of the rulemaking document and will 
make the coordinates and/or plot points on which the map is based 
available to the public on the Internet site of the Service promulgating 
the designation, at www.regulations.gov, and at the lead field office of 
the Service responsible for the designation.
    (ii) In addition, if the Service responsible for the designation 
concludes that additional tools or supporting information would be 
appropriate and would help the public understand the official boundary 
map, it will, for the convenience of the public, make those additional 
tools and supporting information available on our Internet sites and at 
the lead field office of the Service that is responsible for the 
critical habitat designation (and may also include it in the preamble 
and/or at www.regulations.gov).
    (2) The rule will, to the maximum extent practicable, include 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 adversely 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.

[49 FR 38908, Oct. 1, 1984, as amended at 77 FR 25622, May 1, 2012]

[[Page 396]]



Sec.  424.19  Impact analysis and exclusions from critical habitat.

    (a) At the time of publication of a proposed rule to designate 
critical habitat, the Secretary will make available for public comment 
the draft economic analysis of the designation. The draft economic 
analysis will be summarized in the Federal Register notice of the 
proposed designation of critical habitat.
    (b) Prior to finalizing the designation of critical habitat, the 
Secretary will consider the probable economic, national security, and 
other relevant impacts of the designation upon proposed or ongoing 
activities. The Secretary will consider impacts at a scale that the 
Secretary determines to be appropriate, and will compare the impacts 
with and without the designation. Impacts may be qualitatively or 
quantitatively described.
    (c) The Secretary has discretion to exclude any particular area from 
the critical habitat upon a determination that the benefits of such 
exclusion outweigh the benefits of specifying the particular area as 
part of the critical habitat. In identifying those benefits, in addition 
to the mandatory consideration of impacts conducted pursuant to 
paragraph (b) of this section, the Secretary may assign the weight given 
to any benefits relevant to the designation of critical habitat. The 
Secretary, however, will not exclude any particular area if, based on 
the best scientific and commercial data available, the Secretary 
determines that the failure to designate that area as critical habitat 
will result in the extinction of the species concerned.

[78 FR 53076, Aug. 28, 2013]



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 Sec. Sec.  
424.16, 424.17, 424.18, and 424.19 (as appropriate) have been complied 
with during that period.
    (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 
Sec. Sec.  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.



                         SUBCHAPTER B [RESERVED]



[[Page 397]]



            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.
    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

[[Page 398]]

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 permitting agency, 
and by the permit or license applicant, to the extent known.

[[Page 399]]

    (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.
    (v) A complete explanation of why the action is of regional or 
national significance.

[[Page 400]]

    (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.

    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.

[[Page 401]]



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 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

[[Page 402]]

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 
the attendance and testimony of witnesses and the production of relevant 
papers, books, and documents.

[[Page 403]]

    (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 Committee when examining applications for exemption from section 
7(a)(2) of the Endangered Species Act of 1973, as amended.

[[Page 404]]



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 
make its final determinations, the Chairman shall publish a notice in 
the Federal Register inviting written submissions from interested 
persons.

[[Page 405]]

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.

                        PARTS 454	499 [RESERVED]

[[Page 407]]



                   CHAPTER V--MARINE MAMMAL COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
500

[Reserved]

501             Implementation of the Privacy Act of 1974...         409
510             Implementation of the Federal Advisory 
                    Committee Act...........................         413
520             Public availability of agency materials.....         415
530             Compliance with the National Environmental 
                    Policy Act..............................         417
540             Information security........................         418
550             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by Marine Mammal 
                    Commission..............................         420
560             Implementation of the Government in the 
                    Sunshine Act............................         426
561-599

[Reserved]

[[Page 409]]

                           PART 500 [RESERVED]



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 410]]



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 Sec. Sec.  
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

[[Page 411]]

portion of a record, notice of denial 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 412]]

    (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. The final 
determination shall be forwarded promptly to the individual, together 
with a notice which shall inform

[[Page 413]]

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 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

[[Page 414]]

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 who presented oral or written statements and an estimate of the 
number of members of the public who attended the open sessions. The 
Chairperson

[[Page 415]]

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 Extensions 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,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;

[[Page 416]]

    (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 of the right, and the procedures required 
under Sec.  520.5, to appeal the denial to the Director.

[[Page 417]]



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.



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

[[Page 418]]

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.



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]

[[Page 419]]



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.
    (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

[[Page 420]]

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.



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

[[Page 421]]

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 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

[[Page 422]]

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]



Sec. Sec.  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.



Sec. Sec.  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.
    (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

[[Page 423]]

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.



Sec. Sec.  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.



Sec. Sec.  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 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

[[Page 424]]

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.



Sec. Sec.  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.
    (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

[[Page 425]]

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.



Sec. Sec.  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.
    (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,

[[Page 426]]

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]



Sec. Sec.  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
    (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.

[[Page 427]]

    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 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

[[Page 428]]

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.



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.

[[Page 429]]

    (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 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.

                        PARTS 561	599 [RESERVED]

[[Page 431]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 433]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2016)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)

[[Page 434]]

    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)
    XXVIII  Department of Justice (Parts 3800--3899)

[[Page 435]]

      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)

[[Page 436]]

     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Partys 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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 Nutrition 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)
      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)

[[Page 437]]

        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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     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)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)

[[Page 438]]

         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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, Department of 
                Agriculture (Parts 300--599)

                           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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)

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        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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 Industry and Security, 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)

[[Page 440]]

       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)

             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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599)

                     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)

[[Page 441]]

         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, 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 Service, 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)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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  Millennium Challenge Corporation (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)

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       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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         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)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 443]]

                           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 (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            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)

[[Page 444]]

        II  Office of Labor-Management Standards, 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  Employee Benefits Security 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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)
        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)

[[Page 445]]

      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       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)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (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)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)

[[Page 446]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 447]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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 Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 448]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--599)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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 
                (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)

[[Page 449]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         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  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, 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)
     XXIII  Arctic Research Commission (Part 2301)
      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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)

[[Page 450]]

         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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  Broadcasting Board of Governors (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)
        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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)

[[Page 451]]

        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  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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 Fishing and Related Activities (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)

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           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2016)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  Food and Nutrition 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
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

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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
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  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, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I

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Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
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                             2, IX; 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
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99

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  National Drug Control Policy, Office of         2, XXXVI; 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-Import Bank of the United States           2, XXXV; 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
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition 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

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Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  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
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI

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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
Industry and Security, Bureau of                  15, VII
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  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
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
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                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI

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  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 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

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National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 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, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV

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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                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
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
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  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
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
   Commission
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Veterans Affairs Department                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 463]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2011 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2011

50 CFR
                                                                   76 FR
                                                                    Page
Chapter II
229 Fisheries list.................................................73912
Chapter III
300 Authority citation revised.....................................59305
    Fishery management measures......................................464
    Interpretation..........................................19708, 34890
    Temporary regulations...................................70062, 71469
300.2 Amended......................................................59305
300.11 Amended.....................................................59305
300.20--300.25 (Subpart C) Heading revised...........................287
300.21 Amended................................................287, 68337
300.22 (b)(1), (3), (4)(i)(A) and (ii) revised.......................287
    (b)(7)(ii) revised.............................................68337
300.24 (e), (m) and (n) revised; (o) through (t) added.............68337
300.25 (b), (e)(1) and (f) revised; (e)(4) and (g) added...........68338
300.61 Amended......................................................6571
300.63 (d)(1)(i), (ii) and (e) revised.............................14318
300.64 (d) revised.................................................14319
300.65 (d)(2)(iv)(B)(1), (4) and (3) removed; (d)(2)(iv)(B)(2), 
        (3) and (5) through (8) redesignated as (d)(2)(iv)(B)(1) 
        through (6); (d)(1)(i), (2)(iv) introductory text, (A), 
        (B) introductory text, new (4) and new (5) revised; 
        (d)(1)(iii) added...........................................6571
300.96 Amended.....................................................59305
300.121 Amended....................................................59305
300.128 Amended....................................................59305
300.140 Amended....................................................59305
300.141 Introductory text amended..................................59305
300.144 Amended....................................................59305
300.151 Amended....................................................59305
300.154 (b)(2) revised.............................................59305
300.155 (d)(4) amended.............................................59305
300.156 (m) amended................................................59305
300.157 Amended....................................................59305
300.173 Revised....................................................73520
300.200--300.207 (Subpart N) Revised................................2024
300.205 OMB number pending in part..................................2024
300.206 OMB number pending..........................................2024
300.207 OMB number pending..........................................2024
300.217 (c) removed................................................73520
300.223 (a)(1)(i), (ii), (iii), (b) introductory text, (c)(1) 
        introductory text, (d)(3) introductory text and (e)(2) 
        introductory text revised; interim.........................82183

                                  2012

50 CFR
                                                                   77 FR
                                                                    Page
Chapter II
228 Policy statement...............................................60319
229.3 (v) through (y) added........................................71284

[[Page 464]]

229.35 (a), (d)(1)(i), (2)(i), (4)(i) and (5)(i) revised; (b) 
        amended....................................................45270
229.37 Added.......................................................71285
    (c) added......................................................71286
Chapter III
300 Temporary regulations..........................................60631
300.63 (b)(3), (d)(1)(ii), (3), (4), (6) and (e)(2) revised........16759
300.184 Revised....................................................52261
300.211 Amended....................................................71509
300.215 Revised....................................................71509
300.216 Revised....................................................71510
300.218 (b) through (f) added......................................71511
300.222 (bb), (cc) and (dd) revised................................51714
    (y) revised; (ee) through (qq) corrected.......................71512
300.223 (d)(3) introductory text revised...........................71513
300.224 Revised....................................................51714
300.225 Added......................................................71513
Chapter IV
424.12 (c) revised.................................................25622
424.16 (b) and (c)(1)(ii) revised..................................25622
424.18 (a) revised.................................................25622

                                  2013

50 CFR
                                                                   78 FR
                                                                    Page
Chapter II
229 Fisheries list.................................................53336
229.33 (a)(2)(iii), (3)(iii), (4)(iii), (5)(iii), (6)(iii) and (d) 
        removed; (f) revised.......................................61826
Chapter III
300 Fishery management measures......................16423, 65887, 69002
    Technical correction...........................................26708
    Temporary regulations; correction..............................70002
300.24 (u) added...................................................33243
300.25 (h) added...................................................33243
300.60--300.67 (Subpart E) Tables 1, 2, 3 and 4 added..............75890
300.61 Amended.....................................................75885
300.65 (b), (c) and (d) revised....................................75886
300.66 (i) through (v) redesignated as (j) through (w); (h) 
        introductory text, new (n), new (s) and new (w) revised; 
        (i) added..................................................75890
300.67 (k)(2)(i) revised; (k)(7) added.............................33250
    (i)(2)(v) and (vi) redesignated as (i)(2)(vi) and (vii); new 
(i)(2)(v) added....................................................75890
300.200 Revised.....................................................3342
300.201 Amended.....................................................3342
300.202 (a)(2) and (d)(1) revised...................................3343
300.203 (a)(1), (2) and (c)(1) revised; (c)(2) redesignated as 
        (c)(3); new (c)(2) added....................................3343
300.204 Redesignated as 300.205; new 300.204 added..................3343
300.205 Redesignated as 300.206; new 300.205 redesignated from 
        300.204.....................................................3343
    Revised.........................................................3344
300.206 Redesignated as 300.207; new 300.206 redesignated from 
        300.205.....................................................3343
    (a)(1), (2), (3), (b)(1), (2) and (4) revised...................3345
300.207 Redesignated as 300.208; new 300.207 redesignated from 
        300.206.....................................................3343
    Heading and (c) revised; (d) added..............................3345
300.208 Redesignated from 300.207...................................3343
    Heading and (c) revised; (d) added..............................3345
300.209 Added.......................................................3346
300.211 Amended....................................................30778
300.222 (w) revised................................................30778
300.223 Introductory text, (a) introductory text, (1), (b) and (c) 
        revised; (c) removed.......................................30778
300.224 Revised; eff. 10-23-13.....................................58246
Chapter IV
424 Authority citation revised; eff. 10-30-13......................53076
424.19 Revised; eff. 10-30-13......................................53076

                                  2014

50 CFR
                                                                   78 FR
                                                                    Page
Chapter II
229 Fisheries list..........................................14418, 77919
229.2 Amended......................................................36610
229.3 (h), (i) and (j) revised; (k) and (l) removed................36610
229.32 Revised.....................................................36610
    (c)(7)(i), (d)(3)(i) and (e)(1)(i) correctly revised...........49718
    (c)(3) revised.................................................73852
Chapter III
300 Fishery management measures......................13906, 63562, 68133
    Policy statement...............................................66313
    Temporary regulations..........................................53631

[[Page 465]]

    Authority citation revised..............................28451, 28454
300.20--30.25 (Subpart C) Authority citation revised........28451, 28454
300.21 Amended.....................................................19489
300.22 (a) redesignated as (a)(1); (a) heading and (2) added; eff. 
        10-20-14...................................................56018
300.24 (u) added............................................28451, 28454
    (v), (w) and (x) added; eff. 10-20-14..........................56018
300.25 (b) heading, (2) and (f) revised............................19489
    (h) added...............................................28451, 28454
    (e)(5) and (6) added; eff. 10-20-14............................56019
300.31 Amended.....................................................64110
300.206 Regulation at 78 FR 3345 confirmed.........................35957
300.207 Regulation at 78 FR 3345 confirmed.........................35957
300.208 Regulation at 78 FR 3345 confirmed.........................35957
300.211 Amended....................................................64110
300.218 (g) added..................................................71330
    (g) correctly added............................................77943
300.219 (a) revised................................................64110
300.222 (rr) added.................................................71331
300.223 (a)(1) revised.............................................67362
    (b) revised....................................................71331
300.224 (d) and (f)(1)(iv) revised; (g) removed....................64111
Chapter IV
404 Heading revised................................................44317
404.4 (f)(1)(iii) revised..........................................44317
404.11 (b) revised.................................................44317
404 Appendix E amended.............................................44317

                                  2015

50 CFR
                                                                   80 FR
                                                                    Page
Chapter II
229.2 Amended.......................................................6929
229.3 (s) revised...................................................6929
229.32 (a)(3), (6), (b) and (c)(2) revised.........................30375
229.35 (a) and (c) revised; (b) amended; (d)(2)(ii) added...........6929
Chapter III
300 Fishery management measures....................................13771
    Temporary regulations.....................32313, 44883, 46515, 69884
300.10--300.17 (Subpart B) Removed.................................62495
300.20 Revised.....................................................60537
300.21 Amended..............................................38989, 60538
300.24 (u) revised.................................................38989
    (y) through (bb) added.........................................60538
300.25 (h) revised.................................................38989
300.26 Added.......................................................60538
300.61 Amended.....................................................35205
300.63 (a), (c)(1) introductory text, (3)(ii) and (5) revised......17352
300.65 (c)(5)(iii)(A)(5), (iv)(A), (G), (d)(3), (4)(i), (ii)(B) 
        introductory text, (1) through (4), (iii)(A)(1) and (D)(4) 
        revised; (d)(4)(iii)(A)(5) and (5) added...................35205
300.66 (u) removed; (v) and (w) redesignated as new (u) and (v); 
        (h) introductory text, (s), (t) and new (u) and (v) 
        revised....................................................35206
300.67 (a)(1) and (3) revised......................................35207
300.211 Amended.....................................................8815
    Amended; eff. 11-30-15.........................................59047
300.217 (c) added; eff. 11-30-15...................................59047
300.218 (h) added...................................................8815
    (g) revised; eff. 11-30-15.....................................59048
300.219 (c)(1) and (5) revised; eff. 11-30-15......................59048
300.222 (ss) through (ww) added.....................................8815
    (x) and (z) removed; (y) and (aa) through (ww) redesignated as 
new (x) and (y) through (uu); (vv) and (xx) added; eff. in part 
11-30-15...........................................................59048
300.223 (g) and (h) added...........................................8815
    (a)(1) revised; interim........................................29223
    Regulation at 80 FR 29223 confirmed............................51478
    (a)(3) revised; interim........................................51480
    (d) revised; (e) removed; eff. 11-30-15........................59048
300.224 (a) revised................................................43636
300.226 Added.......................................................8816
300.227 Added......................................................59048
300.330--300.341 (Subpart Q) Added.................................62495
Chapter IV
402.02 Amended.....................................................26844
402.14 (g)(7) and (i)(1)(i) revised; (i)(3) amended; (i)(6) added 
                                                                   26844

[[Page 466]]

                                  2016

  (Regulations published from January 1, 2016, through October 1, 2016)

50 CFR
                                                                   81 FR
                                                                    Page
Chapter II
229 Fisheries list.................................................20550
Chapter III
300 Fishery management measures..............................2110, 14000
    Temporary regulations............................45982, 46614, 58410
300.4 (o) revised; (p) and (q) redesignated as (q) and (r); new 
        (p) added..................................................51133
300.20 Revised.....................................................50403
300.21 Amended.....................................................24504
    Introductory text revised; amended.............................50403
300.22 (b)(3) revised...............................................1879
    (b)(1) revised.................................................36184
300.24 (e), (f), (h), (t), (w) and (x) revised; (cc) and (dd) 
        added......................................................50403
300.25 (a) revised; (e) removed; (f), (g) and (h) redesignated as 
        new (e), (f) and (g).......................................50403
300.27 Added.......................................................50403
300.61 Amended.....................................................18795
300.63 (c)(3)(ii) and (e)(1) revised; (f) and (g) removed..........18795
300.64 (i) revised.................................................18795
300.107 (b) introductory text, (1), (3), (c)(6)(i)(A)(5) and 
        (7)(i)(A)(4) revised.......................................51133
300.114 (a)(1), (2), (4), (b), (d), (e), (f), (g)(1), (2), (h) and 
        (j) revised; (k) removed...................................51134
300.117 (b) and (r) revised; (ii) added............................51134
300.181 Amended.............................................18799, 51134
300.182 Revised....................................................51134
300.183 (a) introductory text, (3), (b), (d) and (e) revised.......51134
300.184 Revised....................................................51135
300.185 (a)(2)(ii) through (vii), (3), (b)(2), (3), (c)(2)(i), 
        (iii) and (3) revised; (a)(2)(viii) and (ix) removed.......18799
    (a)(2)(i), (ii)(A), (iii)(A), (3), (b)(2), (3), (c)(2)(i), 
(ii) and (3) revised; (a)(2)(vii) removed..........................51135
300.186 (a) revised................................................18800
300.187 (f) introductory text and (2) revised......................18801
300.189 (a), (b), (c), (m) and (n) revised.........................51136
300.222 (ww) added.................................................41250
300.223 (a)(1) revised; interim....................................33149
    (b)(1) introductory text, (2)(i) and (ii) revised; 
(b)(2)(iii), (iv) and (e) added....................................41250
300.224 (a) revised................................................41251
300.320--300.324 (Subpart Q) Added.................................51137
300.330--300.341 (Subpart Q) Redesignated as Subpart R.............51137
300.330--300.341 (Subpart R) Redesignated from Subpart Q...........51137
Chapter IV
Chapter IV Policy statement.........................................8663
402.02 Amended......................................................7225
424 Policy statement................................................7226
424.01 Revised......................................................7438
424.02 Revised......................................................7438
424.03 Added; eff. 10-27-16........................................66484
424.12 (a), (b) and (d) through (h) revised.........................7439
424.14 Revised; eff. 10-27-16......................................66484


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