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ELECTRONIC CODE OF FEDERAL REGULATIONS
e-CFR Data is current as of September 20, 2013
Title 50: Wildlife and Fisheries
PART 13—GENERAL PERMIT PROCEDURES
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
§ 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.
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SOURCE: 39 FR 1161, Jan. 4, 1974, unless otherwise noted.

Subpart A—Introduction
§ 13.1 General.
(a) A person must obtain a valid permit before commencing an activity for which a permit is
required by this subchapter, except as provided in § 23.53 of this subchapter for retrospective permits
for certain CITES shipments under very specific situations.
(b) A person must apply for such a permit under the general permit procedures of this part and any
other regulations in this subchapter that apply to the proposed activity.
(1) The requirements of all applicable parts of this subchapter must be met.
(2) A person may submit one application that includes the information required in each part of this
subchapter, and a single permit will be issued if appropriate.
[72 FR 48445, Aug. 23, 2007]

§ 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.
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(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 (10180092), Washington, DC 20603.
[63 FR 52634, Oct. 1, 1998]

Subpart B—Application for Permits
§ 13.11 Application procedures.
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 nonnative 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.
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(5) You may obtain applications for bald and golden eagle permits (50 CFR part 22) and migratory
bird permits (50 CFR part 21), except for banding and marking permits, from, and you may submit
completed applications to, the “Migratory Bird Permit Program Office” in the Region in which you
reside. For addresses of the regional offices, see 50 CFR 2.2, or go to:
http://www.fws.gov/migratorybirds/mbpermits/Addresses.html.
(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 the FEDERAL REGISTER requesting 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 paragraph (d), you must pay the required
permit processing fee at the time that you apply for issuance or amendment of a permit. You must pay
in U.S. dollars. If you submit a check or money order, it must be 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

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$75
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Migratory Bird Banding or Marking
Migratory Bird Scientific Collecting
Migratory Bird Taxidermy
Waterfowl Sale and Disposal
Special Canada Goose
Migratory Bird Special Purpose/Education
Migratory Bird Special Purpose/Salvage
Migratory Bird Special Purpose/Game Bird Propagation
Migratory Bird Special Purpose/Miscellaneous
Falconry
Raptor Propagation
Migratory Bird Rehabilitation
Migratory Bird Depredation
Migratory Bird Depredation/Homeowner

50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21
50 CFR
21

100

$50

100
75

75
75
75
100
100
100
50
100

50

50

Bald and Golden Eagle Protection Act
Eagle Scientific Collecting
Eagle Exhibition
Eagle Falconry
Eagle—Native American Religion
Eagle Take permits—Depredation and Protection of Health and Safety
Golden Eagle Nest Take
Eagle Transport—Scientific or Exhibition
Eagle Transport—Native American Religious Purposes
Eagle Take—Associated With but Not the Purpose of an Activity
Eagle Take—Associated With but Not the Purpose of an Activity—
Programmatic
Eagle Nest Take

50 CFR
22
50 CFR
22
50 CFR
22
50 CFR
22
50 CFR
22
50 CFR
22

100

50 CFR
22
50 CFR
22
50 CFR
22
50 CFR
22
50 CFR
22

75

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50

75
100

100
100

50

(1 )

(1 )

500

150

1000

500

500

150
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Eagle Nest Take—Programmatic

50 CFR 1000
22
Eagle Take—Exempted under ESA
50 CFR
22
Endangered Species Act/CITES/Lacey Act
ESA Recovery
50 CFR
100
17
ESA Interstate Commerce
50 CFR
100
17
ESA Enhancement of Survival (Safe Harbor Agreement)
50 CFR
50
17
ESA Enhancement of Survival (Candidate Conservation Agreement with 50 CFR
50
Assurances)
17
ESA Incidental Take (Habitat Conservation Plan)
50 CFR
100
17
ESA and CITES Import/Export and Foreign Commerce
50 CFR
100
17
ESA and CITES Museum Exchange
50 CFR
100
17
ESA Captive-bred Wildlife Registration
50 CFR
200
17
—Renewal of Captive-bred wildlife registration
50 CFR
100
17
CITES Import (including trophies under ESA and MMPA)
50 CFR
100
17, 18, 23
CITES Export
CITES Pre-Convention
CITES Certificate of Origin
CITES Re-Export
CITES Personal Effects and Pet Export/Re-Export
CITES Appendix II Export (native furbearers and alligators—excluding
live animals)
CITES Master File (includes files for artificial propagation, biomedical,
etc. and covers import, export, and re-export documents)
—Renewal of CITES Master File
—Single-use permits issued on Master File
CITES Annual Program File
—Single-use permits issued under Annual Program
CITES replacement documents (lost, stolen, or damaged documents)

500

50
50
25
25
50
50
50
100

50

50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23

100

50

75

40

75

40

75

40

100

50

50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23
50 CFR
23

200

100

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50

100
2

5

50
2

5

50

50

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CITES Passport for Traveling Exhibitions and Pets

50 CFR
23
CITES/ESA Passport for Traveling Exhibitions
50 CFR
23
CITES Introduction from the Sea
50 CFR
23
CITES Participation in the Plant Rescue Center Program
50 CFR
23
CITES Registration of Commercial Breeding Operations for Appendix-I 50 CFR
wildlife
23
CITES Request for Approval of an Export Program for a State or Tribe 50 CFR
(American Ginseng, Certain Furbearers, and American Alligator)
23
Import/Export License
50 CFR
14
Designated Port Exception
50 CFR
14
Injurious Wildlife Permit
50 CFR
16
—Transport Authorization for Injurious Wildlife
50 CFR
16
Wild Bird Conservation Act (WBCA)
Personal Pet Import
50 CFR
15
WBCA Scientific Research, Zoological Breeding or Display, Cooperative 50 CFR
Breeding
15
WBCA Approval of Cooperative Breeding Programs
50 CFR
15
—Renewal of a WBCA Cooperative Breeding Program
50 CFR
15
WBCA Approval of a Foreign Breeding Facility
50 CFR
15
Marine Mammal Protection Act
Marine Mammal Public Display
50 CFR
18
Marine Mammal Scientific Research/Enhancement/Registered Agent or 50 CFR
Tannery
18
—Renewal of Marine Mammal Scientific
50 CFR
Research/Enhancement/Registered Agent or Tannery
18
1

No fee.

2

Each.

3

Per animal.

4

Per species.

3
3

75

100
100

50

(1 )

(1 )

100
(1 )

(1 )

100

50

100

50

100

50

25

50
100

50

200

100

50
4

250

300

150

150

75

75

(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.
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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, as amended at 72 FR 48445, Aug. 23, 2007; 73 FR 29083, May 20, 2008; 73 FR
42281, July 21, 2008; 74 FR 46875, Sept. 11, 2009; 78 FR 35152, June 12, 2013]

§ 13.12 General information requirements on applications for permits.
(a) General information required for all applications. All applications must contain the following
information:
(1) Applicant's full name and address (street address, city, county, state, and zip code; and
mailing address if different from street address); home and work telephone numbers; and, if available,
a fax number and e-mail address, and:
(i) If the applicant resides or is located outside the United States, an address in the United States,
and, if conducting commercial activities, the name and address of his or her agent that is located in the
United States; and
(ii) If the applicant is an individual, the date of birth, social security number, if available, occupation,
and any business, agency, organizational, or institutional affiliation associated with the wildlife or plants
to be covered by the license or permit; or
(iii) If the applicant is a business, corporation, public agency, or institution, the tax identification
number; description of the type of business, corporation, agency, or institution; and the name and title
of the person responsible for the permit (such as president, principal officer, or director);
(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;
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(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 permit
Importation at nondesignated ports:
Scientific
Deterioration prevention
Economic hardship
Marking of package or container:
Symbol marking
Import/export license
Feather import quota: Importation or entry
Injurious wildlife: Importation or shipment
Endangered wildlife and plant permits:
Similarity of appearance
Scientific, enhancement of propagation or survival, incidental taking for wildlife
Scientific, propagation, or survival for plants
Economic hardship for wildlife
Economic hardship for plants
Threatened wildlife and plant permits:
Similarity of appearance
General for wildlife
American alligator-buyer or tanner
General for plants
Marine mammals permits:
Scientific research
Public display
Migratory bird permits:
Banding or marking
Scientific collecting
Taxidermist
Waterfowl sale and disposal
Special aviculturist
Special purpose
Falconry
Raptor propagation permit
Depredation control
Eagle permits:
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Section
14.31
14.32
14.33
14.83
14.93
15.21
16.22
17.52
17.22
17.62
17.23
17.63
17.52
17.32
17.42(a)
17.72

18.31
18.31
21.22
21.23
21.24
21.25
21.26
21.27
21.28
21.30
21.41
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Scientific or exhibition
Indian religious use
Depredation and protection of health and safety
Falconry purposes
Take of golden eagle nests
Eagle take—Associated with but not the purpose of an activity
Eagle nest take
Eagle take—Exempted under ESA
Endangered Species Convention permits

22.21
22.22
22.23
22.24
22.25
22.26
22.27
22.28
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; 72 FR 48446, Aug. 23,
2007; 73 FR 29083, May 20, 2008; 74 FR 46876, Sept. 11, 2009]

Subpart C—Permit Administration
§ 13.21 Issuance of permits.
(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.
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(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.
(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 may continue
the activities authorized by the expired permit until the Service acts on the application for renewal if all
of the following conditions are met:
(1) The permit is currently in force and not suspended or revoked;
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(2) The person has complied with this section; and
(3) The permit is not a CITES document that was issued under part 23 of this subchapter
(because the CITES document is void upon expiration).
(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, as amended at 72 FR 48446, Aug. 23, 2007]

§ 13.23 Amendment of permits.
(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.
(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.
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[64 FR 32711, June 17, 1999]

§ 13.25 Transfer of permits and scope of permit authorization.
(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.
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.
(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
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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.
(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
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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.
(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
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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
§ 13.41 Humane conditions.
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.
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.
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.
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.
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.
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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. Permittees who reside or are located in the United States and
permittees conducting commercial activities in the United States who reside or are located outside the
United States must maintain records at a location in the United States where the records are available
for inspection.
[39 FR 1161, Jan. 4, 1974, as amended at 42 FR 32377, June 24, 1977; 54 FR 38150, Sept. 14, 1989; 72 FR
48446, Aug. 23, 2007]

§ 13.47 Inspection requirement.
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.
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.
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.
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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