50 Cfr 13

PART 13—GENERAL PERMIT PROCEDURES

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
§ 13.12

Application procedures.
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
§
§
§
§
§
§
§
§
§
§

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

§ 13.1
General.
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.
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.
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), “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.
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.
(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.
(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.
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).
Type of permitCFR
citationFeeAmendment
fee
Migratory Bird Treaty Act
Migratory Bird Import/Export50 CFR 21$75
Migratory Bird Banding or Marking50 CFR 21
Migratory Bird Scientific Collecting50 CFR 21100$50
Migratory Bird Taxidermy50 CFR 21100
Waterfowl Sale and Disposal50 CFR 2175
Special Canada Goose50 CFR 21
Migratory Bird Special Purpose/Education50 CFR 2175
Migratory Bird Special Purpose/Salvage50 CFR 2175
Migratory Bird Special Purpose/Game Bird Propagation50 CFR 2175
Migratory Bird Special Purpose/Miscellaneous50 CFR 21100
Falconry50 CFR 21100
Raptor Propagation50 CFR 21100
Migratory Bird Rehabilitation50 CFR 2150
Migratory Bird Depredation50 CFR 2110050
Migratory Bird Depredation/Homeowner50 CFR 2150
Bald and Golden Eagle Protection Act
Eagle Scientific Collecting50 CFR 2210050
Eagle Exhibition50 CFR 2275
Eagle Falconry50 CFR 22100
Eagle—Native American Religion50 CFR 22
Eagle Depredation50 CFR 2210050
Golden Eagle Nest Take50 CFR 2210050
Eagle Transport—Scientific or Exhibition50 CFR 2275
Eagle Transport—Native American Religious Purposes50 CFR 22(1)(1)
Endangered Species Act/CITES/Lacey Act
ESA Recovery50 CFR 1710050
ESA Interstate Commerce50 CFR 1710050
ESA Enhancement of Survival (Safe Harbor Agreement)50 CFR 175025
ESA Enhancement of Survival (Candidate Conservation Agreement with
Assurances)50 CFR 175025
ESA Incidental Take (Habitat Conservation Plan)50 CFR 1710050

ESA and CITES Import/Export and Foreign Commerce50 CFR 1710050
ESA and CITES Museum Exchange50 CFR 1710050
ESA Captive-bred Wildlife Registration50 CFR 17200100
—Renewal of Captive-bred wildlife registration50 CFR 17100
CITES Import (including trophies under ESA and MMPA)50 CFR 17, 18,
2310050
CITES Export50 CFR 2310050
CITES Pre-Convention50 CFR 237540
CITES Certificate of Origin50 CFR 237540
CITES Re-Export50 CFR 237540
CITES Personal Effects and Pet Export/Re-Export50 CFR 2350
CITES Appendix II Export (native furbearers and alligators—excluding
live animals)50 CFR 2310050
CITES Master File (includes files for artificial propagation,
biomedical, etc. and covers import, export, and re-export
documents)50 CFR 23200100
—Renewal of CITES Master File50 CFR 23100
—Single-use permits issued on Master File50 CFR 2325
CITES Annual Program File50 CFR 2350
—Single-use permits issued under Annual Program50 CFR 2325
CITES replacement documents (lost, stolen, or damaged documents)50
CFR 235050
CITES Passport for Traveling Exhibitions and Pets50 CFR 23375
CITES/ESA Passport for Traveling Exhibitions50 CFR 233100
Import/Export License50 CFR 1410050
Designated Port Exception50 CFR 1410050
Injurious Wildlife Permit50 CFR 1610050
—Transport Authorization for Injurious Wildlife50 CFR 1625
Wild Bird Conservation Act (WBCA)
Personal Pet Import50 CFR 1550
WBCA Scientific Research, Zoological Breeding or Display,
Cooperative Breeding50 CFR 1510050
WBCA Approval of Cooperative Breeding Programs50 CFR 15200100
—Renewal of a WBCA Cooperative Breeding Program50 CFR 1550
WBCA Approval of a Foreign Breeding Facility50 CFR 154250
Marine Mammal Protection Act
Marine Mammal Public Display50 CFR 18300150
Marine Mammal Scientific Research/Enhancement/Registered Agent or
Tannery50 CFR 1815075
—Renewal of Marine Mammal Scientific Research/Enhancement/Registered
Agent or Tannery50 CFR 1875
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.
(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, 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 permitSection
Importation at nondesignated ports:

Scientific14.31
Deterioration prevention14.32
Economic hardship14.33
Marking of package or container:
Symbol marking14.83
Import/export license14.93
Feather import quota: Importation or entry15.21
Injurious wildlife: Importation or shipment16.22
Endangered wildlife and plant permits:
Similarity of appearance17.52
Scientific, enhancement of propagation or survival, incidental
taking for wildlife17.22
Scientific, propagation, or survival for plants17.62
Economic hardship for wildlife17.23
Economic hardship for plants17.63
Threatened wildlife and plant permits:
Similarity of appearance17.52
General for wildlife17.32
American alligator-buyer or tanner17.42(a)
General for plants17.72
Marine mammals permits:
Scientific research18.31
Public display18.31
Migratory bird permits:
Banding or marking21.22
Scientific collecting21.23
Taxidermist21.24
Waterfowl sale and disposal21.25
Special aviculturist21.26
Special purpose21.27
Falconry21.28
Raptor propagation permit21.30
Depredation control21.41
Eagle permits:
Scientific or exhibition22.21
Indian religious use22.22
Depredation control22.23
Falconry purposes22.24
Take of golden eagle nests22.25
Endangered Species Convention permits23.15
[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 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 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;
(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 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
(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.
(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
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 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]

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Last updated: February 19, 2007