Form 3-200-31 Federal Fish and Wildlife Permit Application Form

Expires XX/XX/XXXX
OMB No. 1018-0093

Department of the Interior
U.S. Fish and Wildlife Service

Federal Fish and Wildlife Permit Application Form
Type of Activity:

Return to: Division of Management Authority (DMA)
U.S. Fish and Wildlife Service
4401 N. Fairfax Drive, Room 212
Arlington, VA 22203
1-800-358-2104 or 703-358-2104

Introduction from the Sea (CITES)
 New Application
 Requesting Re-issuance/Amendment of Permit#: _______________

Complete Sections A or B, and C, D, and E of this application. U.S. address may be required in Section C, see instructions for details.
See attached instruction pages for information on how to make your application complete and help avoid unnecessary delays.

A.

Complete if applying as an individual

1.a. Last name

1.b. First name

1.c. Middle name or initial

1.d. Suffix

2. Date of birth (mm/dd/yyyy)

3. Social Security No.

4. Occupation

5. Affiliation/ Doing business as (see instructions)

6.a. Telephone number

6.b. Alternate telephone number

6.c. Fax number

6.d. E-mail address

B.

Complete if applying on behalf of a business, corporation, public agency, tribe, or institution

1.a. Name of business, agency, tribe, or institution

1.b. Doing business as (dba)

2. Tax identification no.

3. Description of business, agency, tribe, or institution

4.a. Principal officer Last name

4.b. Principal officer First name

5. Principal officer title

4.c. Principal officer Middle name/ initial

4.d. Suffix

6. Primary contact

7.a. Business telephone number

7.b. Alternate telephone number

C.

7.c. Business fax number

7.d. Business e-mail address

All applicants complete address information

1.a. Physical address (Street address; Apartment #, Suite #, or Room #; no P.O. Boxes)
1.b. City

1.c. State

1.d. Zip code/Postal code:

1.e. County/Province

1.f. Country

2.a. Mailing Address (include if different than physical address; include name of contact person if applicable)
2.b. City

2.c. State

2.d. Zip code/Postal code:

2.e. County/Province

2.f. Country

D.

All applicants MUST complete

1.

Attach check or money order payable to the U.S. FISH AND WILDLIFE SERVICE in the amount of $100. Federal, tribal, State, and local government agencies,
and those acting on behalf of such agencies, are exempt from the processing fee – attach documentation of fee exempt status as outlined in instructions. (50
CFR 13.11(d))
Do you currently have or have you ever had any Federal Fish and Wildlife permits?
Yes
If yes, list the number of the most current permit you have held or that you are applying to renew/re-issue: _________________________________No

2.

3.

Certification: 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, and I 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 the criminal penalties of 18 U.S.C. 1001.
________________________________________________________________________________________________________________________
Signature (in blue ink) of applicant/person responsible for permit (No photocopied or stamped signatures)
Date of signature (mm/dd/yyyy)

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E.

INTRODUCTION FROM THE SEA (CITES)

Note: US regulations define introduction from the sea as "transportation into a country of specimens of any species
which were taken in the marine environment not under the jurisdiction of any country." CITES defines the marine
environment not under the jurisdiction of any country as “those marine areas beyond the areas subject to the sovereignty
or sovereign rights of a State consistent with international law, as reflected in the United Nations Convention on the Law
of the Sea.” Therefore, if you are collecting in the open ocean (i.e., in the marine environment outside of any country’s
territorial jurisdiction), you will need to obtain an “introduction from the sea” document from the first country whose
territorial waters you enter.

This application is for the import of marine specimens collected from the open ocean where United States is
the first national jurisdiction entered. If your activities also involve the import of Appendix-I specimens
collected from territorial waters of other countries, you may use this application. However, if your activities
are restricted to the import of Appendix-I specimens collected from other countries (including their territorial
waters), please use form at http://forms.fws.gov/3-200-37.pdf or http://forms.fws.gov/3-200-29.pdf as
appropriate.
Please provide the following information. Complete all pages of the application. If needed, use a separate
sheet of paper. On all attachments or separate sheets you submit, please indicate the number of the
application question you are addressing. Mark questions that are not applicable with "N/A". If you are
applying to introduce from the sea/import multiple specimens, be sure to indicate which specimen you are
addressing in each response.
Are you requesting authorization for (check appropriate box):
 A SINGLE SHIPMENT or
 MULTIPLE SHIPMENTS valid for 1 year
1. Provide the following for EACH animal/specimen:
a. Scientific name (genus, species, and, if applicable, subspecies) and common name;
b. Approximate age (e.g., juvenile, adult)
c. Sex, if known; and
d. Description of live animal or specimens (e.g., physical description of live animal; type of biological
samples; number and size of samples/containers).
2. Provide information on the source of the specimen(s):
a. Specific location of where (e.g. ocean basin, geographical coordinates, specific stock/population),
when, how, and by whom (name, address, and expertise) the specimen will be removed from the
wild; and
b. The purpose of the removal.
3. What is the purpose of the introduction from the sea/import:
____________________________________________________________________________________
____
4. Provide evidence that you have permission to collect on the high seas (e.g., copies of your collecting permit,
license, contract, or agreement).
5. Provide the following details of the introduction from the sea/import activities:
a. If you currently possess a permit or other authorization issued by the U.S. Fish and Wildlife Service
or the National Marine Fisheries Service under the Endangered Species Act, Marine Mammal
Protection Act, or the Migratory Bird Treaty Act to conduct relevant activities, please provide a copy.
b. Describe the purpose of your proposed activity. If your purpose is for scientific research, attach a
copy of your research proposal which outlines the purpose, objectives, methods (e.g., include specific
information on survey/collection methods, sampling regime, equipment to be used), and whether
similar work has already been done or is currently being done.
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c. Describe the technical expertise of each person as it relates to the proposed activities.
d. Provide copies of contracts or agreements or other permits that identify persons involved in and dates
of proposed activities.

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6. If live wildlife will be held in captivity:
a. Provide a detailed description (e.g., size, construction materials, protection from the elements) and
photographs or diagrams (no blueprints, please) clearly depicting the existing facilities where the
wildlife will be maintained. If the specimens will be housed at multiple facilities, either immediately
or within the next year, provide a description for each facility. If you are unsure of which facilities
may be receiving specimens (e.g., SSP has not made final decision), please indicate likely candidates
and the mechanism that will be used to determine recipient facilities.
b. A statement of the specific technical experience available to the recipient(s) for maintaining and
propagating live specimens of the same or similar species, including:
i. the number of years each species has been maintained;
ii. a list of the number of successful births by year for each species for the last 5 years; and
iii. mortalities resulting from your activities with these or similar species in the last 5 years, causes of such
mortalities, and steps taken to avoid or decrease such mortalities.
7. For transporting living wildlife, the transport conditions must comply with the CITES Guidelines for
Transport of Live Animals. If applicable, you must also meet USDA standards for Humane and
Healthful Transport. As such, provide:
a. A description of the type, size, and construction of any shipping container;
b. The arrangements for caring for the wildlife during transport, and
c. For marine mammals, documentation showing compliance with USDA regulations for transport and
care
(7 U.S.C. 2131-2159; 9 CFR 3, Part E).
8. For import of CITES Appendix-I species provide information to show the import is not for primarily
commercial purposes as outlined in Resolution Conf. 5.10 (www.cites.org).
9. Enter the U.S. port through which the [introduction from the sea/import] will
occur._____________________________ (All wildlife, including parts and products, must be declared
to and inspected by a Wildlife Inspector from the U.S. Fish and Wildlife Service Office of Law
Enforcement. A list of designated ports (where an inspector is posted) is available from
http://www.fws.gov/le/ImpExp/Contact_Info_Ports.htm.)
10. Address where you wish permit mailed (if different than page
1)______________________________________
____________________________________________________________________________________
____
________________________________________________________________________________________
11. If you wish the permit to be sent to you by means other than regular mail, provide an air bill, pre-paid
envelope, or billing information:
____________________________________________________________________________________
____
12. Who should we contact if we have questions about the application? (Include name, phone number, and
email):
____________________________________________________________________________________
____

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PERMIT APPLICATION FORM INSTRUCTIONS
The following instructions pertain to an application for a U.S. Fish and Wildlife Service or CITES permit. The General Permit Procedures in 50 CFR 13 address the
permitting process. For simplicity, all licenses, permits, registrations, and certificates are referred to as a permit.
GENERAL INSTRUCTIONS:

Complete all blocks/lines/questions in Sections A or B, C, D and E.

An incomplete application may cause delays in processing or may be returned to the applicant. Be sure you are filling in the appropriate
application form for the proposed activity.

Print clearly or type in the information. Illegible applications may cause delays.

Sign the application in blue ink. Faxes or copies of the original signature will not be accepted.

Mail the original application to the address at the top of page one of the application or if applicable on the attached address list.

Keep a copy of your completed application.

Please plan ahead. Allow at least 60 days for your application to be processed. Some applications may take longer than 90 days to process. (50 CFR
13.11)

Applications are processed in the order they are received.
Additional forms and instructions are available from http://www.fws.gov/forms/display.cfm?number1=200.
COMPLETE EITHER SECTION A OR SECTION B:
Section A. Complete if applying as an individual:

Enter the complete name of the responsible individual who will be the permittee if a permit is issued. Enter personal information that identifies the applicant.
Fax and e-mail are not required if not available.

If you are applying on behalf of a client, the personal information must pertain to the client, and a document evidencing power of attorney must be included
with the application.

Affiliation/ Doing business as (dba): business, agency, organizational, tribe, or institutional affiliation directly related to the activity requested in the
application (e.g., a taxidermist is an individual whose business can directly relate to the requested activity). The Division of Management Authority (DMA)
will not accept doing business as affiliations for individuals.
Section B. Complete if applying as a business, corporation, public agency, tribe, or institution:

Enter the complete name of the business, agency, tribe, or institution that will be the permittee if a permit is issued. Give a brief description of the type of
business the applicant is engaged in. Provide contact phone number(s) of the business.

Principal Officer is the person in charge of the listed business, corporation, public agency, tribe, or institution. The principal officer is the person
responsible for the application and any permitted activities. Often the principal officer is a Director or President. Primary Contact is the person at the
business, corporation, public agency, or institution who will be available to answer questions about the application or permitted activities. Often this is the
preparer of the application.
ALL APPLICANTS COMPLETE SECTION C:

For all applications submitted to the Division of Management Authority (DMA) a physical U.S. address is required. Province and Country blocks are
provided for those USFWS programs which use foreign addresses and are not required by DMA..

Mailing address is address where communications from USFWS should be mailed if different than applicant’s physical address.
ALL APPLICANTS COMPLETE SECTION D:
Section D.1 Application processing fee:

An application processing fee is required at the time of application; unless exempted under 50 CFR13.11(d)(3). The application processing fee is assessed to
partially cover the cost of processing a request. The fee does not guarantee the issuance of a permit. Fees will not be refunded for applications that
are approved, abandoned, or denied. We may return fees for withdrawn applications prior to any significant processing occurring.

Documentation of fee exempt status is not required for Federal, tribal, State, or local government agencies; but must be supplied by those applicants
acting on behalf of such agencies. Those applicants acting on behalf of such agencies must submit a letter on agency letterhead and signed by the head of
the unit of government for which the applicant is acting on behalf, confirming that the applicant will be carrying out the permitted activity for the agency.
Section D.2 Federal Fish and Wildlife permits:

List the number(s) of your most current FWS or CITES permit or the number of the most recent permit if none are currently valid. If applying for reissuance of a CITES permit, the original permit must be returned with this application.
Section D.3 CERTIFICATION:

The individual identified in Section A, the principal officer named in Section B, or person with a valid power of attorney (documentation must be
included in the application) must sign and date the application in blue ink. This signature binds the applicant to the statement of certification. This
means that you certify that you have read and understand the regulations that apply to the permit. You also certify that everything included in the application
is true to the best of your knowledge. Be sure to read the statement and re-read the application and your answers before signing.

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APPLICATION FOR A FEDERAL FISH AND WILDLIFE PERMIT
Paperwork Reduction Act, Privacy Act, and Freedom of Information Act – Notices
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.) and the Privacy Act of 1974 (5 U.S.C. 552a), please be
advised:
1.

The gathering of information on fish and wildlife is authorized by:
(Authorizing statutes can be found at: http://www.gpoaccess.gov/cfr/index.html and http://www.fws.gov/permits/ltr/ltr.html
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.

Bald and Golden Eagle Protection Act (16 U.S.C. 668), 50 CFR 22;
Endangered Species Act of 1973 (16 U.S.C. 1531-1544), 50CFR 17;
Migratory Bird Treaty Act (16 U.S.C. 703-712), 50 CFR 21;
Marine Mammal Protection Act of 1972 (16 U.S.C. 1361, et. seq.), 50 CFR 18;
Wild Bird Conservation Act (16 U.S.C. 4901-4916), 50 CFR 15;
Lacey Act: Injurious Wildlife (18 U.S.C. 42), 50 CFR 16;
Convention on International Trade in Endangered Species of Wild Fauna and Flora (TIAS 8249), http://www.cites.org/ , 50 CFR 23;
General Provisions, 50 CFR 10;
General Permit Procedures, 50 CFR 13; and
Wildlife Provisions (Import/export/transport), 50 CFR 14.

2.

Information requested in this form is purely voluntary. However, submission of requested information is required in order to process applications
for permits authorized under the above laws. Failure to provide all requested information may be sufficient cause for the U.S. Fish and Wildlife
Service to deny the request. We may not conduct or sponsor and you are not required to respond to collection of information unless it displays a
currently valid OMB control number.

3.

Certain applications for permits authorized under the Endangered Species Act of 1973 (16 U.S.C. 1539) and the Marine Mammal Protection Act of 1972
(16 U.S.C. 1374) will be published in the Federal Register as required by the two laws.

4.

Disclosures outside the Department of the Interior may be made without the consent of an individual under the routine uses listed below, if the
disclosure is compatible with the purposes for which the record was collected. (Ref. 68 FR 52611, September 4, 2003)
a.
b.
c.
d.
e.

f.
g.
h.
i.
j.

Routine disclosure to subject matter experts, and Federal, tribal, State, local, and foreign agencies, for the purpose of obtaining advice relevant to
making a decision on an application for a permit or when necessary to accomplish a FWS function related to this system of records.
Routine disclosure to the public as a result of publishing Federal Register notices announcing the receipt of permit applications for public
comment or notice of the decision on a permit application.
Routine disclosure to Federal, tribal, State, local, or foreign wildlife and plant agencies for the exchange of information on permits granted or
denied to assure compliance with all applicable permitting requirements.
Routine disclosure to Captive-bred Wildlife registrants under the Endangered Species Act for the exchange of authorized species, and to share
information on the captive breeding of these species.
Routine disclosure to Federal, tribal, State, and local authorities who need to know who is permitted to receive and rehabilitate sick, orphaned, and
injured birds under the Migratory Bird Treaty Act and the Bald and Golden Eagle Protection Act; federally permitted rehabilitators; individuals
seeking a permitted rehabilitator with whom to place a bird in need of care; and licensed veterinarians who receive, treat, or diagnose sick,
orphaned, and injured birds.
Routine disclosure to the Department of Justice, or a court, adjudicative, or other administrative body or to a party in litigation before a court or
adjudicative or administrative body, under certain circumstances.
Routine disclosure to the appropriate Federal, tribal, State, local, or foreign governmental agency responsible for investigating, prosecuting,
enforcing, or implementing statutes, rules, or licenses, when we become aware of a violation or potential violation of such statutes, rules, or
licenses, or when we need to monitor activities associated with a permit or regulated use.
Routine disclosure to a congressional office in response to an inquiry to the office by the individual to whom the record pertains.
Routine disclosure to the General Accounting Office or Congress when the information is required for the evaluation of the permit programs.
Routine disclosure to provide addresses obtained from the Internal Revenue Service to debt collection agencies for purposes of locating a
debtor to collect or compromise a Federal claim against the debtor or to consumer reporting agencies to prepare a commercial credit report for
use by the FWS.

5. For individuals, personal information such as home address and telephone number, financial data, and personal identifiers (social security number,
birth date, etc.) will be removed prior to any release of the application.
6. The public reporting burden on the applicant for information collection varies depending on the activity for which a permit is requested. The
relevant burden for an Introduction from the Sea application is 120 minutes. This burden estimate includes time for reviewing instructions,
gathering and maintaining data and completing and reviewing the form. You may direct comments regarding the burden estimate or any other
aspect of the form to the Service Information Clearance Officer, U.S. Fish and Wildlife Service, Mail Stop 222, Arlington Square, U.S. Department
of the Interior, 1849 C Street, NW, Washington D.C. 20240.
Freedom of Information Act – Notice
For organizations, businesses, or individuals operating as a business (i.e., permittees not covered by the Privacy Act), we request that you identify any
information that should be considered privileged and confidential business information to allow the Service to meet its responsibilities under FOIA.
Confidential business information must be clearly marked "Business Confidential" at the top of the letter or page and each succeeding page and must be
accompanied by a non-confidential summary of the confidential information. The non-confidential summary and remaining documents may be made
available to the public under FOIA [43 CFR 2.13(c)(4), 43 CFR 2.15(d)(1)(i)].

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