1018-0092 supporting statement

Supporting Statement A
for
Paperwork Reduction Act Submission
OMB Control Number 1018-0092
Federal Fish and Wildlife Permit Applications and Reports—
Law Enforcement
50 CFR 13 and 14
FWS Forms 3-200-2 and 3-200-3
Terms of Clearance. None.
1. Explain the circumstances that make the collection of information necessary.
All of the laws, treaties, and regulations administered by the U.S. Fish and Wildlife Service (we,
Service) that authorize activities for which a permit is required provide the basis for our
regulations in 50 CFR Part 13 (General Permit Requirements). The requirements in 50 CFR
Part 13 are in addition to any other permit requirements that may apply to a specific
circumstance, as outlined in other sections of subchapter B of Chapter 1, Title 50 of the CFR.
The Endangered Species Act (ESA) (16 U.S.C. 1531 et seq.), as amended, requires that fish or
wildlife be imported into or exported from the United States only at a designated port or at a
nondesignated port under certain limited circumstances. Authority for the designation of such
ports and the requirement that all fish or wildlife be imported or exported at such a port is found
in Section 9(f) of the ESA, 16 U.S.C. 1538(f). By regulation, these ports are designated by the
Secretary of the Interior, initially with approval of the Secretary of the Treasury but now with
approval of the Secretary of the Department of Homeland Security, after notice and opportunity
for public comment for the purpose of facilitating enforcement and reducing enforcement costs
of the ESA. To date, 17 U.S. Bureau of Customs and Border Protection ports of entry are
designated for the import and export of wildlife and wildlife products.
Exceptions to the designated port requirement are permitted by the Secretary of the Interior
under such terms and conditions as may be prescribed in the interest of the health and safety of
the fish or wildlife or for (1) scientific purposes (50 CFR 14.31); (2) to minimize deterioration or
loss (50 CFR 14.32); and (3) to alleviate undue economic hardship (50 CFR 14.33).
The Endangered Species Act (ESA) Section 9(d) (16 U.S.C. 1538 (d)), as amended, makes it
unlawful “for any person to engage in business as an importer or exporter of fish or
wildlife…without having first obtained permission from the Secretary [of the Interior].” Any
person required to obtain permission must “keep such records as will fully and correctly disclose
each importation or exportation of fish, wildlife, or plants made by him and the subsequent
disposition made by him with respect to such fish, wildlife or plant” and “file such reports as the
Secretary may require.”

On June 21, 1996 (61 FR 31871), we published a final rule revising 50 CFR 14, Importation,
Exportation, and Transportation of Wildlife, to implement provisions of a number of wildlife laws
enforced by the Service. As part of that rulemaking and under the authority of Section 9(d) of
the ESA (16 U.S.C. 1538 (d)), an Import/Export license requirement was imposed on any
person who engages in business as an importer or exporter of wildlife or wildlife products,
unless that person imports or exports certain excepted wildlife or wildlife products or falls within
one of the categories of persons exempted from the requirement of the final rule.
The information required on the Import/Export license application form is needed to enforce the
Import/Export license conditions that are derived from the statutory mandate of the ESA. The
information required to be maintained by persons under the Import/Export license requirement is
also needed to satisfy the statutory mandate.
2. Indicate how, by whom, how frequently, and for what purpose the information is to be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, explain how the collection complies
with all applicable Information Quality Guidelines.
An application must be made for a permit to import or export wildlife or wildlife products at
nondesignated ports or to receive an Import/Export license. We collect information using FWS
Forms 3-200-2 (Designated Port Exception Permit) and 3-200-3 (Import/Export License). We
need the information to address the specific requirements contained in 50 CFR 14.31, 14.32,
14.33, 14.91, 14.92 and 14.93. The information will help us determine (1) if an applicant for a
permit to import or export wildlife or wildlife products at a nondesignated port qualifies for the
requested exemption, or (2) if we will issue a license authorizing the applicant to engage in
business as an importer or exporter of wildlife or wildlife products.
Once a designated port exception permit is issued, we may require the permittee to file a report
on activities conducted under authority of the permit.
To improve efficiency, the Service has changed the format of FWS Forms 3-200-2 and 3-200-3
so that the public can more easily navigate the form and complete the required fields in less
time than with previous versions.
FWS Form 3-200-2 – The information we collect on the application corresponds to the
requirements in 50 CFR 14.31, 14.32, and 14.33. The permits are valid for up to 2 years from
the date of issuance to cover multiple shipments and are renewed upon request if the initial
justification for issuing the permit remains in effect.
•

We need information showing the scientific purpose or use of the wildlife or wildlife
products to be imported or exported to determine if there is a bona fide scientific purpose
or use which would benefit from the permit. Issuance of such a permit can facilitate the
exchange of preserved museum specimens or live research animals.

•

We collect information on the quantity and species of wildlife or wildlife products
described by scientific and common names to be imported or exported, when the
quantity and species can be readily determined, so that we can determine (a) if the
applicant has complied with applicable laws that apply to the importation or exportation
of the species identified and (2) if the species described are used for scientific purposes.

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•

The country or place in which the wildlife was removed from the wild (if known) or where
the wildlife was born in captivity helps us determine if the applicant has complied with
applicable laws that apply to the importation or exportation of the species, particularly, to
determine compliance with the Lacey Act, 16 U.S.C. 3371 et seq.

•

Information on the port(s) where the importation or exportation of wildlife or wildlife
products is requested and the detailed reason(s) why the importation or exportation
should be allowed at the requested port(s) rather than at a designated port allows us to
determine where the importation or exportation will occur so that the shipment can be
inspected and to determine why importation or exportation at the requested port(s) is
more feasible than at a designated port.

•

We need information on whether the exception is requested for a single shipment, a
series of shipments, or shipments over a specified period of time, including the date(s)
involved, to determine if multiple shipments are involved, eliminating the need to obtain a
permit for each shipment, and to know when the shipments will arrive or depart so
arrangements can be made to inspect the wildlife or wildlife products.

FWS Form 3-200-3 - The following specific justifications for information collections
correspond to items on Form 3-200-3 and the requirements contained in 50 CFR 14.91,
14.92, and 14.93. The Import/Export license is valid for up to 1 year from the date of
issuance and is renewed upon request, if the initial justification for issuing the Import/Export
license remains in effect.
•

A brief description of the nature of the applicant's business as it relates to the
importation or exportation of wildlife or wildlife products, e.g. "live animal dealer", "fur
broker", "taxidermist", "retail department store", or "pet shop", is needed to identify the
activity conducted by the applicant for which a license is required.

•

A statement disclosing the names and addresses of all partners and principal officers, if
the application is in the name of a business, is needed to know who holds the license. If
a license issued to a business subsequently is modified, suspended, or revoked, the
partners or principal officers could attempt to obtain a new license under a different
business.

•

A statement of where books or records concerning wildlife or wildlife product imports or
exports will be kept enables us to exercise our right to inspect those records.

•

A statement of where inventories of wildlife or wildlife products will be stored allows us to
examine inventories of imported wildlife or wildlife products or wildlife or wildlife products
being prepared for export.

•

We need the name, address, and telephone number of the officer, manager, or other
person authorized to make records or wildlife or wildlife product inventories available for
examination so that we can contact the appropriate agent of the licensee when the
licensee is not an individual.

•

The port(s) to be used for the importation or exportation of wildlife or wildlife products.

•

A description of the wildlife or wildlife products to be imported or exported.

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3. Describe whether, and to what extent, the collection of information involves the use
of automated, electronic, mechanical, or other technological collection techniques or
other forms of information technology. , e.g., permitting electronic submission of
responses, and the basis for the decision for adopting this means of collection. Also
describe any consideration of using information technology to reduce burden [and
specifically how this collection meets GPEA requirements.].
We are exploring the development of a system to allow electronic submission of Forms 3-200-2
and 3-200-3 in compliance with the GPEA. Currently, we must receive a hard copy, originally
signed application form by postal mail or hand delivery from an applicant. Facsimile and emailed signatures are not accepted but, applicants may submit any supporting documentation or
information missing from the application, other than an original signature, via facsimile
transmission. Forms 3-200-2 and 3-200-3 are currently available on the Internet in a fillable
format, allowing the public to complete the form online and print the completed form for
signature and submission.
4. Describe efforts to identify duplication.
No other Federal agency collects information of this type and no duplicate information is
collected elsewhere in the Service that could be utilized to determine if a designated port
exception permit or an Import/Export license can be issued. The information an Import/Export
licensee or exempted person must maintain, however, should already be maintained to satisfy
State business license requirements, reporting for the Internal Revenue Service or other similar
business purposes and need not be duplicated to satisfy these requirements. The requirement
that Import/Export licensees maintain records fully and correctly disclose the subsequent
disposition of the wildlife or wildlife products may be met by maintaining records which are
usually maintained as a normal business practice.
5. If the collection of information impacts small businesses or other small entities,
describe the methods used to minimize burden.
Small entities are among the potential applicants for designated port exception permits and
import/export licenses. We have carefully analyzed and constructed these requirements to
ensure that the information requested of small entities and all other potential applicants is the
minimum necessary, while still ensuring our ability to determine if an applicant for a permit to
import or export wildlife or wildlife products at a nondesignated port qualifies for the requested
exemption. In addition, in order to alleviate the burden to small businesses, we have
designated specific law enforcement offices within each of our seven geographic regions to
issue Import/Export licenses.
6. Describe the consequence to Federal program or policy activities if the collection is
not conducted or is conducted less frequently, as well as any technical or legal
obstacles to reducing burden.
The consequence of not collecting the information contained in these application forms is that
the applicant would not be issued a designated port exception permit or an Import/Export
license since the collected information is either required on the permit itself or needed to make
the necessary legal findings under the ESA. The information requested is limited to the
minimum necessary to establish eligibility and designated port exception permit and
Import/Export license terms.
If we do not issue designated port exception permits, small entities and all other potential
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applicants who legitimately meet one or more of the three exemptions for importing or exporting
wildlife or wildlife products at nondesignated ports would be unable to do so.
If Import/Export licenses are not issued, otherwise legitimate businesses could not commercially
import or export wildlife or wildlife products.
7. Explain any special circumstances that would cause an information collection to be
conducted in a manner:
* requiring respondents to report information to the agency more often than
quarterly;
* requiring respondents to prepare a written response to a collection of information
in fewer than 30 days after receipt of it;
* requiring respondents to submit more than an original and two copies of any
document;
* requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records, for more than three years;
* in connection with a statistical survey, that is not designed to produce valid and
reliable results that can be generalized to the universe of study;
* requiring the use of a statistical data classification that has not been reviewed and
approved by OMB;
* that includes a pledge of confidentiality that is not supported by authority
established in statute or regulation, that is not supported by disclosure and data
security policies that are consistent with the pledge, or which unnecessarily
impedes sharing of data with other agencies for compatible confidential use; or
* requiring respondents to submit proprietary trade secrets, or other confidential
information unless the agency can demonstrate that it has instituted procedures
to protect the information's confidentiality to the extent permitted by law.
The only special circumstance that is inconsistent with OMB guidelines is the timeframe for the
retention of records by designated port exception permitees and Import/Export licensees.
Under 50 CFR 14.93(c)(1), (c)(2), and (c)(3), we require that commercial importers and
exporters of wildlife and wildlife products maintain all documents that fully describe each import
and export, and all permits, licenses or other documents required by the laws or regulations of
any foreign country or the United States, for each import and export, for a period of 5 years.
This time period is consistent with the records requirements contained in our general permit
procedures in 50 CFR 13.46, which also apply to designated port exception permitees. Since
commercial importers and exporters may have applied for and been issued permits under the
general permit procedures, including designated port exception permits, we believe it would be
in the public interest that the records maintenance requirements for Import/Export licensees be
consistent with those in the general permit procedures.
8. Provide the date and page number of publication in the Federal Register of the
agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information
collection prior to submission to OMB. Summarize public comments received in
response to that notice (or in response to a PRA statement) and describe actions
taken by the agency in response to these comments.
Describe efforts to consult with persons outside the agency to obtain their views on
the availability of data, frequency of collection, the clarity of instructions and
recordkeeping, disclosure, or reporting format (if any), and on the data elements to be
recorded, disclosed, or reported. [Please list the names, titles, addresses, and phone
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numbers of persons contacted.]
On April 23, 2007, we published in the Federal Register (72 FR 20131) a notice of our intent to
request that OMB approve this ICR. In that notice, we solicited comments for 60 days, ending
on June 22, 2007. We received one comment. The comment did not address issues
surrounding the proposed collection of information or the cost and hour burden estimates. We
have not made any changes to this collection as a result of the comment.
Opportunities for informal public comment are also available through extensive personal contact
with potential applicants during permit workshops, seminars, meetings, and related activities
conducted on behalf of various interest groups, such as zoos, big game hunters or reptile
breeders. In addition, opportunities for informal public comment exist with importers and
exporters of wildlife and wildlife products during the course of business as part of our wildlife
inspection process.
We contacted the following individuals/groups that consistently use our forms and solicited
comments on the applications and reports:

Rob Heintzman
196 Elton Park Rd.
Oakville, Ontario Canada
Direct line 416-863-4776

Maria D. Crow
RODOLFO CORRAL, INC.
9100 S. Sepulveda Blvd., Ste. 124
Los Angeles, CA. 90045
Tel (310)568-9808
email: maria@rodolfocorral.com

Alejandro Salazar, Owner/Manager
Toro Boots LLC
7271 Harwin Drive
Houston, TX 77036
713-784-8832
Marisol Castro
DJ Expressions
750 3rd Ave.
Brooklyn, NY 11232
(718)-369-8800

Lynn S. McDuffie
Asst. Curator of Records
Disney's Animal Kingdom
(407) 939-6237

Necessity of Collection:
One commenter stated that the only valid information needed on the Form 3-200-2 continuation
sheet should be the port where importation is requested.
Our response: All of the information requested on the Form 3-200-2 continuation sheet is
necessary for us to determine if an applicant qualifies for a permit to import or export wildlife or
wildlife products at a nondesignated port.
Burden Estimates:
One commenter believed that 1hour was not sufficient time to complete Form 3-200-2. Two
other contacts indicated that 1 hour was sufficient and, in one case, more than sufficient.
Ways to Enhance the Quality, Utility, and Clarify of Information:
One commenter had specific questions about the desired effective date of an Import/Export
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license, the length of time an Import/Export license is valid, the fact that the application does not
ask for the port(s) to be used, where would a primary contacts address be included in the
application and requested an explanation of a statement on Division of Management Authority
policy.
Our response: The application does not request a desired effective date because for
administrative reasons, the date of issuance of the Import/Export license must be the effective
date. The maximum term of an Import/Export license is included in the regulations authorizing
the issuance of Import/Export licenses and is available upon request. The application clearly
indicates where to include contact information for a primary contact. The application does not
request the port(s) to be used because that information is not necessary to determine if an
applicant qualifies to be issued permission to engage in business as an importer or exporter of
wildlife or wildlife products. The Division of Management Authority policy statement is included
in the instructions for all versions of Form 3-200 since that form was expanded to address all
potential permit needs, and does not apply to the issuance of Import/Export licenses.
Ways to Minimize Burden:
One commenter stated that a sample application would help with the completion of Form
3-200-2.
Our response: A sample application may not address the wide variety of potential applicants
and we have determined that addressing applicant’s questions on a case-by-case basis is a
more effective method of answering those questions.
Conclusion:
Overall results from these consultations indicate that our hour burden estimate for the
completion of Forms 3-200-2 and 3-200-3 is well within reason. Regarding the completion of
Form 3-200-2, we receive numerous inquiries about how to determine which of the three
designated port exemptions an applicant would qualify for. In response to these inquiries, we
developed a fact sheet on our website to help applicants determine if they would qualify for the:
minimize deterioration or loss; alleviate undue economic hardship; or scientific purposes;
exemption. In addition, we receive inquiries about how to determine the species that is being
imported or exported. The importer or exporter is responsible for providing this information on
Form 3-177, Declaration for Importation or Exportation of Fish or Wildlife, approved by OMB and
assigned control number 1018-0012.
9. Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
We do not provide gifts or payment to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for
the assurance in statute, regulation, or agency policy.
All records made available to the Service under this information collection are subject to the
Privacy Act and will be maintained in a secure system of records accessible only by authorized
Service employees, under the system name, Investigative Case File System – Interior; FWS –
20. These records may be subject to disclosure under provisions of the Freedom of Information
Act. Forms 3-200-2 and 3-200-3 do contain a Privacy Act Statement.

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If there is an indication of a violation of a statute, regulation, rule, order, or license, whether civil,
criminal, or regulatory in nature, we may transfer the information made available under this
information collection to the appropriate Federal, State, local, or foreign agency charged with
investigating or prosecuting those violations. In the event of litigation involving the information
made available under this information collection, we may transfer the information to the U.S.
Department of Justice.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly
considered private.
We do not ask questions of a sensitive nature.
12. Provide estimates of the hour burden of the collection of information.
Approximately 1,173 applicants will apply for a designated port exception permit annually. This
estimate includes new applications and applications to renew existing designated port exception
permits. This estimate is based upon our statistics for the number of designated port exception
permits issued in 2006 for each of the three exemptions for importing or exporting wildlife or
wildlife products at nondesignated ports. In 2006, we issued 179 designated port exception
permits to minimize deterioration or loss, 684 designated port exception permits to alleviate
undue economic hardship, and 75 designated port exception permits for scientific purposes.
Based upon recent trends, we project a 25-percent increase in the number of designated port
exception permits.
We estimate it will take an average of 1 hour for each respondent to complete the application for
a designated port exception permit, whether it is a new application or an application to renew an
existing designated port exception permit. The total annual estimated reporting burden for
completing Form 3-200-2 is approximately 1,173 hours. We estimate that the average dollar
value of the wages/benefits of individuals likely to be completing Form 3-200-2 is $30.00 per
hour. Therefore, the total estimated dollar value for the completion of Form 3-200-2 is $35,190.
Designated port exception permitees must maintain records that accurately describe each
importation or exportation of wildlife or wildlife products made under the permit, and any
additional sale or transfer of the wildlife or wildlife products. It will take an average of .25 hours
per year for each respondent to maintain records that accurately describe each importation or
exportation of wildlife or wildlife products made under the permit. The total annual estimated
reporting burden for maintaining records under a designated port exception permit is
approximately 293 hours. We estimate that the dollar value of the average salary/benefits of
individuals likely to be maintaining these records is $30.00 per hour. Therefore, the total
estimated dollar value for maintaining records under a designated port exception permit is
$8,790.
On a very limited basis, we may require designated port exception permitees to file a report on
activities conducted under authority of the permit. We estimate that 5 applicants will file a report
annually. It will take an average of 1 hour for each respondent to complete this report. The
total annual estimated reporting burden for filing a report under a designated port exception
permit is approximately 5 hours. We estimate an average of $30.00 per hour for the dollar value
of wages/benefits of individuals likely to be completing this report. Therefore, the total
estimated dollar value for filing reports under a designated port exception permit is $150.00.
Approximately 14,500 applicants will apply for an Import/Export license annually. This estimate
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includes new applications and applications to renew existing Import/Export licenses. This
estimate is based upon our statistics for the number of Import/Export licenses issued in 2006
(11,596). Based upon recent trends, we project a 25-percent increase in the number of
Import/Export licenses issued.
It will take an average of 1 hour for each respondent to complete the application for an
Import/Export license, whether it is a new application or an application to renew an existing
Import/Export license. The total annual estimated reporting burden for completing Form 3-200-3
is approximately 14,500 hours. We estimate that the dollar value of salary and benefits of
individuals likely to be completing Form 3-200-3 is $30.00 per hour. Therefore, the total
estimated dollar value for the completion of Form 3-200-3 is $435,000.
Import/Export licensees must maintain records that accurately describe each importation or
exportation of wildlife or wildlife products made under the license, and any additional sale or
transfer of the wildlife or wildlife products. In addition, licensees are required to make these
records and the corresponding inventory of wildlife or wildlife products available for our
inspection at reasonable times, subject to applicable limitations of law. It will take an average of
.25 hour per year for each respondent to maintain records that accurately describe each
importation or exportation of wildlife or wildlife products made under the license. The total
annual estimated reporting burden for maintaining records under an Import/Export license is
approximately 3,625 hours. We estimate that the average wage of individuals likely to be
maintaining these records is $30.00 per hour. Therefore, the total estimated dollar value for
maintaining records under an Import/Export license is $108,750.

Requirement

3-200-2 –
application
Recordkeeping
requirement for
Form 3-200-2
Reporting
requirement for
Form 3-200-2
3-200-3 application
Recordkeeping
requirement for
Form 3-200-3
Total

Annual No. of
Respondents

Total annual
responses

1,173

1,173

Completion
time per
response
1 hour

1,173*

1,173*

.25 hour

5

5

1 hour

14,500

14,500

1 hour

14,500*

14,500*

.25 hour

15,678

15,678

Total annual
burden hours
1,173

Total burden
cost to public
($30/hour)
$ 35,190

293

8,790

5

150

14,500

435,000

3,625

108,750

19,596

$ 587,880

*Not included in total since respondents for recordkeeping are same as for application.

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13. Provide an estimate of the total annual [nonhour] cost burden to respondents
or recordkeepers resulting from the collection of information.
The total annual nonhour dollar cost burden to the respondents is approximately $1,567,300 for
application fees. The fee for each application (Form 3-200-2 and 3-200-3) is $100. There is no
fee for processing reports.
14. Provide estimates of annualized costs to the Federal Government.
We estimate the total annualized cost to the Federal Government for processing Forms 3-200-2
and 3-200-3 to be approximately $940,380. We base this on an average of 1 hour to process
each application and $50.00 per hour for the average salary/benefits of Service personnel likely
to be involved in the processing. In addition we estimate operational expenses (printing and
distribution) to be $156,730.
15. Explain the reasons for any program changes or adjustments.
For this information collection renewal, we are estimating that there will be 15,678 responses
totaling 19,596 burden hours. This is an increase of 7,628 responses and 11,546 burden hours
from our previous request.
We are reporting as a program change:
• 5 responses totaling 5 burden hours associated with a report that may be required of
nondesignated port permit holders.
• 3,566 hours for recordkeeping associated with permits for nondesignated port and
Import/Export licenses.
While the above recordkeeping and reporting requirements are included in the regulations and
are not new, our previous request inadvertently omitted the burden.
The remaining burden increase is a result of our adjustment in the number of responses based
on our experience over the past 3 years and a projected 25-percent increase in the number of
responses.
The increase in the nonhour cost burden ($762,300) is primarily due to our estimated increase
in the number of responses.
16. For collections of information whose results will be published, outline plans for
tabulation and publication.
We will not publish the results of these information collections.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons that display would be inappropriate.
We will display the OMB control number and expiration date.
18. Explain each exception to the certification statement.
There are no exceptions to the certification statement.
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