Subpart B-Certificates of Exemption for PreAct Endangered Species Parts 222.11-1 General certificate of exemption requirements. 222.11-2 Application renewal procedure. 222.11-3 Application renewal requirements. 222.11-4 Procedures for issuance of renewals of certificates of exemption. 222.11-5 Application for modification of certificate of exemption by holder. 222.11-6 Amendment of certificates of exemption. 222.11-7 Procedures for suspension, revocation, or modification of certificates of exemption. 222.11-8 Purchaser provisions. 222.11-9 Duration of certificate of exemption. 222.12 Locations covered by certificate of exemption. 222.12-1 Certificate of exemption not transferable; exception. 222.12-2 Change of address. 222.12-3 Certain continuance of business. 222.12-4 Change in trade name. 222.12-5 State or other law. 222.12-6 Right of entry and examination. 222.12-7 Records. 222.12-8 Record of receipt and disposition. 222.12-9 Importation. 222.13 Exportation. 222.13-1 Procedure by exporter. 222.13-2 Action by Customs. 222.13-3 Transportation to effect exporta tion. 222.13-4 Burden of proof; presumption. Subpart C-Endangered Fish or Wildlife 222.21 General permit requirement. 222.23 Permits for scientific purposes or to enhance the propagation or survival of the affected endangered species. 222.24 Procedures for issuance of permits. 222.25 Applications for modification of permit by permittee. 222.26 Amendment of permits by NMFS. 222.27 Procedures for suspension, revocation, or modification of certificates of exemption. 222.28 Possession of permits. AUTHORITY: 16 U.S.C. 1531-1543. Subpart A-Introduction § 222.1 Purpose of regulations. The regulations contained in this part identify the species or subspecies of fish or wildlife determined to be endangered under either the Endangered Species Conservation Act of 1969 or the Endangered Species Act of 1973, and presently deemed endangered species under the Endangered Species Act of 1973, which are under the jurisdiction of the Secretary of Commerce, and establish procedures and criteria for issuance of permits for the taking, importation, exportation, or otherwise prohibited acts, involving endangered fish or wildlife. The regulations of this part implement, in part, the Endangered Species Act of 1973, 87 Stat. 884, Pub. L. 93-205, as amended. [45 FR 57133, Aug. 27, 1980] § 222.2 Scope of regulations. (a) The regulations of this part apply only to endangered fish or wildlife. (b) The provisions in this part are in addition to, and are not in lieu of, other regulations of Parts 217 through 222 of this chapter which may require a permit or prescribe additional restrictions or conditions for the taking, importation, exportation, and interstate transportation of fish or wildlife. (See also Parts 220 and 221 of this chapter.) [45 FR 57133, Aug. 27, 1980] Subpart B-Certificates of Exemption for Pre-Act Endangered Species Parts SOURCE: 45 FR 57134, Aug. 27, 1980, unless otherwise noted. § 222.11-1 General certificate of exemption requirements. (a) The Assistant Administrator, pursuant to the provisions of the Endangered Species Act, and pursuant to the provisions of this paragraph, may exempt any pre-Act endangered species part from one or more of the following: (1) The prohibition, as set forth in section 9(a)(1)(A) of the Act, to export any such species part from the United States; (2) The prohibitions, as set forth in section 9(a)(1)(E) of the Act, to deliver, receive, carry, transport, or ship in interstate or foreign commerce, by any means whatsoever and in the course of a commercial activity any such species part; (3) The prohibitions, as set forth in section 9(a)(1)(F) of the Act, to sell or offer for sale in interstate or foreign commerce any such species part. (b) No person shall engage in any of the above activities involving any preAct endangered species part without a valid certificate of exemption, or evidence of a right thereunder, issued pursuant to this Subpart B. (c) After January 31, 1984, no person may export; deliver, receive, carry, transport or ship in interstate or foreign commerce in the course of a commercial activity; or sell or offer for sale in interstate or foreign commerce any pre-Act finished scrimshaw product unless that person has been issued a valid certificate of exemption and the product or the raw material for such product was held by such certificate holder on October 13, 1982. [45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12808, Apr. 1, 1985] § 222.11-2 Application renewal procedure. (a) Any person to whom a certificate of exemption has been issued by the National Marine Fisheries Service and who desires to obtain a renewal of such certificate of exemption may make application therefor to the Assistant Administrator. The sufficiency of the application shall be determined by the Assistant Administrator in accordance with the requirements of this part and, in that connection, he may waive any requirement for information, or require any elaboration for further information deemed necessary. (b) One copy of a completed application for renewal shall be submitted to the Assistant Administrator for Fisheries, National Marine Fisheries Service, Washington, DC 20235. (c) The outside of the envelope should be marked, ATTENTION: Enforcement Division, "Certificate of Exemption Request." Assistance may be obtained by writing or calling the Enforcement Division, NMFS, in Washington, DC (AC 202, 634-7265). At least 15 days should be allowed for processing. An application for a certificate of exemption shall provide the information contained in § 222.11-3 (when the information requested is not applicable, put "N.A.") and such other information that the Assistant Administrator may require. (Approved by the Office of Management and Budget under control number 06480078) [45 FR 57134, Aug. 27, 1980, as amended at 48 FR 57302, Dec. 29, 1983] (a) The following information will be used as the basis for determining whether an application for renewal of a certificate of exemption is complete: (1) Title: Application for Renewal of Certificate of Exemption Under Pub. L. 97-304. (2) The date of application. (3) The identity of the applicant including complete name, original certificate of exemption number, current address, and telephone number, including zip and area codes. If the applicant is a corporation, partnership, or association set forth the details. (4) The period of time for which a renewal of the certificate of exemption is requested; however, no renewal of certificate of exemption, or right claimed thereunder, shall be effective after the close of the three-year period beginning on the date of the expiration of the previous renewal of the certificate of exemption. (5)(i) A complete and detailed updated inventory of all pre-Act endangered species parts for which the applicant seeks exemption. Each item on the inventory must be identified by the following information: a unique serial number; the weight of the item in grams, to the nearest whole gram; and a description in detail sufficient to permit ready identification of the item. Small lots, not exceeding five pounds (2,270 grams), of scraps or raw material, which may include or consist of one or more whole raw whale teeth, may be identified by a single serial number and total weight. All finished scrimshaw items subsequently made from a given lot of scrap may be identified by the lot serial number plus additional digits to signify the piece number of the individual finished item. Identification numbers will be in the following format: 00-000000-0000. The first two digits will be the last two digits of the appropriate certificate of exemption number; the next six digits, the serial number of the individual piece or lot of scrap or raw material; and the last four digits, where applicable, the piece number of an item made from a lot of scrap or raw material. The serial numbers for each certificate holder's inventory must begin with 000001, and piece numbers, where applicable, must begin with 0001 for each separate lot. (ii) Identification numbers may be affixed to inventory items by any means, including, but not limited to, etching the number into the item, attaching a label or tag bearing the number to the item, or sealing the item in a plastic bag, wrapper or other container bearing the number. Provided that, the number must remain affixed to the item until it is sold to an ultimate user, as defined in § 222.118(b) of this part. (iii) No renewals will be issued for scrimshaw products in excess of any quantities declared in the original application for a certificate of exemption. (6) A certification in the following language: I hereby certify that the foregoing information is complete, true, and correct to the best of my knowledge and belief. I understand that this information is submitted for the purpose of obtaining a renewal of my certificate of exemption under the Endangered Species Act of 1973, as amended by Pub. L. 94-359, 90 Stat. 911, Pub. L. 96-159, 93 Stat. 1225, Pub. L. 97-304, 95 Stat. 715, and the Department of Commerce regulations issued thereunder, and that any false statement may subject me to the criminal penalties of 18 U.S.C. 1001, or to the penalties under the Endangered Species Act of 1973. (7) Signature of the applicant. (b) Upon receipt of an incomplete or improperly executed application for renewal, the applicant shall be notified by Certified Mail of the deficiency in the application for renewal. If the application for renewal is not corrected and received by the Assistant Administrator within 30 days following the date of receipt of notification, the application for renewal shall be considered as having been abandoned. [45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12808, Apr. 1, 1985] § 222.11-4 Procedures for issuance of renewals of certificates of exemption. Whenever application for a renewal of a certificate of exemption is received by the Assistant Administrator which the Assistant Administrator deems sufficient, he shall, as soon as practicable, issue a certificate of renewal to the applicant. § 222.11-5 Application for modification of certificate of exemption by holder. Where circumstances have changed so that an applicant or certificate of exemption holder desires to have any material term or condition of his application or certificate modified, he must submit in writing full justification and supporting information in conformance with the provisions of this part. § 222.11-6 Amendment of certificates of exemption. All certificates are issued subject to the condition that the Assistant Administrator reserves the right to amend the provisions of a certificate of exemption for just cause at any time. Such amendments take effect on the date of notification, unless otherwise specified. § 222.11-7 Procedures for suspension, revocation, or modification of certificates of exemption. Any violation of the applicable provisions of Parts 217 through 222 of this chapter, or of the Act, or of a condition of the certificate of exemption may subject the certificate holder to the following: (a) The penalties provided in the Act; and (b) Suspension, revocation, or modification of the certificate of exemption, as provided in Subpart D of 15 CFR Part 904. [49 FR 1042, Jan. 6, 1984] § 222.11-8 Purchaser provisions. (a) Any person granted a certificate of exemption, including a renewal, under this subpart, upon a sale of any exempted pre-Act endangered species part, must provide the purchaser in writing with a description (including full identification number) of the part sold, and must inform the purchaser in writing of the purchaser's obligation under paragraph (b) of this section, including the address given in the certificate to which the purchaser's report is to be sent. (b) Any purchaser of pre-Act endangered species parts included in a valid certificate of exemption, unless an ultimate user, must within 30 days after the receipt of such parts submit a written report to the address given in the certificate specifying the quantity of such parts or products received, the name and address of the seller, a copy of the invoice or other document showing the serial numbers, weight, and descriptions of the parts or products received, the date on which such parts or products were received, and the intended use of such parts by the purchaser. An ultimate user, for purposes of this paragraph, means any person who acquired such endangered species part or product for his own consumption or personal use (including as gifts), and not for resale. (c) After January 31, 1984, no purchaser may export; deliver, receive, carry or transport in interstate or foreign commerce in the course of a commercial activity; or sell or offer for sale in interstate or foreign commerce any endangered species part or product even though such part or product was acquired under a certificate of exemption either prior to or subsequent to that date. (Approved by the Office of Management and Budget under control number 06480079) [50 FR 12808, Apr. 1, 1985] § 222.11-9 Duration of certificate of exemption. A certificate of exemption is valid only if renewed in accordance with the procedures set forth in § 222.11-3 of this part. All certificates so renewed will be valid for a period beginning April 1, 1985, and ending no later than March 31, 1988. A renewed certificate of exemption entitles the holder to engage in the business or activity specified in the certificate of exemption, within the limitations of the Act and the regulations contained in this subpart, for the period stated in the certificate of exemption, unless sooner terminated. [50 FR 12808, Apr. 1, 1985, as amended at 50 FR 25713, June 21, 1985] § 222.12 Locations covered by certificate of exemption. The certificate of exemption covers the business or activity specified in the certificate of exemption at the address described therein. No certificate of exemption is required to cover a separate warehouse facility used by the certificate of exemption holder solely for storage of pre-Act endangered species parts, if the records required by this subpart are maintained at the address specified in the certificate of exemption which is served by the warehouse or storage facility. [50 FR 12809, Apr. 1, 1985] § 222.12-1 Certificate of exemption not transferable; exception. Certificates of exemption issued under this subpart are not transferable: Provided, That in the event of the lease, sale or other transfer of the operations or activity authorized by the certificate of exemption the successor is not required by this subpart to obtain a new certificate of exemption prior to commencing such operations or activity. In such case, the successor will be treated as a purchaser and must comply with the record and reporting requirements set forth in § 222.11-8. [45 FR 57134, Aug. 27, 1980, as amended at 50 FR 12809, Apr. 1, 1985] § 222.12-2 Change of address. A certificate of exemption holder may during the term of the certificate of exemption move his business or activity to a new location at which he intends regularly to carry on such business or activity, without obtaining a new certificate of exemption. However, in every case, notification of the new location of the business or activity must be given in writing within 10 days of such move to the Assistant Administrator. In each instance, the certificate of exemption must be endorsed by the Assistant Administrator. After endorsement of the certificate of exemption the Assistant Administrator will provide an amended certificate of exemption to the person to whom issued. § 222.12-3 Certain continuance of busi ness. A certificate of exemption holder who requests that his certificate of exemption be amended by the Assistant Administrator for corrections or endorsement in compliance with the provisions contained in this subpart, may continue his operations while awaiting action by the Assistant Administrator. § 222.12-4 Change in trade name. A certificate holder continuing to conduct business at the location shown on his certificate of exemption is not required to obtain a new certificate of exemption by reason of a change in trade name under which he conducts his business: Provided, That such certificate of exemption holder requests in writing that his certificate of exemption be endorsed to reflect such change of name to the Assistant Administrator within 30 days from the date the certificate of exemption holder begins his business under the new name. § 222.12-5 State or other law. A certificate of exemption issued under this subpart confers no right or privilege to conduct a business or an activity contrary to State or other law. Similarly, compliance with the provisions of any State or other law affords no immunity under any Federal laws or regulations of any other Federal Agency. § 222.12-6 Right of entry and examination. Any person authorized to enforce the Act may enter during business hours the premises, including places of storage, of any holder of a certificate § 222.12-8 Record of receipt and disposition. (a) Holders of certificates of exemption must maintain records of all preAct endangered species parts they receive, sell, transfer, distribute or dispose of otherwise. Purchasers of preAct endangered species parts, unless ultimate users, must similarly maintain records of all such parts or products they receive. (b) Such records as referred to in paragraph (a) of this section may consist of invoices or other commercial records which must be filed in an orderly manner separate from other commercial records maintained, and be readily available for inspection. Such records must (1) show the name and address of the purchaser, seller, or other transferor; (2) show the type, quantity, and identity of the part or product; (3) show the date of such sale or transfer; and (4) be retained, in accordance with the requirements of this subpart, for a period of not less than three years following the date of sale or transfer. Each pre-Act endangered species part will be identified by its number on the updated inventory required to renew a certificate of exemption. |