Form 3-200-9 Waterfowl Sale and Disposal Permit Application Form

WHAT YOU SHOULD KNOW ABOUT A FEDERAL MIGRATORY
BIRD WATERFOWL SALE AND DISPOSAL PERMIT

A Federal Migratory Bird Waterfowl Sale and Disposal permit will authorize you to sell, donate, or otherwise dispose of to
another person, properly marked, captive-reared migratory waterfowl and their eggs. Waterfowl are defined as members of
the family Anatidae (ducks, geese [including brant] and swans). A permit is not required to sell or dispose of properly
marked, captive-reared mallards. You should review Title 50 Parts 10, 13, and 21.25 of the Code of Federal Regulations
(CFR). You are responsible for reviewing and understanding these regulations before you request and accept a permit.
These regulations can be found on our website at: https://www.fws.gov/birds/policies-and-regulations/permits/need-apermit.php . Below is a review of several sections pertinent to a Federal Migratory Bird Waterfowl Sale and Disposal
permit.
1. Do I need a permit to possess captive-reared migratory waterfowl?
No. Any person may, without a permit, lawfully acquire properly marked, captive-reared migratory waterfowl of any
species, alive or dead, or their eggs, and possess and transport such birds or eggs and any progeny or eggs solely for his own
use, subject to the following conditions:
(a) Such birds, alive or dead, or their eggs may be lawfully acquired from holders of valid Waterfowl Sale and
Disposal permits.
(b) All progeny of such birds or eggs hatched, reared, and retained in captivity must be physically marked as defined
in 50 CFR 21.13(b). (Also see question 3 below.)
(c) No birds or eggs or progeny may be disposed of by any means, alive or dead, to any other person unless you have a
valid Waterfowl Sale and Disposal permit.
(d) Lawfully possessed and properly marked waterfowl may be killed, in any number, at any time or place, by any
means except shooting. Except for Muscovy ducks, such birds may be killed by shooting only in accordance with all
applicable hunting regulations.
(e) When you acquire any waterfowl, alive or dead, from a Waterfowl Sale and Disposal permittee, the permittee must
give you the original of the completed Form 3-186, Notice of Waterfowl Transfer or Sale, providing all information
required by the form and method or methods by which individual birds are marked.
Other regulations governing the possession of waterfowl can be found in 50 CFR 21.14.
2. Can I take waterfowl from the wild?
No. You may not take migratory waterfowl or their eggs from the wild and you may not acquire wild waterfowl from
another person. Anyone who transfers waterfowl to you must have a valid Waterfowl Sale and Disposal permit.
3. Do I need to mark waterfowl that I propagate?
Yes. All live migratory waterfowl (including progeny) possessed in captivity under authority of a valid Waterfowl
Sale and Disposal permit must, prior to 6 weeks of age, be physically marked using one of the following methods:
(a) Removal of the hind toe from the right foot.
(b) Pinioning of a wing by removing the metacarpal bones of one wing or a portion of the metacarpal bones thereby
rendering the bird permanently incapable of flight.
(c) Banding of one metatarsus with a seamless metal band.
(d) Tattooing a readily discernible number or letter or combination thereof on the web of one foot.
4. What documentation is required when I transfer waterfowl to another person?
Each time you transfer waterfowl to another person, you will be required to complete a Form 3-186, Notice of
Waterfowl Transfer or Sale. This form will be supplied by the Service with your permit for you to photocopy as needed and
is also available on our website at: http://www.fws.gov/forms/3-186.pdf. You must furnish the original of the form to the

Rev. 4/2017

person acquiring the birds or eggs; retain one copy in your files as a record of your transaction and mail two copies of each
form completed to your Regional Migratory Permit Office on or before the last day of each month.
5. Do I need a migratory bird permit to raise and sell Muscovy ducks?
No. You do not need a waterfowl sale and disposal permit or other Federal permit to raise and sell Muscovy ducks.
Muscovy ducks are now protected under the MBTA due to natural range expansion from Mexico into the United States.
Although we amended the regulations at 50 CFR 21.14 and 21.25 to restrict possession and sale of Muscovy ducks, we intend
to revise those regulations. Therefore, we are not issuing permits or restricting sale, purchase, or possession of Muscovy
ducks at this time. Release of Muscovy ducks to the wild is prohibited. More information is available at
https://www.fws.gov/birds/policies-and-regulations/permits/permit-policies-and-regulations.php (click on 50 CFR
21Migratory bird permits and scroll to 50 CFR 21.54 Muscovy Duck).
6. Do I need a State permit in addition to a Federal permit to sell migratory waterfowl?
Your permit is not valid unless you also are in compliance with State requirements. This means that if your State
requires you to have a permit to propagate, sell or transfer migratory waterfowl, you must hold a valid State permit in order
for your Federal permit to be valid. It is your responsibility to make sure you comply with State permit requirements.
7. Will anyone inspect my records or my waterfowl?
By accepting a Federal Waterfowl and Disposal permit, you authorize an agent of the Service to enter your
premises at any reasonable hour to inspect the wildlife you hold, your books and records. (See 50 CFR 13.47)
8. What is required to transfer my permit to a new location?
Any address change or other circumstances that affect your permit must be reported to your Regional Migratory Bird
Permit Office in writing within 10 days so your permit can be amended. (See 50 CFR 13.23)
9. Will I be required to keep records of my activities?
Yes. You must maintain accurate records legibly written or reproducible in English of operations on a calendar-year
basis. Your records should reflect the species of waterfowl, total number at the start of the year, method of marking,
number raised, sold or traded, and the total number at the end of each year.
10. Will I be required to submit an annual report of activities?
Yes. The report form can be found on our website at: http://www.fws.gov/forms/3-202-2.pdf. This report must be
completed and submitted to your issuing office by January 31 of each year.
11. How do I renew my permit?
If you wish to renew your permit, you must submit a renewal application to your Regional Migratory Bird Permit
Office at least 30 days prior to the expiration of your permit and include a copy of your current State permit, if one is
required. If we receive your renewal request at least 30 days prior to the expiration of your permit, your permit will remain
valid beyond the expiration date for the activity authorized on your permit until a decision on your renewal is made. If we
receive your renewal request fewer than 30 days prior to expiration of your permit and we are not able to process your request
before the expiration date, your permit will expire and you will no longer be authorized to conduct your activity. If you allow
your permit to expire before requesting renewal, you may be required to submit a new application. (See 50 CFR 13.11(c) and
13.22))

3-200-9 Rev. 4/2017

Rev. 4/2017

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

OMB Control No. 1018-0022
Expires ##/##/####

Federal Fish and Wildlife Permit Application Form
Click here for addresses.

Type of Activity: Waterfowl Sale and Disposal

Return to: U.S. Fish and Wildlife Service (USFWS)

 New Application
 Requesting Renewal or 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

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

3. Occupation

5.a. Telephone number

5.b. Alternate telephone number

B.

1.c. Middle name or initial

1.d. Suffix

4. Affiliation/ Doing business as (see instructions)
5.c. Fax number

5.d. E-mail address

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, 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 name

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 $ 75.00 nonrefundable processing fee.. 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 of applicant/Principal Officer (No photocopied or stamped signatures)
Date of signature (mm/dd/yyyy)

Please continue to next page

Form 3-200-9

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OMB Control No. 1018-0022
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SECTION E.
WATERFOWL SALE AND DISPOSAL
(Migratory Bird Treaty Act, 50 CFR 21.25)
Note: A Federal Waterfowl Sale and Disposal Permit is required to sell, trade, or donate captive-reared waterfowl (including eggs)
protected under the Migratory Bird Treaty Act. All waterfowl acquired, held, or transferred under this permit must be properly marked
in accordance with 50 CFR 21.13. (Exception: You do not require a Federal permit to purchase, sell, or hold captive-reared, properly
marked mallard ducks (50 CFR 21.13). You also do not require a Federal permit to purchase, sell, or hold captive-reared Muscovy
ducks). You must be at least 18 years old to apply for a waterfowl sale and disposal permit. Please read “What You Should Know
About a Federal Migratory Bird Waterfowl Sale and Disposal Permit” and the pertinent regulations before you sign and submit your
application.
Please provide the following information in the space provided or numbered according to the questions below on a separate sheet of
paper. You should be as specific as possible in your responses. Incomplete applications will be returned, delayed or abandoned.
1.

Are your facilities located at the physical address provided on page 1, section C.1., of this application?
No If “no,” provide the location (street address or legal description).
Yes

2.

Describe the facilities where the waterfowl will be kept in your possession. Attach diagrams and photographs of the area where
waterfowl will be held.

3.

You must already possess lawfully acquired waterfowl before you request a permit. List the species of waterfowl that you currently
have in your possession and the quantity of each. Attach copies of the Form(s) 3-186 (Notice of Transfer or Sale of Migratory
Waterfowl) showing from whom the birds were obtained.

4.

Which of the following methods will you use to mark progeny?
Remove hind toe from right foot
Pinion one wing
Tattoo web of one foot
Band one leg with a seamless leg band

5.

Anyone who will be assisting you with the permitted activities or acting as your agent must either have their own Federal
migratory bird permit for the activity or be identified by you, in writing, as a subpermittee under your permit. They may also
require a State permit. Subpermittees must be at least 18 years old. As the primary permittee, you will be responsible for
ensuring that your subpermittees are properly trained and adhere to the terms of your permit. Provide the name(s) of anyone
besides yourself who will be conducting activities under your permit.

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OMB Control No. 1018-0022
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6.

You must retain records relating to the activities conducted under your permit for at least 5 years after the date of expiration of your
permit. Is the physical address you provided in Section C on page 1 of this application the address where your records will be kept?
Yes

7.

No

If “no,” provide the physical address.

Any permit issued as a result of this application is not valid unless you also have any required State or tribal permits
or approvals associated with the activity. Have you obtained all required State or tribal permits or approvals to conduct this
activity?
Yes If “yes,” provide a copy of the approval(s).

8.

Have applied (Send copy when issued)

None required

Disqualification factor. 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 Service Director in response to a written
petition. (50 CFR 13.21(c)) Have you or any of the owners of the business, if applying as a business, been convicted, or entered a
plea of guilty or nolo contendere, forfeited collateral, or are currently under charges for any violations of the laws mentioned
above?
No
Yes (you must check one) If you answered “Yes” provide: a) the individual’s name, b) date of
charge, c) charge(s), d) location of incident, e) court, and f) action taken for each violation. (list all – use additional pages as
necessary)

Form 3-200-9

Rev. 4/2017

Page 3 of 6

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. 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://permits.fws.gov/​.
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, 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, Tribe, 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 re-issuance 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​. ​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.

ALL APPLICANTS COMPLETE SECTION E.

Rev. 4/2017

Page 4 of 6

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.ecfr.gov​ ​and ​https://www.fws.gov/birds/policies-and-regulations/permits/permit-policiesand-regulations.php.)

a.
b.
c.
d.
e.
f.
g.
h.
i.
j.

2.

3.

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), 50 CFR 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.

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 a collection of
information unless it displays a currently valid OMB control number.
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 F
​ ederal Register a​ s 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.

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 an FWS function related to this system of records.

b.

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.

c.
d.
e.

f.

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.

g.

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.

h.
i.

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 Government Accountability 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

j.

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 a Waterfowl Sale and Disposal permit application is 1 hour for the application and 1 hour for recordkeeping. 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, 5275 Leesburg Pike, MS:
BPHC, Falls Church, VA 22041-3803.
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 2.26 – 2.33].

Rev. 4/2017

Page 5 of 6

Migratory Bird Regional Permit
Offices
FWS
REGION

Region 1

Region 2

Region 3

Region 4

Region 5

Region 6

AREA OF
RESPONSIBILITY
Hawaii, Idaho, Oregon,
Washington
Arizona, New
Mexico, Oklahoma,
Texas

Iowa, Illinois, Indiana,
Minnesota, Missouri,
Michigan, Ohio,
Wisconsin

Alabama, Arkansas, Florida,
Georgia, Kentucky, Louisiana,
Mississippi, North Carolina,
South Carolina, Tennessee,
Virgin Islands, Puerto Rico
Connecticut, District of
Columbia, Delaware,
Maine, Maryland,
Massachusetts, New
Hampshire, New Jersey,
New York, Pennsylvania,
Rhode Island, Virginia,
Vermont, West Virginia
Colorado, Kansas, Montana,
North Dakota, Nebraska,
South Dakota, Utah,
Wyoming

Region 7

Alaska

Region 8

California, Nevada

MAILING
ADDRESS

CONTACT
INFORMATION

911 N.E. 11th Avenue
Portland, OR 97232-4181

Tel. (503) 872-2715
Email [email protected]

P.O. Box 709
Albuquerque, NM 87103

Tel. (505) 248-7882
Email [email protected]

5600 American Blvd. West
Suite 990
Bloomington, MN
55437-1458

Tel. (612) 713-5436
Email [email protected]

1875 Century Blvd., NE
Atlanta, GA 30345

Tel. (404) 679-7070
Email [email protected]

300 Westgate Center Drive
Hadley, MA 01035-0779

Tel. (413) 253-8643
Email [email protected]

P.O. Box 25486
DFC(60154)
Denver, CO 80225-0486

Tel. (303) 236-8171
Email [email protected]

1011 E. Tudor Road
(MS-201)
Anchorage, AK
99503

Tel. (907) 786-3693
Email [email protected]

2800 Cottage Way
Room W-2606
Sacramento, CA 95825

Tel. (916) 978-6183
[email protected]