Proposed Policy on the Export of Live American Alligators and Announcement of Public Meeting

DEPARTMENT OF THE INTERIOR

Fish and Wildlife Service

Proposed Policy on the Export of Live American Alligators and

Announcement of Public Meeting

AGENCY: Fish and Wildlife Service, Interior.

ACTION: Notice of proposed policy.

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SUMMARY: After review and analysis of comments received and for the

reasons detailed in this notice, the Service proposes to adopt a policy

against the issuance of permits for the export of live American

alligators for commercial breeding or resale purposes. The American

alligator is protected under the Endangered Species Act of 1973 (ESA)

as threatened due to similarity of appearance and under the Convention

on International Trade in Endangered Species of Wild Fauna and Flora

(CITES) as Appendix II. The Service may issue an export permit upon

finding that all applicable permit issuance requirements have been met.

Exports of animals listed on Appendix II of CITES may occur only if the

Scientific Authority has advised the Management Authority that such

exports will not be detrimental to the survival of the species and the

Management Authority is satisfied the animals were not obtained in

violation of laws for their protection. Based on documentation

presented for consideration by the CITES Parties in 1983, the Service

has determined that the American alligator is listed on Appendix II for

reasons of similarity in appearance under Article II.2(b) of CITES as

well as the potential threat to the species survival under CITES

Article II.2(a).

This notice announces a proposed policy by the Service on the

export of live American alligators. Based on the information received

in response to the June 24, 1997, notice, the Service is unable to find

that the export of live American alligators either for commercial

breeding or resale purposes is not detrimental as required under CITES

or that such exports comply with Executive Order 11987--Exotic

Organisms. Applications for permits to export live American alligators

for purposes such as scientific research or zoological exhibition would

be evaluated on a case-by-case basis.

DATES: The Service will consider all information and comments received

by June 8, 1998 in making its final decision on this proposal. A public

meeting will be held at the Delta Resort Orlando, 5715 Major Boulevard,

Orlando, Florida 32819-7988, on May 5, 1998, from 1:30 pm to 3:30 pm.

ADDRESSES: Please send comments or other correspondence concerning this

document to the Office of Management Authority, U.S. Fish and Wildlife

Service, 4401 North Fairfax Drive, room 700, Arlington, VA 22203.

Materials received will be available for public inspection by

appointment from 8 a.m. to 4 p.m., Monday through Friday, at the Office

of Management Authority.

FOR FURTHER INFORMATION CONTACT: Ms. Teiko Saito, Chief, Office of

Management Authority, telephone 703-358-2095, fax 703-358-2298.

SUPPLEMENTARY INFORMATION: The Fish and Wildlife Service (Service)

published a notice on June 24, 1997 (62 FR 34074), requesting

submission to the Service of any information available on the impacts

of exports of live American alligators. Generally, in order to export

species of wildlife protected under the ESA and/or CITES, an export

permit must be issued. The Service is the agency responsible for

reviewing applications for export of wildlife. Each permit application

must be carefully evaluated to ensure compliance with all applicable

regulations and executive orders. The American alligator is protected

under the Endangered Species Act of 1973 (ESA) as threatened due to

similarity of appearance and under the Convention on International

Trade in Endangered Species of Wild Fauna and Flora (CITES) as Appendix

II. A permit for export of American alligators can only be issued if

the Service can determine:

1. That the export will not be detrimental to the survival of the

species (50 CFR 23.15(d)(1));

2. That the animals to be exported were not obtained in violation

of laws for their protection (50 CFR 23.15(d)(2));

3. That the authorization requested does not potentially threaten a

wildlife population (50 CFR 13.21(b)(4)); and

4. That the requirements of Executive Order 11987, Exotic

Organisms, are met. (This Executive Order, in part, requires

``Executive agencies shall, to the extent permitted by law, restrict

the use of Federal funds, programs, or authorities used to export

native species for the purpose of introducing such species into

ecosystems outside the United States where they do not naturally

occur.'' In this instance, introduction is defined to include ``the

release, escape, or establishment of an exotic species into a natural

ecosystem.'')

5. That live specimens are prepared for shipping and shipped in

compliance with the International Air Transport Association (IATA) Live

Animal Regulations (for air transport) or CITES guidelines for

transport (for other transport).

The Service received requests from the Florida Game and Freshwater

Fish Commission and the Louisiana Department of Wildlife and Fisheries

that we review the criteria for issuance of permits for export of live

American alligators for commercial breeding or resale purposes and to

restrict issuance of such permits until a review could be completed. In

response to these concerns, the Service published the June 24, 1997,

Federal Register notice requesting submission of any information

available to assist us in evaluating such impacts.

In addition, the problems associated with the introduction of

exotic species have become increasingly apparent worldwide. The

problems have been discussed in a number of international fora such as

the meeting of the CITES Conference of the Parties in 1997 in Zimbabwe,

the World Conservation Congress in 1996, and the Conference on Alien

Species in Norway in 1996. In the United States, approximately 122

species of exotic (non-indigenous) species of fish and wildlife have

already established free-living populations and are causing great harm.

The import of potentially harmful exotic species is currently being

reviewed by the Service in the context of the Lacey Act prohibitions on

import of injurious species. In relation to export of native species,

E.O. 11987 restricts the use of Federal funds, programs, or authorities

(i.e., the issuance of CITES export permits) to export native species

outside the United States. The American alligator is one of the few

native species that requires a CITES export permit and for which we

have received applications for export of large numbers of live

specimens. Given the documented introduction of other crocodilians

outside their range, in evaluating an application for export of live

American alligators the Service must take into consideration the

ecological damage that could result from introduction of alligators,

either planned or unplanned, into ecosystems outside their natural

range in the United States.

[[Page 25513]]

Commercial enterprises for the breeding or resale of American

alligators outside their natural range provide the most serious

conservation concerns regarding the threat of planned or accidental

introductions of exotic species. The introduction of Morelet's

crocodile (Crocodylus moreletti) into American crocodile (C. acutus)

habitat in western Mexico is attributed to escapes from breeding

facilities, and the introduction of caiman (Caiman crocodylus) into

southern Florida is attributed to caimans imported for the pet trade

that either were released or escaped. Properly designed scientific

research projects and facilities designed to exhibit specimens to the

public generally present a lower level of concern in relation to

accidental introduction of species since there are limited numbers of

specimens involved and plans for disposition of specimens are generally

a part of the overall design of the project or facility.

Analysis of Comments

In response to the June 24, 1997, Federal Register notice, 11

comments were received. Comments were received from the States of

Louisiana and Florida (the two States which contain the majority of the

habitat for wild American alligators and which supply hatchlings and

eggs to alligator farmers located throughout the Southeastern United

States), the IUCN Crocodile Specialist Group, the Humane Society of the

United States, three individual alligator farmers, and four

associations dealing with alligator farming. Ten of the eleven

commenters strongly opposed the export of live American alligators. One

commenter supported such exports.

Comment: Nine commenters voiced strong concerns in the area of

enforcement. Areas of concern included: Reduced regulatory control,

past illegal trade in crocodilians outside the United States, the

undermining of effective legal management programs, lack of assurances

that other countries would provide comparable control mechanisms on

farm inspections and enforcement to prevent illegal trade, inadequate

re-export controls over alligators (either as products or live), the

type of CITES tags that would be used for alligators originating in the

United States yet harvested in another country, and confusion or

compromise of current well regulated channels of international control

and trade regulation. One commenter stated that there were a number of

examples where demand for captive breeding stock has generated demand

for illegally acquired specimens from the range countries. Four

commenters also pointed out that the limited range of the American

alligator has been an important factor in the effectiveness of

enforcement efforts to ensure that laws enacted to protect the

alligator are complied with.

Response: The Service recognizes the concerns of the commenters in

the area of enforcement. The States have put a great deal of time,

effort, and planning into their conservation management programs to

protect the American alligator. At one time there was extensive

poaching and illegal trade in American alligators which has diminished

drastically thanks to the work of the States and the cooperation of the

industry. The States and the Service have worked together closely to

develop guidelines for the export of alligator skins to ensure that the

skins have been acquired legally. Each skin must be tagged with a CITES

export tag in accordance with State regulations, and that tag must be

on the skin at the time of export. The Service uses the data provided

by the States from their conservation management programs to make the

no detriment and legal acquisition findings required under CITES for

the export of American alligator skins. Therefore, CITES export permits

for export of tagged alligator skins continue to be issued. The CITES

Parties have long recognized the importance of monitoring trade in

crocodilian skins worldwide and first adopted a resolution concerning

the universal tagging of crocodilians in 1992 (Res. Conf. 8.14). This

resolution was revised in 1994 (Res. Conf. 9.22) and has been very

effective in enabling Parties to closely monitor and control trade in

crocodilian skins. The U.S. alligator tagging program complies with

this resolution. However, the focus of the resolution is on trade in

skins, which constitutes the majority of the international commercial

trade in crocodilians. At the time the resolution was first adopted,

there was very little international commercial trade in live

crocodilians. The export of live animals is not covered by the

resolution and raises different concerns and responsibilities than the

export of parts and products.

Comment: Two commenters were concerned over the types of CITES tags

that would be placed on American alligators harvested outside the

United States. One commenter thought CITES tags should be denied for

animals already out of the country. The other thought CITES tags should

not be issued for species out of their natural ranges.

Response: The Service is also concerned with the question of CITES

tags for American alligators that are not harvested in the United

States. Each American alligator harvested in the United States is

tagged with a permanently locking CITES export tag bearing a legend

showing the US-CITES logo, State of origin, species, year of take, and

a unique serial number. Tags must be placed on each skin in accordance

with State requirements. Any tags that break prior to export must be

replaced prior to actual export. Under CITES Resolution Conf. 9.22, all

crocodilian skins must be tagged, and the tags must remain on the skin

until it has been processed and cut. CITES tags for crocodilians should

indicate the country of origin of the specimen and are placed on the

skin at or near the time of harvest. The country of origin is

considered to be ``the country where the animal was taken from the wild

or the country of natal origin of the animal'' (50 CFR 10.11).

Therefore, specimens that originated in the United States, exported to

another country, and harvested in that country would require tags to

show the country of origin as the United States. The Service also has

concerns about CITES tags for U.S.-origin alligators being issued by

other countries who may or may not monitor the species as closely as

the United States. Within their range, crocodilians that are harvested

based on sustainable use ranching programs have a high conservation

value. Crocodilians commercially bred in countries outside their range

have, at best, a low conservation value since their production is not

reliant on conservation of habitat needed to maintain wild populations.

In the case where a captive breeding facility for American alligators

is established outside the United States, the CITES tags for offspring

of the founding stock would show the species as American alligator and

the country of origin as the country where the facility is located. The

one instance where we are aware of this already happening is in Israel.

We have requested information from the CITES Management Authority of

Israel regarding the CITES tags used for American alligators

originating from the Hammat Gader facility which breeds American

alligators, but have not yet received a reply.

Comment: One commenter pointed out that the American alligator

export program is an example of successful management which has been

based on a close working relationship between the States and the

Federal Government. In addition, the effectiveness of monitoring and

enforcing the management program is due to the limited natural range of

the American

[[Page 25514]]

alligator. Exports of live specimens could jeopardize the current

management programs which could, in turn, impact wild populations.

Response: The Service agrees that the American alligator represents

a conservation management success story. The American alligator has

gone from being listed as endangered under the ESA to being threatened

due to its similarity in appearance to endangered crocodilians and a

model for sustainable use management. The cooperation and coordination

between the State and Federal Governments have been vital, particularly

in the area of enforcement. Live American alligators exported to

another country would no longer benefit from the protection provided by

this close relationship. The advice issued by the Office of Scientific

Authority on November 4, 1997, concerning the export of live alligators

from the United States that ``if alligator breeding facilities in other

countries become competitively more successful (as might occur if

production costs are lower) than alligator farms in the United States,

prime alligator habitats will be vulnerable to other uses incompatible

with the survival of the species. The fundamental premise of

crocodilian ranching programs is the built-in incentive for habitat

preservation by industries whose success is dependent upon perpetuation

of natural habitats. It is this fact that has made crocodilian ranching

around the world such a successful conservation approach within the

CITES community of nations.''

Comment: One commenter was concerned that ``illegally-taken young

domestic alligators could be smuggled and easily commingled with

legally-obtained alligators or alligators produced on foreign farms.''

Regarding this possibility, another commenter stated that there are a

number of examples where evidence indicated that ``demand for captive

breeding stock has generated demand for illegally acquired specimens

from the range states.'' One such report concerned the attempted

illegal import of New Guinea crocodiles (Crocodylus noveaguineae) into

Thailand.

Response: This possibility is of concern to the Service.

Comment: Four commenters specifically raised concerns over the loss

of control if live American alligators are exported. The concerns

included that the United States would have no ability to monitor re-

export of specimens after initial export and that re-export controls

would be less stringent than those of range countries which would

further reduce effective international control over the management and

trade in American alligators.

Response: The Service agrees. An export permit is issued based on

the information provided by the applicant as to the purpose and

destination of the shipment. Once the alligators are exported, the

Service has no control over the re-export of the specimens to a

different destination. The issuance of a re-export certificate is based

only on whether the specimens were legally imported under CITES, not on

whether the re-export would be detrimental to the survival of the

species. Thus, even if the Service were able to make the determinations

needed to issue an export permit to ship live American alligators to a

country where introduction of exotic crocodilians is not considered a

potential threat, it is impossible to know whether the animals will be

subsequently shipped to a country or area within a country where

introduction would be a real threat and where the Service might not

have been able to find no detriment.

Comment: Eight of the commenters expressed concerns relative to

accidental or deliberate introduction of alligators into areas outside

their natural range. Even where there is no intention to release the

animals and with the most secure facility, accidental release due to

human error or natural disasters such as hurricanes remains a real

possibility. The American alligator is the most temperate of the

crocodilian species and is able to cope with frequent freezing

temperatures. They are also generalists and opportunists in their

feeding habits and able to adapt their diet to a wide variety of prey

species. Given their reproductive potential, alligators are capable of

rapidly expanding their populations. In areas already occupied by

crocodilian species, the introduction of alligators could prove

damaging, not only due to competition, but also by the introduction of

exotic diseases. Such introductions would also impact prey species.

Examples of documented introductions of crocodilians outside their

natural range include: Spectacled caiman populations in southern

Florida; Morelet's crocodile into the range of the American crocodile

in western Mexico; and the common caiman on the Isle of Pines in Cuba

which has had an impact on recovery of the endangered Cuban crocodile.

One commenter stated that: ``The few examples we do have indicate that

when introduced into a suitable habitat crocodilians can rapidly

achieve dense populations which are virtually impossible to

eradicate.''

Response: The Service agrees that this is a serious concern.

Substantial information was provided to document the effects of

species, especially crocodilian species, introduced into areas outside

their natural range. The impacts are not only on other crocodilian

species and prey species, but also on the ecosystem as a whole.

Comment: Six commenters had concerns that allowing the export of

live American alligators would have a detrimental impact on the success

of alligator management programs in the United States. These programs

serve as an economic incentive to preserve the wetland habitats

required for alligator conservation and that lack of economic

incentives would adversely impact alligators as well as their habitat.

The conservation benefits of alligator management programs are

inextricably tied to economics. The concern in regard to conservation

is where economic impacts negatively affect conservation programs. In

this regard, there is concern that the establishment of breeding groups

of alligators outside their natural range will result in a substantial

loss of incentives for the conservation of alligator habitat. One

commenter felt that range states have the strongest incentives for

managing their own resources and that such management had conservation

benefits and that use of natural resources by non-range states has no

conservation benefit.

Response: The Service agrees that the alligator management programs

in the United States have been very effective and that economic

incentives are a factor in that success.

Comment: One commenter felt that his applications for export of

live American alligators should not be regulated as a commercial

shipment since the alligators were to be transported to a foreign

facility only for their further care and maintenance. The commenter

noted that he would be maintaining his full ownership rights in the

specimens. In addition he felt that as long as State laws were complied

with and an FWS import/export license was purchased each year, there

should be no further restrictions on exports.

Response: The Federal Government has the jurisdiction, authority,

and responsibility to ensure that exports of wildlife comply with

Federal statutes, regulations, and international agreements as well as

appropriate State law, and may place conditions on the export of such

wildlife consistent with Federal law. An import/export license is

required of all businesses importing and/or exporting wildlife,

regardless of whether the proposed export involves a commercial

activity. In addition to the license requirement, exporters planning

[[Page 25515]]

to export wildlife protected under the ESA and/or CITES must obtain a

Federal export permit prior to export. The issuance of such permits is

a Federal authority and responsibility. Most trade in American

alligators has been in the skins, not in live animals. Permits continue

to be issued for exports of properly tagged American alligator skins,

and live animals may be sold within the United States in accordance

with State law. The State has primary jurisdiction over the management

and use of wildlife as long as it is within that State.

Comment: One commenter stated that since export permits for live

American alligators had been issued in the past, the Service should

continue to issue them.

Response: The Service is required to use the best scientific

information available in making the required determinations for issuing

export permits. When new or additional information is brought to our

attention, the Service has an obligation to review that information and

use it, as appropriate, in making future decisions on permit issuance.

Because several entities contacted the Service concerning the impacts

of live American alligator exports, it became our responsibility to

seek out and evaluate all information available that would assist us in

making the determinations required prior to permit issuance. If the

information indicates persuasively that there are concerns that

previously had not been considered, those concerns must be addressed.

Comment: One commenter felt that export of live American alligators

should be allowed if the destination was not within the habitat of

other crocodilians.

Response: The Service does not agree. Although the initial

destination may not be within crocodilian habitat, as outlined

previously, there is no assurance that the initial destination is the

final destination. Additionally, although information was provided to

the Service stating that one facility planning to receive American

alligators was not within the habitat of other crocodilians, subsequent

information has indicated that the facility is within the range of two

endangered crocodilians, one of which was introduced into the area

after escaping from a crocodilian farm.

Comment: One commenter stated that since a June 24, 1996, Federal

Register final rule allowed the import of live Nile crocodiles into the

United States, there should be no restrictions on the export of live

American alligators.

Response: The Service disagrees. Since publication of the final

rule on Nile crocodile imports, the Service has received a great deal

of information concerning problems associated with the introduction of

exotic species into this country as well as other countries. Therefore,

the question of allowing the import of live, non-native crocodilians

into the United States is being reviewed separately in the context of

the Lacey Act prohibitions on import of injurious species. This is a

related, but separate, issue that is currently under review.

Comment: One commenter stated that Florida farmed or ranched

alligators are no longer considered wildlife under Florida rules and

are ``considered as domestic livestock and personal property for use.''

As a result, there should be no additional requirements for commercial

use of the alligators and that any additional requirements are a

condemnation of a property right.

Response: Under Federal regulations, wildlife is defined as ``any

wild animal, whether alive or dead * * * whether or not bred, hatched,

or born in captivity, and including any part, product, egg, or

offspring thereof.'' (50 CFR 10.12) Farmed or ranched alligators are

still considered wildlife and subject to all applicable Federal laws

and requirements (including CITES export permits). A ranching program

such as those developed by the States of Florida and Louisiana relies

on the availability of natural habitat where wild alligators can

reproduce naturally. A certain number of the eggs and/or hatchlings are

taken from the wild based on a formula to ensure sustainability of the

harvest. The hatchlings are raised on a ``farm'' until the alligators

are of a suitable size to harvest for their skins. The fact that these

animals were raised under controlled conditions does not alter the fact

that they are wildlife both under Federal law and in accordance with

CITES. Alligator farmers may trade their property (live alligators,

skins, or products) freely within the United States in accordance with

State laws. International trade in such property is subject to Federal

requirements, however , and such export restrictions that are applied

for the conservation of domestic alligators and foreign crocodilians do

not in any way affect the possession or use of such property in the

United States. The proposed policy, if adopted, would not effect a

taking of property without due process of law. Furthermore, the Service

continues to issue CITES permits for the export of American alligator

skins and products based on our ability to make the determinations

required by CITES.

Comment: One commenter stated that ``It is a documented fact that

alligators are notoriously poor breeders in captivity'' and that

previous live American alligator exports have not resulted in

commercial farming operations in any other countries.

Response: The Service disagrees. A permit to export 120 live

American alligators to Israel was issued in 1981. It was issued with

assurances from the Israeli CITES Management Authority that the

alligators would not be commercialized and would be for exhibition

only. In 1986, due to successful breeding the Israeli facility became

overcrowded and 200 alligators were shipped to Florida. In October

1987, the requirement that the alligators not be commercialized was

rescinded by the U.S. Federal Wildlife Permit Office. The Israeli

facility stated in a letter to the Service that they did not expect

their exports of skins to be more than approximately 200 skins per

year. However, according to statistics obtained from the World

Conservation Monitoring Centre, from 1989 to 1995 a total of 4,963

American alligator skins were exported from Israel (an average of 709

skins per year).

Comment: One commenter requested a public meeting.

Response: A public meeting will be held at the Delta Resort in

Orlando, Florida, on Tuesday, May 5, 1998, from 1:30 p.m. to 3:30 p.m.

Required Determinations

This notice contains no information collection requirements beyond

those already approved by the Office of Management and Budget under 44

U.S.C. 3506 and assigned Clearance Number 1018-0093 with an expiration

date of February 28, 2001. The Service has determined that an

environmental assessment is not necessary for this policy as it is a

permit function categorically excluded under Part 516 of the

Departmental Manual, Chapter 2. The policy reflects the Service's

permit decisions based on existing requirements for no detriment

findings and introduction of exotic species.

Proposed Policy

Purpose: The Service has been entrusted with certain

responsibilities under the ESA and CITES regarding export of protected

species and under Executive Order 11987 in regard to export of exotic

species. The American alligator (Alligator mississippiensis) is one of

the few native species included in CITES Appendix II for which we have

received applications for export of live specimens for commercial

breeding or resale purposes. Prior to issuance of

[[Page 25516]]

any CITES export permit, the Service must be able to determine that the

specimens to be exported were legally acquired, that the export would

not be detrimental to the species, and that live specimens will be

prepared and shipped in a humane manner. To ensure that the Service

carries out these responsibilities in a consistent manner, the Service

will consider the issuance of permits for the export of live American

alligators (Alligator mississippiensis) in the following context:

1. Applications for export permits for scientific research should

include:

a. Formal research protocol with timetable;

b. Qualifications of the scientific personnel conducting the

proposed research;

c. Description of the facilities where the specimens will be housed

and precautions that will be taken to prevent escape; and

d. Plans for disposition of the alligators and any progeny upon

completion of the research project.

2. Applications for export permits for zoological display should

include:

a. A description of the receiving facility including the housing

planned or in existence for the requested alligators and measures to be

taken to prevent escape; and

b. Plans for disposition of the alligators and any progeny should

the facility close or become overcrowded.

3. Applications for export permits for captive breeding or resale

will not be accepted.

If adopted, this proposed policy would remain in place until

further notice. If substantial new biological information is received,

the basis for these findings would be reviewed.

Dated: May 1, 1998.

Jamie Rappaport Clark,

Director.

[FR Doc. 98-12292 Filed 5-7-98; 8:45 am]

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