50 Cfr 13

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Title 50: Wildlife and Fisheries
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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 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.

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Authority: 16 U.S.C. 668a, 704, 712, 742j–l, 1374(g), 1382, 1538(d), 1539, 1540(f), 3374,
4901–4916; 18 U.S.C. 42; 19 U.S.C. 1202; 31 U.S.C. 9701.
Source: 39 FR 1161, Jan. 4, 1974, unless otherwise noted.
Subpart A—Introduction
top

§ 13.1 General.
top
(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.
top
The regulations contained in this part provide uniform rules, conditions, and procedures for the
application for and the issuance, denial, suspension, revocation, and general administration of all
permits issued pursuant to this subchapter B.
[54 FR 38147, Sept. 14, 1989]

§ 13.3 Scope of regulations.
top
The provisions in this part are in addition to, and are not in lieu of, other permit regulations of this
subchapter and apply to all permits issued thereunder, including “Importation, Exportation and
Transportation of Wildlife” (part 14), “Wild Bird Conservation Act” (part 15), “Injurious Wildlife” (part 16),
“Endangered and Threatened Wildlife and Plants” (part 17), “Marine Mammals” (part 18), “Migratory Bird
Permits” (part 21), “Eagle Permits” (part 22), and “Endangered Species Convention” (the Convention on
International Trade in Endangered Species of Wild Fauna and Flora) (part 23). As used in this part 13,
the term “permit” will refer to a license, permit, certificate, letter of authorization, or other document as
the context may require, and to all such documents issued by the Service or other authorized U.S. or
foreign government agencies.
[70 FR 18317, Apr. 11, 2005]

§ 13.4 Emergency variation from requirements.
top

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The Director may approve variations from the requirements of this part when he finds that an emergency
exists and that the proposed variations will not hinder effective administration of this subchapter B, and
will not be unlawful.

§ 13.5 Information collection requirements.
top
(a) The Office of Management and Budget approved the information collection requirements contained
in this part 13 under 44 U.S.C. and assigned OMB Control Number 1018–0092. The Service may not
conduct or sponsor, and you are not required to respond, to a collection of information unless it displays
a currently valid OMB control number. We are collecting this information to provide information
necessary to evaluate permit applications. We will use this information to review permit applications and
make decisions, according to criteria established in various Federal wildlife conservation statutes and
regulations, on the issuance, suspension, revocation, or denial permits. You must respond to obtain or
retain a permit.
(b) We estimate the public reporting burden for these reporting requirements to vary from 15 minutes to
4 hours per response, with an average of 0.803 hours per response, including time for reviewing
instructions, gathering and maintaining data, and completing and reviewing the forms. Direct comments
regarding the burden estimate or any other aspect of these reporting requirements to the Service
Information Collection Control Officer, MS–222 ARLSQ, U.S. Fish and Wildlife Service, Washington, DC
20240, or the Office of Management and Budget, Paperwork Reduction Project (1018–0092),
Washington, DC 20603.
[63 FR 52634, Oct. 1, 1998]

Subpart B—Application for Permits
top

§ 13.11 Application procedures.
top
The Service may not issue a permit for any activity authorized by this subchapter B unless you have filed
an application under the following procedures:
(a) Forms. Applications must be submitted in writing on a Federal Fish and Wildlife License/Permit
Application (Form 3–200) or as otherwise specifically directed by the Service.
(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.

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(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, American Samoa, Guam, Commonwealth of the Northern Mariana
Islands, and other Pacific possessions): 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 (AL, AR, FL, GA, KY, LA, MS, NC, SC, TN, PR, VI, and Caribbean possessions): 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 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

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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
Type of permit
citation
Migratory Bird Treaty Act
Migratory Bird Import/Export
50 CFR
21
Migratory Bird Banding or Marking
50 CFR
21
Migratory Bird Scientific Collecting
50 CFR
21
Migratory Bird Taxidermy
50 CFR
21
Waterfowl Sale and Disposal
50 CFR
21
Special Canada Goose
50 CFR
21
Migratory Bird Special Purpose/Education
50 CFR
21
Migratory Bird Special Purpose/Salvage
50 CFR
21
Migratory Bird Special Purpose/Game Bird
50 CFR
Propagation
21
Migratory Bird Special Purpose/Miscellaneous
50 CFR
21
Falconry
50 CFR
21
Raptor Propagation
50 CFR
21

Fee

Amendment
fee

$75

100

$50

100
75

75
75
75
100
100
100

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50 CFR
50
21
Migratory Bird Depredation
50 CFR 100
21
Migratory Bird Depredation/Homeowner
50 CFR
50
21
Bald and Golden Eagle Protection Act
Eagle Scientific Collecting
50 CFR 100
22
Eagle Exhibition
50 CFR
75
22
Eagle Falconry
50 CFR 100
22
Eagle—Native American Religion
50 CFR
22
Eagle Take permits—Depredation and
50 CFR 100
Protection of Health and Safety
22
Golden Eagle Nest Take
50 CFR 100
22
Eagle Transport—Scientific or Exhibition
50 CFR
75
22
Eagle Transport—Native American Religious
50 CFR
(1)
Purposes
22
Eagle Take—Associated With but Not the
50 CFR 500
Purpose of an Activity
22
Eagle Take—Associated With but Not the
50 CFR 1000
Purpose of an Activity—Programmatic
22
Eagle Nest Take
50 CFR 500
22
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
50 CFR
50
Agreement)
17
ESA Enhancement of Survival (Candidate
50 CFR
50
Conservation Agreement with Assurances)
17
ESA Incidental Take (Habitat Conservation Plan) 50 CFR 100
17
ESA and CITES Import/Export and Foreign
50 CFR 100
Commerce
17

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Migratory Bird Rehabilitation

50

50

50

( 1)
150
500
150
500

50
50
25
25
50
50

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ESA and CITES Museum Exchange

50 CFR 100
17
ESA Captive-bred Wildlife Registration
50 CFR 200
17
—Renewal of Captive-bred wildlife
50 CFR 100
registration
17
CITES Import (including trophies under ESA and 50 CFR 100
MMPA)
17, 18,
23
CITES Export
50 CFR 100
23
CITES Pre-Convention
50 CFR
75
23
CITES Certificate of Origin
50 CFR
75
23
CITES Re-Export
50 CFR
75
23
CITES Personal Effects and Pet Export/Re50 CFR
50
Export
23
CITES Appendix II Export (native furbearers and 50 CFR 100
alligators—excluding live animals)
23
CITES Master File (includes files for artificial
50 CFR 200
propagation, biomedical, etc. and covers import, 23
export, and re-export documents)
—Renewal of CITES Master File
50 CFR 100
23
25
—Single-use permits issued on Master 50 CFR
File
23
CITES Annual Program File
50 CFR
50
23
25
—Single-use permits issued under
50 CFR
Annual Program
23
CITES replacement documents (lost, stolen, or 50 CFR
50
damaged documents)
23
CITES Passport for Traveling Exhibitions and
50 CFR 375
Pets
23
CITES/ESA Passport for Traveling Exhibitions
50 CFR 3100
23
CITES Introduction from the Sea
50 CFR 100
23
CITES Participation in the Plant Rescue Center 50 CFR
(1)
Program
23
CITES Registration of Commercial Breeding
50 CFR 100
Operations for Appendix-I wildlife
23
CITES Request for Approval of an Export
50 CFR
(1)
Program for a State or Tribe (American Ginseng, 23
Certain Furbearers, and American Alligator)

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50
100

50

50
40
40
40

50
100

50

50
( 1)

( 1)

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Import/Export License

50 CFR
14
Designated Port Exception
50 CFR
14
Injurious Wildlife Permit
50 CFR
16
—Transport Authorization for Injurious 50 CFR
Wildlife
16
Wild Bird Conservation Act (WBCA)
Personal Pet Import
50 CFR
15
WBCA Scientific Research, Zoological Breeding 50 CFR
or Display, Cooperative Breeding
15
WBCA Approval of Cooperative Breeding
50 CFR
Programs
15
—Renewal of a WBCA Cooperative
50 CFR
Breeding Program
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
50 CFR
Research/Enhancement/Registered Agent or
18
Tannery
—Renewal of Marine Mammal Scientific 50 CFR
18
Research/Enhancement/Registered
Agent or Tannery

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100

50

100

50

100

50

25

50
100

50

200

100

50
4250

300

150

150

75

75

1No fee.
2Each.
3Per animal.
4Per species.

(5) We will charge a fee for substantive amendments made to permits within the time period that the
permit is still valid. The fee is generally half the original fee assessed at the time that the permit is
processed; see paragraph (d)(4) of this section for the exact amount. Substantive amendments are
those that pertain to the purpose and conditions of the permit and are not purely administrative.
Administrative changes, such as updating name and address information, are required under 13.23(c),
and we will not charge a fee for such amendments.
(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

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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]

§ 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 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;
(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

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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:
Scientific or exhibition
Indian religious use
Depredation and protection of health and safety

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
22.21
22.22
22.23

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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

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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
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.

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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.
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(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;
(2) The person has complied with this section; and

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(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.
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(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.
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(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]

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§ 13.25 Transfer of permits and scope of permit authorization.
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(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.
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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.
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(a) Criteria for suspension. The privileges of exercising some or all of the permit authority may be

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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.
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(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

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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.
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(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.

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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
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§ 13.41 Humane conditions.
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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.
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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.
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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.
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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.

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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.
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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.
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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.
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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.
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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.

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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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