Download:
pdf |
pdfElectronic Code of Federal Regulations:
Quick Navigation: Resources by Topic
Site Search:
advanced
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
• Browse
e-CFR Data is current as of August 3, 2007
• Simple Search
• Advanced Search
* Boolean
Title 50: Wildlife and Fisheries
* Proximity
• Search History
Browse Previous | Browse Next
• Search Tips
• Corrections
PART 13—GENERAL PERMIT PROCEDURES
• Latest Updates
• User Info
• FAQs
• Agency List
• e-CFR Main Page
• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
• Regulations.gov
• Unified Agenda
• All NARA Publications
Ben's Guide
to U.S.
Government
Section Contents
Subpart A—Introduction
§ 13.1
§ 13.2
§ 13.3
§ 13.4
§ 13.5
General.
Purpose of regulations.
Scope of regulations.
Emergency variation from requirements.
Information collection requirements.
Subpart B—Application for Permits
§ 13.11 Application procedures.
§ 13.12 General information requirements on applications for permits.
Subpart C—Permit Administration
§ 13.21
§ 13.22
§ 13.23
§ 13.24
§ 13.25
§ 13.26
§ 13.27
§ 13.28
§ 13.29
Issuance of permits.
Renewal of permits.
Amendment of permits.
Right of succession by certain persons.
Transfer of permits and scope of permit authorization.
Discontinuance of permit activity.
Permit suspension.
Permit revocation.
Review procedures.
Subpart D—Conditions
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (1 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
§ 13.41
§ 13.42
§ 13.43
§ 13.44
§ 13.45
§ 13.46
§ 13.47
§ 13.48
§ 13.49
§ 13.50
Humane conditions.
Permits are specific.
Alteration of permits.
Display of permit.
Filing of reports.
Maintenance of records.
Inspection requirement.
Compliance with conditions of permit.
Surrender of permit.
Acceptance of liability.
Authority: 16 U.S.C. 668a, 704, 712, 742j–l, 1374(g), 1382, 1538(d), 1539, 1540(f), 3374, 4901–
4916; 18 U.S.C. 42; 19 U.S.C. 1202; 31 U.S.C. 9701.
Source: 39 FR 1161, Jan. 4, 1974, unless otherwise noted.
Subpart A—Introduction
top
§ 13.1 General.
top
Each person intending to engage in an activity for which a permit is required by this subchapter B shall,
before commencing such activity, obtain a valid permit authorizing such activity. Each person who desires
to obtain the permit privileges authorized by this subchapter must make application for such permit in
accordance with the requirements of this part 13 and the other regulations in this subchapter which set
forth the additional requirements for the specific permits desired. If the activity for which permission is
sought is covered by the requirements of more than one part of this subchapter, the requirements of each
part must be met. If the information required for each specific permitted activity is included, one
application will be accepted for all permits required, and a single permit will be issued.
§ 13.2 Purpose of regulations.
top
The regulations contained in this part provide uniform rules, conditions, and procedures for the application
for and the issuance, denial, suspension, revocation, and general administration of all permits issued
pursuant to this subchapter B.
[54 FR 38147, Sept. 14, 1989]
§ 13.3 Scope of regulations.
top
The provisions in this part are in addition to, and are not in lieu of, other permit regulations of this
subchapter and apply to all permits issued thereunder, including “Importation, Exportation and
Transportation of Wildlife” (part 14), “Wild Bird Conservation Act” (part 15), “Injurious Wildlife” (part 16),
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (2 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
“Endangered and Threatened Wildlife and Plants” (part 17), “Marine Mammals” (part 18), “Migratory Bird
Permits” (part 21), “Eagle Permits” (part 22), and “Endangered Species Convention” (the Convention on
International Trade in Endangered Species of Wild Fauna and Flora) (part 23). As used in this part 13, the
term “permit” will refer to a license, permit, certificate, letter of authorization, or other document as the
context may require, and to all such documents issued by the Service or other authorized U.S. or foreign
government agencies.
[70 FR 18317, Apr. 11, 2005]
§ 13.4 Emergency variation from requirements.
top
The Director may approve variations from the requirements of this part when he finds that an emergency
exists and that the proposed variations will not hinder effective administration of this subchapter B, and
will not be unlawful.
§ 13.5 Information collection requirements.
top
(a) The Office of Management and Budget approved the information collection requirements contained in
this part 13 under 44 U.S.C. and assigned OMB Control Number 1018–0092. The Service may not
conduct or sponsor, and you are not required to respond, to a collection of information unless it displays a
currently valid OMB control number. We are collecting this information to provide information necessary to
evaluate permit applications. We will use this information to review permit applications and make
decisions, according to criteria established in various Federal wildlife conservation statutes and
regulations, on the issuance, suspension, revocation, or denial permits. You must respond to obtain or
retain a permit.
(b) We estimate the public reporting burden for these reporting requirements to vary from 15 minutes to 4
hours per response, with an average of 0.803 hours per response, including time for reviewing
instructions, gathering and maintaining data, and completing and reviewing the forms. Direct comments
regarding the burden estimate or any other aspect of these reporting requirements to the Service
Information Collection Control Officer, MS–222 ARLSQ, U.S. Fish and Wildlife Service, Washington, DC
20240, or the Office of Management and Budget, Paperwork Reduction Project (1018–0092),
Washington, DC 20603.
[63 FR 52634, Oct. 1, 1998]
Subpart B—Application for Permits
top
§ 13.11 Application procedures.
top
The Service may not issue a permit for any activity authorized by this subchapter B unless you have filed
an application under the following procedures:
(a) Forms. Applications must be submitted in writing on a Federal Fish and Wildlife License/Permit
Application (Form 3–200) or as otherwise specifically directed by the Service.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (3 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
(b) Forwarding instructions. Applications for permits in the following categories should be forwarded to the
issuing office indicated below.
(1) You may obtain applications for migratory bird banding permits (50 CFR 21.22) by writing to: Bird
Banding Laboratory, USGS Patuxent Wildlife Research Center, 12100 Beech Forest Road, Laurel,
Maryland 20708–4037. Submit completed permit applications to the same address.
(2) You may obtain applications for designated port exception permits and import/export licenses (50 CFR
14) by writing to the Special Agent in Charge (SAC) of the Region in which you reside (see 50 CFR 2.2 or
the Service Web site, http://www.fws.gov, for addresses and boundaries of the Regions). Submit
completed permit applications to the same address.
(3) You may obtain applications for Wild Bird Conservation Act permits (50 CFR 15); injurious wildlife
permits (50 CFR 16); captive-bred wildlife registrations (50 CFR 17); permits authorizing import, export, or
foreign commerce of endangered and threatened species, and interstate commerce of non-native
endangered or threatened species (50 CFR 17); marine mammal permits (50 CFR 18); and permits and
certificates for import, export, and reexport of species listed under the Convention on International Trade
in Endangered Species of Wild Fauna and Flora (CITES) (50 CFR 23) from: U.S. Fish and Wildlife
Service, Division of Management Authority, 4401 N. Fairfax Drive, Room 700, Arlington, Virginia 22203–
1610. Submit completed permit applications to the same address.
(4) You may obtain Endangered Species Act permit applications (50 CFR 17) for activities involving native
endangered and threatened species, including incidental take, scientific purposes, enhancement of
propagation or survival ( i.e. , recovery), and enhancement of survival by writing to the Regional Director
(Attention: Endangered Species Permits) of the Region where the activity is to take place (see 50 CFR
2.2 or the Service Web site, http://www.fws.gov, for addresses and boundaries of the Regions). Submit
completed applications to the same address (the Regional office covering the area where the activity will
take place). Permit applications for interstate commerce for native endangered and threatened species
should be obtained by writing to the Regional Director (Attention: Endangered Species Permits) of the
Region that has the lead for the particular species, rather than the Region where the activity will take
place. You can obtain information on the lead Region via the Service's Endangered Species Program
Web page ( http://endangered.fws.gov/wildlife.html ) by entering the common or scientific name of the
listed species in the Regulatory Profile query box. Send interstate commerce permit applications for
native listed species to the same Regional Office that has the lead for that species. Endangered Species
Act permit applications for the import or export of native endangered and threatened species may be
obtained from the Division of Management Authority in accordance with paragraph (b)(3) of this section.
(5) You may obtain applications for bald and golden eagle permits (50 CFR 22) and migratory bird permits
(50 CFR 21), except for banding and marking permits, by writing to the Migratory Bird Permit Program
Office in the Region in which you reside. For mailing addresses for the Migratory Bird Regional Permit
Offices, see below, or go to: http://permits.fws.gov/mbpermits/addresses.html. Send completed
applications to the same address. The mailing addresses for the Regional Migratory Bird Permit Offices
are as follows:
Region 1 (CA, HI, ID, NV, OR, WA): U.S. Fish and Wildlife Service, Migratory Bird Permit Office, 911 N.E.
11th Avenue, Portland, OR 97232–4181.
Region 2 (AZ, NM, OK, TX): U.S. Fish and Wildlife Service, Migratory Bird Permit Office, P.O. Box 709,
Albuquerque, NM 87103.
Region 3 (IA, IL, IN, MN, MO, MI, OH, WI): U.S. Fish and Wildlife Service, Migratory Bird Permit Office,
One Federal Drive, Fort Snelling, MN 55111.
Region 4 (AR, FL, GA, KY, LA, MS, NC, SC, TN, PR, VI): U.S. Fish and Wildlife Service, Migratory Bird
Permit Office, P.O. Box 49208, Atlanta, GA 30359.
Region 5 (CT, DC, DE, MA, MD, ME, NH, NJ, NY, PA, RI, VA, VT, WV): U.S. Fish and Wildlife Service,
Migratory Bird Permit Office, P.O. Box 779, Hadley, MA 01035–0779.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (4 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
Region 6 (CO, KS, MT, ND, NE, SD, UT, WY): U.S. Fish and Wildlife Service, Migratory Bird Permit
Office, P.O. Box 25486, DFC (60130), Denver, CO 80225–0486.
Region 7 (AK): U.S. Fish and Wildlife Service, Migratory Bird Permit Office (MS–201), 1011 E. Tudor
Road, Anchorage, AK 99503.
(c) Time notice. The Service will process all applications as quickly as possible. However, we cannot
guarantee final action within the time limit you request. You should ensure that applications for permits for
marine mammals and/or endangered and threatened species are postmarked at least 90 calendar days
prior to the requested effective date. The time we require for processing of endangered and threatened
species incidental take permits will vary according to the project scope and significance of effects. Submit
applications for all other permits to the issuing/reviewing office and ensure they are postmarked at least
60 calendar days prior to the requested effective date. Our processing time may be increased by the
procedural requirements of the National Environmental Policy Act (NEPA), the requirement to publish a
notice in theFederal Registerrequesting a 30-day public comment period when we receive certain types of
permit applications, and/or the time required for extensive consultation within the Service, with other
Federal agencies, and/or State or foreign governments. When applicable, we may require permit
applicants to provide additional information on the proposal and on its environmental effects as may be
necessary to satisfy the procedural requirements of NEPA.
(d) Fees. (1) Unless otherwise exempted under this subsection, you must pay the required permit
processing fee at the time that you apply for issuance or amendment of a permit. You must pay by check
or money order made payable to the “U.S. Fish and Wildlife Service.” The Service will not refund any
application fee under any circumstances if we have processed the application. However, we may return
the application fee if you withdraw the application before we have significantly processed it.
(2) If regulations in this subchapter require more than one type of permit for an activity and the permits
are issued by the same office, the issuing office may issue one consolidated permit authorizing the
activity in accordance with §13.1. You may submit a single application in such cases, provided that the
single application contains all the information required by the separate applications for each permitted
activity. Where more than one permitted activity is consolidated into one permit, the issuing office will
charge the highest single fee for the activity permitted.
(3) Circumstances under which we will not charge a permit application fee are as follows:
(i) We will not charge a permit application fee to any Federal, tribal, State, or local government agency or
to any individual or institution acting on behalf of such agency. Except as otherwise authorized or waived,
if you fail to submit evidence of such status with your application, we will require the submission of all
processing fees prior to the acceptance of the application for processing.
(ii) As noted in paragraph (d)(4) of this section.
(iii) We may waive the fee on a case-by-case basis for extraordinary extenuating circumstances provided
that the issuing permit office and a Regional or Assistant Director approves the waiver.
(4) User fees. The following table identifies specific fees for each permit application or amendment to a
current permit. If no fee is identified under the Amendment Fee column, this particular permit either
cannot be amended and a new application, and application fee, would need to be submitted or no fee will
be charged for amending the permit (please contact the issuing office for further information).
CFR
citation
Type of permit
Amendment
Fee
fee
Migratory Bird Treaty Act
Migratory Bird Import/Export
50 CFR 21
Migratory Bird Banding or Marking
50 CFR 21
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (5 of 18)8/7/2007 2:07:39 PM
$75
Electronic Code of Federal Regulations:
Migratory Bird Scientific Collecting
50 CFR 21
100
Migratory Bird Taxidermy
50 CFR 21
100
Waterfowl Sale and Disposal
50 CFR 21
75
Special Canada Goose
50 CFR 21
Migratory Bird Special Purpose/Education
50 CFR 21
75
Migratory Bird Special Purpose/Salvage
50 CFR 21
75
Migratory Bird Special Purpose/Game Bird Propagation
50 CFR 21
75
Migratory Bird Special Purpose/Miscellaneous
50 CFR 21
100
Falconry
50 CFR 21
100
Raptor Propagation
50 CFR 21
100
Migratory Bird Rehabilitation
50 CFR 21
50
Migratory Bird Depredation
50 CFR 21
100
Migratory Bird Depredation/Homeowner
50 CFR 21
50
$50
50
Bald and Golden Eagle Protection Act
Eagle Scientific Collecting
50 CFR 22
100
50
Eagle Exhibition
50 CFR 22
75
Eagle Falconry
50 CFR 22
100
Eagle—Native American Religion
50 CFR 22
Eagle Depredation
50 CFR 22
100
50
Golden Eagle Nest Take
50 CFR 22
100
50
Eagle Transport—Scientific or Exhibition
50 CFR 22
75
Eagle Transport—Native American Religious Purposes
50 CFR 22
( 1)
(1)
Endangered Species Act/CITES/Lacey Act
ESA Recovery
50 CFR 17
100
50
ESA Interstate Commerce
50 CFR 17
100
50
ESA Enhancement of Survival (Safe Harbor Agreement)
50 CFR 17
50
25
ESA Enhancement of Survival (Candidate Conservation
Agreement with Assurances)
50 CFR 17
50
25
ESA Incidental Take (Habitat Conservation Plan)
50 CFR 17
100
50
ESA and CITES Import/Export and Foreign Commerce
50 CFR 17
100
50
ESA and CITES Museum Exchange
50 CFR 17
100
50
ESA Captive-bred Wildlife Registration
50 CFR 17
200
100
—Renewal of Captive-bred wildlife registration
50 CFR 17
100
CITES Import (including trophies under ESA and
MMPA)
50 CFR 17, 18, 23
100
50
CITES Export
50 CFR 23
100
50
CITES Pre-Convention
50 CFR 23
75
40
CITES Certificate of Origin
50 CFR 23
75
40
CITES Re-Export
50 CFR 23
75
40
CITES Personal Effects and Pet Export/Re-Export
50 CFR 23
50
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (6 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
CITES Appendix II Export (native furbearers and
alligators—excluding live animals)
50 CFR 23
100
50
CITES Master File (includes files for artificial
propagation, biomedical, etc. and covers import, export,
and re-export documents)
50 CFR 23
200
100
—Renewal of CITES Master File
50 CFR 23
100
—Single-use permits issued on Master File
50 CFR 23
25
CITES Annual Program File
50 CFR 23
50
—Single-use permits issued under Annual Program
50 CFR 23
25
CITES replacement documents (lost, stolen, or damaged
documents)
50 CFR 23
50
CITES Passport for Traveling Exhibitions and Pets
50 CFR 23
375
CITES/ESA Passport for Traveling Exhibitions
50 CFR 23
3100
Import/Export License
50 CFR 14
100
50
Designated Port Exception
50 CFR 14
100
50
Injurious Wildlife Permit
50 CFR 16
100
50
—Transport Authorization for Injurious Wildlife
50 CFR 16
25
50
Wild Bird Conservation Act (WBCA)
Personal Pet Import
50 CFR 15
50
WBCA Scientific Research, Zoological Breeding or
Display, Cooperative Breeding
50 CFR 15
100
50
WBCA Approval of Cooperative Breeding Programs
50 CFR 15
200
100
—Renewal of a WBCA Cooperative Breeding Program
50 CFR 15
50
WBCA Approval of a Foreign Breeding Facility
50 CFR 15
4250
Marine Mammal Protection Act
Marine Mammal Public Display
50 CFR 18
300
150
Marine Mammal Scientific Research/Enhancement/
Registered Agent or Tannery
50 CFR 18
150
75
—Renewal of Marine Mammal Scientific Research/
Enhancement/Registered Agent or Tannery
50 CFR 18
75
1No
fee.
2Each.
3Per
animal.
4Per
species.
(5) We will charge a fee for substantive amendments made to permits within the time period that the
permit is still valid. The fee is generally half the original fee assessed at the time that the permit is
processed; see paragraph (d)(4) of this section for the exact amount. Substantive amendments are those
that pertain to the purpose and conditions of the permit and are not purely administrative. Administrative
changes, such as updating name and address information, are required under 13.23(c), and we will not
charge a fee for such amendments.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (7 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
(6) Except as specifically noted in paragraph (d)(4) of this section, a permit renewal is an issuance of a
new permit, and applicants for permit renewal must pay the appropriate fee listed in paragraph (d)(4) of
this section.
(e) Abandoned or incomplete applications. If we receive an incomplete or improperly executed
application, or if you do not submit the proper fees, the issuing office will notify you of the deficiency. If
you fail to supply the correct information to complete the application or to pay the required fees within 45
calendar days of the date of notification, we will consider the application abandoned. We will not refund
any fees for an abandoned application.
[70 FR 18317, Apr. 11, 2005]
§ 13.12 General information requirements on applications for permits.
top
(a) General information required for all applications. All applications must contain the following information:
(1) Applicant's full name, mailing address, telephone number(s), and,
(i) If the applicant is an individual, the date of birth, height, weight, hair color, eye color, sex, and any
business or institutional affiliation of the applicant related to the requested permitted activity; or
(ii) If the applicant is a corporation, firm, partnership, association, institution, or public or private agency,
the name and address of the president or principal officer and of the registered agent for the service of
process;
(2) Location where the requested permitted activity is to occur or be conducted;
(3) Reference to the part(s) and section(s) of this subchapter B as listed in paragraph (b) of this section
under which the application is made for a permit or permits, together with any additional justification,
including supporting documentation as required by the referenced part(s) and section(s);
(4) If the requested permitted activity involves the import or re-export of wildlife or plants from or to any
foreign country, and the country of origin, or the country of export or re-export restricts the taking,
possession, transportation, exportation, or sale of wildlife or plants, documentation as indicated in §14.52
(c) of this subchapter B;
(5) Certification in the following language:
I hereby certify that I have read and am familiar with the regulations contained in title 50, part 13,
of the Code of Federal Regulations and the other applicable parts in subchapter B of chapter I of
title 50, Code of Federal Regulations, and I further certify that the information submitted in this
application for a permit is complete and accurate to the best of my knowledge and belief. I
understand that any false statement herein may subject me to suspension or revocation of this
permit and to the criminal penalties of 18 U.S.C. 1001.
(6) Desired effective date of permit except where issuance date is fixed by the part under which the permit
is issued;
(7) Date;
(8) Signature of the applicant; and
(9) Such other information as the Director determines relevant to the processing of the application,
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (8 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
including, but not limited to, information on the environmental effects of the activity consistent with 40
CFR 1506.5 and Departmental procedures at 516 DM 6, Appendix 1.3A.
(b) Additional information required on permit applications. As stated in paragraph (a)(3) of this section
certain additional information is required on all applications. These additional requirements may be found
by referring to the section of this subchapter B cited after the type of permit for which application is being
made:
Type of permit
Section
Importation at nondesignated ports:
Scientific
14.31
Deterioration prevention
14.32
Economic hardship
14.33
Marking of package or container:
Symbol marking
14.83
Import/export license
14.93
Feather import quota: Importation or entry
15.21
Injurious wildlife: Importation or shipment
16.22
Endangered wildlife and plant permits:
Similarity of appearance
17.52
Scientific, enhancement of propagation or survival, incidental taking for wildlife
17.22
Scientific, propagation, or survival for plants
17.62
Economic hardship for wildlife
17.23
Economic hardship for plants
17.63
Threatened wildlife and plant permits:
Similarity of appearance
17.52
General for wildlife
17.32
American alligator-buyer or tanner
General for plants
17.42(a)
17.72
Marine mammals permits:
Scientific research
18.31
Public display
18.31
Migratory bird permits:
Banding or marking
21.22
Scientific collecting
21.23
Taxidermist
21.24
Waterfowl sale and disposal
21.25
Special aviculturist
21.26
Special purpose
21.27
Falconry
21.28
Raptor propagation permit
21.30
Depredation control
21.41
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (9 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
Eagle permits:
Scientific or exhibition
22.21
Indian religious use
22.22
Depredation control
22.23
Falconry purposes
22.24
Take of golden eagle nests
22.25
Endangered Species Convention permits
23.15
[39 FR 1161, Jan. 4, 1974, as amended at 42 FR 10465, Feb. 22, 1977; 42 FR 32377, June 24, 1977; 44
FR 54006, Sept. 17, 1979; 44 FR 59083, Oct. 12, 1979; 45 FR 56673, Aug. 25, 1980; 45 FR 78154, Nov.
25, 1980; 46 FR 42680, Aug. 24, 1981; 48 FR 31607, July 8, 1983; 48 FR 57300, Dec. 29, 1983; 50 FR
39687, Sept. 30, 1985; 50 FR 45408, Oct. 31, 1985; 54 FR 38147, Sept. 14, 1989; 70 FR 18319, Apr. 11,
2005]
Subpart C—Permit Administration
top
§ 13.21 Issuance of permits.
top
(a) No permit may be issued prior to the receipt of a written application therefor, unless a written variation
from the requirements, as authorized by §13.4, is inserted into the official file of the Bureau. An oral or
written representation of an employee or agent of the United States Government, or an action of such
employee or agent, shall not be construed as a permit unless it meets the requirements of a permit as
defined in 50 CFR 10.12.
(b) Upon receipt of a properly executed application for a permit, the Director shall issue the appropriate
permit unless:
(1) The applicant has been assessed a civil penalty or convicted of any criminal provision of any statute or
regulation relating to the activity for which the application is filed, if such assessment or conviction
evidences a lack of responsibility.
(2) The applicant has failed to disclose material information required, or has made false statements as to
any material fact, in connection with his application;
(3) The applicant has failed to demonstrate a valid justification for the permit and a showing of
responsibility;
(4) The authorization requested potentially threatens a wildlife or plant population, or
(5) The Director finds through further inquiry or investigation, or otherwise, that the applicant is not
qualified.
(c) Disqualifying factors. Any one of the following will disqualify a person from receiving permits issued
under this part.
(1) A conviction, or entry of a plea of guilty or nolo contendere, for a felony violation of the Lacey Act, the
Migratory Bird Treaty Act, or the Bald and Golden Eagle Protection Act disqualifies any such person from
receiving or exercising the privileges of a permit, unless such disqualification has been expressly waived
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (10 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
by the Director in response to a written petition.
(2) The revocation of a permit for reasons found in §13.28 (a)(1) or (a)(2) disqualifies any such person
from receiving or exercising the privileges of a similar permit for a period of five years from the date of the
final agency decision on such revocation.
(3) The failure to pay any required fees or assessed costs and penalties, whether or not reduced to
judgement disqualifies such person from receiving or exercising the privileges of a permit as long as such
moneys are owed to the United States. This requirement shall not apply to any civil penalty presently
subject to administrative or judicial appeal; provided that the pendency of a collection action brought by
the United States or its assignees shall not constitute an appeal within the meaning of this subsection.
(4) The failure to submit timely, accurate, or valid reports as required may disqualify such person from
receiving or exercising the privileges of a permit as long as the deficiency exists.
(d) Use of supplemental information. The issuing officer, in making a determination under this subsection,
may use any information available that is relevant to the issue. This may include any prior conviction, or
entry of a plea of guilty or nolo contendere, or assessment of civil or criminal penalty for a violation of any
Federal or State law or regulation governing the permitted activity. It may also include any prior permit
revocations or suspensions, or any reports of State or local officials. The issuing officer shall consider all
relevant facts or information available, and may make independent inquiry or investigation to verify
information or substantiate qualifications asserted by the applicant.
(e) Conditions of issuance and acceptance —(1) Conditions of issuance and acceptance. Any permit
automatically incorporates within its terms the conditions and requirements of subpart D of this part and of
any part(s) or section(s) specifically authorizing or governing the activity for which the permit is issued, as
well as any other conditions deemed appropriate and included on the face of the permit at the discretion
of the Director.
(2) Any person accepting and holding a permit under this subchapter B acknowledges the necessity for
close regulation and monitoring of the permitted activity by the Government. By accepting such permit,
the permittee consents to and shall allow entry by agents or employees of the Service upon premises
where the permitted activity is conducted at any reasonable hour. Service agents or employees may enter
such premises to inspect the location; any books, records, or permits required to be kept by this
subchapter B; and any wildlife or plants kept under authority of the permit.
(f) Term of permit. Unless otherwise modified, a permit is valid during the period specified on the face of
the permit. Such period shall include the effective date and the date of expiration.
(g) Denial. The issuing officer may deny a permit to any applicant who fails to meet the issuance criteria
set forth in this section or in the part(s) or section(s) specifically governing the activity for which the permit
is requested.
[39 FR 1161, Jan. 4, 1974, as amended at 42 FR 32377, June 24, 1977; 47 FR 30785, July 15, 1982; 54
FR 38148, Sept. 14, 1989; 70 FR 18319, Apr. 11, 2005]
§ 13.22 Renewal of permits.
top
(a) Application for renewal. Applicants for renewal of a permit must submit a written application at least 30
days prior to the expiration date of the permit. Applicants must certify in the form required by §13.12(a)(5)
that all statements and information in the original application remain current and correct, unless previously
changed or corrected. If such information is no longer current or correct, the applicant must provide
corrected information.
(b) Renewal criteria. The Service shall issue a renewal of a permit if the applicant meets the criteria for
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (11 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
issuance in §13.21(b) and is not disqualified under §13.21(c).
(c) Continuation of permitted activity. Any person holding a valid, renewable permit, who has complied
with this section, may continue the activities authorized by the expired permit until the Service has acted
on such person's application for renewal.
(d) Denial. The issuing officer may deny renewal of a permit to any applicant who fails to meet the
issuance criteria set forth in §13.21 of this part, or in the part(s) or section(s) specifically governing the
activity for which the renewal is requested.
[54 FR 38148, Sept. 14, 1989]
§ 13.23 Amendment of permits.
top
(a) Permittee's request. Where circumstances have changed so that a permittee desires to have any
condition of his permit modified, such permittee must submit a full written justification and supporting
information in conformity with this part and the part under which the permit was issued.
(b) The Service reserves the right to amend any permit for just cause at any time during its term, upon
written finding of necessity, provided that any such amendment of a permit issued under §17.22(b)
through (d) or §17.32(b) through (d) of this subchapter shall be consistent with the requirements of §17.22
(b)(5), (c)(5) and (d)(5) or §17.32(b)(5), (c)(5) and (d)(5) of this subchapter, respectively.
(c) Change of name or address. A permittee is not required to obtain a new permit if there is a change in
the legal individual or business name, or in the mailing address of the permittee. A permittee is required to
notify the issuing office within 10 calendar days of such change. This provision does not authorize any
change in location of the conduct of the permitted activity when approval of the location is a qualifying
condition of the permit.
[54 FR 38148, Sept. 14, 1989, as amended at 64 FR 32711, June 17, 1999]
§ 13.24 Right of succession by certain persons.
top
(a) Certain persons other than the permittee are authorized to carry on a permitted activity for the
remainder of the term of a current permit, provided they comply with the provisions of paragraph (b) of
this section. Such persons are the following:
(1) The surviving spouse, child, executor, administrator, or other legal representative of a deceased
permittee; or
(2) A receiver or trustee in bankruptcy or a court designated assignee for the benefit of creditors.
(b) In order to qualify for the authorization provided in this section, the person or persons desiring to
continue the activity shall furnish the permit to the issuing officer for endorsement within 90 days from the
date the successor begins to carry on the activity.
(c) In the case of permits issued under §17.22(b) through (d) or §17.32(b) through (d) of this subchapter
B, the successor's authorization under the permit is also subject to a determination by the Service that:
(1) The successor meets all of the qualifications under this part for holding a permit;
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (12 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
(2) The successor has provided adequate written assurances that it will provide sufficient funding for the
conservation plan or Agreement and will implement the relevant terms and conditions of the permit,
including any outstanding minimization and mitigation requirements; and
(3) The successor has provided such other information as the Service determines is relevant to the
processing of the request.
[64 FR 32711, June 17, 1999]
§ 13.25 Transfer of permits and scope of permit authorization.
top
(a) Except as otherwise provided for in this section, permits issued under this part are not transferable or
assignable.
(b) Permits issued under §17.22(b) or §17.32(b) of this subchapter B may be transferred in whole or in
part through a joint submission by the permittee and the proposed transferee or in the case of a deceased
permittee, the deceased permittee's legal representative and the proposed transferee, provided the
Service determines that:
(1) The proposed transferee meets all of the qualifications under this part for holding a permit;
(2) The proposed transferee has provided adequate written assurances that it will provide sufficient
funding for the conservation plan or Agreement and will implement the relevant terms and conditions of
the permit, including any outstanding minimization and mitigation requirements; and
(3) The proposed transferee has provided such other information as the Service determines is relevant to
the processing of the submission.
(c) In the case of the transfer of lands subject to an agreement and permit issued under §17.22(c) or (d)
or §17.32 (c) or (d) of this subchapter B, the Service will transfer the permit to the new owner if the new
owner agrees in writing to become a party to the original agreement and permit.
(d) Except as otherwise stated on the face of the permit, any person who is under the direct control of the
permittee, or who is employed by or under contract to the permittee for purposes authorized by the
permit, may carry out the activity authorized by the permit.
(e) In the case of permits issued under §17.22(b)–(d) or §17.32(b)–(d) of this subchapter to a State or
local governmental entity, a person is under the direct control of the permittee where:
(1) The person is under the jurisdiction of the permittee and the permit provides that such person(s) may
carry out the authorized activity; or
(2) The person has been issued a permit by the governmental entity or has executed a written instrument
with the governmental entity, pursuant to the terms of the implementing agreement.
[64 FR 32711, June 17, 1999, as amended at 64 FR 52676, Sept. 30, 1999; 69 FR 24092, May 3, 2004]
§ 13.26 Discontinuance of permit activity.
top
When a permittee, or any successor to a permittee as provided for by §13.24, discontinues activities
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (13 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
authorized by a permit, the permittee shall within 30 calendar days of the discontinuance return the permit
to the issuing office together with a written statement surrendering the permit for cancellation. The permit
shall be deemed void and cancelled upon its receipt by the issuing office. No refund of any fees paid for
issuance of the permit or for any other fees or costs associated with a permitted activity shall be made
when a permit is surrendered for cancellation for any reason prior to the expiration date stated on the face
of the permit.
[54 FR 38149, Sept. 14, 1989]
§ 13.27 Permit suspension.
top
(a) Criteria for suspension. The privileges of exercising some or all of the permit authority may be
suspended at any time if the permittee is not in compliance with the conditions of the permit, or with any
applicable laws or regulations governing the conduct of the permitted activity. The issuing officer may also
suspend all or part of the privileges authorized by a permit if the permittee fails to pay any fees, penalties
or costs owed to the Government. Such suspension shall remain in effect until the issuing officer
determines that the permittee has corrected the deficiencies.
(b) Procedure for suspension. (1) When the issuing officer believes there are valid grounds for
suspending a permit the permittee shall be notified in writing of the proposed suspension by certified or
registered mail. This notice shall identify the permit to be suspended, the reason(s) for such suspension,
the actions necessary to correct the deficiencies, and inform the permittee of the right to object to the
proposed suspension. The issuing officer may amend any notice of suspension at any time.
(2) Upon receipt of a notice of proposed suspension the permittee may file a written objection to the
proposed action. Such objection must be in writing, must be filed within 45 calendar days of the date of
the notice of proposal, must state the reasons why the permittee objects to the proposed suspension, and
may include supporting documentation.
(3) A decision on the suspension shall be made within 45 days after the end of the objection period. The
issuing officer shall notify the permittee in writing of the Service's decision and the reasons therefore. The
issuing officer shall also provide the applicant with the information concerning the right to request
reconsideration of the decision under §13.29 of this part and the procedures for requesting
reconsideration.
[54 FR 38149, Sept. 14, 1989]
§ 13.28 Permit revocation.
top
(a) Criteria for revocation. A permit may be revoked for any of the following reasons:
(1) The permittee willfully violates any Federal or State statute or regulation, or any Indian tribal law or
regulation, or any law or regulation of any foreign country, which involves a violation of the conditions of
the permit or of the laws or regulations governing the permitted activity; or
(2) The permittee fails within 60 days to correct deficiencies that were the cause of a permit suspension; or
(3) The permittee becomes disqualified under §13.21(c) of this part; or
(4) A change occurs in the statute or regulation authorizing the permit that prohibits the continuation of a
permit issued by the Service; or
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (14 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
(5) Except for permits issued under §17.22(b) through (d) or §17.32(b) through (d) of this subchapter, the
population(s) of the wildlife or plant that is the subject of the permit declines to the extent that continuation
of the permitted activity would be detrimental to maintenance or recovery of the affected population.
(b) Procedure for revocation. (1) When the issuing officer believes there are valid grounds for revoking a
permit, the permittee shall be notified in writing of the proposed revocation by certified or registered mail.
This notice shall identify the permit to be revoked, the reason(s) for such revocation, the proposed
disposition of the wildlife, if any, and inform the permittee of the right to object to the proposed revocation.
The issuing officer may amend any notice of revocation at any time.
(2) Upon receipt of a notice of proposed revocation the permittee may file a written objection to the
proposed action. Such objection must be in writing, must be filed within 45 calendar days of the date of
the notice of proposal, must state the reasons why the permittee objects to the proposed revocation, and
may include supporting documentation.
(3) A decision on the revocation shall be made within 45 days after the end of the objection period. The
issuing officer shall notify the permittee in writing of the Service's decision and the reasons therefore,
together with the information concerning the right to request and the procedures for requesting
reconsideration.
(4) Unless a permittee files a timely request for reconsideration, any wildlife held under authority of a
permit that is revoked must be disposed of in accordance with instructions of the issuing officer. If a
permittee files a timely request for reconsideration of a proposed revocation, such permittee may retain
possession of any wildlife held under authority of the permit until final disposition of the appeal process.
[54 FR 38149, Sept. 14, 1989, as amended at 64 FR 32711, June 17, 1999]
§ 13.29 Review procedures.
top
(a) Request for reconsideration. Any person may request reconsideration of an action under this part if
that person is one of the following:
(1) An applicant for a permit who has received written notice of denial;
(2) An applicant for renewal who has received written notice that a renewal is denied;
(3) A permittee who has a permit amended, suspended, or revoked, except for those actions which are
required by changes in statutes or regulations, or are emergency changes of limited applicability for which
an expiration date is set within 90 days of the permit change; or
(4) A permittee who has a permit issued or renewed but has not been granted authority by the permit to
perform all activities requested in the application, except when the activity requested is one for which
there is no lawful authority to issue a permit.
(b) Method of requesting reconsideration. Any person requesting reconsideration of an action under this
part must comply with the following criteria:
(1) Any request for reconsideration must be in writing, signed by the person requesting reconsideration or
by the legal representative of that person, and must be submitted to the issuing officer.
(2) The request for reconsideration must be received by the issuing officer within 45 calendar days of the
date of notification of the decision for which reconsideration is being requested.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (15 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
(3) The request for reconsideration shall state the decision for which reconsideration is being requested
and shall state the reason(s) for the reconsideration, including presenting any new information or facts
pertinent to the issue(s) raised by the request for reconsideration.
(4) The request for reconsideration shall contain a certification in substantially the same form as that
provided by §13.12(a)(5). If a request for reconsideration does not contain such certification, but is
otherwise timely and appropriate, it shall be held and the person submitting the request shall be given
written notice of the need to submit the certification within 15 calendar days. Failure to submit certification
shall result in the request being rejected as insufficient in form and content.
(c) Inquiry by the Service. The Service may institute a separate inquiry into the matter under consideration.
(d) Determination of grant or denial of a request for reconsideration. The issuing officer shall notify the
permittee of the Service's decision within 45 days of the receipt of the request for reconsideration. This
notification shall be in writing, shall state the reasons for the decision, and shall contain a description of
the evidence which was relied upon by the issuing officer. The notification shall also provide information
concerning the right to appeal, the official to whom an appeal may be addressed, and the procedures for
making an appeal.
(e) Appeal. A person who has received an adverse decision following submission of a request for
reconsideration may submit a written appeal to the Regional Director for the region in which the issuing
office is located, or to the Director for offices which report directly to the Director. An appeal must be
submitted within 45 days of the date of the notification of the decision on the request for reconsideration.
The appeal shall state the reason(s) and issue(s) upon which the appeal is based and may contain any
additional evidence or arguments to support the appeal.
(f) Decision on appeal. (1) Before a decision is made concerning the appeal the appellant may present
oral arguments before the Regional Director or the Director, as appropriate, if such official judges oral
arguments are necessary to clarify issues raised in the written record.
(2) The Service shall notify the appellant in writing of its decision within 45 calendar days of receipt of the
appeal, unless extended for good cause and the appellant notified of the extension.
(3) The decision of the Regional Director or the Director shall constitute the final administrative decision of
the Department of the Interior.
[54 FR 38149, Sept. 14, 1989]
Subpart D—Conditions
top
§ 13.41 Humane conditions.
top
Any live wildlife possessed under a permit must be maintained under humane and healthful conditions.
[54 FR 38150, Sept. 14, 1989]
§ 13.42 Permits are specific.
top
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (16 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
The authorizations on the face of a permit that set forth specific times, dates, places, methods of taking or
carrying out the permitted activities, numbers and kinds of wildlife or plants, location of activity, and
associated activities that must be carried out; describe certain circumscribed transactions; or otherwise
allow a specifically limited matter, are to be strictly interpreted and will not be interpreted to permit similar
or related matters outside the scope of strict construction.
[70 FR 18320, Apr. 11, 2005]
§ 13.43 Alteration of permits.
top
Permits shall not be altered, erased, or mutilated, and any permit which has been altered, erased, or
mutilated shall immediately become invalid. Unless specifically permitted on the face thereof, no permit
shall be copied, nor shall any copy of a permit issued pursuant to this subchapter B be displayed, offered
for inspection, or otherwise used for any official purpose for which the permit was issued.
§ 13.44 Display of permit.
top
Any permit issued under this part shall be displayed for inspection upon request to the Director or his
agent, or to any other person relying upon its existence.
§ 13.45 Filing of reports.
top
Permittees may be required to file reports of the activities conducted under the permit. Any such reports
shall be filed not later than March 31 for the preceding calendar year ending December 31, or any portion
thereof, during which a permit was in force, unless the regulations of this subchapter B or the provisions
of the permit set forth other reporting requirements.
§ 13.46 Maintenance of records.
top
From the date of issuance of the permit, the permittee shall maintain complete and accurate records of
any taking, possession, transportation, sale, purchase, barter, exportation, or importation of plants
obtained from the wild (excluding seeds) or wildlife pursuant to such permit. Such records shall be kept
current and shall include names and addresses of persons with whom any plant obtained from the wild
(excluding seeds) or wildlife has been purchased, sold, bartered, or otherwise transferred, and the date of
such transaction, and such other information as may be required or appropriate. Such records shall be
legibly written or reproducible in English and shall be maintained for five years from the date of expiration
of the permit.
[39 FR 1161, Jan. 4, 1974, as amended at 42 FR 32377, June 24, 1977; 54 FR 38150, Sept. 14, 1989]
§ 13.47 Inspection requirement.
top
Any person holding a permit under this subchapter B shall allow the Director's agent to enter his premises
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (17 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
at any reasonable hour to inspect any wildlife or plant held or to inspect, audit, or copy any permits,
books, or records required to be kept by regulations of this subchapter B.
[39 FR 1161, Jan. 4, 1974, as amended at 42 FR 32377, June 24, 1977]
§ 13.48 Compliance with conditions of permit.
top
Any person holding a permit under subchapter B and any person acting under authority of such permit
must comply with all conditions of the permit and with all appllicable laws and regulations governing the
permitted activity.
[54 FR 38150, Sept. 14, 1989]
§ 13.49 Surrender of permit.
top
Any person holding a permit under subchapter B shall surrender such permit to the issuing officer upon
notification that the permit has been suspended or revoked by the Service, and all appeal procedures
have been exhausted.
[54 FR 38150, Sept. 14, 1989]
§ 13.50 Acceptance of liability.
top
Except as otherwise limited in the case of permits described in §13.25(d), any person holding a permit
under this subchapter B assumes all liability and responsibility for the conduct of any activity conducted
under the authority of such permit.
[64 FR 32711, June 17, 1999]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid...fe2894d4b07&rgn=div5&view=text&node=50:1.0.1.2.7&idno=50 (18 of 18)8/7/2007 2:07:39 PM
Electronic Code of Federal Regulations:
Quick Navigation: Resources by Topic
Site Search:
advanced
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
• Browse
• Simple Search
e-CFR Data is current as of August 3, 2007
• Advanced Search
* Boolean
Title 50: Wildlife and Fisheries
* Proximity
PART 17—ENDANGERED AND THREATENED WILDLIFE AND PLANTS
Subpart C—Endangered Wildlife
• Search History
• Search Tips
Browse Previous | Browse Next
• Corrections
• Latest Updates
• User Info
§ 17.22 Permits for scientific purposes, enhancement of propagation or survival, or for
incidental taking.
• FAQs
• Agency List
• e-CFR Main Page
• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
• Regulations.gov
• Unified Agenda
• All NARA Publications
Ben's Guide
to U.S.
Government
Upon receipt of a complete application, the Director may issue a permit authorizing any activity otherwise
prohibited by §17.21, in accordance with the issuance criteria of this section, for scientific purposes, for
enhancing the propagation or survival, or for the incidental taking of endangered wildlife. Such permits
may authorize a single transaction, a series of transactions, or a number of activities over a specific
period of time. (See §17.32 for permits for threatened species.) The Director shall publish notice in
theFederal Registerof each application for a permit that is made under this section. Each notice shall
invite the submission from interested parties, within 30 days after the date of the notice, of written data,
views, or arguments with respect to the application. The 30-day period may be waived by the Director in
an emergency situation where the life or health of an endangered animal is threatened and no reasonable
alternative is available to the applicant. Notice of any such waiver shall be published in theFederal
Registerwithin 10 days following issuance of the permit.
(a)(1) Application requirements for permits for scientific purposes or for the enhancement of propagation
or survival. A person wishing to get a permit for an activity prohibited by §17.21 submits an application for
activities under this paragraph. The Service provides Form 3–200 for the application to which all of the
following must be attained:
(i) The common and scientific names of the species sought to the covered by the permit, as well as the
number, age, and sex of such species, and the activity sought to be authorized (such as taking, exporting,
selling in interstate commerce);
(ii) A statement as to whether, at the time of application, the wildlife sought to be covered by the permit
(A) is still in the wild, (B) has already been removed from the wild, or (C) was born in captivity;
(iii) A resume of the applicant's attempts to obtain the wildlife sought to be covered by the permit in a
manner which would not cause the death or removal from the wild of such wildlife;
(iv) If the wildlife sought to be covered by the permit has already been removed from the wild, the country
and place where such removal occurred; if the wildlife sought to be covered by the permit was born in
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (1 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
captivity, the country and place where such wildlife was born;
(v) A complete description and address of the institution or other facility where the wildlife sought to be
covered by the permit will be used, displayed, or maintained;
(vi) If the applicant seeks to have live wildlife covered by the permit, a complete description, including
photographs or diagrams, of the facilities to house and/or care for the wildlife and a resume of the
experience of those person who will be caring for the wildlife;
(vii) A full statement of the reasons why the applicant is justified in obtaining a permit including the details
of the activities sought to be authorized by the permit;
(viii) If the application is for the purpose of enhancement of propagation, a statement of the applicant's
willingness to participate in a cooperative breeding program and to maintain or contribute data to a
studbook;
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (a)(1) of this
section, the Director will decide whether or not a permit should be issued. In making this decision, the
Director shall consider, in addition to the general criteria in §13.21(b) of this subchapter, the following
factors:
(i) Whether the purpose for which the permit is required is adequate to justify removing from the wild or
otherwise changing the status of the wildlife sought to be covered by the permit;
(ii) The probable direct and indirect effect which issuing the permit would have on the wild populations of
the wildlife sought to be covered by the permit;
(iii) Whether the permit, if issued, would in any way, directly or indirectly, conflict with any known program
intended to enhance the survival probabilities of the population from which the wildlife sought to be
covered by the permit was or would be removed;
(iv) Whether the purpose for which the permit is required would be likely to reduce the threat of extinction
facing the species of wildlife sought to be covered by the permit;
(v) The opinions or views of scientists or other persons or organizations having expertise concerning the
wildlife or other matters germane to the application; and
(vi) Whether the expertise, facilities, or other resources available to the applicant appear adequate to
successfully accomplish the objectives stated in the application.
(3) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this paragraph shall be subject to the special condition that the escape of living
wildlife covered by the permit shall be immediately reported to the Service office designated in the permit.
(4) Duration of permits. The duration of permits issued under this paragraph shall be designated on the
face of the permit.
(b)(1) Application requirements for permits for incidental taking. A person wishing to get a permit for an
activity prohibited by §17.21(c) submits an application for activities under this paragraph. The Service
provides Form 3–200 for the application to which all of the following must be attached:
(i) A complete description of the activity sought to be authorized;
(ii) The common and scientific names of the species sought to be covered by the permit, as well as the
number, age, and sex of such species, if known;
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (2 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
(iii) A conservation plan that specifies:
(A) The impact that will likely result from such taking;
(B) What steps the applicant will take to monitor, minimize, and mitigate such impacts, the funding that
will be available to implement such steps, and the procedures to be used to deal with unforeseen
circumstances;
(C) What alternative actions to such taking the applicant considered and the reasons why such
alternatives are not proposed to be utilized; and
(D) Such other measures that the Director may require as being necessary or appropriate for purposes of
the plan;
(2) Issuance criteria. (i) Upon receiving an application completed in accordance with paragraph (b)(1) of
this section, the Director will decide whether or not a permit should be issued. The Director shall consider
the general issuance criteria in §13.21(b) of this subchapter, except for §13.21(b)(4), and shall issue the
permit if he or she finds that:
(A) The taking will be incidental;
(B) The applicant will, to the maximum extent practicable, minimize and mitigate the impacts of such
takings;
(C) The applicant will ensure that adequate funding for the conservation plan and procedures to deal with
unforeseen circumstances will be provided;
(D) The taking will not appreciably reduce the likelihood of the survival and recovery of the species in the
wild;
(E) The measures, if any, required under paragraph (b)(1)(iii)(D) of this section will be met; and
(F) He or she has received such other assurances as he or she may require that the plan will be
implemented.
(ii) In making his or her decision, the Director shall also consider the anticipated duration and geographic
scope of the applicant's planned activities, including the amount of listed species habitat that is involved
and the degree to which listed species and their habitats are affected.
(3) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this paragraph shall contain such terms and conditions as the Director deems
necessary or appropriate to carry out the purposes of the permit and the conservation plan including, but
not limited to, monitoring and reporting requirements deemed necessary for determining whether such
terms and conditions are being complied with. The Director shall rely upon existing reporting requirements
to the maximum extent practicable.
(4) Duration of permits. The duration of permits issued under this paragraph shall be sufficient to provide
adequate assurances to the permittee to commit funding necessary for the activities authorized by the
permit, including conservation activities and land use restrictions. In determining the duration of a permit,
the Director shall consider the duration of the planned activities, as well as the possible positive and
negative effects associated with permits of the proposed duration on listed species, including the extent to
which the conservation plan will enhance the habitat of listed species and increase the long-term
survivability of such species.
(5) Assurances provided to permittee in case of changed or unforeseen circumstances. The assurances
in this paragraph (b)(5) apply only to incidental take permits issued in accordance with paragraph (b)(2) of
this section where the conservation plan is being properly implemented, and apply only with respect to
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (3 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
species adequately covered by the conservation plan. These assurances cannot be provided to Federal
agencies. This rule does not apply to incidental take permits issued prior to March 25, 1998. The
assurances provided in incidental take permits issued prior to March 25, 1998 remain in effect, and those
permits will not be revised as a result of this rulemaking.
(i) Changed circumstances provided for in the plan. If additional conservation and mitigation measures
are deemed necessary to respond to changed circumstances and were provided for in the plan's
operating conservation program, the permittee will implement the measures specified in the plan.
(ii) Changed circumstances not provided for in the plan. If additional conservation and mitigation
measures are deemed necessary to respond to changed circumstances and such measures were not
provided for in the plan's operating conservation program, the Director will not require any conservation
and mitigation measures in addition to those provided for in the plan without the consent of the permittee,
provided the plan is being properly implemented.
(iii) Unforeseen circumstances. (A) In negotiating unforeseen circumstances, the Director will not require
the commitment of additional land, water, or financial compensation or additional restrictions on the use of
land, water, or other natural resources beyond the level otherwise agreed upon for the species covered
by the conservation plan without the consent of the permittee.
(B) If additional conservation and mitigation measures are deemed necessary to respond to unforeseen
circumstances, the Director may require additional measures of the permittee where the conservation
plan is being properly implemented, but only if such measures are limited to modifications within
conserved habitat areas, if any, or to the conservation plan's operating conservation program for the
affected species, and maintain the original terms of the conservation plan to the maximum extent
possible. Additional conservation and mitigation measures will not involve the commitment of additional
land, water or financial compensation or additional restrictions on the use of land, water, or other natural
resources otherwise available for development or use under the original terms of the conservation plan
without the consent of the permittee.
(C) The Director will have the burden of demonstrating that unforeseen circumstances exist, using the
best scientific and commercial data available. These findings must be clearly documented and based
upon reliable technical information regarding the status and habitat requirements of the affected species.
The Director will consider, but not be limited to, the following factors:
( 1 ) Size of the current range of the affected species;
( 2 ) Percentage of range adversely affected by the conservation plan;
( 3 ) Percentage of range conserved by the conservation plan;
( 4 ) Ecological significance of that portion of the range affected by the conservation plan;
( 5 ) Level of knowledge about the affected species and the degree of specificity of the species'
conservation program under the conservation plan; and
( 6 ) Whether failure to adopt additional conservation measures would appreciably reduce the likelihood of
survival and recovery of the affected species in the wild.
(6) Nothing in this rule will be construed to limit or constrain the Director, any Federal, State, local, or
Tribal government agency, or a private entity, from taking additional actions at its own expense to protect
or conserve a species included in a conservation plan.
(7) Discontinuance of permit activity. Notwithstanding the provisions of §13.26 of this subchapter, a
permittee under this paragraph (b) remains responsible for any outstanding minimization and mitigation
measures required under the terms of the permit for take that occurs prior to surrender of the permit and
such minimization and mitigation measures as may be required pursuant to the termination provisions of
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (4 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
an implementing agreement, habitat conservation plan, or permit even after surrendering the permit to the
Service pursuant to §13.26 of this subchapter. The permit shall be deemed canceled only upon a
determination by the Service that such minimization and mitigation measures have been implemented.
Upon surrender of the permit, no further take shall be authorized under the terms of the surrendered
permit.
(8) Criteria for revocation. A permit issued under paragraph (b) of this section may not be revoked for any
reason except those set forth in §13.28(a)(1) through (4) of this subchapter or unless continuation of the
permitted activity would be inconsistent with the criterion set forth in 16 U.S.C. 1539(a)(2)(B)(iv) and the
inconsistency has not been remedied.
(c)(1) Application requirements for permits for the enhancement of survival through Safe Harbor
Agreements. The applicant must submit an application for a permit under this paragraph (c) to the
appropriate Regional Director, U.S. Fish and Wildlife Service, for the Region where the applicant resides
or where the proposed activity is to occur (for appropriate addresses, see 50 CFR 10.22), if the applicant
wishes to engage in any activity prohibited by §17.21. The applicant must submit an official Service
application form (3–200.54) that includes the following information:
(i) The common and scientific names of the listed species for which the applicant requests incidental take
authorization;
(ii) A description of how incidental take of the listed species pursuant to the Safe Harbor Agreement is
likely to occur, both as a result of management activities and as a result of the return to baseline; and
(iii) A Safe Harbor Agreement that complies with the requirements of the Safe Harbor policy available
from the Service.
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (c)(1) of this
section, the Director will decide whether or not to issue a permit. The Director shall consider the general
issuance criteria in §13.21(b) of this subchapter, except for §13.21(b)(4), and may issue the permit if he or
she finds:
(i) The take will be incidental to an otherwise lawful activity and will be in accordance with the terms of the
Safe Harbor Agreement;
(ii) The implementation of the terms of the Safe Harbor Agreement is reasonably expected to provide a
net conservation benefit to the affected listed species by contributing to the recovery of listed species
included in the permit, and the Safe Harbor Agreement otherwise complies with the Safe Harbor policy
available from the Service;
(iii) The probable direct and indirect effects of any authorized take will not appreciably reduce the
likelihood of survival and recovery in the wild of any listed species;
(iv) Implementation of the terms of the Safe Harbor Agreement is consistent with applicable Federal,
State, and Tribal laws and regulations;
(v) Implementation of the terms of the Safe Harbor Agreement will not be in conflict with any ongoing
conservation or recovery programs for listed species covered by the permit; and
(vi) The applicant has shown capability for and commitment to implementing all of the terms of the Safe
Harbor Agreement.
(3) Permit conditions. In addition to any applicable general permit conditions set forth in part 13 of this
subchapter, every permit issued under this paragraph (c) is subject to the following special conditions:
(i) A requirement for the participating property owner to notify the Service of any transfer of lands subject
to a Safe Harbor Agreement;
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (5 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
(ii) When appropriate, a requirement for the permittee to give the Service reasonable advance notice
(generally at least 30 days) of when he or she expects to incidentally take any listed species covered
under the permit. Such notification will provide the Service with an opportunity to relocate affected
individuals of the species, if possible and appropriate; and
(iii) Any additional requirements or conditions the Director deems necessary or appropriate to carry out
the purposes of the permit and the Safe Harbor Agreement.
(4) Permit effective date. Permits issued under this paragraph (c) become effective the day of issuance
for species covered by the Safe Harbor Agreement.
(5) Assurances provided to permittee. (i) The assurances in paragraph (c)(5) (ii) of this section (c)(5)
apply only to Safe Harbor permits issued in accordance with paragraph (c)(2) of this section where the
Safe Harbor Agreement is being properly implemented, and apply only with respect to species covered by
the Agreement and permit. These assurances cannot be provided to Federal agencies. The assurances
provided in this section apply only to Safe Harbor permits issued after July 19, 1999.
(ii) The Director and the permittee may agree to revise or modify the management measures set forth in a
Safe Harbor Agreement if the Director determines that such revisions or modifications do not change the
Director's prior determination that the Safe Harbor Agreement is reasonably expected to provide a net
conservation benefit to the listed species. However, the Director may not require additional or different
management activities to be undertaken by a permittee without the consent of the permittee.
(6) Additional actions. Nothing in this rule will be construed to limit or constrain the Director, any Federal,
State, local or Tribal government agency, or a private entity, from taking additional actions at its own
expense to protect or conserve a species included in a Safe Harbor Agreement.
(7) Criteria for revocation. The Director may not revoke a permit issued under paragraph (c) of this section
except as provided in this paragraph. The Director may revoke a permit for any reason set forth in §13.28
(a)(1) through (4) of this subchapter. The Director may revoke a permit if continuation of the permitted
activity would either appreciably reduce the likelihood of survival and recovery in the wild of any listed
species or directly or indirectly alter designated critical habitat such that it appreciably diminishes the
value of that critical habitat for both the survival and recovery of a listed species. Before revoking a permit
for either of the latter two reasons, the Director, with the consent of the permittee, will pursue all
appropriate options to avoid permit revocation. These options may include, but are not limited to:
extending or modifying the existing permit, capturing and relocating the species, compensating the
landowner to forgo the activity, purchasing an easement or fee simple interest in the property, or
arranging for a third-party acquisition of an interest in the property.
(8) Duration of permits. The duration of permits issued under this paragraph (c) must be sufficient to
provide a net conservation benefit to species covered in the enhancement of survival permit. In
determining the duration of a permit, the Director will consider the duration of the planned activities, as
well as the positive and negative effects associated with permits of the proposed duration on covered
species, including the extent to which the conservation activities included in the Safe Harbor Agreement
will enhance the survival and contribute to the recovery of listed species included in the permit.
(d)(1) Application requirements for permits for the enhancement of survival through Candidate
Conservation Agreements with Assurances. The applicant must submit an application for a permit under
this paragraph (d) to the appropriate Regional Director, U.S. Fish and Wildlife Service, for the Region
where the applicant resides or where the proposed activity is to occur (for appropriate addresses, see 50
CFR 10.22). When a species covered by a Candidate Conservation Agreement with Assurances is listed
as endangered and the applicant wishes to engage in activities identified in the Agreement and otherwise
prohibited by §17.31, the applicant must apply for an enhancement of survival permit for species covered
by the Agreement. The permit will become valid if and when covered proposed, candidate or other
unlisted species is listed as an endangered species. The applicant must submit an official Service
application form (3–200.54) that includes the following information:
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (6 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
(i) The common and scientific names of the species for which the applicant requests incidental take
authorization;
(ii) A description of the land use or water management activity for which the applicant requests incidental
take authorization; and
(iii) A Candidate Conservation Agreement that complies with the requirements of the Candidate
Conservation Agreement with Assurances policy available from the Service.
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (d)(1) of this
section, the Director will decide whether or not to issue a permit. The Director shall consider the general
issuance criteria in §13.21(b) of this subchapter, except for §13.21(b)(4), and may issue the permit if he or
she finds:
(i) The take will be incidental to an otherwise lawful activity and will be in accordance with the terms of the
Candidate Conservation Agreement;
(ii) The Candidate Conservation Agreement complies with the requirements of the Candidate
Conservation Agreement with Assurances policy available from the Service;
(iii) The probable direct and indirect effects of any authorized take will not appreciably reduce the
likelihood of survival and recovery in the wild of any species;
(iv) Implementation of the terms of the Candidate Conservation Agreement is consistent with applicable
Federal, State, and Tribal laws and regulations;
(v) Implementation of the terms of the Candidate Conservation Agreement will not be in conflict with any
ongoing conservation programs for species covered by the permit; and
(vi) The applicant has shown capability for and commitment to implementing all of the terms of the
Candidate Conservation Agreement.
(3) Permit conditions. In addition to any applicable general permit conditions set forth in part 13 of this
subchapter, every permit issued under this paragraph (d) is subject to the following special conditions:
(i) A requirement for the property owner to notify the Service of any transfer of lands subject to a
Candidate Conservation Agreement;
(ii) When appropriate, a requirement for the permittee to give the Service reasonable advance notice
(generally at least 30 days) of when he or she expects to incidentally take any listed species covered
under the permit. Such notification will provide the Service with an opportunity to relocate affected
individuals of the species, if possible and appropriate; and
(iii) Any additional requirements or conditions the Director deems necessary or appropriate to carry out
the purposes of the permit and the Candidate Conservation Agreement.
(4) Permit effective date. Permits issued under this paragraph (d) become effective for a species covered
by a Candidate Conservation Agreement on the effective date of a final rule that lists a covered species
as endangered.
(5) Assurances provided to permittee in case of changed or unforeseen circumstances. The assurances
in this paragraph (d)(5) apply only to permits issued in accordance with paragraph (d)(2) where the
Candidate Conservation with Assurances Agreement is being properly implemented, and apply only with
respect to species adequately covered by the Candidate Conservation with Assurances Agreement.
These assurances cannot be provided to Federal agencies.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (7 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
(i) Changed circumstances provided for in the Agreement. If the Director determines that additional
conservation measures are necessary to respond to changed circumstances and these measures were
set forth in the Agreement, the permittee will implement the measures specified in the Agreement.
(ii) Changed circumstances not provided for in the Agreement. If the Director determines that additional
conservation measures not provided for in the Agreement are necessary to respond to changed
circumstances, the Director will not require any conservation measures in addition to those provided for in
the Agreement without the consent of the permittee, provided the Agreement is being properly
implemented.
(iii) Unforeseen circumstances. (A) In negotiating unforeseen circumstances, the Director will not require
the commitment of additional land, water, or financial compensation or additional restrictions on the use of
land, water, or other natural resources beyond the level otherwise agreed upon for the species covered
by the Agreement without the consent of the permittee.
(B) If the Director determines additional conservation measures are necessary to respond to unforeseen
circumstances, the Director may require additional measures of the permittee where the Agreement is
being properly implemented, but only if such measures maintain the original terms of the Agreement to
the maximum extent possible. Additional conservation measures will not involve the commitment of
additional land, water, or financial compensation or additional restrictions on the use of land, water, or
other natural resources otherwise available for development or use under the original terms of the
Agreement without the consent of the permittee.
(C) The Director will have the burden of demonstrating that unforeseen circumstances exist, using the
best scientific and commercial data available. These findings must be clearly documented and based
upon reliable technical information regarding the status and habitat requirements of the affected species.
The Director will consider, but not be limited to, the following factors:
( 1 ) Size of the current range of the affected species;
( 2 ) Percentage of range adversely affected by the Agreement;
( 3 ) Percentage of range conserved by the Agreement;
( 4 ) Ecological significance of that portion of the range affected by the Agreement;
( 5 ) Level of knowledge about the affected species and the degree of specificity of the species'
conservation program under the Agreement; and
( 6 ) Whether failure to adopt additional conservation measures would appreciably reduce the likelihood of
survival and recovery of the affected species in the wild.
(6) Additional actions. Nothing in this rule will be construed to limit or constrain the Director, any Federal,
State, local or Tribal government agency, or a private entity, from taking additional actions at its own
expense to protect or conserve a species included in a Candidate Conservation with Assurances
Agreement.
(7) Criteria for revocation. The Director may not revoke a permit issued under paragraph (d) of this
section except as provided in this paragraph. The Director may revoke a permit for any reason set forth in
§13.28(a)(1) through (4) of this subchapter. The Director may revoke a permit if continuation of the
permitted activity would either appreciably reduce the likelihood of survival and recovery in the wild of any
listed species or directly or indirectly alter designated critical habitat such that it appreciably diminishes
the value of that critical habitat for both the survival and recovery of a listed species. Before revoking a
permit for either of the latter two reasons, the Director, with the consent of the permittee, will pursue all
appropriate options to avoid permit revocation. These options may include, but are not limited to:
extending or modifying the existing permit, capturing and relocating the species, compensating the
landowner to forgo the activity, purchasing an easement or fee simple interest in the property, or
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (8 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
arranging for a third-party acquisition of an interest in the property.
(8) Duration of the Candidate Conservation Agreement. The duration of a Candidate Conservation
Agreement covered by a permit issued under this paragraph (d) must be sufficient to enable the Director
to determine that the benefits of the conservation measures in the Agreement, when combined with those
benefits that would be achieved if it is assumed that the conservation measures would also be
implemented on other necessary properties, would preclude or remove any need to list the species
covered by the Agreement.
(e) Objection to permit issuance. (1) In regard to any notice of a permit application published in
theFederal Register,any interested party that objects to the issuance of a permit, in whole or in part, may,
during the comment period specified in the notice, request notification of the final action to be taken on
the application. A separate written request shall be made for each permit application. Such a request shall
specify the Service's permit application number and state the reasons why that party believes the
applicant does not meet the issuance criteria contained in §§13.21 and 17.22 of this subchapter or other
reasons why the permit should not be issued.
(2) If the Service decides to issue a permit contrary to objections received pursuant to paragraph (c)(1) of
this section, then the Service shall, at least ten days prior to issuance of the permit, make reasonable
efforts to contact by telephone or other expedient means, any party who has made a request pursuant to
paragraph (c)(1) of this section and inform that party of the issuance of the permit. However, the Service
may reduce the time period or dispense with such notice if it determines that time is of the essence and
that delay in issuance of the permit would: (i) Harm the specimen or population involved; or (ii) unduly
hinder the actions authorized under the permit.
(3) The Service will notify any party filing an objection and request for notice under paragraph (c)(1) of this
section of the final action taken on the application, in writing. If the Service has reduced or dispensed with
the notice period referred to in paragraph (c)(2) of this section, it will include its reasons therefore in such
written notice.
[50 FR 39687, Sept. 30, 1985, as amended at 63 FR 8871, Feb. 23, 1998; 63 FR 52635, Oct. 1, 1998; 64
FR 32711, June 17, 1999; 64 FR 52676, Sept. 30, 1999; 69 FR 24092, May 3, 2004; 69 FR 29670, May
25, 2004; 69 FR 71731, Dec. 10, 2004]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.3.1.2&idno=50 (9 of 9)8/7/2007 2:13:10 PM
Electronic Code of Federal Regulations:
Quick Navigation: Resources by Topic
Site Search:
advanced
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
• Browse
• Simple Search
e-CFR Data is current as of August 3, 2007
• Advanced Search
* Boolean
Title 50: Wildlife and Fisheries
* Proximity
PART 17—ENDANGERED AND THREATENED WILDLIFE AND PLANTS
Subpart D—Threatened Wildlife
• Search History
• Search Tips
Browse Previous | Browse Next
• Corrections
• Latest Updates
§ 17.32 Permits—general.
• User Info
• FAQs
• Agency List
• e-CFR Main Page
• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
• Regulations.gov
• Unified Agenda
• All NARA Publications
Ben's Guide
to U.S.
Government
Upon receipt of a complete application the Director may issue a permit for any activity otherwise
prohibited with regard to threatened wildlife. Such permit shall be governed by the provisions of this
section unless a special rule applicable to the wildlife, appearing in §§17.40 to 17.48, of this part provides
otherwise. Permits issued under this section must be for one of the following purposes: Scientific
purposes, or the enhancement of propagation or survival, or economic hardship, or zoological exhibition,
or educational purposes, or incidental taking, or special purposes consistent with the purposes of the Act.
Such permits may authorize a single transaction, a series of transactions, or a number of activities over a
specific period of time.
(a)(1) Application requirements for permits for scientific purposes, or the enhancement of propagation or
survival, or economic hardship, or zoological exhibition, or educational purposes, or special purposes
consistent with the purposes of the Act. A person wishing to get a permit for an activity prohibited by
§17.31 submits an application for activities under this paragraph. The Service provides Form 3–200 for
the application to which as much of the following information relating to the purpose of the permit must be
attached:
(i) The Common and scientific names of the species sought to be covered by the permit, as well as the
number, age, and sex of such species, and the activity sought to be authorized (such as taking, exporting,
selling in interstate commerce);
(ii) A statement as to whether, at the time of application, the wildlife sought to be covered by the permit
(A) is still in the wild, (B) has already been removed from the wild, or (C) was born in captivity;
(iii) A resume of the applicant's attempts to obtain the wildlife sought to be covered by the permit in a
manner which would not cause the death or removal from the wild of such wildlife;
(iv) If the wildlife sought to be covered by the permit has already been removed from the wild, the country
and place where such removal occurred; if the wildlife sought to be covered by permit was born in
captivity, the country and place where such wildlife was born;
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (1 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(v) A complete description and address of the institution or other facility where the wildlife sought to be
covered by the permit will be used, displayed, or maintained;
(vi) If the applicant seeks to have live wildlife covered by the permit, a complete description, including
photographs or diagrams, of the facilities to house and/or care for the wildlife and a resume of the
experience of those persons who will be caring for the wildlife;
(vii) A full statement of the reasons why the applicant is justified in obtaining a permit including the details
of the activities sought to be authorized by the permit;
(viii) If the application is for the purpose of enhancement of propagation, a statement of the applicant's
willingness to participate in a cooperative breeding program and to maintain or contribute data to a
studbook;
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (a)(1) of this
section, the Director will decide whether or not a permit should be issued. In making this decision, the
Director shall consider, in addition to the general criteria in §13.21(b) of this subchapter, the following
factors:
(i) Whether the purpose for which the permit is required is adequate to justify removing from the wild or
otherwise changing the status of the wildlife sought to be covered by the permit;
(ii) The probable direct and indirect effect which issuing the permit would have on the wild populations of
the wildlife sought to be covered by the permit;
(iii) Whether the permit, if issued, would in any way, directly or indirectly, conflict with any known program
intended to enhance the survival probabilities of the population from which the wildlife sought to be
covered by the permit was or would be removed;
(iv) Whether the purpose for which the permit is required would be likely to reduce the threat of extinction
facing the species of wildlife sought to be covered by the permit;
(v) The opinions or views of scientists or other persons or organizations having expertise concerning the
wildlife or other matters germane to the application; and
(vi) Whether the expertise, facilities, or other resources available to the applicant appear adequate to
successfully accomplish the objectives stated in the application.
(3) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this paragraph shall be subject to the special condition that the escape of living
wildlife covered by the permit shall be immediately reported to the Service office designated in the permit.
(4) Duration of permits. The duration of permits issued under this paragraph shall be designated on the
face of the permit.
(b)(1) Application requirements for permits for incidental taking. (i) A person wishing to get a permit for an
activity prohibited by §17.31 submits an application for activities under this paragraph.
(ii) The director shall publish notice in theFederal Registerof each application for a permit that is made
under this section. Each notice shall invite the submission from interested parties, within 30 days after the
date of the notice, of written data, views, or arguments with respect to the application.
(iii) Each application must be submitted on an official application (Form 3–200) provided by the Service,
and must include as an attachment, all of the following information:
(A) A complete description of the activity sought to be authorized;
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (2 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(B) The common and scientific names of the species sought to be covered by the permit, as well as the
number, age, and sex of such species, if known;
(C) A conservation plan that specifies:
( 1 ) The impact that will likely result from such taking;
( 2 ) What steps the applicant will take to monitor, minimize, and mitigate such impacts, the funding that
will be available to implement such steps, and the procedures to be used to deal with unforeseen
circumstances;
( 3 ) What alternative actions to such taking the applicant considered and the reasons why such
alternatives are not proposed to be utilized; and
( 4 ) Such other measures that the Director may require as being necessary or appropriate for purposes
of the plan.
(2) Issuance criteria. (i) Upon receiving an application completed in accordance with paragraph (b)(1) of
this section, the Director will decide whether or not a permit should be issued. The Director shall consider
the general issuance criteria in 13.21(b) of this subchapter, except for 13.21(b)(4), and shall issue the
permit if he or she finds that:
(A) The taking will be incidental;
(B) The applicant will, to the maximum extent practicable, minimize and mitigate the impacts of such
takings;
(C) The applicant will ensure that adequate funding for the conservation plan and procedures to deal with
unforeseen circumstances will be provided;
(D) The taking will not appreciably reduce the likelihood of the survival and recovery of the species in the
wild;
(E) The measures, if any, required under paragraph (b)(1)(iii)(D) of this section will be met; and
(F) He or she has received such other assurances as he or she may require that the plan will be
implemented.
(ii) In making his or her decision, the Director shall also consider the anticipated duration and geographic
scope of the applicant's planned activities, including the amount of listed species habitat that is involved
and the degree to which listed species and their habitats are affected.
(3) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this paragraph shall contain such terms and conditions as the Director deems
necessary or appropriate to carry out the purposes of the permit and the conservation plan including, but
not limited to, monitoring and reporting requirements deemed necessary for determining whether such
terms and conditions are being complied with. The Director shall rely upon existing reporting requirements
to the maximum extent practicable.
(4) Duration of permits. The duration of permits issued under this paragraph shall be sufficient to provide
adequate assurances to the permittee to commit funding necessary for the activities authorized by the
permit, including conservation activities and land use restrictions. In determining the duration of a permit,
the Director shall consider the duration of the planned activities, as well as the possible positive and
negative effects associated with permits of the proposed duration on listed species, including the extent to
which the conservation plan will enhance the habitat of listed species and increase the long-term
survivability of such species.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (3 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(5) Assurances provided to permittee in case of changed or unforeseen circumstances. The assurances
in this paragraph (b)(5) apply only to incidental take permits issued in accordance with paragraph (b)(2) of
this section where the conservation plan is being properly implemented, and apply only with respect to
species adequately covered by the conservation plan. These assurances cannot be provided to Federal
agencies. This rule does not apply to incidental take permits issued prior to March 25, 1998. The
assurances provided in incidental take permits issued prior to March 25, 1998 remain in effect, and those
permits will not be revised as a result of this rulemaking.
(i) Changed circumstances provided for in the plan. If additional conservation and mitigation measures
are deemed necessary to respond to changed circumstances and were provided for in the plan's
operating conservation program, the permittee will implement the measures specified in the plan.
(ii) Changed circumstances not provided for in the plan. If additional conservation and mitigation
measures are deemed necessary to respond to changed circumstances and such measures were not
provided for in the plan's operating conservation program, the Director will not require any conservation
and mitigation measures in addition to those provided for in the plan without the consent of the permittee,
provided the plan is being properly implemented.
(iii) Unforeseen circumstances. (A) In negotiating unforeseen circumstances, the Director will not require
the commitment of additional land, water, or financial compensation or additional restrictions on the use of
land, water, or other natural resources beyond the level otherwise agreed upon for the species covered
by the conservation plan without the consent of the permittee.
(B) If additional conservation and mitigation measures are deemed necessary to respond to unforeseen
circumstances, the Director may require additional measures of the permittee where the conservation
plan is being properly implemented, but only if such measures are limited to modifications within
conserved habitat areas, if any, or to the conservation plan's operating conservation program for the
affected species, and maintain the original terms of the conservation plan to the maximum extent
possible. Additional conservation and mitigation measures will not involve the commitment of additional
land, water or financial compensation or additional restrictions on the use of land, water, or other natural
resources otherwise available for development or use under the original terms of the conservation plan
without the consent of the permittee.
(C) The Director will have the burden of demonstrating that such unforeseen circumstances exist, using
the best scientific and commercial data available. These findings must be clearly documented and based
upon reliable technical information regarding the status and habitat requirements of the affected species.
The Director will consider, but not be limited to, the following factors:
( 1 ) Size of the current range of the affected species;
( 2 ) Percentage of range adversely affected by the conservation plan;
( 3 ) Percentage of range conserved by the conservation plan;
( 4 ) Ecological significance of that portion of the range affected by the conservation plan;
( 5 ) Level of knowledge about the affected species and the degree of specificity of the species'
conservation program under the conservation plan; and
( 6 ) Whether failure to adopt additional conservation measures would appreciably reduce the likelihood of
survival and recovery of the affected species in the wild.
(6) Nothing in this rule will be construed to limit or constrain the Director, any Federal, State, local, or
Tribal government agency, or a private entity, from taking additional actions at its own expense to protect
or conserve a species included in a conservation plan.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (4 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(7) Discontinuance of permit activity. Notwithstanding the provisions of §13.26 of this subchapter, a
permittee under this paragraph (b) remains responsible for any outstanding minimization and mitigation
measures required under the terms of the permit for take that occurs prior to surrender of the permit and
such minimization and mitigation measures as may be required pursuant to the termination provisions of
an implementing agreement, habitat conservation plan, or permit even after surrendering the permit to the
Service pursuant to §13.26 of this subchapter. The permit shall be deemed canceled only upon a
determination by the Service that such minimization and mitigation measures have been implemented.
Upon surrender of the permit, no further take shall be authorized under the terms of the surrendered
permit.
(8) Criteria for revocation. A permit issued under paragraph (b) of this section may not be revoked for any
reason except those set forth in §13.28(a)(1) through (4) of this subchapter or unless continuation of the
permitted activity would be inconsistent with the criterion set forth in 16 U.S.C. 1539(a)(2)(B)(iv) and the
inconsistency has not been remedied.
(c)(1) Application requirements for permits for the enhancement of survival through Safe Harbor
Agreements. The applicant must submit an application for a permit under this paragraph (c) to the
appropriate Regional Director, U.S. Fish and Wildlife Service, for the Region where the applicant resides
or where the proposed action is to occur (for appropriate addresses, see 50 CFR 10.22), if the applicant
wishes to engage in any activity prohibited by §17.31. The applicant must submit an official Service
application form (3–200.54) that includes the following information:
(i) The common and scientific names of the listed species for which the applicant requests incidental take
authorization;
(ii) A description of how incidental take of the covered species pursuant to the Safe Harbor Agreement is
likely to occur, both as a result of management activities and as a result of the return to baseline;
(iii) A Safe Harbor Agreement that complies with the requirements of the Safe Harbor policy available
from the Service; and
(iv) The Director must publish notice in theFederal Registerof each application for a permit that is made
under this paragraph (c). Each notice must invite the submission from interested parties within 30 days
after the date of the notice of written data, views, or arguments with respect to the application. The
procedures included in §17.22(e) for permit objection apply to any notice published by the Director under
this paragraph (c).
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (c)(1) of this
section, the Director will decide whether or not to issue a permit. The Director shall consider the general
issuance criteria in §13.21(b) of this subchapter, except for §13.21(b)(4), and may issue the permit if he or
she finds:
(i) The take will be incidental to an otherwise lawful activity and will be in accordance with the terms of the
Safe Harbor Agreement;
(ii) The implementation of the terms of the Safe Harbor Agreement is reasonably expected to provide a
net conservation benefit to the affected listed species by contributing to the recovery of listed species
included in the permit, and the Safe Harbor Agreement otherwise complies with the Safe Harbor policy
available from the Service;
(iii) The probable direct and indirect effects of any authorized take will not appreciably reduce the
likelihood of survival and recovery in the wild of any listed species;
(iv) Implementation of the terms of the Safe Harbor Agreement is consistent with applicable Federal,
State, and Tribal laws and regulations;
(v) Implementation of the terms of the Safe Harbor Agreement will not be in conflict with any ongoing
conservation or recovery programs for listed species covered by the permit; and
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (5 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(vi) The applicant has shown capability for and commitment to implementing all of the terms of the Safe
Harbor Agreement.
(3) Permit conditions. In addition to any applicable general permit conditions set forth in part 13 of this
subchapter, every permit issued under this paragraph (c) is subject to the following special conditions:
(i) A requirement for the participating property owner to notify the Service of any transfer of lands subject
to a Safe Harbor Agreement;
(ii) When appropriate, a requirement for the permittee to give the Service reasonable advance notice
(generally at least 30 days) of when he or she expects to incidentally take any listed species covered
under the permit. Such notification will provide the Service with an opportunity to relocate affected
individuals of the species, if possible and appropriate; and
(iii) Any additional requirements or conditions the Director deems necessary or appropriate to carry out
the purposes of the permit and the Safe Harbor Agreement.
(4) Permit effective date. Permits issued under this paragraph (c) become effective the day of issuance
for species covered by the Safe Harbor Agreement.
(5) Assurances provided to permittee. (i) The assurances in subparagraph (ii) of this paragraph (c)(5)
apply only to Safe Harbor permits issued in accordance with paragraph (c)(2) of this section where the
Safe Harbor Agreement is being properly implemented, and apply only with respect to species covered by
the Agreement and permit. These assurances cannot be provided to Federal agencies. The assurances
provided in this section apply only to Safe Harbor permits issued after July 19, 1999.
(ii) The Director and the permittee may agree to revise or modify the management measures set forth in a
Safe Harbor Agreement if the Director determines that such revisions or modifications do not change the
Director's prior determination that the Safe Harbor Agreement is reasonably expected to provide a net
conservation benefit to the listed species. However, the Director may not require additional or different
management activities to be undertaken by a permittee without the consent of the permittee.
(6) Additional actions. Nothing in this rule will be construed to limit or constrain the Director, any Federal,
State, local or Tribal government agency, or a private entity, from taking additional actions at its own
expense to protect or conserve a species included in a Safe Harbor Agreement.
(7) Criteria for revocation. The Director may not revoke a permit issued under paragraph (c) of this section
except as provided in this paragraph. The Director may revoke a permit for any reason set forth in §13.28
(a)(1) through (4) of this subchapter. The Director may revoke a permit if continuation of the permitted
activity would either appreciably reduce the likelihood of survival and recovery in the wild of any listed
species or directly or indirectly alter designated critical habitat such that it appreciably diminishes the
value of that critical habitat for both the survival and recovery of a listed species. Before revoking a permit
for either of the latter two reasons, the Director, with the consent of the permittee, will pursue all
appropriate options to avoid permit revocation. These options may include, but are not limited to:
extending or modifying the existing permit, capturing and relocating the species, compensating the
landowner to forgo the activity, purchasing an easement or fee simple interest in the property, or
arranging for a third-party acquisition of an interest in the property.
(8) Duration of permits. The duration of permits issued under this paragraph (c) must be sufficient to
provide a net conservation benefit to species covered in the enhancement of survival permit. In
determining the duration of a permit, the Director will consider the duration of the planned activities, as
well as the positive and negative effects associated with permits of the proposed duration on covered
species, including the extent to which the conservation activities included in the Safe Harbor Agreement
will enhance the survival and contribute to the recovery of listed species included in the permit.
(d)(1) Application requirements for permits for the enhancement of survival through Candidate
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (6 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
Conservation Agreements with Assurances. The applicant must submit an application for a permit under
this paragraph (d) to the appropriate Regional Director, U.S. Fish and Wildlife Service, for the Region
where the applicant resides or where the proposed activity is to occur (for appropriate addresses, see 50
CFR 10.22). When a species covered by a Candidate Conservation Agreement with Assurances is listed
as threatened and the applicant wishes to engage in activities identified in the Agreement and otherwise
prohibited by §17.31, the applicant must apply for an enhancement of survival permit for species covered
by the Agreement. The permit will become valid if and when covered proposed, candidate or other
unlisted species is listed as a threatened species. The applicant must submit an official Service
application form (3–200.54) that includes the following information:
(i) The common and scientific names of the species for which the applicant requests incidental take
authorization;
(ii) A description of the land use or water management activity for which the applicant requests incidental
take authorization; and
(iii) A Candidate Conservation Agreement that complies with the requirements of the Candidate
Conservation Agreement with Assurances policy available from the Service.
(iv) The Director must publish notice in theFederal Registerof each application for a permit that is made
under this paragraph (d). Each notice must invite the submission from interested parties within 30 days
after the date of the notice of written data, views, or arguments with respect to the application. The
procedures included in §17.22(e) for permit objection apply to any notice published by the Director under
this paragraph (d).
(2) Issuance criteria. Upon receiving an application completed in accordance with paragraph (d)(1) of this
section, the Director will decide whether or not to issue a permit. The Director shall consider the general
issuance criteria in §13.21(b) of this subchapter, except for §13.21(b)(4), and may issue the permit if he or
she finds:
(i) The take will be incidental to an otherwise lawful activity and will be in accordance with the terms of the
Candidate Conservation Agreement;
(ii) The Candidate Conservation Agreement complies with the requirements of the Candidate
Conservation Agreement with Assurances policy available from the Service;
(iii) The probable direct and indirect effects of any authorized take will not appreciably reduce the
likelihood of survival and recovery in the wild of any species;
(iv) Implementation of the terms of the Candidate Conservation Agreement is consistent with applicable
Federal, State, and Tribal laws and regulations;
(v) Implementation of the terms of the Candidate Conservation Agreement will not be in conflict with any
ongoing conservation programs for species covered by the permit; and
(vi) The applicant has shown capability for and commitment to implementing all of the terms of the
Candidate Conservation Agreement.
(3) Permit conditions. In addition to any applicable general permit conditions set forth in part 13 of this
subchapter, every permit issued under this paragraph (d) is subject to the following special conditions:
(i) A requirement for the property owner to notify the Service of any transfer of lands subject to a
Candidate Conservation Agreement;
(ii) When appropriate, a requirement for the permittee to give the Service reasonable advance notice
(generally at least 30 days) of when he or she expects to incidentally take any listed species covered
under the permit. Such notification will provide the Service with an opportunity to relocate affected
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (7 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
individuals of the species, if possible and appropriate; and
(iii) Any additional requirements or conditions the Director deems necessary or appropriate to carry out
the purposes of the permit and the Candidate Conservation Agreement.
(4) Permit effective date. Permits issued under this paragraph (d) become effective for a species covered
by a Candidate Conservation Agreement on the effective date of a final rule that lists a covered species
as threatened.
(5) Assurances provided to permittee in case of changed or unforeseen circumstances. The assurances
in this paragraph (d)(5) apply only to permits issued in accordance with paragraph (d)(2) where the
Candidate Conservation with Assurances Agreement is being properly implemented, and apply only with
respect to species adequately covered by the Candidate Conservation with Assurances Agreement.
These assurances cannot be provided to Federal agencies.
(i) Changed circumstances provided for in the Agreement. If the Director determines that additional
conservation measures are necessary to respond to changed circumstances and these measures were
set forth in the Agreement, the permittee will implement the measures specified in the Agreement.
(ii) Changed circumstances not provided for in the Agreement. If the Director determines that additional
conservation measures not provided for in the Agreement are necessary to respond to changed
circumstances, the Director will not require any conservation measures in addition to those provided for in
the Agreement without the consent of the permittee, provided the Agreement is being properly
implemented.
(iii) Unforeseen circumstances. (A) In negotiating unforeseen circumstances, the Director will not require
the commitment of additional land, water, or financial compensation or additional restrictions on the use of
land, water, or other natural resources beyond the level otherwise agreed upon for the species covered
by the Agreement without the consent of the permittee.
(B) If the Director determines additional conservation measures are necessary to respond to unforeseen
circumstances, the Director may require additional measures of the permittee where the Agreement is
being properly implemented, but only if such measures maintain the original terms of the Agreement to
the maximum extent possible. Additional conservation measures will not involve the commitment of
additional land, water, or financial compensation or additional restrictions on the use of land, water, or
other natural resources otherwise available for development or use under the original terms of the
Agreement without the consent of the permittee.
(C) The Director will have the burden of demonstrating that unforeseen circumstances exist, using the
best scientific and commercial data available. These findings must be clearly documented and based
upon reliable technical information regarding the status and habitat requirements of the affected species.
The Director will consider, but not be limited to, the following factors:
( 1 ) Size of the current range of the affected species;
( 2 ) Percentage of range adversely affected by the Agreement;
( 3 ) Percentage of range conserved by the Agreement;
( 4 ) Ecological significance of that portion of the range affected by the Agreement;
( 5 ) Level of knowledge about the affected species and the degree of specificity of the species'
conservation program under the Agreement; and
( 6 ) Whether failure to adopt additional conservation measures would appreciably reduce the likelihood of
survival and recovery of the affected species in the wild.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (8 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
(6) Additional actions. Nothing in this rule will be construed to limit or constrain the Director, any Federal,
State, local or Tribal government agency, or a private entity, from taking additional actions at its own
expense to protect or conserve a species included in a Candidate Conservation with Assurances
Agreement.
(7) Criteria for revocation. The Director may not revoke a permit issued under paragraph (d) of this
section except as provided in this paragraph. The Director may revoke a permit for any reason set forth in
§13.28(a)(1) through (4) of this subchapter. The Director may revoke a permit if continuation of the
permitted activity would either appreciably reduce the likelihood of survival and recovery in the wild of any
listed species or directly or indirectly alter designated critical habitat such that it appreciably diminishes
the value of that critical habitat for both the survival and recovery of a listed species. Before revoking a
permit for either of the latter two reasons, the Director, with the consent of the permittee, will pursue all
appropriate options to avoid permit revocation. These options may include, but are not limited to:
extending or modifying the existing permit, capturing and relocating the species, compensating the
landowner to forgo the activity, purchasing an easement or fee simple interest in the property, or
arranging for a third-party acquisition of an interest in the property.
(8) Duration of the Candidate Conservation Agreement. The duration of a Candidate Conservation
Agreement covered by a permit issued under this paragraph (d) must be sufficient to enable the Director
to determine that the benefits of the conservation measures in the Agreement, when combined with those
benefits that would be achieved if it is assumed that the conservation measures would also be
implemented on other necessary properties, would preclude or remove any need to list the species
covered by the Agreement.
[50 FR 39689, Sept. 30, 1985, as amended at 63 FR 8871, Feb. 23, 1998; 63 FR 52635, Oct. 1, 1998; 64
FR 32714, June 17, 1999; 64 FR 52676, Sept. 30, 1999; 69 FR 24093, May 3, 2004; 69 FR 29670, May
25, 2004; 69 FR 71731, Dec. 10, 2004]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.4.1.2&idno=50 (9 of 9)8/7/2007 2:14:34 PM
Electronic Code of Federal Regulations:
Quick Navigation: Resources by Topic
Site Search:
advanced
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
• Browse
• Simple Search
e-CFR Data is current as of August 3, 2007
• Advanced Search
* Boolean
Title 50: Wildlife and Fisheries
* Proximity
PART 17—ENDANGERED AND THREATENED WILDLIFE AND PLANTS
Subpart F—Endangered Plants
• Search History
• Search Tips
Browse Previous | Browse Next
• Corrections
• Latest Updates
§ 17.62 Permits for scientific purposes or for the enhancement of propagation or survival.
• User Info
• FAQs
• Agency List
• e-CFR Main Page
• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
Upon receipt of a complete application the Director may issue a permit authorizing any activity otherwise
prohibited by §17.61, in accordance with the issuance criteria of this section, for scientific purposes or for
enhancing the propagation or survival of endangered plants. (See §17.72 for permits for threatened
plants.) Such a permit may authorize a single transaction, a series of transactions, or a number of
activities over a specified period of time.
(a) Application requirements. A person wishing to get a permit for an activity prohibited by §17.61 submits
an application to conduct activities under this paragraph. For interstate commerce activities the seller gets
the permit for plants coming from cultivated stock and the buyer gets the permit if the plants are taken
from the wild. The Service provides application Form 3–200, or you may submit the general information
and certification required by §13.12(a) of this subchapter. Application requirements differ for permits
issued for plants taken from the wild (excluding seeds), seeds and cultivated plants, or herbarium
specimens. You must attach the following information and any other information requested by the Director.
• Regulations.gov
• Unified Agenda
• All NARA Publications
(1) For activities involving plants obtained from the wild (excluding seeds), provide the following
information:
(i) The scientific names of the plants sought to be covered by the permit;
Ben's Guide
to U.S.
Government
(ii) The estimated number of specimens sought to be covered by the permit;
(iii) The year, country, and approximate place where taking occurred or will occur;
(iv) If the activities would involve removal and reduction to possession of a plant from an area under
Federal jurisdiction, the year, State, county, or any other description such as place name, township, and
range designation that will precisely place the location where the proposed removal and reduction to
possession will occur, the name of the Federal entity having jurisdiction over the area, and the name, title,
address, and phone number of the person in charge of the area.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.6.1.2&idno=50 (1 of 4)8/7/2007 2:16:03 PM
Electronic Code of Federal Regulations:
(v) The name and address of the institution or other facility where the plant sought to be covered by the
permit will be used or maintained;
(vi) A brief description of the applicant's expertise and facilities as related to the proposed activity;
(vii) A statement of the applicant's willingness to participate in a cooperative propagation program, and to
maintain or contribute data relating to such efforts; and
(viii) A statement of the reasons why the applicant is justified in obtaining the permit, including:
(A) The activities sought to be authorized by the permit and the relationship of such activities to scientific
purposes or enhancing the propagation or survival of the species; and
(B) The planned disposition of such plant upon termination of the activities sought to be authorized.
(2) For activities involving seeds and cultivated plants, provide the following information:
(i) The scientific names of the plants sought to be covered by the permit;
(ii) A statement of the applicant's willingness to participate in a cooperative propagation program, and to
maintain or contribute data relating to the success of such efforts;
(iii) A justification of the activities sought to be authorized by the permit and the relationship of such
activities to scientific purposes or enhancing the propagation or survival of the species; and
(iv) If the activities would involve seeds obtained from the wild, additional information to evaluate the
effects of such taking upon the reproductive potential of the species where the taking will occur.
(v) If the activities would involve removal and reduction to possession of seeds from an area under
Federal jurisdiction, the year, State, county or any other description such as place name, township, and
range designation that will precisely place the location where the proposed removal and reduction to
possession will occur, the name of the Federal entity having jurisdiction over the area and the name, title,
address, and phone number of the person in charge of the area.
(3) For importation or exportation involving the non-commercial loan, exchange, or donation of herbarium
or other preserved, dried, or embedded museum specimens of any endangered species between
scientists or scientific institutions, provide the following information:
(i) The name and address of the institution or other facility where the plants sought to be covered by the
permit will be used or maintained; and
(ii) A justification of the activities sought to be authorized by the permit and the relationship of such
activities to scientific purposes or enhancing the propagation or survival of the species.
(4) When the activity applied for involves a species also regulated by the Convention on International
Trade in Endangered Species of Wild Fauna and Flora, additional requirements of §23.15(c) of this
subchapter must be met. For your convenience, §23.15(c) is repeated here.
Application requirements for permits or certificates to import, export or re-export wildlife or plants
listed in appendix I, II or III that are not subject to the regulations in part 17 or part 18 of this
subchapter. Any person subject to the jurisdiction of the United States who wishes to get such a
permit or certificate submits an application under this section to the Director, U.S. Fish and
Wildlife Service, (Attention: Office of Management Authority), 4401 N. Fairfax Drive, Room 700,
Arlington, VA 22203. The Service provides Form 3–200 for the application to which as much of
the following information relating to the purpose of the permit or certificate must be attached.
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.6.1.2&idno=50 (2 of 4)8/7/2007 2:16:03 PM
Electronic Code of Federal Regulations:
(1) The scientific and common names of the species (or taxa to the rank listed in Appendix I, II, or
III) sought to be covered by the permit. the number of wildlife or plants, and the activity sought to
be authorized (such as importing, exporting, re-exporting, etc.);
(2) A statement as to whether the wildlife or plant, at the time of application, (i) is living in the wild,
(ii) is living, but not in the wild, or (iii) is dead;
(3) A description of the wildlife or plant, including (i) size, (ii) sex (if known), and (iii) type of goods,
if it is a part or derivative;
(4) In the case of living wildlife or plants, (i) a description of the type, size, and construction of any
container the wildlife or plant will be placed in during transportation, and (ii) the arrangements for
watering and otherwise caring for the wildlife or plant during transportation;
(5) The name and address of the person in a foreign country to whom the wildlife or plant is to be
exported from the United States, or from whom the wildlife or plant is to be imported into the
United States;
(6) The country and place where the wildlife or plant was or is to be taken from the wild;
(7) In the case of wildlife or plants listed in Appendix I to be imported into the United States, (i) a
statement of the purposes and details of the activities for which the wildlife or plant is to be
imported; (ii) a brief resume of the technical expertise of the applicant or other persons who will
care for the wildlife or plant; (iii) the name, address, and description, including diagrams or
photographs, of the facility where the wildlife or plant will be maintained; and (iv) a description of
all mortalities, in the two years preceding the date of this application, including any wildlife species
covered in the application (or any species of the same genus or family) held by the applicant,
including the causes and steps taken to avoid such mortalities; and
(8) Copies of documents, sworn affidavits, or other evidence showing that either (i) the wildlife or
plant was acquired prior to the date the Convention applied to it, or (ii) the wildlife or plant was
bred in captivity, or artificially propagated, or was part of or derived therefrom, or (iii) the wildlife or
plant is an herbarium specimen, or live plant material to be imported, exported, or re-exported as
a noncommercial loan, donation, or exchange between scientists or scientific institutions.
(b) Issuance criteria. Upon receiving an application completed in accordance with paragraph (a) of this
section, the Director will decide whether or not a permit should be issued. In making his decision, the
Director shall consider, in addition to the general criteria in §13.21(b) of this subchapter, the following
factors:
(1) Whether the purpose for which the permit is requested will enhance the survival of the species in the
wild;
(2) Whether the purpose for which the permit is requested will enhance the propagation of the species;
(3) The opinions or views of scientists or other persons or organizations having expertise concerning the
plant or other matters germane to the application; and
(4) Whether the expertise, facilities, or other resources available to the applicant appear adequate to
successfully accomplish the objectives stated in the application.
(c) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this section shall be subject to the following special conditions:
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.6.1.2&idno=50 (3 of 4)8/7/2007 2:16:03 PM
Electronic Code of Federal Regulations:
(1) If requested, the permittee shall submit to the Director a written report of the activities authorized by
the permit. Such report must be postmarked by the date specified in the permit or otherwise requested by
the Director.
(2) A copy of the permit or an identification label, which includes the scientific name, the permit number,
and a statement that the plant is of “wild origin” or “cultivated origin” must accompany the plant or its
container during the course of any activity subject to these regulations, unless the specimens meet the
special conditions referred to in paragraph (c)(3) of this section.
(3) In the case of plants that are herbarium specimens, or other preserved, dried or embedded museum
specimens to be imported or exported as a noncommercial loan, exchange or donation between scientists
or scientific institutions, the names and addresses of the consignor and consignee must be on each
package or container. A description such as “herbarium specimens” and the code letters assigned by the
Service to the scientists or scientific institution must be entered on the Customs declaration form affixed
to each package or container. If the specimens are of taxa also regulated by the Convention on
International Trade in Endangered Species of Wild Fauna and Flora, the letters “CITES” (acronym for the
Convention) also must be entered on the Customs declaration form, as indicated in §23.15(e)(3) of this
subchapter.
(d) Duration of permit. The duration of a permit issued under this section shall be designated on the face
of the permit.
[44 FR 54060, Sept. 18, 1979, as amended at 50 FR 39690, Sept. 30, 1985; 63 FR 52635, Oct. 1, 1998]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.6.1.2&idno=50 (4 of 4)8/7/2007 2:16:03 PM
Electronic Code of Federal Regulations:
Quick Navigation: Resources by Topic
Site Search:
advanced
Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
• Browse
• Simple Search
e-CFR Data is current as of August 3, 2007
• Advanced Search
* Boolean
Title 50: Wildlife and Fisheries
* Proximity
PART 17—ENDANGERED AND THREATENED WILDLIFE AND PLANTS
Subpart G—Threatened Plants
• Search History
• Search Tips
Browse Previous | Browse Next
• Corrections
• Latest Updates
§ 17.72 Permits—general.
• User Info
• FAQs
• Agency List
• e-CFR Main Page
• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
• Regulations.gov
• Unified Agenda
• All NARA Publications
Upon receipt of a complete application, the Director may issue a permit authorizing any activity otherwise
prohibited with regard to threatened plants. The permit shall be governed by the provisions of this section
unless a special rule applicable to the plant is provided in §§17.73 to 17.78. A permit issued under this
section must be for one of the following: scientific purposes, the enhancement of the propagation or
survival of threatened species, economic hardship, botanical or horticultural exhibition, educational
purposes, or other activities consistent with the purposes and policy of the Act. Such a permit may
authorize a single transaction, a series of transactions, or a number of activities over a specified period of
time.
(a) Application requirements. A person wishing to get a permit for an activity prohibited by §17.71 submits
an application to conduct activities under this paragraph. For interstate commerce activities the seller gets
the permit for plants coming from cultivated stock and the buyer gets the permit if the plants are taken
from the wild. The Service provides Form 3–200 for the application or you may submit the general
information and certification required by §13.12(a) of this subchapter. Application requirements differ for
permits issued for plants taken from the wild (excluding seeds), seeds and cultivated plants, or herbarium
specimens. You must attach the following information and any other information requested by the Director.
(1) For activities involving plants obtained from the wild (excluding seeds), provide the following
information:
Ben's Guide
to U.S.
Government
(i) The scientific names of the plants sought to be covered by the permit;
(ii) The estimated number of specimens sought to be covered by the permit;
(iii) The year, country, and approximate place where taking occurred or will occur;
(iv) If the activities would involve removal and reduction to possession of a plant from an area under
Federal jurisdiction, the year, State, county or any other description such as place name, township, and
range designation that will precisely place the location where the proposed removal and reduction to
possession will occur, the name of the Federal entity having jurisdiction over the area and the name, title,
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.7.1.2&idno=50 (1 of 4)8/7/2007 2:16:48 PM
Electronic Code of Federal Regulations:
address, and phone number of the person in charge of the area.
(v) A brief description of the applicant's expertise and facilities as related to the proposed activity;
(vi) A justification of the activities sought to be authorized by the permit and the relationship of such
activities to scientific purposes, enhancing the propagation or survival of the species, or other objectives
consistent with the purposes and policy of the Act; and
(vii) A statement of the applicant's willingness to participate in a cooperative propagation program, and to
maintain or contribute data relating to such efforts.
(2) For activities involving seeds obtained from the wild and cultivated plants, provide the following
information:
(i) The scientific names of the plants sought to be covered by the permit;
(ii) A statement of the applicant's willingness to participate in a cooperative propagation program, and to
maintain or contribute data relating to the success of such efforts; and
(iii) A justification of the activities sought to be authorized by the permit and the relationship of such
activities to scientific purposes, enhancing the propagation or survival of the species, or other objectives
consistent with the purposes and policy of the Act.
(iv) If the activities would involve removal and reduction to possession of seeds from an area under
Federal jurisdiction, the year, State, county, or any other description such as place name, township, and
range designation that will precisely place the location where the proposed removal and reduction to
possession will occur, the name of the Federal entity having jurisdiction over the area and the name, title,
address, and phone number of the person in charge of the area.
(3) For importation or exportation involving the non-commercial loan, exchange or donation of herbarium
or other preserved, dried or embedded museum specimens of all threatened species between scientists
or scientific institutions, provide the following information:
(i) The name and address of the institution or other facility where the plants sought to be covered by the
permit will be used or maintained; and
(ii) A justification of the activities sought to be authorized by the permit and the relationship of such
activities to scientific purposes, enhancing the propagation or survival of the species, or other objectives
consistent with the purposes and policy of the Act.
(4) When the activity applied for involves a species also regulated by the Convention on International
Trade in Endangered Species of Wild Fauna and Flora, additional requirements of §23.15(c) of this
subchapter must be met. For your convenience, §23.15(c) is repeated here.
Application requirements for permits or certificates to import, export or re-export wildlife or plants
listed in Appendix I, II or III that are not subject to the regulations in part 17 or part 18 of this
subchapter. Any person subject to the jurisdiction of the United States who wishes to get such a
permit or certificate submits an application under this section to the Director, Fish and Wildlife
Service (Attention: Office of Management Authority), 4401 N. Fairfax Drive, Room 700, Arlington,
VA 22203. The Service provides Form 3–200 for the application to which as much of the following
information relating to the purpose of the permit or certificate must be attached:
(1) The scientific and common names of the species (or taxa to the rank listed in Appendix I, II, or
III) sought to be covered by the permit, the number of wildlife or plants, and the activity sought to
be authorized (such as importing, exporting, re-exporting, etc.);
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.7.1.2&idno=50 (2 of 4)8/7/2007 2:16:48 PM
Electronic Code of Federal Regulations:
(2) A statement as to whether the wildlife or plant, at the time of application, (i) is living in the wild,
(ii) is living, but not in the wild, or (iii) is dead;
(3) A description of the wildlife or plant, including (i) size, (ii) sex (if known), and (iii) type of goods,
if it is a part or derivative;
(4) In the case of living wildlife or plants, (i) a description of the type, size, and construction of any
container the wildlife or plant will be placed in during transportation, and (ii) the arrangements for
watering and otherwise caring for the wildlife or plant during transportation;
(5) The name and address of the person in a foreign country to whom the wildlife or plant is to be
exported from the United States, or from whom the wildlife or plant is to be imported into the
United States;
(6) The country and place where the wildlife or plant was or is to be taken from the wild;
(7) In the case of wildlife or plants listed in Appendix I to be imported into the United States, (i) a
statement of the purposes and details of the activities for which the wildlife or plant is to be
imported; (ii) a brief resume of the technical expertise of the applicant or other persons who will
care for the wildlife or plant; (iii) the name, address, and description, including diagrams or
photographs, of the facility where the wildlife or plant will be maintained; and (iv) a description of
all mortalities, in the two years preceding the date of this application, including any wildlife species
covered in the application (or any species of the same genus or family) held by the applicant,
including the causes and steps taken to avoid such mortalities; and
(8) Copies of documents, sworn affidavits, or other evidence showing that either (i) the wildlife or
plant was acquired prior to the date the Convention applied to it, or (ii) the wildlife or plant was
bred in captivity, or artificially propagated, or was part of or derived therefrom, or (iii) the wildlife or
plant is an herbarium specimen, or live plant material to be imported, exported, or re-exported as
a noncommercial loan, donation, or exchange between scientists or scientific institutions.
(b) Issuance criteria. Upon receiving an application completed in accordance with paragraph (a) of this
section, the Director will decide whether or not a permit should be issued. In making his decision, the
Director shall consider, in addition to the general criteria in §13.21(b) of this subchapter, the following
factors:
(1) Whether the purpose for which the permit is requested will enhance the survival of the species in the
wild;
(2) Whether the purpose for which the permit is requested will enhance the propagation of the species;
(3) The opinions or views of scientists or other persons or organizations having expertise concerning the
plant or other matters germane to the application; and
(4) Whether the expertise, facilities, or other resources available to the applicant appear adequate to
successfully accomplish the objectives stated in the application.
(c) Permit conditions. In addition to the general conditions set forth in part 13 of this subchapter, every
permit issued under this section shall be subject to the following special conditions:
(1) If requested, the permittee shall submit to the Director a written report of the activities authorized by
the permit. Such report must be postmarked by the date specified in the permit or otherwise requested by
the Director.
(2) A copy of the permit or an identification label, which includes the scientific name, the permit number,
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.7.1.2&idno=50 (3 of 4)8/7/2007 2:16:48 PM
Electronic Code of Federal Regulations:
and a statement that the plant is of “wild orgin” or “cultivated origin” must accompany the plant or its
container during the course of any activity subject to these regulations, unless the specimens meet the
special conditions referred to in paragraph (c)(3) of this section.
(3) In the case of plants that are herbarium specimens, or other preserved, dried, or embedded museum
specimens to be imported or exported as a noncommercial loan exchange or donation between scientists
or scientific institutions, the names and addresses of the consignor and consignee must be on each
package or container. A description such as “herbarium specimens” and the code letters assigned by the
Service to the scientist or scientific institution must be entered on the Customs declaration form affixed to
each package or container. If the specimens are of taxa also regulated by the Convention on International
Trade in Endangered Species of Wild Fauna and Flora, the letters “CITES” (acronym for the convention)
also must be entered on the Customs declaration form as indicated in §23.15(e)(3) of this subchapter.
(d) Duration of permit. The duration of a permit issued under this section shall be designated on the face
of the permit.
[42 FR 32380, June 24, 1977, as amended at 50 FR 39691, Sept. 30, 1985; 63 FR 52636, Oct. 1, 1998]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=...4d4b07&rgn=div8&view=text&node=50:2.0.1.1.1.7.1.2&idno=50 (4 of 4)8/7/2007 2:16:48 PM
| File Type | application/pdf |
| File Title | Electronic Code of Federal Regulations: |
| File Modified | 2007-09-17 |
| File Created | 2007-08-07 |