[Federal Register: July 8, 1999 (Volume 64, Number 130)]
[Notices]               
[Page 36893-36916]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08jy99-92]                         

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DEPARTMENT OF THE INTERIOR

Fish and Wildlife Service

 
Conference of the Parties to the Convention on International 
Trade in Endangered Species of Wild Fauna and Flora (CITES); Eleventh 
Regular Meeting; Proposed Resolutions and Agenda Items Being 
Considered; Species Being Considered for Amendments to the CITES 
Appendices; Public Meeting; Observer Information

AGENCY: Fish and Wildlife Service, Interior.

ACTION: Notice.

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SUMMARY: The United States, as a Party to the Convention on 
International Trade in Endangered Species of Wild Fauna and Flora 
(CITES), may submit proposed resolutions and agenda items for 
consideration at meetings of the Conference of the Parties to CITES. 
The United States may also propose amendments to the CITES Appendices 
for consideration at meetings of the Conference of the Parties. The 
eleventh regular meeting of the Conference of the Parties to CITES 
(COP11) will be held at the United Nations Environment Programme (UNEP) 
Headquarters in Nairobi, Kenya, April 10-20, 2000.
    With this notice we:
    (1) List potential proposed resolutions and agenda items that the 
United States is considering submitting for consideration at COP11;
    (2) List potential proposed amendments to the CITES Appendices 
(species proposals) that the United States is considering submitting 
for consideration at COP11;
    (3) Invite your comments and information on these potential 
proposals;
    (4) Announce a public meeting to discuss these potential proposals; 
and
    (5) Provide information on how non-governmental organizations based 
in the United States can attend COP11 as observers.

DATES: The public meeting will be held on July 28, 1999, at 1:30 P.M. 
We will consider written information and comments you submit concerning 
potential species proposals, proposed resolutions, and agenda items 
that the United States is considering submitting for consideration at 
COP11, and other items relating to COP11, if we receive them by 
September 7, 1999.

ADDRESSES: The public meeting will be held in the Large Buffet Room of 
the Department of the Interior at 18th and C Streets, N.W., Washington, 
D.C. Directions to the building can be obtained by contacting the 
Office of Management Authority or the Office of Scientific Authority 
(see FOR FURTHER INFORMATION CONTACT, below). Please note that the room 
is accessible to the handicapped and all persons planning to attend the 
meeting will be required to present photo identification when entering 
the building. Persons planning to attend the meeting who require 
interpretation for the hearing impaired should notify the Office of 
Management Authority or the Office of Scientific Authority as soon as 
possible.
    Comments pertaining to proposed resolutions and agenda items should 
be sent to the Office of Management Authority; U.S. Fish and Wildlife 
Service; 4401 North Fairfax Drive; Room 700; Arlington, VA 22203, or 
via E-mail at: r9oma__cites@fws.gov. Comments pertaining to species 
proposals should be sent to the Office of Scientific Authority; U.S. 
Fish and Wildlife Service; 4401 North Fairfax Drive; Room 750; 
Arlington, VA 22203, or via E-mail at: r9osa@fws.gov. Comments and 
materials received will be available for public inspection, by 
appointment, from 8 a.m. to 4 p.m., Monday through Friday, at either 
the Office of Management Authority or the Office of Scientific 
Authority.

FOR FURTHER INFORMATION CONTACT: Office of Management Authority, Branch 
of CITES Operations, phone 703/358-2095, fax 703/358-2298, E-mail: 
r9oma__cites@fws.gov; or Office of Scientific Authority, phone 703/358-
1708, fax 703/358-2276, E-mail: r9osa@fws.gov.

SUPPLEMENTARY INFORMATION:

Background

    The Convention on International Trade in Endangered Species of Wild 
Fauna and Flora, TIAS 8249, hereinafter referred to as CITES or the 
Convention, is an international treaty designed to control and regulate 
international trade in certain animal and plant species that are now or 
potentially may be threatened with extinction. These species are listed 
in Appendices to CITES, copies of which are available from the Office 
of Management Authority or the Office of Scientific Authority at the 
above addresses, from our World Wide Web site http://www.fws.gov/r9dia/
applinks.html, or from the official CITES Secretariat Web site at 
http://www.wcmc.org.uk/CITES/english. Currently, 145 countries, 
including the United States, are Parties to CITES. CITES calls for 
biennial meetings of the Conference of the Parties, which review its 
implementation, make provisions enabling the CITES Secretariat in 
Switzerland to carry out its functions, consider amendments to the list 
of species in Appendices I and II, consider reports presented by the 
Secretariat, and make recommendations for the improved effectiveness of 
CITES. Any country that is a Party to CITES may propose amendments to 
Appendices I and II, resolutions, and agenda items for consideration by 
the other Parties. Only Party countries may submit species proposals, 
resolutions, and agenda items for consideration at the meeting of the 
Conference of the Parties. Accredited non-governmental organizations 
may participate in the meeting as approved observers, and may speak 
during sessions, but may not vote.
    This is our fourth in a series of Federal Register notices that, 
together with announced public meetings, provide you with an 
opportunity to participate in the development of the United States' 
negotiating positions for the eleventh regular meeting of the 
Conference of the Parties to CITES (COP11). We published our first such 
Federal Register notice on January 30, 1998 (63 FR 4613), and with it 
we requested information and recommendations on potential species 
amendments for the United States to consider submitting for discussion 
at COP11. Information on that Federal Register notice, and on species 
amendment proposals, is available from the Office of Scientific 
Authority at the above address. We published our second such Federal 
Register notice on September 4, 1998 (63 FR 47316), and with it we 
requested information and recommendations on potential resolutions and 
agenda items for the United States to consider submitting for 
discussion at COP11. You may obtain information on that Federal 
Register

[[Page 36894]]

notice, and on proposed resolutions and agenda items, from the Office 
of Management Authority at the above address. We published our third 
such Federal Register notice on February 26, 1999 (64 FR 9523), and 
with it we announced the time and place of COP11, announced the times 
and places for the next meetings of the CITES Animals and Plants 
Committees, and announced a public meeting to discuss issues that will 
be raised at the Animals and Plants Committee meetings. You may locate 
our regulations governing this public process in 50 CFR Secs. 23.31-
23.39.

I. Recommendations for Resolutions and Agenda Items for the United 
States to Consider Submitting at COP11

    In our Federal Register notice published on September 4, 1998 (63 
FR 47316), we requested information and recommendations on potential 
resolutions and agenda items for the United States to consider 
submitting for discussion at COP11. We received recommendations for 
resolutions and agenda items from the following organizations or 
individuals: Animals of Montana, Inc.; Center for International 
Environmental Law; Earthtrust; Feld Entertainment, Inc.; Institute for 
Conservation Education and Development of Antioch University Southern 
California; International Wildlife Coalition; Kay Rosaire's Big Cat 
Encounter; Riverglen Tigers; Safari Club International; Species 
Survival Network; Steve Martin's Working Wildlife; and The Hawthorn 
Corporation.
    We considered all of the recommendations of the above organizations 
and individuals when compiling a list of possible resolutions and 
agenda items that the United States might submit for consideration by 
the Parties at COP11. We also considered all of the recommendations of 
the above organizations and individuals when compiling a list of 
resolutions and agenda items for consideration at COP11 that the United 
States is either not considering submitting at this time, plans to 
address in ways other than through draft resolutions or agenda items, 
or is currently undecided about submitting. There are some issues for 
which we may consider submitting documents, depending on the outcome of 
discussions in the Animals, Plants, and Standing Committees.
    We welcome your comments and information submissions regarding the 
resolutions and agenda items that the United States might submit, those 
that the United States is currently not planning to submit, or those 
that the United States is currently undecided about submitting.

A. What Resolutions and Agenda Items is the United States Considering 
Submitting for Consideration at COP11 or Considering Supporting at 
COP11?

1. Establishment of a Simplified System to Transport Crocodilian Swatch 
Samples Across International Borders
    The CITES Parties have encouraged the ranching and farming of a 
number of species, particularly crocodilians. This has resulted in 
significant progress in protecting certain species and in species' 
recovery. The United States would like to explore ways to facilitate 
legitimate trade in specimens of ranched and captive-bred crocodilians. 
Sample pieces of crocodilian skins are used to provide a buyer or 
potential buyer a way to determine the quality of tanning and the 
appearance of the various dyes used to color the skins. Although the 
samples themselves are not for sale, they are used to generate sales. 
The international movement of these samples generates considerable 
paperwork for both the importing and exporting countries and may result 
in delays for the importer and/or exporter. We are considering 
submitting a proposed resolution that would establish a system to allow 
sample pieces of crocodilian skins that would not be sold to be 
transported to or through any CITES country. We believe such a system 
could facilitate legitimate trade in certain crocodilian species, while 
maintaining strict permitting requirements for commercial trade in 
products.
    We are planning to ask another crocodilian range country to co-
sponsor such a resolution with the United States and are considering 
presenting a draft for review at the next meeting of the Animals 
Committee in July 1999. The United States will make its decision on 
whether to submit this resolution for consideration at COP11 after the 
Animals Committee meeting and will base its decision on the results of 
the Animals Committee's discussions of the issue.
2. Trade in African Bushmeat
    The International Wildlife Coalition and the Institute for 
Conservation Education and Development of Antioch University Southern 
California recommended that the United States submit an agenda item 
addressing African bushmeat trade. Both commenters pointed out that an 
increasing number of conservation organizations and wildlife 
researchers are concerned about the growing food trade for Central and 
West African wildlife species (both non-CITES and CITES listed). Both 
commenters expressed concern about the impact of bushmeat trade on 
African elephants and primates, especially the great apes. One estimate 
suggests that more than 2,000 gorillas and 4,000 chimpanzees are killed 
annually by bushmeat hunters.
    We recognize that international commercial trade in bushmeat is a 
growing conservation concern. We believe that CITES is an appropriate 
arena for discussing the movement of bushmeat of CITES-listed species 
across country borders. The United States is considering submitting a 
discussion paper on the commercial African bushmeat trade and plans to 
seek one or more co-sponsors in submitting the paper. In addition, the 
United States plans to encourage the African range states involved in 
the bushmeat trade to convene a regional meeting to discuss the issue.
3. Recognition of the Important Contribution Made by Observers to the 
CITES Process
    We received a comment from the International Wildlife Coalition 
requesting that we submit a resolution for consideration at COP11 
recognizing the important contributions made by observers to the CITES 
process and affirming that observer participation in COPs is vital to 
the ability of the Conference of the Parties to discuss issues with the 
fullest possible available information. The International Wildlife 
Coalition expressed their concerns about the limited level of 
participation afforded observers in Committee I at the tenth meeting of 
the Conference of the Parties (COP10).
    We agree that the participation of observers in the discussions of 
issues at COPs is essential. For many of the issues submitted for 
discussion at COPs, the greatest level of expertise is within the 
community of non-governmental organizations that attend as observers. 
Therefore, the United States is considering submitting a discussion 
paper on this issue for consideration at COP11, which it would present 
under the agenda item entitled ``Admission of Observers,'' which is a 
standard agenda item raised at the beginning of each COP.
4. Synergy with FAO
    The United States is very supportive of synergy and cooperation 
with international organizations, including the United Nations Food and 
Agriculture Organization (FAO). The United States proposes to submit a 
discussion paper to COP11 to promote

[[Page 36895]]

synergy and cooperation between CITES Parties and the FAO in the 
implementation of FAO plans of action on ``seabirds, sharks and over-
capacity,'' and the review of CITES listing criteria. The United States 
proposes to submit this paper under the agenda item ``Co-operation/
synergy with Other Conservation Conventions and Agencies.'' We expect 
the Secretariat to include this agenda item on the provisional agenda 
for COP11 pursuant to Decision 10.63.
    At its February 1999 meeting, the FAO Committee on Fisheries 
endorsed, for adoption by the FAO Conference in late 1999, plans of 
action to reduce seabird by-catch, conserve sharks, and manage fishing 
fleet overcapacity. The three action plans are global tools for 
implementing parts of the FAO Code of Conduct for Responsible 
Fisheries, and their approval has been a major U.S. objective since 
1997. These voluntary plans of action will be implemented through 
national plans of action developed by FAO member states. The plans of 
action are available on the FAO Website at http://www.fao.org.
    Many CITES Parties are also Members of FAO. In its discussion paper 
on this issue, the United States will call upon Parties to 
expeditiously implement the FAO plans of action and to examine areas of 
cooperation between CITES and the FAO in this endeavor.
    The Sixth Session of the FAO Committee on Fisheries (COFI), Sub-
Committee on Fish Trade, in June 1998, proposed that FAO initiate a 
scientific review of CITES listing criteria as they might apply to 
large-scale commercially harvested species, beginning with an ad hoc 
group to make suggestions on how such a process of scientific review 
might best be pursued. The ad hoc group met in November 1998, and 
produced a report for COFI. In that report, it recommended that FAO 
convene a scientific review process of the CITES listing criteria, 
leading to the development of recommendations to modify, if necessary, 
the existing CITES criteria. Those recommendations will be presented to 
CITES through the CITES Standing Committee.
    In Resolution Conf. 9.24, the CITES Parties recommended: ``* * * 
that the text and the annexes of this Resolution be fully reviewed 
before the twelfth meeting of the Conference of the Parties (COP12) 
with regard to the scientific validity of the criteria, definitions, 
notes and guidelines and their applicability to different groups of 
organisms.'' The CITES listing criteria in Conf. 9.24 were designed to 
cover all flora and fauna, but it was clear from the extensive 
discussions prior to and at the ninth meeting of the Conference of the 
Parties (COP9) that taxon-specific criteria could be beneficial. It was 
agreed that development of such taxon-specific criteria would best take 
place after the Parties had experience (two COPs) utilizing the new 
criteria in Conf. 9.24. At its 41st meeting in February 1999, the 
Standing Committee discussed this issue, and agreed that this should be 
a CITES-driven process, with leadership and direction from the Animals 
and Plants Committees. The United States concurs with that view. The 
Standing Committee agreed that the Chairs of the Animals and Plants 
Committees should be asked to prepare terms of reference for the review 
of the criteria (as spelled out in Conf. 9.24), and report these terms 
of reference to COP11. The Chairs of the Animals and Plants Committees 
will also be asked to oversee this review, to consider findings and 
develop any recommendations for consideration at the twelfth meeting of 
the Conference of the Parties (COP12). The Standing Committee 
encouraged the Committee Chairs to ``consult with international 
technical bodies, such as FAO and COFI, but to ensure that the work 
plan for this effort must remain a CITES process.'' The United States 
will encourage cooperation with FAO on any review of the CITES listing 
criteria for marine fish through this proposed discussion paper.
5. Reaffirmation of the Synergy Between CITES and the IWC
    We received a comment from the Species Survival Network requesting 
that we submit a resolution reaffirming the relationship between CITES 
and the International Whaling Commission (IWC). The United States, 
under the agenda item ``Co-operation/synergy with Other Conservation 
Conventions and Agencies,'' which we expect the CITES Secretariat to 
include on the provisional agenda for COP11 pursuant to Decision 10.63, 
intends to inform the Conference of the Parties of an important 
resolution on this topic which was overwhelmingly adopted at the 51st 
Meeting of the IWC, in Grenada, May 23-27, 1999. The resolution, IWC/
51/43, directs the IWC Secretariat to advise the CITES Conference of 
the Parties that the IWC has not yet completed a revised management 
regime which ensures that future commercial whaling catch limits are 
not exceeded and whale stocks can be adequately protected. The 
resolution further directs the IWC Secretariat to advise the CITES 
Conference of the Parties that zero catch limits are still in force for 
species of whales which are managed by the IWC.
    The United States also notes that Resolution Conf. 2.9, ``Trade in 
Certain Species and Stocks of Whales Protected by the International 
Whaling Commission from Commercial Whaling,'' was overwhelmingly 
reaffirmed by COP10 in 1997 by the defeat of a draft resolution 
proposed by Japan to repeal this resolution. At the 50th meeting of the 
IWC subsequent to COP10, the IWC passed a resolution that expressed its 
appreciation for the reaffirmation of this link between the IWC and 
CITES. IWC resolution IWC/51/43 also welcomes the CITES COP10 decision 
``to uphold CITES Resolution Conf. 2.9.'' For clarification, Conf. 2.9 
calls on the CITES Parties to ``agree not to issue any import or export 
permit, or certificate for introduction from the sea * * * for 
primarily commercial purposes for any specimen of a species or stock 
protected from commercial whaling by the International Convention for 
the Regulation of Whaling.'' The United States intends to submit this 
important IWC resolution to the CITES Secretariat for distribution to 
the Parties at COP11.
6. Introduction from the Sea
    At the 14th Meeting of the CITES Animals Committee, held in 
Caracas, Venezuela, in June 1997, the government of Australia presented 
a document on Implementation of Articles IV(6) and IV(7) (Introduction 
from the Sea). At the suggestion of the government of Australia, an 
informal Working Group, consisting of the governments of Australia, 
Japan, and the United States, was formed to examine this complex matter 
in more detail, with the understanding that the Group would decide 
whether to report back to the Committee at its next meeting. The 
government of Australia is coordinating this discussion. The U.S. 
Government, led jointly by the National Marine Fisheries Service and 
the U.S. Fish and Wildlife Service, working with the Department of 
State, has participated in an exchange of letters with the government 
of Australia expressing U.S. views on this topic. The U.S. comments on 
this issue have focused on practical solutions to potential problems 
related to implementation of the provisions of the Convention for 
CITES-listed species taken in the marine environment, particularly 
outside the jurisdiction of any country, including but not limited to 
implementation of both Articles IV and XIV. Australia has indicated 
that, based on discussions of the informal Working Group, they intend 
to submit the topic for discussion at COP11. The United States intends 
to continue to participate in discussions of this issue

[[Page 36896]]

and, if acceptable progress is made, expects to be in support of the 
results of the discussions. If expected progress is not made, however, 
the United States will consider whether it should develop its own 
proposed resolution on these issues for consideration during COP11.
7. Use of Annotations in the Appendices
    We consider the issue of the use of annotations in the Appendices 
to be one of the most important for consideration at COP11. We received 
comments from the following organizations, recommending that we submit 
a resolution to clarify the criteria to be used when transferring 
populations or species from Appendix I to II with a product annotation: 
the Center for International Environmental Law; the International 
Wildlife Coalition; and the Species Survival Network. We also received 
comments from Safari Club International requesting that we work to 
preserve the flexibility of CITES through the use of annotations. All 
of these organizations provided useful information on the annotations 
issue, which was considered in developing our views on this issue.
    Annotations are footnotes in the CITES Appendices that are being 
used by the CITES Parties for a number of purposes. In recent years, 
they are increasingly used when species or geographically distinct 
populations of species are transferred from Appendix I to II with an 
annotation; the annotation specifies that certain parts, products, or 
specimens are allowed to be traded under the provisions of Appendix II, 
whereas other parts and products are still treated as Appendix-I 
species. Such downlistings can serve a conservation purpose, but the 
United States and many other countries are quite concerned that there 
are no criteria or guidelines in place for the Parties on how to use, 
adopt, or amend these annotations. For example, there are annotations 
of this kind for the Appendix II listing of the African elephant in 
Zimbabwe, Botswana, and Namibia. A great deal of confusion arose at and 
after COP10 as to what products can or cannot be traded under that 
annotation. The United States has taken an active leadership role on 
this issue. At COP10, the Parties adopted Decision 10.70, which 
directed the Standing Committee to do the following: ``Ways and means 
of clarifying legal and implementation issues related to the use of 
annotations in the Appendices shall be considered and a report shall be 
presented at the 11th meeting of the Conference of the Parties.'' At 
its 40th meeting in March 1998, the Standing Committee established a 
Working Group to explore this issue and develop a draft resolution for 
submission to COP11. The United States participated in that Working 
Group, along with Switzerland (Chair), Argentina, Canada, Germany, and 
Namibia. The Working Group corresponded via E-mail on the issue, and 
met at the 41st meeting of the Standing Committee in February 1999. A 
consensus draft resolution was presented to the Standing Committee by 
the Working Group. The Standing Committee endorsed the text, and agreed 
to submit it to the Conference of the Parties for their consideration 
at COP11. The full text is available upon request from the Office of 
Scientific Authority.
    Key elements of the draft resolution include: (1) A differentiation 
between annotations that are for reference purposes only and those that 
are substantive, integral, and obligatory parts of a species' listing 
in the Appendices; (2) clarification that any proposal to introduce, 
amend, or delete substantive annotations must follow the provisions of 
the CITES listing criteria (Resolution 9.24), and can only be approved 
by a vote of the Conference of the Parties; (3) clarification that 
specimens containing parts or products of the species that are not 
specifically included in a substantive annotation for Appendix II 
should be considered to be retained in Appendix I, and should be 
subject to all of the provisions of CITES Article III; (4) requirement 
that Parties submitting proposals with substantive annotations should 
clearly specify what is meant by all aspects of the annotation, 
including what can and cannot be traded commercially; (5) requirement 
that proposals for such annotations should not become effective if the 
Party has entered a reservation for the species, unless the Party 
agrees to remove its reservation within 90 days of the close of that 
COP; and (6) direction to the Secretariat to investigate any 
information on increases in illegal trade or poaching of species 
subject to such annotations, and to report its findings to the Standing 
Committee.
    The United States is pleased with the draft resolution, as an 
important consensus of the Standing Committee, and proposes to support 
it at COP11. We welcome your comments on the document.
8. Transborder Movements of Live Animals for Exhibition Purposes
    At COP10, the Parties adopted Decision 10.142, directing the 
Secretariat to prepare recommendations on transborder movements of live 
animals for exhibition to simplify transborder movements of live 
animals traveling to other countries for exhibition purposes; register 
and identify live animals used in exhibitions; and present documents 
and animals to appropriate border control officers when traveling to 
other countries for exhibition purposes. At the 40th meeting of the 
Standing Committee in March 1998, the Committee agreed to establish an 
informal Working Group to focus on drafting recommendations. The 
members of the Working Group--the United States (Chair), Germany, 
Switzerland, and the Secretariat--have been working on draft language 
based on revising current Resolutions Conf. 8.16 (Travelling Live-
Animal Exhibitions) and Conf. 10.20 (Frequent Transborder Movements of 
Personally Owned Live Animals).
    We received comments from six organizations--Animals of Montana, 
Inc.; Feld Entertainment, Inc.; The Hawthorn Corporation; Kay Rosaire's 
Big Cat Encounter; Riverglen Tigers; and Steve Martin's Working 
Wildlife--that would like to see the development of a simplified, more 
workable system for the registration and movement of traveling live 
animal exhibitions that has adequate safeguards to prevent illegal 
trade in or laundering of wild animals. Comments included the following 
suggestions: adopt a specimen-based passport-type system; require 
marking by microchip or tattoo of animals in exchange for granting a 

lifetime CITES certificate; eliminate the publication in the Federal 
Register of a notice of receipt of applications for public comment for 
endangered species; use the U.S. Department of Agriculture's exhibitors 
license in lieu of CITES permits; establish a registration/
certification system; and exempt captive-bred tigers and pre-Convention 
elephants from CITES regulation. Although we recognize the need for 
simplified procedures, we are only considering those comments that have 
a legal basis under the U.S. Endangered Species Act and meet the 
provisions of CITES. Thus, we have forwarded to the Working Group 
suggestions about a passport-type system and a review of marking 
requirements. Because the United States is participating in the Working 
Group, we anticipate that the United States will most likely be able to 
support what the Secretariat recommends to the Standing Committee. 
Thus, we are not planning to submit our own separate resolution to 
COP11.

[[Page 36897]]

B. What Resolutions and Agenda Items is the United States Currently Not 
Planning To Submit for Consideration at COP11 or Undecided About?

1. Preparation of Standards for Making Non-detriment Findings
    We received comments from the Center for International 
Environmental Law and the International Wildlife Coalition recommending 
that we submit a resolution on standards for the issuance of non-
detriment findings. The CITES Treaty requires scientific non-detriment 
findings for all exports and introductions from the sea for CITES-
listed species, and for all imports of Appendix-I species. We are 
highly committed to the issuance of scientifically based non-detriment 
findings based on biologically sound information. The United States 
agrees that the conservation of species subject to international trade 
would benefit greatly from increased attention by the CITES Parties to 
the bases for issuance of non-detriment findings. Towards that end, the 
United States worked closely with the IUCN--the World Conservation 
Union, which convened an international Workshop to Develop Guidance on 
the Making of Non-Detriment Findings, in Hong Kong in October 1998. The 
United States provided funding for the Workshop through the U.S. 
Department of State's annual funding to IUCN. Our Office of Scientific 
Authority was an invited speaker at the Workshop, which was the first-
ever opportunity to develop an international consensus on the CITES 
scientific decision-making process. The Workshop was very productive, 
and produced a useful report, which may lead to a document to be 
presented to COP11 for further discussion. The CITES Secretariat and 
Animals and Plants Committees will be involved in this process as well. 
However, the United States does not believe that it would be useful to 
submit a resolution at this time, and prefers instead to work through 
the aforementioned process.
2. Captive Breeding
    At COP10 in June 1997, the Parties discussed the issue of 
registration of facilities breeding Appendix-I species in captivity for 
commercial purposes, and whether there was a need to amend or revise 
Resolution Conf. 8.15. This issue pertains to implementation of Article 
VII of the CITES Treaty. At COP10, the Parties adopted Decision 10.77, 
which charged the Animals Committee to ``examine the effectiveness of 
and the need for the existing registration system for operations 
breeding specimens of Appendix-I species in captivity for commercial 
purposes.'' The same Decision also called upon the Animals Committee to 
consider the proposed definition of ``bred in captivity for commercial 
purposes.'' The issue was discussed at length at the 14th meeting of 
the CITES Animals Committee held in Caracas, Venezuela, in June 1997. 
The Animals Committee meeting participants agreed by consensus to a 
number of elements of any revision of Conf. 8.15 pertaining to the 
registration of facilities. At that meeting, the Chair of the Committee 
appointed a Working Group to examine Resolution Conf. 8.15 and draft a 
revised resolution from recommendations agreed upon at the 14th 
Meeting. Germany was asked to chair this Working Group and the United 
States was asked to participate. The Working Group was asked to report 
back to the 15th meeting of the Animals Committee. The Chair of this 
Working Group has circulated drafts to Working Group members for 
comments. The U.S. Government, represented by the U.S. Fish and 
Wildlife Service's Office of Management Authority and Office of 
Scientific Authority, has participated actively in an exchange of 
letters with the Working Group Chair expressing U.S. views on this 
topic. The U.S. comments on this issue have focused on practical 
solutions to problems related to the registration of commercial 
breeding operations, including streamlining the process when feasible, 
allowing for and encouraging range state consultation, and defining 
what breeding for commercial purposes is, while at the same time 
supporting the consensus views of the Animals Committee meeting 
participants (as expressed in Venezuela in June 1997). The Chair of the 
Working Group has provided a draft resolution, based on comments 
received from the Working Group, to the CITES Secretariat. The 
Secretariat has requested additional comments that it will consider in 
preparing a document to be discussed at the 15th meeting of the CITES 
Animals Committee to be held in Madagascar in July 1999. The Animals 
Committee intends to submit a draft revision of Resolution Conf. 8.15 
for discussion by the Parties at COP11. The United States intends to 
continue to participate in discussions of this issue and, if acceptable 
progress is made, expects to support of the results of the discussion.
3. Definition of the Term ``Hunting Trophy''
    The Center for International Environmental Law submitted comments 
that provided a suggested definition of ``sport-hunted trophy'' and 
recommended that the United States submit a resolution to amend 
Resolution Conf. 2.11 (Rev.) on Trade in Hunting Trophies of Species 
Listed in Appendix I. Several resolutions (Conf. 2.11 (Rev.), Conf. 
10.14, and Conf. 10.15) and annotations to the Appendices (i.e., 
specified populations of southern white rhinoceros and African 
elephant) refer to hunting trophies without defining that term. This 
creates implementation problems and opens the possibility of trade in 
hunting trophies of Appendix-I and Appendix-II species for primarily 
commercial purposes. We agree that a definition would assist Parties in 
implementing the CITES Treaty. However, the United States is currently 
undecided on whether to develop such a resolution for COP11. We believe 
that this issue warrants further discussion and we welcome draft 
language or comments.
4. Possible Illegal Trade in Appendix-I Southeast Asian Freshwater 
Turtles for the East Asian Food Market
    Reports from U.S. scientists working and traveling in Asia suggest 
that there is a very large international trade in live freshwater 
turtles for East Asian food markets. International reports also 
document Southeast Asian government interceptions of very large 
shipments of protected or regulated live freshwater turtles, without 
the appropriate documentation, being exported to supply this market. 
Since many of the turtles reported in these markets and in trade are 
believed to be CITES Appendix-I and Appendix-II species, we are seeking 
public comment on options within CITES to review this situation and 
consult with range and consuming countries on this issue.
5. Establishment of a Neutral Parliamentarian and Adoption of a Guide 
to the Rules of Procedure
    We received comments from two organizations concerning procedures 
for conducting COPs. The Center for International Environmental Law 
submitted a draft Guide to the Rules of Procedure and draft text for a 
resolution that would establish a neutral parliamentarian to assist in 
interpreting the Rules of Procedure at COPs. Safari Club International 
wrote in support of continuing the option of voting by secret ballot at 
COPs.
    The United States agrees that CITES would be best served if the 
Rules of Procedure were applied consistently at COPs. However, we 
believe that it is the responsibility of the CITES Secretariat to 
function at COPs as a neutral adviser to the Chairs of the Plenary, 
Committee I, and Committee II regarding the Rules of Procedure. The 
United States feels

[[Page 36898]]

that establishing a parliamentarian is unnecessary. Establishing a 
neutral parliamentarian would require amending the Rules of Procedure, 
which cannot be done by resolution. The appropriate venue for amending 
the Rules of Procedure is in Plenary session when the Parties consider 
adoption of the Rules as one of the first orders of business at a COP.
    CITES Notification to the Parties No. 1998/18 asked the Parties to 
submit to the Secretariat comments and suggestions on improving 
practical and procedural arrangements for COPs. In written comments 
submitted to the Secretariat in response to Notification No. 1998/18, 
the United States suggested actions that the Secretariat could take to 
dispel some of the confusion evident at COP10, including briefing or 
training the COP Chairs prior to commencement of a COP, and preparing a 
Guide to the Rules of Procedure with the assistance of the United 
Nations Office of Legal Counsel.
    With regard to secret ballots, the United States feels that their 
excessive use at COP10 precluded meaningful debate on many issues and 
did not foster transparency in the decision-making process. The United 
States prefers that, with the exception of the vote for the host 
country of the next meeting, secret ballots be eliminated at CITES 
meetings or made more difficult to obtain.
    The United States believes that the best strategy for addressing 
these and other procedural issues is for the Secretariat to review all 
the comments submitted in response to CITES Notification No. 1998/18, 
including those submitted by the United States, and to take these 
comments into consideration in its preparations for COP11. The 
Secretariat intends to present a document on this issue for discussion 
at the 42nd meeting of the Standing Committee in Lisbon, Portugal, in 
September 1999. This document will discuss the intention of the 
Secretariat to review and, where appropriate, revise practical and 
procedural arrangements for future COPs. The United States will review 
the Secretariat's recommendations, taking into account discussions of 
the document at the Standing Committee meeting, and will decide whether 
to support the Secretariat's recommendations or consider raising 
procedural issues on its own under the COP11 ``Rules of Procedure'' 
agenda item.
6. Reaffirmation of the Preamble to CITES
    We received comments from the International Wildlife Coalition 
recommending that the United States submit a resolution to reaffirm the 
Preamble to the CITES text. They noted in their comments that the Study 
of the Effectiveness of the Convention, adopted at COP10, showed that a 
majority of the Parties believe CITES to be the best and most flexible 
instrument available for protecting species from over-exploitation in 
international trade. The International Wildlife Coalition also noted 
that reaffirming the CITES Preamble would assure the world that the 
Parties remain committed to the goals of CITES.
    Recognizing that the CITES Effectiveness Study has already shown 
that the Parties believe CITES to be the best and most flexible 
instrument available for protecting species from over-exploitation 
through international trade, the United States does not believe it is 
necessary to submit a resolution to reaffirm the Preamble at this time. 
It would be inconsistent with international law to submit or adopt such 
a resolution.
7. Amend the CITES Preamble to Invite Participation of Religious 
Environmental Leaders and Organizations
    The Institute for Conservation Education and Development of Antioch 
University Southern California submitted to us a draft agenda item 
calling for an amendment to the CITES Preamble. The proposing 
organization would like to see the CITES Preamble amended to invite the 
participation of religious environmental groups as well as encourage 
the development of religious and spiritual alternatives to exploitation 
of endangered wildlife. The 1997 Study of the Effectiveness of the 
Convention demonstrated that the majority of the CITES Parties believe 
that the text of the Convention should not be amended, and to do so 
would be logistically difficult and expensive. The United States 
concurs with this view.
    However, the Convention currently provides for non-governmental 
observer participation at meetings of the Conference of the Parties, 
and all technically qualified non-governmental groups are invited to 
participate as approved observers. We encourage all interested 
environmental groups, including those with religious approaches to 
conservation, to pursue this avenue to participate in COPs.
8. Clarification of the Difference Between CITES Decisions and 
Resolutions
    We received comments from the Center for International 
Environmental Law and the Species Survival Network recommending 
submission of a draft resolution clarifying the distinction between 
CITES resolutions and decisions. Some Parties and observers consider 
CITES resolutions to be statements of policy that should be implemented 
by Parties until repealed. Some Parties and observers consider CITES 
decisions to be limited to statements directed towards a committee or 
institution for the completion of a specific task. There is confusion 
as to whether resolutions are of greater importance than decisions and 
whether decisions are only effective for a specific time period, such 
as from one COP to the next.
    The United States agrees that this is an issue that needs 
clarification, but does not believe that a new resolution is necessary 
at this time. We feel that this matter can be successfully resolved 
during open discussions in the Plenary sessions, when the Parties are 
voting to adopt resolutions and decisions. We also believe that the 
Secretariat may be developing a document clarifying the difference 
between resolutions and decisions. We welcome comments and information 
on this issue.
9. Prohibit the Down-listing of any Whale Stocks from Appendix I Until 
a Standardized, Externally Verified DNA Testing Protocol is Adopted
    We received comments from Earthtrust recommending that the United 
States propose a resolution prohibiting the transfer of any whale 
stocks from Appendix I to Appendix II until a standardized, externally 
verified DNA testing protocol is adopted.
    The United States has actively participated in efforts aimed at 
developing protocols for and coordination of activities concerning DNA 
testing, in both the IWC and CITES fora, and strongly supports such 
work. However, we believe that a requirement for such a testing 
protocol is inconsistent with the CITES listing criteria as they are 
currently written in that they contain no such requirement. The United 
States notes that the listing criteria will be reviewed and, perhaps, 
proposed for revision in preparation for COP12. The Animals Committee 
will devise a process and schedule for this review at its 15th Meeting 
in July 1999 in Madagascar. This issue could be discussed at that time.
    There are a number of reasons that the United States does not 
support transfer of whale stocks to Appendix II, which go beyond the 
issue of DNA testing protocols. We continue to believe that it is 
inappropriate to consider these species for downlisting until the IWC 
completes the revision of its

[[Page 36899]]

management regime to bring all whaling under effective IWC control. 
Therefore, although the United States is opposed to the transfer of 
whale stocks to Appendix II, it nonetheless does not intend to propose 
a resolution prohibiting the downlisting of whale stocks from Appendix 
I until a standardized, externally verified DNA testing protocol is 
adopted.
10. Periodic Review of Reservations, Particularly for Those Countries 
that are not Range States for the Species in Question
    The Species Survival Network proposed that the United States submit 
a resolution calling on Parties to periodically review any species 
reservations that they have entered. The Species Survival Network 
submitted draft resolution text, which recommended that Parties which 
are not range states that have reservations should conduct these 
periodic reviews. They proposed that a resolution should instruct the 
Animals and Plants Committees to review the conservation merit or harm 
of existing reservations and make recommendations to the Parties that 
have entered them.
    We support the idea that Parties should periodically review and 
refine their CITES implementation procedures, particularly with respect 
to unilateral actions permitted under the Convention, such as species 
reservations or Appendix-III listings. The United States concurs that 
resolutions adopted by the Conference of the Parties are powerful tools 
that should be used where they are likely to accomplish the most for 
species conservation and management. We believe that this suggestion 
springs from positive motivations to advance the conservation goals of 
CITES. However, if adopted, it would most likely discourage significant 
species conservation and management benefits on the part of those 
Parties that have acceded to CITES requirements for most listed species 
subject to specific species reservations.
    We note that Parties have a right to enter reservations. 
Reservations to the listing of species in Appendices I, II, or III may 
be entered by any Party, in accordance with the provisions of Articles 
XV, XVI, and XXIII of the CITES Treaty. For Appendix-I and Appendix-II 
species, those reservations may only be entered when a country accedes 
to the Treaty, or within 90 days of the species' inclusion in that 
Appendix. Under the requirements of the CITES Treaty, until a country 
withdraws its reservation it is to be treated as non-Party to the 
Convention with respect to trade in the particular species. However, 
the United States agrees that commercial trade in an Appendix-I species 
under a reservation has the significant potential to undermine the 
effectiveness of the Convention. The United States has no reservations 
to CITES listings.
    There have been recent cases where the review of reservations to 
Appendix-I listings have appropriately resulted in removal of those 
reservations by reserving Parties that are not range states for the 
species. For example, Japan had a reservation until 1992 on the listing 
of the hawksbill sea turtle (Eretmochelys imbricata). Trade that was 
legal under the Treaty continued in that highly endangered species, 
which the United States felt was undermining the effectiveness of the 
Convention and putting the species at further risk of extinction. After 
review and evaluation, the government of Japan withdrew that 
reservation (and informed the United States that it would phase out the 
domestic use of bekko, or hawksbill sea turtle shell). More recently, 
Switzerland evaluated its reservation to the Appendix-I listing of the 
Tibetan antelope (Pantholops hodgsonii), and based on that review, 
removed its reservation. Therefore, the United States believes that 
reviews of any reservations in force, particularly for Appendix-I 
species, would be very useful, especially when the reserving Parties 
conduct such reviews in consultation with range countries.
    However, at this time the United States does not propose to submit 
a draft resolution recommending such review. Rather, we propose to 
discuss this matter at COP11 to determine if it would be advisable to 
ask the Animals and Plants Committees to coordinate such a review. We 
invite your comments on such a review and on this process.
11. The Transfer of a Species to Appendix I May Not Be Challenged for 
at Least Two Meetings of the Conference of the Parties
    The International Wildlife Coalition proposed that the United 
States submit a resolution recommending to the Parties that any 
transfer of a species to Appendix I not be challenged for at least two 
COPs. The United States does not propose to submit such a resolution, 
for several reasons. First, such a recommendation would necessitate an 
amendment to Resolution Conf. 9.24 (``Criteria for Amendment of 
Appendices I and II''). The Parties have already recommended in 
Resolution Conf. 9.24 ``that the text and the annexes of this 
Resolution be fully reviewed before the twelfth meeting of the 
Conference of the Parties with regard to the scientific validity of the 
criteria, definitions notes, and guidelines and their applicability to 
different groups of organisms.'' We therefore prefer that the listing 
criteria in Conf. 9.24, which have only been used for one COP (COP10), 
be used to their fullest at the upcoming COP (COP11) before making or 
recommending any further modifications to the criteria. Between COP11 
and COP12, the Parties will put into place a process for further 
review. This recommendation of the International Wildlife Coalition can 
be evaluated at that time. Secondly, Conf. 9.24 also says ``any species 
included in Appendix I for which sufficient data are available to 
demonstrate that it does not meet the criteria listed in Annex 1 should 
be transferred to Appendix II only in accordance with the relevant 
precautionary measures listed in Annex 4.'' We are hopeful that the 
precautionary measures in Annex 4 provide ample safeguards that species 
will not be transferred from Appendix I to II with undue haste. We 
agree that one interval between meetings of the Conference of the 
Parties may not be sufficient time to ensure the recovery of a species 
that was just included in Appendix I. However, the United States does 
not propose to submit a resolution on this issue for consideration at 
COP11. We do intend to actively participate in the review of the 
listing criteria in Conf. 9.24, which will take place between COP11 and 
COP12. The United States was an active participant in all scientific 
and technical discussions and Working Groups that led to the 
development of Conf. 9.24, and intends to fully participate in the 
proposed review of the scientific validity of the criteria, 
definitions, notes and guidelines and their applicability to different 
groups of organisms.
12. Definition and Interpretation of ``Sustainable Use'
    The International Wildlife Coalition proposed that the United 
States submit a resolution recommending that the Parties develop a 
definition and interpretation of the term ``sustainable use.'' We agree 
that the term is used extensively in CITES-related documents, although 
it is not referred to in the CITES Treaty. We also agree that the term 
may be over-used, and a definition and clear understanding of the 
concept would be beneficial. The concept of sustainable use of wild 
flora and fauna is particularly relevant in a CITES context to the 
issuance of non-detriment findings, particularly for Appendix-II 
species subject to

[[Page 36900]]

commercial trade. However, the United States does not propose to submit 
a resolution asking that CITES undertake such a definitional task, for 
the reasons discussed below.
    From a U.S. perspective, we have already defined the term. We have 
defined sustainable use in regulations implementing the Wild Bird 
Conservation Act (WBCA). The WBCA complements CITES, and we view the 
definition of sustainable use in the WBCA implementing regulations as 
an appropriate basis for all CITES non-detriment findings. That 
definition states: ``Sustainable use means the use of a species in a 
manner and at a level such that populations of the species are 
maintained at biologically viable levels for the long term and involves 
a determination of the productive capacity of the species and its 
ecosystem, in order to ensure that utilization does not exceed those 
capacities or the ability of the population to reproduce, maintain 
itself, and perform its role or function in its ecosystem.'' We believe 
that the above definition of sustainable use is appropriate for the 
determination of whether or not an export is non-detrimental.
    We note that IUCN recently undertook a process to define 
sustainable utilization, but has not been able to reach consensus or 
complete the task. Therefore, we believe that it would be more fruitful 
for the CITES Parties to work to develop a consensus understanding of 
what is meant by non-detriment and how non-detriment findings should be 
issued, in the context of sustainable utilization.
    To effectively define non-detriment, in the context of sustainable 
utilization of wildlife, we prefer to work within the context of the 
IUCN-sponsored process discussed above (under ``Preparation of 
Standards for Making Non-detriment Findings''). We believe that the 
CITES Secretariat will be sponsoring a follow-up workshop in late 1999, 
where sustainable use and non-detriment will be discussed, with 
submission of a product to the Parties at COP11. We will recommend the 
inclusion of a definition or at least discussion of sustainable 
utilization in any final CITES product that arises from this process. 
In its comments to us, the International Wildlife Coalition submitted a 
document titled ``Criteria for Assessing the Sustainability of Trade in 
Wild Fauna and Flora.'' These criteria provide useful information, and 
we will make sure that they are considered during any IUCN or CITES-
sponsored process on this issue.
13. Criteria for Assessment of Export Quotas for Trophies of Appendix-I 
Species
    The International Wildlife Coalition proposed that the United 
States submit a resolution outlining the information that should be 
submitted by any Party that submits a proposal for a trophy-hunting 
quota for an Appendix-I species, along with standards for the 
assessment of those proposed quotas by the Conference of the Parties. 
The United States agrees that this recommendation raises some important 
issues that should be discussed further by the CITES Parties, but does 
not propose to address it through a resolution at this time.
    There is a significant difference between transfer of a species 
from Appendix I to II with a quota, that might include sport-hunted 
trophy specimens, and quotas for trophy specimens of species included 
in Appendix I. Parties may issue Appendix-I import and export permits 
for sport-hunted trophies, as long as all of the requirements of the 
Treaty are satisfied, including but not limited to those in Article 
III. Parties that wish to export sport-hunted trophies of native 
species are not obligated to have their quota approved by the 
Conference of the Parties. However, many countries have chosen to 
submit their trophy-hunting quotas to the Conference of the Parties for 
approval, to help expedite the findings required by the importing 
country (under Article III). For example, trophy-hunting quotas have 
been approved by the Conference of the Parties through a resolution 
process for the leopard (Panthera pardus) from 11 countries, and for 
the markhor (Capra falconeri) from Pakistan. Any quotas that are an 
integral part of a species listing, or are adopted by resolution of the 
Conference of the Parties, require the full evaluation of the Parties 
at a COP, and should of course be fully evaluated by Parties' 
scientific authorities.
    The United States agrees with the commenter on this issue that 
clear guidelines to the Parties as to what should be submitted by the 
proponent of such a quota would be very helpful, and should mirror the 
types of information required for a listing proposal, pursuant to 
Resolution Conf. 9.24. The United States does not believe that a 
resolution should be submitted to COP11 with draft guidelines, but 
rather COP11 could direct a process for review and possible adoption at 
COP12. We believe that the COP should direct this issue to the Animals 
Committee for further evaluation, for possible submission of guidelines 
to the Conference of the Parties at COP12. We invite your views on this 
approach, and propose to discuss this issue with other attendees at the 
upcoming meeting of the Animals Committee.

II. Recommendations for Species Proposals for the United States To 
Consider Submitting at COP11

    We published a notice in the Federal Register on January 30, 1998 
(63 FR 4613), in which we requested information and recommendations on 
potential species amendments for the United States to consider 
submitting for discussion at COP11. In addition to possible species 
proposals that we have been developing on our own, we received 
recommendations from the public for possible proposals for 58 different 
taxa (at the species, genus, or family levels). We have undertaken 
extensive evaluations of the available trade and biological information 
on all of these taxa. Even if all of these species qualified for 
listing or transfer between the Appendices (uplisting, downlisting, or 
removal from the Appendices), we would not submit all of them for 
consideration at COP11, due to workload and time factors. Our first 
task was to determine if the requested action qualified under the CITES 
listing criteria (in Resolution Conf. 9.24). If a proposal qualifies 
under the listing criteria, we then must decide whether to consider its 
submission or not. We therefore must look at the conservation 
priorities associated with these different proposals, as well as the 
views and scientific assessment of the range countries, when the 
species is not native to the United States.
    Below, we have provided the potential actions that the United 
States is considering taking at COP11 with regard to all of the species 
proposals recommended by the public. We have also provided the 
potential actions that the United States is considering taking at COP11 
with regard to possible species proposals we have been developing on 
our own.

A. What species proposals is the United States considering submitting 
for consideration at COP11?

    The United States is considering the submission of the following 
proposals. We welcome your comments and, in particular, any biological 
information on these species. For each species, more detailed 
information is on file in the Office of Scientific Authority than is 
presented in the summary below. For some of the species below, 
particularly those not native to the United States, additional 
consultation with range

[[Page 36901]]

countries and others is proceeding (see discussion), and a final 
decision is pending the outcome of those consultations. Several letters 
have already been sent to range countries asking for additional 
biological information on the species or taxon in question and several 
responses have already been received.
Plants
1. White wicky (Kalmia cuneata)
    White wicky, an endemic plant of the North and South Carolina 
coastal plain, has been listed in CITES Appendix II since 1983. The 
Office of Scientific Authority (OSA) recommends that the species be 
deleted from the CITES Appendices. The recent OSA review of CITES-
listed plant taxa native to the United States, as part of the ongoing 
Plants Committee taxa review process, determined that White wicky has 
not been in international trade in recent years, and that the main 
threats to the species are habitat loss due to land development, 
conversion to agriculture or production forestry, and fire suppression. 
For these reasons, the United States is considering a proposal to 
delete this species from Appendix II.
2. Holywood lignum-vitae (Guaiacum sanctum)
    Holywood lignum-vitae, a valuable timber species widely distributed 
in the Florida Keys, West Indies, and Central America, has been listed 
in Appendix II since 1975. OSA recommends that the species be 
transferred to Appendix I. The recent OSA status review of CITES-listed 
plant taxa native to the United States determined that the species has 
been depleted through deforestation and felling for timber, such that 
it has now been extirpated or is extremely rare on most of the 
Caribbean islands. Remaining populations in Central America and Florida 
are confined to restricted areas and are still threatened by habitat 
loss and over-exploitation. The taxon is considered endangered by the 
IUCN. For these reasons, the United States is considering a proposal to 
transfer this species to CITES Appendix I.
Invertebrates
3. Eastern hemisphere tarantulas (Poecilotheria spp.)
    The eleven known species of eastern hemisphere tarantulas occur 
only in the forests of southern India and Sri Lanka. None of the 
species is currently listed under CITES, and none has previously been 
proposed for listing. The entire genus Poecilotheria was recommended 
for listing in Appendix II by R.C. West of the Royal British Columbia 
Museum. With the listing of western hemisphere tarantulas (Brachypelma 
spp.) in CITES Appendix II in 1994, the commercial pet trade shifted to 
eastern hemisphere tarantulas. The natural reproductive potential of 
these species is relatively low and cannot keep up with current demand 
for the pet trade. In addition, captive propagation of these species is 
rarely successful and is unlikely to provide enough individuals to meet 
demand. Finally, the native forest habitat of these species is 
declining due to deforestation. For these reasons, the United States is 
considering either (1) submitting a proposal to list all eastern 
hemisphere tarantulas (i.e., the genus Poecilotheria) in CITES Appendix 
II, or (2) co-sponsoring or supporting a range country's proposal for 
listing all eastern hemisphere tarantulas in Appendix II. We have 
consulted with India and Sri Lanka with regard to this proposal and 
have already received useful comments from Sri Lanka.
Fish
4. Seahorses (Hippocampus spp.)
    The Humane Society of the United States and the International 
Wildlife Coalition recommended that the United States propose seahorses 
for listing in Appendix II. There are approximately 35 species of 
Hippocampus. All species are marine; they live among sea grasses, 
mangroves, and coral reefs worldwide, between 45 deg. north and south 
latitude, with most species in the western Atlantic or Indo-Pacific 
regions. Seahorses are characterized by sparse distributions, low 
mobility, small home ranges, low natural adult mortality, low 
fecundity, long parental care, and mate fidelity. They range in size 
from a 10-20 mm Australian seahorse to a 300 mm Pacific seahorse. Life 
history strategies of seahorses make populations susceptible to over-
exploitation.
    A rapidly growing trade in Hippocampus spp. for traditional Chinese 
medicine and its derivatives, aquarium pets, souvenirs, and curios is 
resulting in over-exploitation of wild populations. It is estimated 
that at least 20 million seahorses are captured annually from the wild. 
At least 20 nations worldwide are exporting seahorses; the largest 
known exporters are India, Indonesia, the Philippines, Thailand, and 
Vietnam, with annual exports for each country estimated at 3-15 tons of 
dried seahorses. The number of seahorses landed in the United States 
(Florida) has steadily increased since records began in 1992, with more 
than 112,000 seahorses taken in 1994.
    The largest importers for dried seahorses are China, Hong Kong, and 
Taiwan, with an estimated annual consumption of 45 tons (16 million 
seahorses) in Asia. Seahorses are sold as whole, dried animals for 
preparation into tonics. There has been a recent increase in numbers of 
seahorses used in prepared medicines (pills) in Asia, possibly in 
response to decreases in size of individuals obtained in fisheries 
catch. Seahorses are also used in traditional medicines in Indonesia, 
the Philippines, and India, and at least eight seahorse medicines are 
now sold in North America. Dried seahorses are also utilized as curios 
with a high availability in beach resorts and shell shops around the 
world.
    Live specimens for aquarium pets are exported primarily to North 
America, Europe, Japan, and Taiwan. Five species are preferred for 
aquaria, including four Indo-Pacific species in the Hippocampus histrix 
complex and H. kuda complex, and one North American species, H. 
erectus. Virtually all aquarium seahorses come from the wild. Seahorses 
are highly unsuitable aquarium fishes, and few survive in captivity.
    The main threats to seahorse populations are widespread over-
fishing and habitat loss. Seahorse populations in Indo-Pacific 
countries are estimated to have declined by 25-75% over the last five 
years. Size of individuals taken has also declined concomitant with an 
increased take of immature males in fisheries catch, which may have 
grave implications for reproductive potential. The United States 
believes that these species qualify for inclusion in Appendix II. 
Considering the substantial threats to these species and their 
importance in international wildlife trade, the United States is 
considering Hippocampus spp. for inclusion in Appendix II and seeks 
additional information about the biological or trade status of these 
species. We intend to consult with all CITES Parties, through the 
Secretariat, on the merits of such a proposal.
Reptiles and Amphibians
5. Timber rattlesnake (Crotalus horridus)
    The timber rattlesnake occurs in 27 States in the northeastern, 
southeastern, and Midwestern United States. The species was proposed 
for listing in CITES Appendix II by the United States at COP10, but 
that proposal was withdrawn. A number of organizations, including the 
International Affairs Committee of the International Association of 
Fish and Wildlife

[[Page 36902]]

Agencies (IAFWA), the Humane Society of the United States, and the 
International Wildlife Coalition, have recommended that the timber 
rattlesnake be listed in Appendix II at COP11. Research, long-term 
monitoring, and anecdotal observations indicate that timber rattlesnake 
populations are declining throughout the majority of the species' 
range. In most States only relict populations remain. Large local 
populations are considered to be rare. Timber rattlesnakes are 
threatened by ongoing habitat degradation and loss, highway mortality, 
rattlesnake roundups, collection for domestic and international trade, 
and intentional killing. The numerous threats to the timber rattlesnake 
are exacerbated by the species' low reproductive potential. Females in 
the northeastern United States often do not breed until eight or nine 
years of age, and may produce young only every two or three years. For 
these reasons, the United States is considering submitting a proposal 
to list the timber rattlesnake in CITES Appendix II.
6. Spotted turtle (Clemmys guttata)
    The spotted turtle occurs in southern Ontario, Canada, and in 
northeastern, upper Midwestern, mid-Atlantic, and southeastern States 
in the United States. The species is not currently listed under CITES, 
and has not previously been proposed for CITES listing. OSA and the 
International Affairs Committee of IAFWA have recommended that the 
species be listed in CITES Appendix II. The primary threats to the 
spotted turtle are over-collection, habitat fragmentation, alteration 
and destruction, and road mortality. Habitat alterations include 
grazing impacts, draining and filling of wetlands, artificial control 
of water levels in wetlands, pollution, and development. The quantity 
and quality of spotted turtle habitat in southern Maine, southeastern 
New Hampshire, and many other parts of the species' range have been 
reduced by human population growth and associated development over the 
past two decades. The spotted turtle is listed as endangered, 
threatened, or a species of special concern at the State/provincial 
level throughout its range. Illegal commercial collecting and 
incidental collection by hobbyists are depleting populations in many 
areas. Substantial numbers of spotted turtles were exported from the 
United States in 1995 through 1997. For these reasons, the United 
States is considering submitting a proposal to list the spotted turtle 
in CITES Appendix II.
7. Sonoran green toad (Bufo retiformis)
    The Sonoran green toad, limited to portions of Arizona and Sonora, 
Mexico, has been included in CITES Appendix II since 1975. The 
International Affairs Committee of the IAFWA has recommended that the 
Sonoran green toad be deleted from Appendix II; the Humane Society of 
the United States has recommended that the species be retained in 
Appendix II. Although this species has a limited geographic 
distribution, its population status within that distribution is 
considered to be stable. Much of the distribution falls within 
protected areas such as national monuments and military ranges. There 
is little or no documented international trade in this species, and no 
other significant threats to the species have been identified. For 
these reasons, the United States is considering a proposal to delete 
this species from Appendix II.
Birds
8. Gyrfalcon (Falco rusticolus)
    The gyrfalcon is circumpolar in distribution. The North American 
population occurs in both the United States (primarily Alaska) and 
Canada (northern British Columbia, Labrador, Northwest Territories, 
Quebec, and Yukon Territory). The gyrfalcon was listed in Appendix I in 
1975. The North American gyrfalcon population was transferred to 
Appendix II in 1981 (the third meeting of the Conference of the 
Parties), but was returned to Appendix I in 1985 (the fifth meeting of 
the Conference of the Parties) because of concern over illegal trade. 
At present the North American gyrfalcon population occurs over a large 
area of wilderness habitat, demonstrates density and productivity 
levels characteristic of the species, and has remained stable since 
surveys began over 20 years ago. Evidence indicates that the North 
American gyrfalcon population has not declined due to legal or illegal 
international trade since 1981. For these reasons, the United States is 
considering a proposal to transfer the North American gyrfalcon 
population from Appendix I to Appendix II. To allay concerns expressed 
by some European countries regarding potential illegal trade in the 
species, particularly of the European population, the United States is 
considering whether to include an annotation to the downlisting, with a 
zero quota on commercial trade for specimens removed from the wild.
Mammals
9. Steller's sea lion (Eumetopias jubatus)
    The western stock of Steller's sea lions ranges from about Prince 
William Sound, Alaska, west through the Gulf of Alaska and the Aleutian 
Islands to Russia and Japan. The eastern stock extends from 144 deg. W, 
through southeast Alaska and south to central California. The global 
population was estimated at over 300,000 Steller's sea lions in the 
late 1970s. Declines in abundance began in the eastern Aleutian Islands 
in the early 1970s, and by 1985 the declines had spread throughout the 
Aleutian Islands and eastward into the Gulf of Alaska, at least to the 
Kenai Peninsula. The Alaskan population, which numbered close to 
157,000 non-pups in the 1970s, had declined to about 64,000 by 1989, a 
decline of almost 60%. The Alaskan population continues to decline. The 
species was listed as threatened under the U.S. Endangered Species Act 
in November 1990. Since then, two stocks, an eastern (stable population 
trends) and western (declining trends) have been identified. In 1997, 
the status of the western stock of Steller's sea lions was changed to 
endangered.
    The magnitude of the decline in such a short time is startling. The 
rookery at Walrus Island in the Bering Sea once was the birthplace of 
over 2,800 pups annually; in 1991 only 50 pups were counted. Once 
Marmot Island near Kodiak Island was the largest Steller's sea lion 
rookery in the world. In 1979, 6,741 pups were born there, but only 804 
pups were observed in 1994. Similar declines have occurred in both 
adult and pup counts in most of Alaska and Russia. From 1955 to 1968, 
the Steller's sea lion population in the Kuril Islands, Russia, was 
stable at about 15,000-20,000 individuals, but it declined steadily 
since that time to 5,000 in 1989.
    It is presumed that international trade occurs in this species, 
particularly within the western North Pacific Ocean part of the 
species' range, based on the presence of Steller's sea lion meat 
available for purchase at shops at international airports in Japan. The 
actual level of take from the wild is unknown, but a harvest by the 
Japanese has been estimated based on interviews with local authorities. 
During 1991-1993, an average of 91 sea lions were killed per year; a 
high of 247 sea lions were killed per year during 1981-1985. Struck and 
lost rates are much higher (high in 1977-1980 of 559 sea lions struck 
and lost). This harvest comes from sea lions inhabiting the west coast

[[Page 36903]]

of Asia with breeding rookeries found on islands and coastal areas of 
Russia, the Kuril Islands, the Okhotsk Sea, the Commander Islands, and 
the Kamchatka Peninsula. Sea lions marked in the Kuril Islands have 
been sighted in Japanese waters.
    Steller's sea lions are considered by some in Japan to conflict 
with commercial fish harvests and are therefore subject to a directed 
take to reduce or eliminate damage to gear and depredation on fish 
stocks. This take is in the form of hunters commissioned by the 
government to shoot sea lions. These takes are within Japanese 
territorial waters. However, some of the meat is recovered and 
processed into a canned product that is then sold, primarily as a 
novelty to tourists. A significant portion of the sea lions that are 
killed incidental to fisheries in Japan may be from the Kuril Islands 
stock. The United States considers this species to meet the criteria 
for inclusion in Appendix I. The United States is considering 
submitting a proposal to add the species to Appendix I and seeks 
further information on its biological and trade status.
10. Bottlenose dolphin, Black Sea/Sea of Azov population (Tursiops 
truncatus)
    The Humane Society of the United States recommended that the United 
States propose this population of the bottlenose dolphin for transfer 
from Appendix II to Appendix I. The subspecies Tursiops truncatus 
ponticus is endemic to the Black Sea and isolated from other 
populations of bottlenose dolphins in the Mediterranean and other 
waters. The species is distributed worldwide in temperate and tropical 
waters. It is believed that overall abundance of dolphins in the Black 
Sea has declined greatly due to severe over-exploitation up into the 
1980s, for human consumption and for industrial products. A very large 
purse-seine fishery conducted by the former Soviet Union, Bulgaria, and 
Romania collapsed in the 1960s due to over-harvesting, and large takes 
by rifle continued by Turkey until a ban in 1983 and possibly 
thereafter. The proportions of the three endemic small cetaceans 
(bottlenose dolphin, harbor porpoise Phocoena phocoena relicta, and 
long-beaked common dolphin Delphinus delphis ponticus) in these catches 
and their relative degrees of depletion are not known with confidence. 
The size of the present population of bottlenose dolphins is unknown, 
and no estimates exist of sustainable levels of take. The habitat is 
thought to be highly degraded and declining in quality due to 
contamination by sewage and industrial effluents, algal blooms, 
decrease in prey species due to over-fishing, and by-catch in 
fisheries.
    There has been a substantial international commercial trade in 
bottlenose dolphins from the Black Sea. Exporters in the Ukraine, 
Russia, and Georgia have been able to obtain CITES permits for export 
of bottlenose dolphins to several countries, including Cyprus, Malta, 
Turkey, Israel, Argentina, and Hungary, by stating that the purpose was 
to establish breeding colonies for conservation and research, but in 
all cases the actual purpose was commercial. The majority of the 
animals died during or shortly after transport; there were also some 
cases of illegal importation. Only one captive birth (in Israel) has 
occurred, and we are not aware of any scientific research papers that 
have resulted from the trade. The United States considers this 
population of bottlenose dolphin to meet the criteria for inclusion in 
Appendix I.

B. What species proposals is the United States considering submitting 
for consideration at COP11, pending additional information?

    The United States is still undecided on whether to submit the 
following proposals. We welcome your comments, and especially any 
biological and trade information on these species. For each species, 
more detailed information is available in the Office of Scientific 
Authority than is presented in the summary below. For potential 
proposals, we delineate what additional information we are seeking or 
have sought to assist us in making our decision.
Fish
1. Great white shark (Carcharodon carcharias)
    We received a recommendation from the Humane Society of Australia 
and the Humane Society of the United States to propose the great white 
shark (Carcharodon carcharias) for inclusion in Appendix I. The 
cosmopolitan great white shark is a coastal and offshore inhabitant of 
continental and insular shelves. It is distributed throughout temperate 
and subtropical oceans of the northern and southern hemispheres, and 
occasionally, seasonally strays into tropical waters and colder 
temperate waters.
    In North American waters, the great white shark is occasionally 
found in the Western North Atlantic from Newfoundland to Florida, with 
the East Coast as a center of summer distribution around the New York 
Bight. It has been reported in the Bahamas, Cuba, northern Gulf of 
Mexico, Brazil, and Argentina. In the Eastern Pacific it occurs from 
the Gulf of Alaska to the Gulf of California and from Panama to Chile. 
It has a wide but sporadic distribution in the rest of the world's 
temperate oceans.
    Great white sharks are exploited worldwide by incidental fisheries, 
as a by-catch of longline fishing and gillnet fishing. In the past, 
occasional captures have been routinely marketed for the curio trade, 
with jaws and individual teeth across the entire size and maturity 
range commanding high prices in international markets. There is a 
lesser market for flesh and fins. The flesh may be utilized for pet or 
human consumption. Shark fins can command a price as high as US$25.50/
kg. Great white sharks have also been used for leather and a source for 
squalene oil from the liver for cosmetics. Single teeth in the United 
States can sell for as high as $30 to $80. Prepared jaws may command 
over $4,000 in collector's circles.
    Information from worldwide commercial catches, recreational 
catches, and captures in beach-meshing operations suggests that numbers 
are declining. Sources of mortality of the great white shark result 
from commercial by-catch from large-scale longlining and gillnetting 
operations. Mortality also occurs from entanglement in fish traps, 
pound nets, and coastal weir nets, and in protective beach-meshing 
operations. Little data have been recorded on these captures. However, 
because of its rarity and the evident decline in catches, the United 
States considers this species to meet the biological criteria for 
inclusion in Appendix I.
    Since 1993, the great white shark has been managed in the U.S. 
Atlantic and Gulf of Mexico as part of the Large Coastal Shark quota by 
the Fishery Management Plan for Sharks of the Atlantic Ocean. It 
received individual protection on April 2, 1997, when the National 
Marine Fisheries Service published a final rule that prohibited all 
directed fishing for the great white shark. Sharks are also protected 
in the States of California and Florida, and in the Maldives Islands 
and Namibia. The United States is considering the proposal of the great 
white shark for inclusion in Appendix I and seeks additional 
information about the species, particularly regarding its abundance and 
conservation status.
2. Whale shark (Rhincodon typus)
    The whale shark is a pantropical species occurring in tropical and 
warm-temperate waters of the Atlantic, Pacific, and Indian Oceans, most 
often

[[Page 36904]]

encountered in a band around the equator extending to roughly 30  deg.N 
and 35  deg.S. It is basically pelagic and can be encountered in very 
deep water far from land. However, shallow waters near the mouths of 
some rivers and estuaries could constitute feeding or breeding/birthing 
grounds; whale sharks gather there seasonally.
    The whale shark is highly migratory. Movements of thousands of 
kilometers over periods of weeks or months have been recorded through 
satellite tracking in the eastern Pacific and Southeast Asia. One shark 
that had been satellite-tagged in the Mindanao Sea in the inner 
Philippines traveled over 3,000 km to the EEZ of Vietnam in two months. 
Another tagged on the coast of Sabah in Malaysia traveled offshore and 
then returned to coastal Malaysian waters over a 2,152-km route. 
Several sharks satellite-tagged in the Gulf of California, Mexico, 
moved over 12,000 km southeast into international waters and the waters 
offshore of South Pacific nations.
    The species is rare, although little is known about its population 
size. Local seasonal populations have declined drastically in some 
areas, and fishing effort and price have greatly increased. In the 
Philippines, significant declines in catch-per-unit-of-effort in two 
traditional whale-shark fishing regions (Bohol and Misamis Occidental) 
have led to attempts to develop new fishing areas. Similar declines, 
possibly caused by over-exploitation, have been noted in Taiwan and the 
Maldives. It is not known to what degree fishing in one area affects 
populations in other areas, although the fact that at least some of the 
sharks migrate long distances within ocean basins suggests that the 
effects may not be purely local. The United States considers this 
species to meet the criteria for inclusion in Appendix II.
    Sharks in general are more vulnerable to exploitation than are most 
other fishes, because of their longevity, delayed maturation, and 
relatively low fecundity. International trade in whale shark products 
takes place in Southeast Asia. The whale shark is fished for its fins 
and meat throughout Asia (India, Pakistan, China, Indonesia, the 
Philippines, Taiwan, Japan, the Maldives, and elsewhere), in some cases 
despite legal protection (e.g., in the Philippines). In very recent 
years, a market for fresh whale shark meat has developed rapidly in 
Taiwan, supplied by the Philippines. Ecotourism industries based on 
viewing whale sharks now exist in Thailand, Australia, South Africa, 
and the Maldives, as well as the Philippines. The United States is 
considering proposing the whale shark for inclusion in Appendix II and 
seeks additional information about this species.
Amphibians and Reptiles
3. Mantella frogs (Mantella spp.)
    Mantella frogs occur only on the island of Madagascar. Four 
species, Mantella bernhardi, M. cowani, M. haraldmeieri, and M. 
viridis, were proposed for listing in Appendix II at COP10. That 
proposal was withdrawn when Madagascar agreed to list the four species 
in Appendix III. However, to date this listing has not taken place. 
Thus, the Humane Society of the United States, the International 
Wildlife Coalition, and Friends of Animals have recommended that these 
four species be listed in Appendix II at COP11. These Mantella frogs 
have limited distributions because of limited habitat availability, and 
available habitat is continuing to decline due to deforestation. These 
species are known to be in international trade, and population declines 
have been documented at several locations following heavy collection 
for international trade. For these reasons, the United States is 
considering either (1) submitting a proposal to list these four 
Mantella species in CITES Appendix II or (2) co-sponsoring an Appendix 
II listing proposal with Madagascar. We have contacted Madagascar with 
regard to this proposal.
4. Southeast Asian box turtle (Cuora amboinensis) / Chinese three-
striped box turtle (Cuora trifasciata)
    The Southeast Asian box turtle occurs throughout much of Southeast 
Asia, including Indonesia, Malaysia, Brunei, Burma/Myanmar, the 
Philippines, Thailand, Vietnam, and probably Cambodia, Lao People's 
Democratic Republic, and Singapore. It has also been reported from 
Bangladesh and India. The Chinese three-striped box turtle has a much 
more limited range, occurring from northern Vietnam through southern 
China (including Hainan Island). Neither species is currently listed 
under CITES. Both the Humane Society of the United States and the 
International Wildlife Coalition have recommended that the Southeast 
Asian box turtle be listed in Appendix II, and the International 
Wildlife Coalition has also recommended that the Chinese three-striped 
box turtle be listed in Appendix II. The Southeast Asian box turtle has 
been exploited heavily for food throughout much of its range. The 
Chinese three-striped box turtle is in heavy demand for medicinal use 
and as a food item. Both species have been documented in international 
trade, which primarily involves the movement of turtles from source 
countries to China. The Chinese three-striped box turtle is also 
considered valuable in the pet trade in Europe and the United States. 
For these reasons, the United States is considering either (1) 
submitting a proposal to list these two Cuora species in CITES Appendix 
II or (2) co-sponsoring an Appendix-II listing proposal for the genus 
Cuora. We have consulted with CITES range countries (Bangladesh, 
Brunei, Cambodia, China, India, Indonesia, Malaysia, the Philippines, 
Singapore, Thailand, and Vietnam) and possible proponents with regard 
to these proposals. Comments have already been received from some range 
countries.
5. Parson's chameleon (Chamaeleo parsonii parsonii)
    Parson's chameleon is endemic to the rainforests of eastern 
Madagascar. The species was listed in CITES Appendix II in 1977. The 
Chameleon Information Network has recommended that Parson's chameleon 
be transferred to Appendix I. The primary threats to this species are 
the continued loss of its rainforest habitat and exports for the live 
reptile trade. Parson's chameleons require dense forest cover, most of 
which has already been lost through deforestation. Parson's chameleons 
have been exported for the pet trade and as zoological specimens since 
1988. Trade records from the World Conservation Monitoring Centre 
(WCMC) indicate that over 14,000 Parson's chameleons were exported from 
Madagascar from 1990 through 1997. Legal commercial exports were 
suspended in 1995, and relatively few captive offspring are produced. 
These two factors have served to drive up both the demand from 
hobbyists and the selling price of chameleons imported prior to the ban 
or born in captivity. In the event that trade resumes, Parson's 
chameleon would be placed under heavy pressure from collectors 
supplying exporters. For these reasons, the United States is 
considering a proposal to transfer Parson's chameleon from Appendix II 
to Appendix I. We have consulted with Madagascar with regard to this 
proposal.

C. What species proposals is the United States still undecided on, 
pending additional information and consultations?

    The United States is still undecided on whether to submit the 
following proposals. We welcome your comments, especially any 
biological and trade information on these species. For each species, 
more detailed information is

[[Page 36905]]

available in the Office of Scientific Authority than is presented in 
the summary below. For each potential proposal, we delineate what 
additional information we are seeking or have sought to assist us in 
making our decision.
Plants
1. Bigleaf mahogany (Swietenia macrophylla)
    The Rainforest Coalition, Friends of the Earth, and Defenders of 
Wildlife have requested that the United States propose bigleaf mahogany 
for inclusion in Appendix II. The United States is the largest importer 
of wood of this species, which occurs in range states from Mexico to 
Brazil and Bolivia. Brazil and Bolivia are the two largest exporters; 
the other 11 range states export far less. Bigleaf mahogany (from the 
Americas) was listed in Appendix III by Costa Rica in November 1995, 
including its saw-logs, sawn wood, and veneer sheets (i.e., other 
derivatives such as furniture are exempt from CITES requirements). 
Bolivia listed bigleaf mahogany in Appendix III in March 1998, and 
Brazil and Mexico took the same action in July 1998 and April 1999, 
respectively. Species listed in Appendix III can be traded 
commercially. Once a species is added to Appendix III, the countries 
that list the species are required to issue permits and ensure that 
specimens are legally acquired; non-listing range countries must issue 
certificates of origin; and importing countries are required to ensure 
that all shipments are accompanied by the appropriate CITES documents.
    Proposals to include this species in Appendix II were submitted to 
the eighth meeting of the Conference of the Parties (COP8) by Costa 
Rica and the United States, to COP9 by the Netherlands, and to COP10 by 
Bolivia and the United States. At COP8, the proposal was withdrawn; at 
COP9 it gained 60 percent of the vote, short of the two-thirds majority 
needed for adoption. The COP10 proposal also received the majority of 
the votes, but did not obtain the required two-thirds majority. At 
COP10, Brazil offered to host a Mahogany Working Group meeting that 
would examine the conservation status of the species, including related 
forest policies and management, and international cooperation and 
trade, and make recommendations accordingly.
    The Working Group met in Brasilia in June 1998. Attendees included 
seven range states, including the six largest (Brazil, Bolivia, Peru, 
Ecuador, Colombia, and Venezuela), the major importing countries, 
including the United States, the Food and Agriculture Organization of 
the United Nations (FAO), the International Tropical Timber 
Organization (ITTO), non-governmental organizations (NGOs), experts, 
and others. The group affirmed the utility of Appendix-III listings and 
the need for forest inventories. The group agreed to joint actions, 
which include evaluating the status of commercial timber species, 
technical and scientific cooperation for the species' sustained 
management and reproduction, and commercial and industrial cooperation, 
as well as supervision, control, and inspection of the products. The 
Amazon Cooperation Council affirmed the results of the Mahogany Working 
Group and passed a resolution calling for increased information sharing 
and coordination among Amazonian Cooperation Treaty (ACT) countries to 
preserve commercial-grade timber species. However, we are not aware of 
any progress on the implementation of important decisions and 
resolutions.
    The United States is considering proposing Swietenia macrophylla 
for listing in Appendix II of CITES, and we are seeking additional 
information. At this time, the various interested and affected agencies 
of the U.S. Government are reviewing all pertinent information related 
to such a proposal. In particular, the U.S. Government seeks new 
information, especially regarding progress in addressing the 
sustainable use and trade in this species by the range countries, and 
any follow-on actions since the June 1998 Mahogany Working Group 
meeting. We are in the process of consulting directly with the range 
nations to obtain additional information, including in particular 
biological and trade information relevant to Resolution Conf. 9.24, and 
their views regarding a possible proposal to list Swietenia macrophylla 
in Appendix II; their views on possibly including certain populations 
of the species in Appendix II; for the countries that have listed 
bigleaf mahogany in Appendix III, their views on the implementation of 
that listing; and the views of other countries on the prospect of 
additional Appendix III listings.
Fish
2. Patagonian toothfish (Dissostichus eleginoides)
    The Antarctic and Southern Ocean Coalition, Animal Protection 
Institute, Humane Society of the United States, and International 
Wildlife Coalition have recommended that the United States consider 
proposing Patagonian toothfish (Dissostichus eleginoides) for listing 
in CITES Appendix II. The geographic distribution of D. eleginoides 
occurs along slope waters in the Pacific off of Chile from 30 deg.S to 
Cape Horn, in the southern Atlantic along the coast and slope waters of 
southern Patagonia and Argentina, to south of South Africa and south of 
New Zealand, including the sub-Antarctic waters of the Indian Ocean and 
Macquarie Island on the Indo-Pacific boundary of the Southern Ocean. A 
look-alike species, the Antarctic toothfish, Dissostichus mawsoni, 
reportedly has a similar and overlapping distribution to that of D. 
eleginoides.
    The fishery for Patagonian toothfish is relatively new, and there 
are no long-term fishery data by which to establish trends. However, 
there have been rapid increases in catch over the last few years. In 
addition, there are several characteristics of the life history of D. 
eleginoides that make the species vulnerable to overexploitation, such 
as its low fecundity, slow growth, long life, and late maturation. 
Over-harvest due to illegal trade is of prime concern to the United 
States and other Parties of the Commission for the Conservation of 
Antarctic Marine Living Resources (CCAMLR). The co-generic species, D. 
mawsoni, also falls under the authority of CCAMLR and has been 
subjected to intense fishing in CCAMLR and international waters. The 
Government of Australia is reviewing the status and trade of both 
species. Available evidence suggests that D. eleginoides may meet the 
criteria for inclusion in Appendix II, and D. mawsoni may meet the 
similarity of appearance criteria for inclusion in Appendix II.
    The United States and other Parties have made proposals to CCAMLR 
for a toothfish catch certification program. Proposals were introduced 
at the October 1998 CCAMLR annual meeting, and addressed at an 
intersessional meeting of CCAMLR April 27-29, 1999. The results of the 
intersessional meeting discussions will be reviewed at the November 
1999 CCAMLR annual meeting, the earliest that CCAMLR Parties could 
adopt a catch certification program. Any action taken by the CCMLAR 
Parties at their annual meeting in November 1999 will be considered in 
developing the final U.S. position on any listing proposal for the 
Patagonian toothfish.
Reptiles and Amphibians
3. Pancake tortoise (Malacochersus tornieri)
    The pancake tortoise ranges from central Kenya southward through

[[Page 36906]]

central Tanzania. Within that range, the species tends to be patchily 
distributed because of its rigid habitat requirements. The species is 
found only where suitable rock crevices and outcroppings are found in 
thorn-scrub and savannah vegetation. The pancake tortoise was listed in 
CITES Appendix II in 1975. The Humane Society of the United States has 
recommended that the species be transferred to Appendix I. Kenya banned 
trade in the species in 1981. Immediately following the ban in Kenya, 
there was an increase in exports from Tanzania. Field surveys conducted 
in the early 1990s indicated that pancake tortoise populations had 
become depleted in much of the species' range in Tanzania, especially 
in readily accessible areas. Additional collection pressure, combined 
with a low reproduction rate and specialized habitat requirements, 
could cause the species to become severely threatened throughout its 
range in Tanzania in the near future. For these reasons, the United 
States is considering a proposal to transfer the pancake tortoise from 
Appendix II to Appendix I. We are currently consulting with Kenya and 
Tanzania with regard to this proposal.
4. New Caledonian geckos (Rhacodactylus spp.)
    The six species of Rhacodactylus geckos are endemic to New 
Caledonia and some nearby islands. None of the species is currently 
listed under CITES. The Humane Society of the United States has 
recommended that four species, Rhacodactylus chahoua, R. ciliatus, R. 
leachianus, and R. sarasinorum, be listed in Appendix II. These species 
are threatened by ongoing habitat destruction due to agricultural and 
related burning, deforestation, and mining; introduction of exotic 
species; and collection for the international commercial pet trade. 
Collection pressure appears to be most intense on some of the more 
remote uninhabited islands, where it is difficult to control 
collection. For these reasons, the United States is considering a 
proposal to list the above-mentioned four Rhacodactylus species in 
Appendix II. We have consulted with New Caledonia and France with 
regard to this proposal. We have already received preliminary comments 
from New Caledonia.
Birds
5. Lesser sulphur-crested cockatoo (Cacatua sulphurea)
    The sulphur-crested cockatoo is endemic to islands in central 
Indonesia, and wild populations have declined due to trapping for the 
international bird trade. This species was proposed by Germany for 
transfer from Appendix II to I at COP10, but the proposal was withdrawn 
because the Indonesian government and BirdLife Indonesia reported that 
they had developed a recovery plan for the species, with a goal of 
establishing a community-based sustainable-use management plan for the 
species. Furthermore, the Indonesian government banned the export of 
the subspecies Cacatua sulphurea citrinocristata in 1992 and all other 
sub-species in 1995. It is believed that these export bans have been at 
least partially successful in reducing the level of trade in this 
species. Given that an Appendix-I listing could remove economic 
incentives for implementing the recovery plan for the species, it was 
recommended at COP10 that the species remain listed in Appendix II, but 
be reconsidered for transfer to Appendix I at COP11 if implementation 
of the recovery plan had not progressed. We are consulting with 
Indonesia on the implementation of its recovery plan for this species 
to determine if an Appendix-I listing is appropriate for this species 
at this time. We invite the submission of any information relevant to 
whether the recovery plan has progressed since COP10.
Mammals
6. Asian pangolins (Manis spp.)
    There are three species of Asian pangolin. Manis pentadactyla, the 
Chinese pangolin, is found in Cambodia, India, Laos, Burma/Myanmar, 
Nepal, northern Thailand, Viet Nam, southern China, and Taiwan. M. 
crassicaudata, the Indian pangolin, occurs in Sri Lanka, peninsular 
India, Pakistan, Bangladesh, and China. M. javanica, the Malay 
pangolin, occurs throughout Burma/Myanmar, Brunei, Cambodia, Thailand, 
Laos, the Philippines, Vietnam, Malaysia, and much of Indonesia. All 
three species have been listed in CITES Appendix II since 1975. The 
International Wildlife Coalition has recommended that all three species 
be transferred from Appendix II to Appendix I. Pangolins are heavily 
exploited for food, for skins (used in the manufacture of leather goods 
such as boots), and medicinal uses (their scales are utilized in 
traditional Asian medicines). There is considerable international 
trade. Little information is available on the status of wild 
populations of these three species. The United States is considering 
submitting a proposal to transfer all three Asian pangolin species to 
Appendix I. We have consulted with CITES range countries (Bangladesh, 
Brunei, Burma/Myanmar, Cambodia, China, India, Indonesia, Malaysia, 
Nepal, Pakistan, the Philippines, Singapore, Sri Lanka, Thailand, and 
Vietnam) with regard to this proposal. We have already received 
responses from some of these countries.
7. Musk deer (Moschus spp.)
    Musk deer are native to Asia, ranging from eastern Siberia south 
through Manchuria and central China to the Hindu Kush-Karakoram-
Himalayan region of Afghanistan, Pakistan, and India. The number of 
Moschus species is not resolved, with authorities describing anywhere 
from four to seven species. This, in turn, affects subspecies 
classification. The subspecies Moschus moschiferus moschiferus was 
first listed in CITES Appendix I in 1975. In 1979, the listing was 
changed so that Moschus moschiferus (Himalayan population) was listed 
in Appendix I and all remaining populations of Moschus spp. were listed 
in Appendix II. In 1983, the listing was once again changed such that 
all musk deer populations of Afghanistan, Bhutan, India, Burma/Myanmar, 
Nepal, and Pakistan were listed in Appendix I and all other musk deer 
populations were listed in Appendix II. The International Wildlife 
Coalition has recommended that all musk deer taxa be listed in Appendix 
I. The limitations of clear taxonomic description, in combination with 
very little distribution information for some taxa, adds to the 
argument for listing all members of the genus in Appendix I. In 
addition, available information indicates that musk deer populations 
continue to decline throughout their ranges due to widespread poaching 
for international trade. Modification and loss of forest and scrub-
forest habitat are additional threats in many portions of the range. 
For these reasons, the United States is considering submitting a 
proposal to transfer all Moschus populations currently in Appendix II 
to Appendix I. We have consulted with CITES range countries 
(Afghanistan, China, India, Republic of Korea, Mongolia, Burma/Myanmar, 
Nepal, Pakistan, Russia, and Vietnam) with regard to such a proposal. 
We have already received responses from some of these countries.
8. Urial sheep (Ovis vignei)
    Urial sheep are native to central Asia, ranging from Iran and 
Turkmenistan in the west to northern India (Ladakh) in the east. Within 
this range, urial tend to have a patchy distribution associated with 
mountain ranges and rugged hill and canyon country. The number of urial 
subspecies is not resolved, with

[[Page 36907]]

authorities describing from five to seven. The nominate subspecies, 
Ovis vignei vignei has been listed in CITES Appendix I since 1975; no 
other subspecies are currently listed. The Humane Society of the United 
States and the International Wildlife Coalition have recommended that 
all currently unlisted subspecies be listed in Appendix I. Urial 
populations appear to have declined across the species' entire range 
over the past 20-30 years as a result of poaching and habitat 
degradation due to domestic livestock grazing. Recent population 
figures are unavailable for Afghanistan and Iran. Urial are subject to 
sport hunting in several countries, but the sustainability of that 
hunting cannot readily be determined.
    For these reasons, the United States is considering submitting, 
supporting, or co-sponsoring a proposal to list the entire species in 
Appendix I. We are currently consulting with range countries 
(Afghanistan, India, Kazakhstan, Pakistan, Tajikistan, Turkmenistan, 
and Uzbekistan) with regard to this proposal.

D. What species proposals does the United States not plan to submit for 
consideration at COP11?

    The United States does not plan to submit the following proposals, 
based on the information discussed below. We welcome your comments. For 
each species, more detailed information is available in the Office of 
Scientific Authority than is presented in the summary below. Some of 
the species may qualify for the proposed action, but due to resource 
availability, time constraints, or potential conservation benefit from 
the action, we do not propose to submit the proposal for COP11; that 
decision is independent of whether or not we still may support such a 
proposal if submitted by another Party.
Plants
1. Pau rosa (Aniba duckei and Aniba rosaeodora)
    The Humane Society of the United States has requested that the 
United States propose pau rosa for inclusion in Appendix II. These 
species are harvested for the oil contained in their trunks and large 
branches, which is used as an ingredient in certain perfumes. The 
United States is the largest importer of pau rosa oil, followed by 
Switzerland, France, and other European countries. These species occur 
in the northern and western areas of greater Amazonia, including 
Brazil, Peru, Colombia, Ecuador, Suriname, French Guiana, Guyana, and 
Venezuela. The sole producer of pau rosa oil at present is Brazil.
    Though areas within the range of these species lack mature trees 
(i.e., where they have been utilized by the oil industry), natural 
regeneration has been documented and substantial wild stands are likely 
to exist in inaccessible areas that may remain unexploited for 
logistical and economic reasons. International trade in pau rosa oil 
has declined by about 80 percent since the 1960s, largely due to the 
replacement of natural rosewood oil by synthetic substitutes.
    The United States does not plan to propose the listing of Aniba 
duckei and A. roseaodora in Appendix II of CITES. However, we invite 
the submission of information regarding the status of these species in 
the wild and the impact of international trade on their status. This 
will assist us in monitoring the situation in the future. We are also 
seeking comments in relation to the CITES listing criteria in 
Resolution Conf. 9.24. In addition, the United States will discuss the 
status of these species, their international trade, and the potential 
impacts of CITES protection with the government of Brazil.
Invertebrates
2. Giant clams (Tridacna gigas and T. derasa)
    The Commonwealth of Northern Mariana Islands' Division of Fish and 
Wildlife, Center for Tropical and Subtropical Aquaculture's Industry 
Advisory Council, and Micronesian Environmental Services made 
recommendations concerning giant clams (Tridacna gigas and T. derasa). 
These organizations requested that the United States propose the 
removal of these species from Appendix II or propose to exempt giant 
clam mariculture farms from CITES permitting requirements.
    There are nine species of giant clams (7 Tridacna spp. and 2 
Hippopus spp.) distributed throughout coral reef habitats in the 
western Pacific and Indian Oceans. The largest species of giant clam, 
T. gigas, is native to Australia, Indonesia, Fiji, the Federated States 
of Micronesia, Japan, Kiribati, New Caledonia, Guam, Malaysia, the 
Marshall Islands, Burma/Myanmar, the Northern Marianas, Palau, Papua 
New Guinea, the Philippines, the Solomon Islands, Taiwan, Thailand, 
Tuvalu, and Vanuatu. Today, abundant populations of T. gigas are known 
only in Australia and the Solomon Islands; this species is extinct in 
Fiji, Guam, New Caledonia, and the northern Marianas, and has been 
eliminated from most of the Federated States of Micronesia, Japan, the 
Philippines, Taiwan, Tuvalu, and Vanuatu. Cultivated stocks of T. gigas 
have been reintroduced to Fiji, the Federated States of Micronesia, and 
the Philippines, and introduced to the Cook Islands, Western Samoa, 
American Samoa, Tonga, and Tuvalu, although high mortality has been 
reported and self-sustaining populations have not been established in 
the wild.
    T. derasa has a more restricted distribution than does T. gigas, 
and occurs in nine countries and territories, with confirmed centers of 
abundance in Palau, Papua New Guinea, Australia, the Solomon Islands, 
New Caledonia, Fiji, and Tonga. T. derasa is extinct in parts of 
Indonesia, the Philippines, Vanuatu, Guam, and the Northern Marianas. 
Although this species has been widely introduced, wild stocks have 
become established only in Yap.
    A primary threat to T. gigas and T. derasa is over-exploitation 
from commercial utilization, poaching, and subsistence utilization, 
despite the protection afforded them in Appendix II of CITES. All 
species of giant clams are further threatened by habitat degradation, 
increased incidence of bleaching (loss of symbionts) and mortality 
associated with elevated sea water temperatures in 1997-1998, and low 
reproductive potential and recruitment success due to severe depletion 
of populations.
    Wild stocks of these two species have declined dramatically over 
the past two decades, and they have been extirpated from many areas. 
The United States considers that wild populations of T. gigas and T. 
derasa still meet the listing criteria for inclusion in Appendix II. 
Furthermore, exemption of mariculture products of a listed species from 
regulation under CITES is not possible under the CITES Treaty. There 
are provisions in the Treaty for the issuance of CITES permits or 
certificates indicating that specimens were obtained from animals bred 
in captivity, if they meet CITES criteria for that designation. 
Therefore the United States does not intend to submit a proposal for a 
listing change for these species.
3. Hard Corals
    The Center for Tropical and Subtropical Aquaculture's Industry 
Advisory Council recommended re-evaluation of the listing in Appendix 
II for these species, although no further information or explanation 
was given. Seventeen genera of hard corals were first listed in 
Appendix II in 1985. Because of law enforcement problems associated 
with the partial listing of a

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large group of taxa that are difficult to distinguish from one another, 
the entire orders of Scleractinia and Coenothecalia, and the family 
Tubiporidae (Order Stolonifera) were listed in Appendix II in 1989.
    Over the last decade, coral reefs have experienced widespread 
declines in the abundance of coral reef species and live coral coverage 
at locations around the world. The 1998 Reefs at Risk study found that 
58% of the world's reefs are potentially threatened by human activity, 
including coastal development, destructive and over-fishing practices, 
over-exploitation of marine resources, marine pollution, and runoff 
from deforestation and agriculture. Reefs have also been damaged by 
natural events such as coral disease outbreaks, crown-of-thorns sea 
star infestation, and several strong hurricanes and tropical cyclones, 
and these disturbances are being compounded by human impacts. In 1998, 
coral reefs around the world suffered the most extensive and severe 
coral bleaching episode in modern record, with subsequent mortality 
affecting 70-80% of all shallow-water corals on many Indo-Pacific 
reefs.
    The collection of live coral and live rock (reported as 
Scleractinia) for the aquarium trade has increased each year since 
1990, at a rate of approximately 25-30% per year. Commercial harvest of 
coral causes localized destruction of coral reef habitats and can 
result in extirpations of rare species. Nine of the ten dominant taxa 
for the aquarium trade consist of large-polyp corals that are slow-
growing, long-lived, and often rare; these life-history characteristics 
render them vulnerable to over-exploitation. There has recently been 
increased demand for the faster-growing taxa (small-polyp corals), and 
coral husbandry programs are in the early stages of development to 
provide captive-reared specimens to hobbyists. However, the United 
States has concerns that major exporting countries involved in captive 
propagation of corals may be exporting first-generation corals as 
captive-reared or captive-bred animals. Although coral husbandry 
programs may eventually reduce the demand for wild-harvested specimens 
of some species, fast-growing corals that can be captive-reared are the 
taxa that suffered extensive mortality from the bleaching episode of 
1998.
    As part of the U.S. Government's implementation of President 
Clinton's Executive Order on Coral Reefs, the United States is 
evaluating recommendations concerning the trade in coral and coral 
products. The United States Coral Reef Task Force (USCRTF) has 
recognized that the international trade in coral and other coral reef 
species is driving destructive and potentially unsustainable fishing 
practices, particularly in the Indo-Pacific region. The International 
Working Group of the USCRTF (an interagency group) is concerned that 
the destruction of coral reef ecosystems will continue unless 
conservation efforts are improved at all points along the trade stream. 
In order to address the sustainability of the coral trade, we and the 
National Marine Fisheries Service have initiated a comprehensive 
examination of trade in live and dead coral and coral products. The 
United States considers these coral species to continue to meet the 
criteria for listing and retention in CITES Appendix II, and does not 
intend to propose a listing change for any species of hard coral.
Fish
4. Sawfishes (Pristiformes spp.)
    We received a recommendation from Friends of Animals to include all 
species of the order Pristiformes (sawfishes) in Appendix II. The order 
consists of only one family, Pristidae, incorporating seven species 
(although the taxonomy of the group is debated). These species are: 
Pristis pectinata (smallmouth sawfish), inhabiting marine habitats in 
selected parts of the eastern Pacific Ocean, western and eastern 
Atlantic Ocean, Mediterranean Sea, Indo-Pacific, and Red Sea, and 
freshwater habitats in North, Central, and South America, Africa, and 
India; P. clavata (dwarf or Queensland sawfish), inhabiting nearshore 
and estuarine waters of northern Australia; P. zijsron (green sawfish), 
inhabiting marine habitats of the Indo-West Pacific from South Africa 
to the Persian Gulf, the Indian subcontinent, Indonesia, Australia, and 
Viet Nam, and throughout the Indo-Australian Archipelago, and also 
freshwater habitats in Thailand, Malaysia, Indonesia, and Australia; P. 
pristis (common sawfish), inhabiting marine habitats in the western 
Mediterranean and eastern Atlantic, possibly Africa; P. microdon 
(freshwater, Leichhardt's, great-tooth, or largetooth sawfish), 
inhabiting marine habitats in the Indo-West Pacific and freshwater 
habitats in Africa, Asia, Pacific Islands, and Australia; P. perotteti 
(largetooth sawfish), inhabiting warm-temperate to tropical-marine 
waters in the Atlantic and eastern Pacific, possibly in the eastern 
Mediterranean, and freshwater habitats in Central and South America and 
Africa; and Anoxypristis cuspidata (knifetooth, pointed, or narrow 
sawfish), inhabiting marine habitats in the Indo-West Pacific from the 
Red Sea and Persian Gulf to Australia and China, and brackish waters in 
Papua New Guinea, India, Myanmar, and Thailand. Of these species, P. 
perotteti and P. pectinata occur in U.S. waters.
    Sawfishes have several life-history characteristics (e.g., slow 
growth, low fecundity, late sexual maturity, long life-span, long 
gestational period) that render them more vulnerable to reduced 
survivorship than many bony fishes. Other factors increasing the 
potential vulnerability of these species are restriction to a narrow 
depth range and disjunct distribution patterns. Threats to sawfishes 
include collection for the curio trade, habitat degradation, direct and 
incidental take in fisheries, destructive fishing practices (such as 
cyanide and dynamite fishing), and acquisition for live displays in 
public aquaria. Most species have exhibited either severe population 
declines or have an extremely localized distribution. Although data on 
international trade and other forms of exploitation of sawfishes are 
sketchy, localized effects can be seen in individual populations.
    The United States proposed these species for inclusion in Appendix 
I at COP10, based on our view that they meet the criteria for inclusion 
in that Appendix. The proposal lost by a vote of 24-50. In their 
interventions, many Parties indicated that they believe that the main 
threats to the species are habitat degradation and incidental take, and 
not trade. Two species of sawfish in the United States are under 
consideration as candidate species for the U.S. Endangered Species Act. 
The United States will evaluate the possibility of addressing under 
domestic law the threats posed to sawfish. Therefore the United States 
does not intend to propose these species for listing at COP11.
5. Spiny dogfish shark (Squalus acanthias)
    The Humane Society of the United States and International Wildlife 
Coalition have recommended that the United States consider proposing 
spiny dogfish shark (Squalus acanthias) for listing in CITES Appendix 
II at COP11. According to the most recent (1998) scientific assessment, 
spiny dogfish in the Northwest Atlantic is over-fished. Although total 
stock biomass is currently at a high level, present harvest levels and 
exploitation rates cannot be sustained. Spawning stock biomass declined 
by 50% during the 1990s. Current harvest rates exceed the replacement 
level for the stock and recruitment has declined. Much of the

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harvest fro