Supporting Statement
Importation of Animals and Poultry, Animal and Poultry Products,
Certain Animal Embryos, Semen, and Zoological Animals
OMB Control No. 0579-0040
TERMS OF CLEARANCE: “Before this ICR is renewed, USDA should consider converting VS Forms 10-4, 10-4A, 16-3, 16-78, 17-8, 17-29, 17-129, and PPQ 523 to common forms.” APHIS has made little progress in converting its multi-ICR agency forms to common forms as it continues to lack the expertise and time to develop a process for converting and managing them efficiently. Planning the development of an APHIS common form ICR continues.
1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.
This is a revision of a currently approved information collection request (ICR). APHIS is asking OMB to approve, for an additional 3 years, the following information collection activities associated with its efforts to safeguard the health of the U.S. livestock and poultry populations.
The Animal Health Protection Act of 2002 (7 U.S.C. 8301–8317) is the primary Federal law governing the protection of animal health. The law gives the Secretary of Agriculture broad authority to detect, control, or eradicate pests or diseases of livestock or poultry. Disease prevention is the most effective method for maintaining healthy animal populations in the United States and for enhancing the ability to compete in the world market of animal and animal product trade.
APHIS’ Veterinary Services (VS) unit is responsible for, among other things, preventing the introduction of foreign or certain other communicable animal diseases into the United States; and for rapidly identifying, containing, eradicating, or otherwise mitigating such diseases when feasible. In connection with this mission, APHIS collects information from individuals who import animals or poultry, animal or poultry products, or animal germplasm (semen, oocytes, embryos, and cloning tissues, as well as eggs for hatching) into the United States.
This information includes, but is not limited to, data such as the names of the exporter and importer of the animal commodities; the origins of the animals or animal products to be imported; the health status of the animals or the processing methods used to produce animal products to be imported; the destination of delivery in the United States; and whether the animals or animal products were temporarily offloaded in another country during transit to the United States. APHIS needs this information to help ensure that these imports do not introduce foreign animal diseases into the United States. APHIS also needs this information to respond to audits from trading partners as well as for tracing animal disease capability.
In addition, APHIS is responsible for developing and administering regulations intended to protect the health of the United States’ farmed fish populations. APHIS has import restrictions at Title 9, Code of Federal Regulations (9 CFR) 93.900 for certain species of finfish susceptible to spring viremia of carp virus (SVC). SVC is considered a foreign animal disease reportable to USDA and is also a World Organization for Animal Health (WOAH)1-reportable disease. Fish species currently considered susceptible to SVC include: Common carp (Cyprinus carpio), grass carp (Ctenopharyngodon idellus), silver carp (Hypophthalmichthys molitrix), bighead carp (Aristichthys nobilis), crucian carp (Carassius carassius), goldfish (Carassius auratus), tench (Tinca tinca), and sheatfish (Silurus glanis). These susceptible species include koi carp and goldfish, both of which are of economic importance to the U.S. aquaculture industry and to individual fish hobbyists.
SVC outbreaks in privately held fish facilities in the United States necessitated eradication of affected populations at these locations. After determining there was a substantial and causal link between these outbreaks and the unregulated importation of SVC-susceptible fish species to the United States, APHIS developed import requirements for SVC-susceptible fish species. The implementation of SVC regulations makes necessary the use of several information collection activities as well as recordkeeping requirements.
For other animals, APHIS uses the above forms as well as a variety of other collection procedures and forms including health certificates, import permits, specimen submission forms, inspection reports, cooperative and trust fund agreements, and certification statements.
APHIS uses the following information collection activities to support the importation of animals and poultry, animal and poultry products, certain animal embryos, semen, and zoological animals:
The foreign producer (owner or operator of farms as well as individuals and households) is responsible for providing and keeping any required identification records. Officials in exporting countries who certify these records (when required under APHIS’ regulations to do so on an export certificate) may also be responsible for verifying or for otherwise keeping records of animal identifications provided to APHIS. The foreign government determines the length of time to maintain such records.
APHIS uses the types of identification it collects to identify country of origin, correlate testing and certification statements required for import, and to trace animals.
When bird owners return to the United States from specified countries with a U.S.-origin bird with the original health certificate, APHIS requires them to agree, in writing, that they will keep the bird in their homes for 30 days (a home quarantine, which is supervised by APHIS personnel). The bird must be maintained separate and apart from all poultry and other birds at the address where they are to be held and made available for health inspection and testing by APHIS inspectors upon request until released at the end of the quarantine by an APHIS inspector. This helps ensure that the bird, if it is carrying a disease acquired in a foreign country, will be identified and removed or treated, thereby eliminating any threat of disease to the U.S. poultry population. This information also applies to U.S.-origin performing birds and poultry returning to the United States.
If an importer wishes to reserve quarantine space to import ratites or ratite eggs into the United States or wishes to ask APHIS to inspect a ratite farm in a foreign country, APHIS requires the importer to submit this application. The application requires the following information:
The name, address, and telephone number of the importer.
The status of the importer, such as individual, partnership, or corporation (if incorporated, include State where incorporated and date of incorporation.
Name and address of the quarantine facility.
Date of intended quarantine.
The purpose of the importation.
The region of origin.
The name and address of the exporter.
The port of embarkation in the foreign region.
The mode of transportation, route of travel, and port of entry in the United States.
The name and location of the quarantine facility in the United States to which delivery will be made from the port of entry.
The foreign health certificate is printed on the reverse side of this form. Submission of this form enables APHIS to make arrangements to conduct quarantines and farm inspections. Not conducting these activities would compromise APHIS’ ability to prevent foreign poultry diseases from entering the United States.
By filling out this form, which is collected by (or provided by APHIS to) U.S. Customs and Border Protection (CBP) officials, importers declare what they are importing into the United States; namely, live animals or animal germplasm used for reproduction (including eggs for hatching). The information requested on the form includes:
The port of arrival.
The date of arrival.
Any import permit numbers.
A listing of the country of origin health certificate.
The port of embarkation.
Carrier and vessel or flight number.
The name and address of the importer.
The name and address of the export broker.
A description of the imported animal or item, including number, common name, sex, and the purpose for importation.
The name and address of the destination after release.
The use of this form alerts APHIS that certain animals or germplasm will be entering the United States and helps APHIS prevent or mitigate the entry of foreign animal diseases.
In addition, imported fish must be accompanied by a Customs declaration under APHIS import requirements. Those requirements can be found at 9 CFR 93.94, 905, and 906. They include accompaniment by a health certificate from the exporting country’s competent authority demonstrating freedom from SVC according to specified testing and a visual inspection 72 hours before export. Animals are also expected to be transported in new containers or containers properly cleaned and disinfected to avoid transfer of SVC. These activities are documented on the VS 17-29, which is completed by importers and is submitted to the CBP officer.
APHIS reviews the information included in the documents but does not process these documents. APHIS and CBP use this form to identify the quantity of fish, livestock, semen, or embryos. This form also lists the final destination of the commodity. This information is important for traceback purposes in the event of disease outbreak and for statistical analysis.
APHIS requires operators of a foreign ratite farm (individuals or households) to submit their daily registers to the appropriate government office in that country, which then submits the registers to APHIS (also referenced in the daily registry entry, below). This provides APHIS with information about the inventory of the farm. If these registers were not submitted to APHIS, APHIS would have no way of knowing if ratites or ratite eggs were actually raised on the farm or added to the flock from an unknown source.
APHIS requires the operator of a foreign ratite farm to record and maintain records of the inventory of ratite eggs and ratites and their identification on the farm, so APHIS knows exactly how many ratites and eggs are on the farm. The owner or manager of the premises submits a copy of the registers to the national veterinary service of the region of export quarterly; the region of export uses this information to maintain a registry of premises that wish to export ratites or hatching eggs of ratites to the United States. The registry must list each ratite according to the microchip number required under 9 CFR 93.101(b)(3)(ii). The foreign government determines the length of time to maintain the records. This information helps ensure that ratites in the foreign country have not been exposed to ratites of a different health status before export to the United States.
APHIS requires foreign veterinary officials to receive and maintain the registers from the operators of ratite farms. This assures APHIS that each farm is keeping accurate records concerning its inventory and the identification of its ratites (by matching identification numbers). This also gives APHIS information concerning the facility’s adherence to export ceiling limitation requirements and whether any additions to the facility are planned. The foreign government determines the length of time to maintain the records. This information helps ensure ratites in the foreign country have not been exposed to ratites of a different health status before export to the United States.
If APHIS withdraws a permit to import ratites or ratite hatching eggs because of disease concerns or for other reasons, the importer has the right to request a hearing in writing to determine just cause for the permit’s withdrawal. This procedure allows the importer to challenge the APHIS decision to withdraw the permit.
APHIS requires full-time salaried veterinary officers of the national government to inspect ratite farms quarterly to see if the farms meet APHIS recordkeeping and identification guidelines. These veterinarians record whether all ratites and hatching eggs are properly identified. This process ensures APHIS that farms are keeping accurate inventory records and that only ratites or ratite eggs of known health status reside at the exporting facility.
An operator seeking APHIS approval to establish or maintain a privately owned bird or poultry quarantine facility completes the cooperative agreement and sends it to APHIS. APHIS does not have a form for the cooperative agreement but has a suggested template, a copy of which is provided to the importer. The agreement sets forth the agreed-on actions of the operator, designated as the cooperator, and APHIS. Operators of currently approved facilities that undergo a change in location or ownership must also submit this information to APHIS. This allows APHIS to review the conditions under which the facility was approved, and to adjust its records or re-inspect the facility if necessary. This documentation helps APHIS monitor these facilities and prevent the introduction of poultry diseases into the United States. The cooperative agreement includes an equal opportunity statement, where the operator agrees to not discriminate, send statements to bargaining units advising of the equal opportunity commitments, and comply with all provisions of Executive Order No. 11246 of Sep 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. The operator must also certify that their facility is not segregated.
APHIS requires the operator of a privately owned bird or poultry quarantine facility to keep this daily log (or an alternative record, as approved by the APHIS personnel monitoring the facility) and identification record for 12 months. The log must be for each lot of birds, recording such information as the general condition of the birds each day, source of origin of the birds in the lot, total number of birds in the lot when imported, number of dead birds when the lot arrived, the date the lot was placed into the facility, the number of deaths each day in the lot during the quarantine period, necropsy results and laboratory findings on birds that died during the quarantine, date of prescribed tests and results, Department import permit numbers of each lot, date the lot was removed from the facility, and any other observations pertinent to the general health of the birds in the lot. This keeps APHIS informed of which birds are entering the facility, and any disease events that may have occurred while in quarantine. Only birds listed on a specific import permit (or permits) issued by APHIS can enter these facilities during an applicable period of quarantine. The log and identification record helps APHIS protect the U.S. poultry population from foreign disease.
APHIS reserves the right to impose additional requirements concerning the quarantining of birds or poultry (including hatching eggs from certain regions of the world) if APHIS determines it is necessary to prevent the escape of poultry disease agents from quarantine facilities. Imposing such requirements as additional length of quarantine, testing, increased cleaning/disinfection or more stringent sanitation, may require the facility operator to sign or submit various kinds of documents in connection with the additional requirements.
Anyone required by APHIS to have an import or in-transit permit must submit a VS 17-129, Application for Import or In-Transit Permit (Animals, Animal Semen, Animal Embryos, Birds, Poultry, and Hatching Eggs), to APHIS. The form is also required for the importation of horses from regions affected with contagious equine metritis (CEM) and for horses imported from Central America and the West Indies (9 CFR 93.304 and 9 CFR 93.319, respectively).
The importer must describe the type, number, and identification of the live animals, hatching eggs, or germplasm to be exported to the United States. He/she must also list the country of origin, intended date and location of arrival, routes of travel, and destination of the commodities. The permit can only be used for the live animals, hatching eggs, and germplasm listed on the application. APHIS uses this information to track, identify, and monitor live animals, hatching eggs, and germplasm entering the United States and to safeguard U.S. livestock. The form is not required for the importation of dogs.
APHIS uses the information in the permit application to issue a VS Form 17-135, U.S. Permit to Import, to the importer, which includes statements of import requirements with which the importer must comply to import the animals specified. APHIS completes VS Form 17-135 to eliminate burden on the public. The issued permit is valid for 14 days for horses, ruminants, swine, and miscellaneous animals; the permit is valid for 30 days for avian and aquaculture imports.
In addition, import permits are required of all private and commercial importers of live SVC- susceptible finfish species or their gametes. The information contained in these permit applications is provided by U.S. importers, collected by APHIS, and reviewed by APHIS port officials. APHIS port officials determine that imported consignments of live SVC-susceptible finfish and their gametes meet acceptable criteria for importation. Among other criteria, the fish must originate from SVC-free territories. Supplemental information includes the names of the exporter and importer; names and addresses of the exporting and importing facilities, if different; the species being imported; the port of entry; the shipping and arrival dates; the means of conveyance to the United States; the route of travel, including all carrier stops; and the location where the finfish or their gametes will be kept. Copies of issued permits are also collected and reviewed by VS inspectors at the time of importation.
Importers may also reserve space by using the Veterinary Services Processing System (VSPS). Importers can access the system once they obtain eAuthentication and reserve space required for quarantined animals as part of an overall permit process (including submission of a VS 17-129 form). Animals requiring quarantine include horses, ruminants, swine, zoological ruminants, and exotic/wild swine intended for exhibition in a zoological park, birds and some hatching eggs, and poultry. Requests may be submitted in writing via mail, email, or fax to the APHIS-approved quarantine facility. Requests include dates, times of arrival, number and species of animals, and form of payment for quarantine services. This allows APHIS to ensure adequate space and staffing will be available to accommodate the import quarantine requests at APHIS-approved quarantine facilities.
Foreign veterinary authorities complete any import health certificates required by APHIS as written proof that competent veterinary authorities have examined and tested, if required, the animals, eggs, or germplasm, and that the commodities meet APHIS’ import requirements. An affidavit or certificate from the owner or importer stating animals have been in the country for 60 days before shipment may be included as part of the foreign health certificate. For bovines, the certificate must state that the bovines originate directly from a currently accredited herd for bovine tuberculosis (TB) and brucellosis. APHIS requires health certificates to ensure that live animals, hatching eggs, and germplasm required by APHIS’ regulations to be accompanied by a health or other certificate, as well as any animals or animal products imported under any special conditions (permit or protocol), are of an acceptable health status.
In the case of cattle exported from Mexico, the Certificado Zoosanitario para la Exportación de Animales is filled out electronically by veterinarians approved by Mexico’s National Animal Health Service and used by APHIS to evaluate import requests. The certificate must indicate:
That the ruminants have been kept in that region during the last 60 days immediately preceding the date of shipment to the United States, and that during this time the region has been entirely free from foot-and-mouth disease, rinderpest, contagious pleuropneumonia, and surra.
That the ruminants are not in quarantine in the region of origin.
That the ruminants have been thoroughly examined and found free of ectoparasites, including ticks.
To reserve and use space at USDA-operated quarantine facilities, the importer or agent gives a financial instrument (letter of credit, cashier’s check, certified check, or money order) to APHIS in person, through the mail, or by courier.
Written Notice of Cancellation from Importer (9 CFR 93.103(a)(3)(iv)(A) et seq.) - Business
If an importer reserves space at a quarantine facility and then decides to cancel the reservation, APHIS needs to know of the change to make the space available for someone else. Receiving this written notice, a copy of which may also be submitted by email, enables APHIS to effectively manage the use of space at the quarantine facilities. The importer sends the written notice to the veterinarian in charge of the quarantine facility no later than 15 days prior to the beginning of the time of importation.
The trainer in a qualifying, exporting country (France, Germany, Republic of Ireland, United Kingdom (Great Britain and Northern Ireland)) must keep a daily record of the racing thoroughbred’s activities. This serves as confirmation that the horse has not been on breeding premises (i.e., used for breeding purposes) and has been involved only in training activities. If the animal is used for breeding purposes in a CEM-affected country before entering the United States, it may contract CEM and present a disease threat to the U.S. equine population. A salaried veterinary officer of the national government of the region of origin must verify this information on the import health certificate.
Recordkeeping - Record Systems and Breed Associations Approved for Racing Thoroughbreds (9 CFR 93.301(d)(i)(A-C))) – (Business)
A USDA-approved recordkeeping association in the qualifying exporting country maintains the daily record of a thoroughbred’s activities. This record provides that the animal was not used for breeding purposes and is maintained in active racing status. If the animal is used for breeding purposes before entering the United States, it may contract CEM and present a disease threat to the U.S. equine population. A salaried veterinary officer of the national government of the region of origin is required to verify this information on the import health certificate.
Written Request to Change Horse’s Itinerary or Method of Transport (9 CFR 93.301(f)(6)) - Individual
A horse from a CEM-affected country temporarily entering the United States for competition or non-competitive public exhibition and entertainment must have a definite itinerary and undergo close monitoring if APHIS-required testing and quarantine upon arrival for CEM has not been completed. If the horse’s itinerary or methods of transport need to be changed, the owner or manager of the horse submits a written request to change the itinerary. APHIS needs to know the precise itinerary under which a horse will travel before arriving in the United States to evaluate potential disease risk to U.S. horses. Requests for change must be submitted to APHIS no fewer than 15 days before the proposed date of the change.
If APHIS cancels a permit to import a horse, the importer, owner, or agent can appeal the decision in writing. This appeal process gives such persons a way to challenge the decision to cancel the permit.
States perform CEM quarantines under APHIS guidance designed to prevent outbreaks and spread of CEM. State veterinary authorities must enter into a written agreement with APHIS, which serves as the State’s obligation to abide by APHIS guidelines and enforce its own laws and regulations to control CEM when quarantining horses for CEM.
If APHIS opts to suspend a State’s approval to receive horses for CEM quarantine, the State veterinary authorities can appeal the suspension in writing. A copy of the appeal may also be submitted by email. This appeal process gives States a way to challenge the APHIS decision.
APHIS inspects individual USDA-approved zoos semiannually to ensure they are maintaining specific standards relative to the housing and care of imported swine and ruminants that may be held at the facility as an entry or post-entry condition from countries or regions with FMD. APHIS requires the zoo operator to use an APHIS-accredited veterinarian to conduct this monitoring. This veterinarian must make periodic inspections of the swine or ruminants to ascertain their health status, and must alert APHIS, in writing (a copy of which may also be submitted by email), of any suspected illness in the animals, or of their death. APHIS personnel are at the zoo once a year; an onsite veterinarian continuously monitors the animals and their health status.
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The form requires the following information:
The name and mailing address of the zoo.
The name of the zoo director.
A check of the zoo’s administration status (Federal, State, county, municipal, or private).
The name and address of the zoo veterinarian.
The name and address of the responsible zoo official (if different than the zoo director).
The status of veterinary service (full time, part time, or on call).
The city, township, and county where the zoo is located.
The total zoo acreage.
The approximate zoo acreage used for restricted ruminants and swine.
The number of restricted animals currently on zoo property.
The number of other ruminants or swine currently held with restricted animals.
The approximate total number of animals on zoo property (ruminants/swine/equine).
A checklist, listing the following:
Whether the zoo is completely enclosed by a fence that is an adequate livestock barrier.
Whether restricted animal exhibits are isolated from public contact.
Whether restricted animals are isolated from domestic livestock.
Whether postmortem examinations are performed on all restricted animals, and, if so, whether on zoo grounds or elsewhere.
Whether postmortem examinations are performed on all other animals, and, if so, whether on zoo grounds or elsewhere.
Whether records are kept of all postmortem findings.
Whether manure, unused feed, or other waste from restricted animals is disposed of within zoo grounds, and if so, how (composted at least 6 months, incinerated, or buried).
Whether restricted animals’ carcasses are disposed of within the zoo grounds and if so, whether incinerated or buried.
If there is an adequate area of zoo property where restricted animals and manure could be buried.
If there is an adequate area of zoo property where restricted manure could be composted for 6 months.
Whether the zoo has an incinerator, and if so, whether it handles restricted animal wastes and carcasses.
Whether the zoo operates without any domestic livestock being used or exhibited on zoo property.
Whether surface runoff flows or does not flow onto areas outside zoo property that could hold domestic livestock.
If all forms in the 17-65 series are in order and up to date.
The form includes a space for a sketch of the zoo grounds and a table where the inspector can record the restricted animals by tattoo, species, and status (present at zoo, transferred, or died).
Zoo authorities importing zoological ruminants, exotic/wild swine, and peccaries from FMD countries or regions complete this agreement, obligating them to abide by APHIS guidelines when maintaining these animals in the United States. The authorities agree to hold the animals in isolation for 60 days at a port of embarkation in the country of origin APHIS has approved as having sufficient isolation facilities and veterinary supervision, to see if the animals have any FMD symptoms; to ship the animals directly to the Animal Import Center (AIC) in New York; that all embarking animals be covered by a permit; that the animals be quarantined a further 30 days at the New York AIC; and that on release from quarantine they travel directly to the zoo and not be sold, exchanged, or removed from the zoo without APHIS permission This aids in ensuring these animals do not pose a disease risk to the ruminant and swine populations of the United States. APHIS requires pre-approval and inspection of the proposed destination facility and continuing agreement for quarantine and APHIS inspections of the specified animals. The process requires the following information:
The name and mailing address of the zoo.
The name of the zoo director.
Identification of the animal(s) to be imported
If a zoological ruminant, exotic/wild swine, or peccary is suspected of disease or dies, zoo authorities notify APHIS directly by phone or email so that APHIS can determine whether the animal has or had a condition that could threaten U.S. livestock, equids, or poultry, or human populations. The contactor must provide the following information:
The permit number.
The animals’ country of origin.
The port of embarkation.
Whether any of the animals has a tattoo, and a description if so.
The animals’ species, sex, and estimated year of birth.
The carrier shipping the animals.
The importer’s name and mailing address.
The port and date of entry.
The termination date of quarantine and the date the animals were removed from the quarantine station.
The name and address of the destination zoo.
The date of arrival and location in the park.
APHIS requires the post-entry health status of the imported animal, any specific disease testing occurring after arrival and necropsy records to be reported. If zoo authorities did not alert APHIS, APHIS’ ability to protect the United States from disease incursion could be compromised.
The VS 17-65D has zoo authorities provide the following information when transferring an animal imported under any applicable entry or post-entry conditions required by APHIS to another location: Descriptions of the animals to be transferred; the name and location of the transferring zoo; and the name and location of the receiving zoo. A copy of the form travels with the animals. APHIS needs to monitor such transfers, as some zoo animals may present a possible long-term disease threat to the U.S. animal population. APHIS requires prior approval for the receiving facility to transfer the specific imported wild ruminant or swine, and inspection and approval of the receiving facility.
Occasionally foreign regulated live animals transiting the United States to a third country must be temporarily offloaded (from a plane or truck) into a holding facility before reaching their final destination. Certain animals entering the United States may also be eligible to be quarantined at a privately- owned quarantine facility. In either case, the transporter must request, in writing, that APHIS approve the facility to be used to temporarily house or quarantine these animals. APHIS requires an application for approval to know when, where, and for how long these animals are being housed and to evaluate the disease risk they present to the United States. For avian importers there is no form, but importers must provide the following information to the VS Veterinarian in Charge, Animal Import Centers:
The applicant or facility’s full name and mailing address.
The facility owner's name and address, if different.
The facility operator's name and address, if different.
The facility's street address (or other information that identifies the physical location of the facility).
Blueprints or detailed drawings of the proposed facility.
A description of the financial resources available for the construction, operation, and maintenance of the facility.
The average and maximum number of animals, including avians, or eggs for hatching, to be quarantined.
Expected frequency of shipments to the quarantine facility.
Plans for handling, care, and feeding of the animals (including avians) from the port of entry to the quarantine facility. Plans should also include the typical expected transportation routes and types.
A contingency plan for the necropsy and disposal of animals, including avians, or eggs for hatching held in the facility that may not hatch or die after hatching.
Equine importers enter into a cooperative/compliance service agreement description below).
If APHIS opts to withdraw approval of a facility (such as a privately owned quarantine facility), the facility operator has the right to appeal the APHIS decision. The appeal must be in writing. This process gives facility operators a way of challenging the APHIS decision. Facility operators must also alert APHIS, in writing, if they intend to cease operations and voluntarily relinquish operating approval. This allows APHIS to keep accurate records.
Operators of privately owned equine quarantine facilities must sign this agreement to allow APHIS personnel to inspect and monitor horses or other equines imported to the facility, and to pay APHIS for these services. APHIS inspects, tests, and monitors the horses to ensure they do not pose a disease risk to the U.S. equine population.
When ruminants or swine are in any quarantine required by APHIS as an entry or post-entry condition, APHIS needs to ensure that only specified individuals are allowed entry into the quarantine facility. The daily log that visitors must sign allows APHIS to enforce this.
The log must include:
The entry and exit of all persons entering and leaving the facility. The operator must retain the daily log, along with any logs kept by APHIS and deposited with the operator, for at least 2 years after the date the animals leave quarantine and must make such logs available to APHIS representatives on request.
An updated list of all personnel who have access to the facility. The list must include the names, current residential addresses, and identification numbers of each person, and must be updated with any changes or additions in advance of such person having access to the quarantine facility.
Signed statements from all personnel having access to the facility in which the person agrees to comply with all applicable APHIS regulations, all terms of any compliance agreements, and any related instructions from APHIS representatives pertaining to quarantine operations, including contact with animals both inside and outside the facility.
Specified access to the facility premises, as well as inside the quarantine area, is granted only to APHIS representatives and other persons directly authorized to work at the facility. All other persons are prohibited from the premises unless specifically granted access by an APHIS representative. Any visitors granted access must be accompanied at all times by an APHIS representative while on the premises.
All visitors, except veterinary practitioners who enter the facility to provide emergency care, must sign an affidavit before entering the quarantine area, if determined necessary by the overseeing APHIS representative, declaring that they will not have contact with any susceptible animals outside the facility for at least 5 days after contact with the ruminants or swine in quarantine, or for a period of time determined by the overseeing APHIS representative as necessary to prevent the transmission of communicable livestock diseases.
This documentation helps APHIS maintain the integrity of the quarantine. Unauthorized visitors entering and leaving the quarantine facility could pose a disease risk to the U.S. livestock population.
When ruminants and swine are in any quarantine required by APHIS as an entry or post- entry condition, APHIS needs to ensure that only specified individuals are allowed into the quarantine facility. The daily log these individuals must sign allows APHIS to enforce this. This requirement helps APHIS maintain the integrity of the quarantine. Unauthorized visitors entering and leaving the quarantine could pose a disease risk to the U.S. livestock population. APHIS requires the facility operator to keep the log for 2 years after the animals leave the quarantine. If imported animals become ill or die after leaving quarantine, the log would help APHIS investigate the incident.
When importers wish to import ruminants, horses, or other animals into the United States, they must submit this application asking APHIS personnel to inspect the animals at the border. APHIS evaluates the animals to ensure they are healthy and do not pose a disease risk to U.S. animals. In addition, certain types of animals from Mexico are also required to undergo a treatment for ectoparasites at border port facilities. This application and procedure lets APHIS know when the animals are expected so personnel will be available to inspect the animals (and treat them for ectoparasites, if applicable). This avoids delays for the importers and helps APHIS conduct inspections or treatments in a timely and efficient manner. This document also gives
consent for the dipping of cattle, which removes APHIS liability if the animals are injured or die during dipping.
Mexican veterinary officials submit letters to APHIS certifying cattle from Mexico (or other animals covered under applicable parts of the APHIS regulations) destined for import into the United States have been inspected, found free of fever and other ticks, and dipped. This helps APHIS ensure these regulated animals from Mexico are free of the different life stages of ticks and the diseases ticks may carry before they enter the United States.
Importers must alert an APHIS inspector at the port of entry stipulated in an APHIS permit for their importation at least 72 hours before fish, hedgehogs, tenrecs, elephants, hippos, rhinos, or tapirs arrive in the United States. The importer can give 72-hour notice in writing, by telephone, or by fax or email for each shipment of animals intended for import. The 72-hour notice allows APHIS time to plan for the animals’ arrival and to arrange for inspection. On arrival in the United States, the shipment is inspected by an APHIS port official to ensure the necessary documentation is presented and the animals are healthy.
When sheep or goats are imported from countries or regions known to be affected with scrapie, the importer must supply APHIS with an affidavit when an import application is submitted, stating that these animals originated from a flock or herd in the region of origin that participates in a program determined by APHIS to be equivalent to the Voluntary Scrapie Flock Certification Program; and that the flock or herd has been determined by APHIS to be at a level equivalent to “Certified” in the Voluntary Scrapie Flock Certification Program.
When the veterinary authorities of a foreign region wish to apply for recognition of the animal health status of their region with regard to a disease or diseases, they must communicate this desire to APHIS via a letter, a copy of which may be emailed. This request letter follows no particular format and may contain as much information as the sender feels necessary.
In addition to the request letter, the region’s veterinary authorities must submit certain information about the region as outlined in 9 CFR 92.2(b), preferably in the form of a questionnaire available on the APHIS Web site. If APHIS receives a request letter without this information, APHIS will provide the questionnaire to the requesting entity and indicate that the information is necessary to initiate an evaluation. The region’s veterinary authorities must complete and return the questionnaire to APHIS.
The questionnaire is designed to give APHIS specific information necessary to accurately evaluate the animal health status of a region and the associated risk of opening U.S. markets to animal commodities from that region. The questionnaire solicits information regarding the occurrence of and surveillance for the disease or diseases under evaluation, veterinary controls and oversight, disease history and vaccination practices, livestock demographics and traceability, epidemiological separation from potential sources of infection, diagnostic laboratory capabilities, and emergency preparedness and response capacity.
In many instances, the information requested already exists and must simply be entered into the questionnaire format. However, an additional burden is incurred when the respondents must translate information, such as official acts or regulations, into English.
The veterinary authorities of a region may elect to apply for historically-free status, if the region meets certain criteria specified in 9 CFR 92.2(c). The veterinary authorities submit a request letter as described above and information about the region, preferably in the form of a questionnaire available on the APHIS Web site. If APHIS receives a request letter without this information, APHIS will provide the questionnaire to the requesting entity and indicate the information is necessary to initiate an evaluation. The region’s veterinary authorities must complete and return the questionnaire to APHIS.
The questionnaire is designed to provide APHIS with specific information necessary to accurately evaluate the region for historically-free status and assess the risk of opening U.S. markets to animal commodities from that region. The questionnaire solicits information regarding the occurrence of and surveillance for the disease or diseases under evaluation, veterinary controls and oversight, disease history and vaccination practices, the measures in place for detection and notification of disease occurrence, and barriers to disease introduction.
In many instances, the information requested already exists and must simply be entered into the questionnaire format. However, an additional burden is incurred when the respondents must translate information, such as official acts or regulations, into English.
In some instances, APHIS may determine that the initial information package is incomplete or that it needs more information than was originally requested. If this is the case, APHIS will ask the region to provide additional information. No official form is involved in this collection process; in many cases, the information already exists and will simply need to be sent to APHIS.
If APHIS denies a region’s request to be classified as a certain animal health status, the region can appeal that decision via letter and include additional information that might cause the Agency to reevaluate its decision. No official form is involved in this collection process.
Documentation that Written Recommendations Have Been Implemented by the Region
(9 CFR 92.2) - Foreign Government
In some cases, APHIS gives a region written recommendations to help the region attain APHIS recognition of the animal health status it desires. Before proceeding with the evaluation, APHIS will need documentation from the region that the recommendations have been implemented. No official form is involved in this collection process.
If a horse or other equid is presented for import from a region where it has been for less than 60 days, the importer must ensure that the equid is accompanied by a certification from each region in which it has been during the 60 days immediately before its shipment to the United States. This helps ensure that the equid has not been exposed to a communicable disease such as African horse sickness.
Permanent Electronic Identification Compatible Reader for Horses (9 CFR 93.304(a)(1)(iii)(B)) - Business, Individual, Foreign Government, State, Not-For-Profit
If a horse to be imported for non-competitive entertainment or exhibition has permanent electronic identification, the horse must be accompanied by a compatible reader to confirm the animal’s identification. As a practical matter, most of APHIS’ Animal Import Centers and land border ports have microchip scanners as most horses arriving have microchips. The ability to scan helps APHIS identify the horses unequivocally, track these horses throughout their stay in the United States, and make sure they do not join the domestic U.S. horse population without first undergoing CEM quarantine and testing for permanent entry. In addition, horses without white markings or other identifying physical features are easier to identify via a unique electronic identification. Where needed, the reader is supplied by businesses, hobby farmers, and non-profits. States and foreign governments use this to verify animal identification.
Photographs for Identification of Horses (9 CFR 93.304(a)(iii)(C)) - Business, Individual, Foreign Government, State, Not-For-Profit
APHIS requires that importers and brokers requesting import permits for horses being imported for non-competitive entertainment or exhibition use photographs (head and lateral views) sufficient to identify each horse on an electronic medium approved by APHIS. Horses that do not have permanent electronic identification will need an additional form of identification such as photographs. Photographs are especially helpful because it can still be difficult to identify horses based on only written descriptions and their markings. The photographs are supplied by businesses, hobby farmers, and non-profits. States and foreign governments use this to verify animal identification.
Written Plan for Medical Treatment of Horses (9 CFR 93.304(a)(1)(iii)) - Business
APHIS requires a written plan, completed by the importer, for managing sick or injured noncompetitive entertainment or exhibition horses that includes:
The name, address, and phone number of each accredited veterinarian who will provide contingency veterinary services in the United States.
The name, address, and phone number of medical facilities to be used to diagnose or treat sick or injured horses while in the United States.
A plan to return sick or injured horses to performance condition.
This information is needed to adequately monitor the movement of these horses imported under 9 CFR 93.301(f)(2) and ensure that emergency health care is available to them. APHIS will need to inspect the facilities where horses will be hospitalized to ensure that adequate quarantine is available. Written plans for treatment are supplied by businesses.
Horses, ruminants, swine, and dogs entering the United States from regions where screwworm is known to exist must be accompanied by a certificate, issued, completed, and signed by a full- time salaried veterinary official of the exporting country. The certificate states that the animals have been thoroughly examined within 24 hours before shipment to the United States and that horses have been treated with ivermectin 3 to 5 days prior to the date of export to the United States, that any visible wounds have been treated with a solution of coumaphos dust, and that the horses or other animals appear to be free of screwworm. APHIS does not require the importer to maintain records of this form. The information helps APHIS safeguard U.S. livestock against screwworm infestation.
In the case of dogs that will be used for handling livestock, the certificate must also state that the dogs were inspected and, if necessary, treated for cestodes (commonly found in dogs) within 5 days preceding shipment to the United States if they showed signs of cestode infection.
APHIS has developed a checklist to assist APHIS personnel when inspecting permanent, privately owned equine quarantine facilities. This is part of the compliance agreement. The checklist outlines standards for construction, operations, and recordkeeping that must be identified for approval. The operator of the facility must provide information verbally about the facility to an APHIS employee for APHIS to complete the checklist and must also provide blueprints and a business plan for the anticipated volume of horses. Businesses, hobby farmers and non-profits submit this form.
VS Forms 10-4 and 10-4A are completed by State veterinarians or other State representatives, accredited veterinarians, private laboratories, and research institutions. Authorized individuals complete the form using information obtained through discussions with the animal owners. This information identifies the individual animal from which specimens were taken, the animal’s herd or flock, the type of specimen submitted, and the purpose for submitting the specimen. Without the information contained on this form, APHIS’ National Veterinary Service Laboratories staff would not be able to identify or process the specimens sent for analysis. Additionally, if the information is not collected (or collected less frequently), APHIS would not have the critical information necessary to prevent foreign animal diseases from entering the United States.
APHIS expects importers of regulated animals and products to notify Customs and Border Protection (CBP) officials prior to or at the time of arrival of the shipment into the United States. To facilitate this, the importer provides copies of import permits to officials at all border points, ports, and other points of entry. The officials can then check the permits against the information provided by the importer; the information provided should be the same as that on the permit application (see VS 17-129). The importer may provide the information via phone call, letter, or email. The information allows APHIS inspectors and CBP officers to identify and track shipments that are en route to the United States and schedule inspections and treatments at the appropriate port of entry. Obtaining this information in a timely manner helps to avoid unexpected arrivals and significant delays to the clearance process. Inspecting and clearing agricultural cargo was previously performed by APHIS but is now performed by CBP officers within the Department of Homeland Security (DHS), with the required APHIS information being transferred to APHIS electronically.
Emergency Action Notification (EAN) (PPQ Form 523) (9 CFR Part 94) - Business
APHIS requires that for certain consignments that fail to meet specific import requirements CBP and/or APHIS must communicate a specific action concerning the consignment to the interested parties. The EAN specifies to the broker, shipper, market owner, or other stakeholder the reason or reasons why the consignment is being refused entry and provides basic explanations as to what action is necessary. The broker, shipper, market owner, and other stakeholder select and/or agree to the actions and sign. The EAN form helps APHIS staff determine risks and identify trends. APHIS uses this information to update regulations, inform trading partners of areas of concern in their countries, and help with domestic emergencies. The form also helps CBP target consignments for closer inspection. The paper version of this form, an equivalent CBP form (e.g., CBP Form 7512), or the electronically filed APHIS Core message set provides information that APHIS inspectors and CBP officers need to identify the consignment and the issues it may present.
A veterinary import permit (VS Form 16-6A) may be required to import animal-derived diagnostic specimens, including specimens containing aquatic viruses. The importer must submit Form 16-3 to apply for the veterinary import permit. APHIS reviews information contained in the application to determine if it can mitigate any risk associated with importing the specimens. This information includes the names of the shipper and importer; the means of transportation; the U.S. ports of entry; description of material; quantity and frequency of import; proposed use of the material in the United States; treatment of the material prior to import into the United States; and method of final disposition of the material.
Refusal of Entry and Order to Dispose of Fish (VS 17-136) (9 CFR 93.906(b)) - Business
Information for Form VS 17-136 is collected from shipping invoices, manifests, or from the public, if applicable (for example, fish imported as personal baggage). The form allows port veterinarians to notify shippers or intended recipients of aquaculture animals that consignments have been refused entry to the United States under a number of possible criteria. These criteria include incomplete, incorrect, or misleading import documentation, such as APHIS-issued import permits or health certificates from exporting countries. The form also details and provides documentation for options for disposing of refused consignments, including re-export or destruction at the owner's expense. Copies of issued permits are retained by port veterinarians as proof of notification and follow-through.
Importers must maintain records of purchases, sales, or transfers, and the identity and disposition of all handled SVC-susceptible finfish or gamete lots for 3 years. Records are kept so that if a disease outbreak occurs in imported fish, APHIS can trace the origin of the fish. The records also help APHIS meet trading partners’ audit expectations.
The exporting country’s competent authority must document that cleaning and disinfection of shipment containers are sufficient to neutralize any SVC virus to which shipping containers may have been exposed. This documentation can be captured on the health certificate or in a separate cleaning and disinfection certificate. The cleaning and disinfection certificate accompanies the shipment to the U.S. port of entry.
Premises Information (Herd of Origin Certificate and Annex) (9 CFR 93.404) - Business
Import inspection applications must certify and include the address of the premises in Mexico of the herd of origin, including the Mexican State or its equivalent. The application must also list the nearest Mexican city or municipality. This form is completed by a national veterinary officer of Mexico and is submitted at the time of shipment. APHIS will also use this information to evaluate import requests.
Mexican cattle destined for the United States must be accompanied by a certificate that states that the cattle’s herd of origin responded negatively to a whole-herd TB test. This certificate must be issued by a national veterinary officer from the Mexican region of origin. This information gives APHIS more information on the cattle’s TB history.
This form is completed by veterinarians approved by Mexico’s National Animal Health Service. The form certifies that animals have been treated and inspected for ticks. It is also used by APHIS to evaluate import requests.
Feeder cattle (steers and spayed heifers) and breeding cattle (intact cattle – males and females) from Mexico must be identified with a distinct, permanent, and legible “M” mark applied with a freeze brand, hot iron, or other method prior to arrival at a port of entry, unless the steer is imported for slaughter in accordance with 9 CFR 93.429.
On-Hold Shipment Notification Application (VS 16-79) (9 CFR Part 94) - (Business)
If CBP puts a shipment of diagnostic specimens on an agriculture hold at the U.S. port of entry, the importer may submit Form 16-79 to request a one-time release. APHIS reviews all supplied information to determine if the shipment can be released or refused. The applicant must submit supporting documentation, including a valid veterinary import permit (if applicable), air waybill or bill of lading, invoice, foreign certification or manufacturer statement, documents describing processing of the animal-derived materials, and copies of correspondence with the U.S. port. VS 16-79 also collects information about whether an Emergency Action Notification has been issued; contact information for the CBP specialist or APHIS inspector; contact information for the U.S. importer; and a description of the material being detained at the U.S. port of entry, including name of the product, identity of animal-derived material and its source, country of origin and export, date of arrival, customs entry number, courier name, tracking number, container number, flight information, and air waybill or bill of lading number. Supplemental documents required when submitting the application include a valid import permit application (VS 16-3), airway bill, invoice/manifest, foreign government certification, and other documents containing details for processing the materials.
This form accompanies all restricted animal products moving from the port of entry to APHIS- approved establishments, APHIS-approved storage facilities, or Ruminant Serum Quarantine Facilities. Parts A, B, and C of this form are completed by Federal inspectors at the port of entry. Part D of this form is completed by approved warehouses; the form is forwarded to the approved establishment and VS office listed on page 1. Parts E and F of this form are completed by approved establishments; that is, taxidermists, museums, educational institutions, or commercial establishments approved to receive imported restricted animal products or byproducts. The establishments forward a completed copy of this form to their local VS Office. VS completes Part G of this form. The completed form helps APHIS ensure that the imported restricted materials are stored, processed, and sampled for safety testing in accordance with the requirements of 9 CFR 94.6, eliminating risk of entry of foreign animal diseases into the United States from imported animal products.
Establishments must provide the following information on VS Form 16-78: Date products or materials are received; the name of the approved establishment; whether the shipment is intact (if not an explanation must be given); quantity received and forwarded to the approved establishment (for approved warehouses); method and date of treatment completion; disinfectant used on packaging; disposition of refuse; date of notification to VS; and the name and signature of the establishment owner.
APHIS requires importers bringing in sheep and goat semen from Canada sign a certificate verifying the source and status of the donor animals. The certificate must state the name and address of the importer; the identity of the owner; whether the donor animals have ever been outside Canada and if so, why; the date of import; the destination; and a certification that no animals, semen, or germplasm was imported from a country other than the United States into any herd where donor sheep or goats resided. If the importer is unable to so certify, he or she must provide the reason, including the dates of importation, the exporting countries, the quantity and types of germplasm, and the common name of the animal. The importer’s signature further signifies that the information is true to the best of the importer’s knowledge and belief and that Agriculture Canada and Agri-Food Canada can verify the information provided on the form.
If cattle entering the United States will transit through an area of Mexico APHIS has not determined to be free from fever ticks, they must be moved in a sealed means of conveyance. The seals will be applied by Mexican government officials and must remain intact throughout transit.
Inspection Report of Establishment for Immediate Slaughter of Import Animals (VS 17-36) (9 CFR 93.429) - Business
This form is completed and signed by APHIS inspectors inspecting establishments receiving restricted animals for slaughter. The form contains the full name, Federal and State establishment numbers, and mailing address of the establishment being inspected; the date of the inspection; the type of inspection; the type of carrier arriving at the establishment; the species of animal being imported; the names of employees designated to break seals; number and markings of designated pens; the date of previous inspections; and other information regarding compliance with recordkeeping and reporting requirements. The form is signed by the State veterinarian as well as the inspecting Federal veterinarian, and the official responsible for running the slaughter establishment.
Report of Animals, Poultry, or Eggs Offered for Importation (VS 17-30) 9 CFR 93.305,
9 CFR 93.322, 9 CFR 93.407, 9 CFR 93.425, 9 CFR 93.506) - Business
For live animals, this form is currently used only to release shipments arriving at ports of entry. The form lists the port of entry, the country of origin, the name and address of the broker and of the importer, and the anticipated delivery site (name of person to whom the animals were to be delivered and the location of delivery). Use of this form for hatching eggs is tracked in 0579-0228.
Equine Import Testing Submission Form (VS 17-31, VS 17-31A) (9 CFR 93.305) - Business
This form is used by brokers and importers to submit samples for blood testing of all equine imports (including stray horses) from land border ports, Animal Import Centers, or other approved locations that accept equines for import. The document may be prepared by hand or submitted electronically. If the number of equines in the consignment exceeds the available space on the VS Form 17-31, continue listing samples on the VS Form 17-31A (continuation sheet). The form requires the submitter to enter the port of arrival, the date of arrival, the country of origin and/or the country of embarkation, the port or Animal Import Center contact information (complete physical address or mailing address, fax number, and shared email address); importer contact information (business name, business mailing address, and telephone and fax numbers); broker contact information (business name, address, email, fax, and phone number); the National Veterinary Services Laboratories submitter ID number; the purpose of the test (initial or retest), the test(s) requested, the name of the accredited veterinarian or veterinary medical office collecting the sample; the date of collection; the shipping date, sample identification numbers; and the number, age, sex, breed, and color of the equines being tested. The authorizing port veterinarian must sign the form.
Summary of Quarantine Birds (VS 17-13) (9 CFR 93.101(b)(3)) - Business
This form summarizes information for each lot of imported birds, including hatching eggs of ratites. The form requires the name of the quarantine facility, the facility code, the facility’s address and owner’s name, whether the report is an interim or a final report, and shipment information. The shipment information includes the permit number, arrival date, airline name, flight number, arrival time, the number of crates in the shipment, the shipment’s identification number, the broker’s name and address, and the shipper’s name and address. The form further has space to describe any cleaning and disinfecting of trucks and planes for transit as well as descriptions of the species shipped. The form also has a place to mark if U.S. Customs and Border Patrol and/or U.S. Fish and Wildlife Service have cleared the shipment. Shippers and quarantine managers can also mark the number of birds that died during quarantine. Field stations can mark laboratory referral numbers. The form must be completed within 7 days of receipt of a laboratory report. Two copies of the form must be submitted to the respective Area Office; the Area Office will in turn forward a copy to APHIS’ headquarters in Riverdale, MD.
Official Identification and Certification (9 CFR 93.439(b), 9 CFR 93.442(b)) - Foreign Government, Business
Unless otherwise specified by the APHIS Administrator, bovines imported into the United States for any purpose must be officially identified and accompanied by a certificate, issued in accordance with 9 CFR 93.405(a), that lists the official identification of the animals presented for import.
Certification of Inspection of Export Animals (VS 17-37) (VS Program Handbook: Exportation of Live Animals, Hatching Eggs, and Animal Germplasm from the United States, and VS Guidance 13600.2) - Business
This form is issued by the VS staff member who completes inspections of animals for export. The form serves as the record of inspection to declare the animals are healthy, accurately identified, meet export requirements for the destination country, and are suitable for shipment. The form requires the following information:
The consignor’s name and address.
The consignee’s name and address.
The port and State of embarkation.
The carrier class and name.
Date of export.
The name of the inspecting Veterinary Medical Officer (VMO).
The VMO’s signature.
It is issued for each export shipment. The average time to complete the form is 15 minutes.
Notice of Animals Not Shipped (VS 17-41) (VS Program Handbook: Exportation of Live Animals, Hatching Eggs, and Animal Germplasm from the United States, VS Guidance 13600.2) - Business
The 17-41 is issued by the VMO who completes the inspection for export. The form is only issued for animals that are inspected but are not eligible for export. The form details the reason for ineligibility, such as illness, lameness, incorrect identification, etc. The form requires the following information: The consignor’s name and address; the U.S. Origin Certification number; port of embarkation; the name of the issuing veterinarian; the carrier at the port of embarkation; the name of the animals’ owner(s), as well as the owners’ address; ID number, age, sex, and breed for each animal not shipped; and the reason for rejection.
The inspecting veterinarian signs the form and prints their name as well. The average time to complete the form is 15 minutes. The forms are completed in duplicate with one copy to stay with the shipment, one for Customs and Border Protection (CBP), one for the carrier, and one for the issuing port office. If the 17-41 is used, it is attached to the 17-37.
Animals Imported for Immediate Slaughter VS 17-33 (9 CFR part 93) (Business)
This form is used by private importers for cattle imported for immediate slaughter and is used to track cattle movement as a method of preventing incursion of associated foreign animal disease. The form lists the animals’ port of entry, entry date, consignor and consignee address, species, mode of transport, seal and health certificate numbers, port veterinarian name and address, and certification of slaughter.
Request for Additional Information about a Region; Appeal Classification of Animal Health Status; Documentation that Written Recommendations Have Been Implemented by the Region; and Written Plan for Medical Treatment of Horses can be sent to APHIS by letter, fax, or email. APHIS has not developed a database to electronically submit this information because the number of yearly submissions is low, and in the case of the written medical plans the information requested is not standardized or is highly variable.
The zoological/wild ruminant importation documents as well as the Application for On-Hold Shipment Notification (VS Form 16-79) and Certificate for Importing Sheep and Goat Semen from Canada (VS Form 17-139) may be submitted by fax or email.
There is no similar data collection available. Every effort has been made to avoid duplication. The information APHIS collects in connection with the importation of animals, poultry, animal and poultry products, zoological animals, and animal germplasm is not available from any other source. APHIS is the only Agency responsible for preventing the introduction of foreign animal diseases into the United States.
APHIS estimates that 25 percent of the total respondents are small entities. Information can be collected and submitted to APHIS in either paper or electronic format, both of which are made available to importers at no cost. The information APHIS collects in connection with its import programs is the minimum needed to ensure that animals, poultry, animal and poultry products, zoological animals, and animal germplasm imported into the United States pose a negligible risk of introducing foreign animal diseases into the U.S. livestock and poultry populations.
This is a mandatory, ongoing information collection request. If the information were collected less frequently or not collected at all, it would diminish APHIS’ ability to protect the United States from foreign (and other communicable) animal disease incursions. The U.S. livestock and poultry populations would suffer repeated disease outbreaks, and many billions of dollars would need to be spent on containment and eradication efforts. In addition, the U.S. livestock and poultry industries would suffer additional billions of dollars in losses, as the value of their products would be diminished both domestically and internationally.
requiring respondents to report information to the agency more often than quarterly;
APHIS requires individuals to record information more than quarterly on their Daily Registers and Daily Logs; however, the individuals are not required to submit the registers daily.
Written Notice of Cancellation from Importer must be submitted no later than 15 days prior to the beginning of the time of importation.
Written Request to Change Horse’s Itinerary or Method of Transport must be submitted to APHIS no less than 15 days before the proposed date of the change. APHIS uses 15 days as a standard timeframe for many activities as it is neither too short to place an undue compliance burden on the public, nor too long to allow necessary information (e.g., for tracing animals in the event of a disease outbreak) to be lost.
APHIS requires importers to alert APHIS at least 72 hours before certain animals arrive at a port. While drafting the underlying regulation, APHIS staff determined that this was the least amount of time needed to give port inspection staff notice of the impending arrival so they could arrange necessary coverage for the arrival, and for the port veterinarians to finalize the schedules for inspections and evaluate all paperwork.
Statement for Animals Imported from Countries Affected with Screwworm – most animals must be treated within 24 hours before shipment to the United States; horses must be treated with ivermectin 3 to 5 days prior to the date of export to the United States.
Summary of Birds in Quarantine – the report must be submitted within 7 days of receiving any laboratory tests so APHIS can track any diseased birds and thereby prevent incursion of any foreign animal disease into the United States.
requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than 3 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 secret, 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.
There are no other special circumstances; this information collection is otherwise conducted in a manner consistent with the guidelines established in 5 CFR 1320.5.
APHIS consulted with the following individuals by email and phone to discuss the information APHIS collects to administer its animal and animal product import regulations. We discussed with them whether they saw any problems with how APHIS obtains the necessary data and how frequently; whether they had any issues collecting available data; the convenience and clarity of reporting formats and other collection instruments; and the clarity of, and necessity for, any recordkeeping requirements. The respondents stated via email or phone that they had no concerns with any of these items and had no further recommendations.
Ashley Peterson
Senior VP, National Chicken Council
1152 Fifteenth Street NW, Suite 430
Washington, DC 20005-2622
Phone: (202) 296-2622
Email [email protected]
Dr. Angelena Marie Ross
New York State Department of Environmental Conservation
625 Broadway Ave,-5th Floor
Albany, NY, 12233-4754
Email [email protected]
Elizabeth Eschuette
ARK Import Export Center, LLC
John F. Kennedy International Airport
78A North Boundary Road
Jamaica, NY 11430
Phone: (203) 561-9291
Email: [email protected]
On Tuesday, October 24, 2023, APHIS published in the Federal Register (88 FR 72990) a 60-day notice seeking public comment on its plans to request renewal of this collection of information. No comments were received.
This information collection activity involves no payments or gifts to respondents.
No additional assurance of confidentiality is provided with this information collection. However, the confidentiality of information is protected under 5 U.S.C. 552a.
This information collection activity will ask no questions of a personal or sensitive nature.
12. Provide estimates of the hour burden of the collection of information. Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated.
Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.
See APHIS Form 71. Burden estimates were developed from discussions with importers of animals and poultry, animal and poultry products, zoological animals, and animal germplasm into the United States; foreign exporters of these items; foreign animal health authorities; and State animal health authorities.
Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories.
The total annualized cost to respondents is $43,626,984. This was computed by multiplying the estimated average hourly wage ($50.87) by the total number of burden hours (600,320) needed to complete the work, and then multiplying the result ($30,538,278) by 1.4286 to capture benefit costs.
Respondents include foreign animal health authorities seeking to engage in the regionalization process; U.S. importers; foreign exporters; veterinarians and animal health technicians in other countries; State animal health authorities; shippers, owners, and operators of foreign processing plants and farms; USDA-approved zoos; laboratories; feedlots; private quarantine facilities; and other individuals involved (directly or indirectly) in importing animals and poultry, animal and poultry products, zoological animals, and animal germplasm into the United States. For average wages, APHIS used the following Department of Labor Bureau of Labor Statistic occupations and occupation codes:
SOCC/Occupation Wage Respondent
11-0000 [Management Occupation] $63.08 Foreign animal health authorities
11-0000 [Management Occupation] $63.08 State animal health authorities
41-4012 [Sales Representatives] $36.96 Importers and exporters
29-1131 [Veterinarian] $62.07 Veterinarians
29-2056 [Veterinary Technicians] $19.60 Animal health technicians
43-5071 [Shipping, Receiving, Clerks] $19.45 Shippers
11-1021 [General Operations Manager] $59.07 Operators of plants and farms
11-1021 [General Operations Manager] $59.07 Operators of zoos
11-1021 [General Operations Manager] $59.07 Operators of labs
11-1021 [General Operations Manager] $59.07 Operators of feedlots
11-1021 [General Operations Manager] $59.07 Operators of quarantine facilities
According to DOL BLS news release USDL-24-0485 released March 13, 2024, employee benefits account for 30 percent of employee costs, and wages account for the remaining 70 percent. Mathematically, total costs can be calculated as a function of wages using a multiplier of 1.4286.
During the past three years, there have been no annual cost burdens associated with capital and startup costs, operation and maintenance expenditures, and purchase of services.
See APHIS 79. APHIS estimates the annualized cost to the Federal government is $20,397,884.
ICR Summary of Burden: |
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Program Change Due to New Statute |
Program Change Due to Agency Discretion |
Change Due to Adjustment in Agency Estimate |
Change Due to Potential Violation of the PRA |
Previously Approved |
Annual Number of Responses |
795,301 |
0 |
49,932 |
11,372 |
0 |
733,997 |
Annual Time Burden (Hr) |
600,320 |
0 |
49,626 |
88,191 |
0 |
462,503 |
This request shows an increase of 60,905 respondents, 61,304 responses, and 137,817 hours of burden over the previous submission.
23 activities reflect estimated program changes or estimate adjustments (mainly for equine activities which are being overhauled pursuant to a pending regulatory change) resulting in a net increase of responses and hours of burden as shown in the tables below.
The estimate adjustments are the result of fluctuations in trade for live animal commodities. The largest adjustment is a 103,317 hour increase attributed to Import Health Certificates. Offsetting it are a 1,961 hour decrease in the use of the VS Form 17-29, (Declaration of Importation of Animals, Animal Semen, Embryos, Birds, Poultry, and Eggs for Hatching ), a 6,865 hour decrease in the use of the VS Form 17-129 (Application for Import or In-Transit Permit for Live Animals, Animal Semen, Animal Embryos, Birds, Poultry, or Hatching Eggs; and a 5,871 hour decrease for Record Systems and Breed Associations Approved for Racing Thoroughbreds.
There are two discretionary changes. VS dropped use of the VS Form 17-11 (Application for Approval of Quarantine Facilities and Request for Transfer of Operations to Another Facility for Birds or Poultry), accounting for a loss of 29 responses and 15 burden hours. The avian import program discontinued use of this form as no importers are seeking this activity. VS also added use of the VS Form 17-33 (Animals Imported for Immediate Slaughter), which accounts for an increase of 50,000 estimated responses and 50,000 estimated burden hours.
Changes in Responses
PREVIOUS NEW TYPE OF
REGS BURDEN RESPONSES RESPONSES DIFFERENCE CHANGE
101(c)(1) 90-day written bird statement 167 167 0 None 101 Identification Marks 44,634 44,634 0 None 101, 201 Agree Confine Possession 50 50 0 None 103(a)(1) Ratite space reservation 2 2 0 None 101(c) et seq. Declaration of Import 113,986 105,518 -8,468 Adjustment 101(b) Quarterly Submit Registers 80 80 0 None
101(b) Owners Daily Register 2 2 0 None
101(b) Export Cntry Register 20 20 0 None
101(a) Request Hearing Ratite Permit 1 1 0 None
101(b) Inspect Ratite Farm 1 1 0 None
106(a) Cooperative Agreement 24 24 0 None
106(c) Bird Quarantine Daily Log 12 12 0 None
106(c) Additional Requirements 1 1 0 None
103 et seq. VS 17-129 27,513 27,593 80 Adjustment
301 et seq. Request Quarantine Space 8,800 2,260 -6,540 Adjustment
104 et seq. Import Health Cert 155,136 180,885 25,749 Adjustment
103 et seq. Letter of Credit etc. 400 5 -395 Adjustment
103 et seq, Written notice Cancellation 1 1 0 None
301(d)(1) Daily Record Thoroughbred 500 257 -243 Adjustment
301(d)(1) Thoroughbred record/breed 500 257 -243 Adjustment
301(f)(6) Change Horse Itinerary 6 6 0 None
301(a) Appeal Import Permit Withdraw 1 1 0 None
301(h)(1) CEM Monitoring 190 150 -40 Adjustment
301(h)(5) Present Views Suspension 1 1 0 None
404, 504 Zoo inspection report 2 2 0 None
404, 504 Agree Import Wild Ruminants 11 11 0 None
404, 504 Report contagious zoo animals 2 2 0 None
404,504 Agree Transfer Wild Ruminants 1 1 0 None
301, 412 Application Approve Quarantine 23 2 -21 Adjustment
103 et seq. Opp present views facility withdraw 17 12 -5 Adjustment
301, 304 Trust Fund Equine Quarantine 28 29 1 Adjustment
412(d)(4) Daily Quarantine Log 123 29 -94 Adjustment
210 et seq. Request Inspection/Dipping 13,446 13,446 0 None
427(b) Certification Tick Free 9,275 9,275 0 None
704, 804 72-Hour Notice 2,700 150 -2,550 Adjustment
435(d) Affidavit Scrapie Regions 1 1 0 None
92.2(a) Region Recognition Request 5 5 0 None
92.2(b) Application Disease Freedom 2 2 0 None
92.2(b),(g) Request Additional Information 7 7 0 None
92.2 Appeal Classification 1 1 0 None
92.2 Documentation Implementation 3 3 0 None
314(b) Equids Less than 60 Days 50 5,658 5,608 Adjustment
304(a)(1) Compatible Electronic ID 30 30 0 None
304(a)(1) Photos to ID Horses 30 30 0 None
PREVIOUS NEW TYPE OF
REGS BURDEN RESPONSES RESPONSES DIFFERENCE CHANGE
301(f)(5) Written Horse Medical Plan 6 6 0 None
301 et seq. Screwworm Certification 720 330 -390 Adjustment
301(b),(c) Quarantine Checklist 3 14 11 Adjustment
204 et seq. VS 10-4 5,500 5,500 0 None
Part 94 Notice of Arrival 25,001 25,001 0 None
Part 94 PPQ 523 3 3 0 None
Part 94 VS 16-3 3 3 0 None
906(b) 17-136 1 1 0 None
904(c)(3) Clean/Disinfect Certificate 1 1 0 None
404 Herd of Origin Certificate 66,865 66,865 0 None
406 TB History Certificate 26,746 26,746 0 None
427(b)(2) Dip Certificate 13,390 13,390 0 None
427(b) Brand 13,390 13,390 0 None
Part 94 VS 16-79 156 156 0 None
Part 94 VS 16-78 1,252 1,252 0 None
98.34,35,36 Semen Import Certificate 8 8 0 None
427(b)(1) Seals 1 174 173 Adjustment
429 VS 17-36 462 462 0 None
305 et. seq. VS 17-30 64,881 64,900 9 Adjustment
305 VS 17-31 500 250 -250 Adjustment
301(b)(3) VS 17-13 30 30 0 None
439(b),442(b) Official ID/Cert 35,000 35,000 0 None
Handbook VS 17-37 19,448 18,378 -1,070 Adjustment
Handbook VS 17-41 19,448 19,448 0 None
Part 93 VS 17-33 0 50,000 50,000 Program
_________ _________ _______________________
Changes in Burden
PREVIOUS NEW TYPE OF
REGS BURDEN HOURS HOURS DIFFERENCE CHANGE
101(c)(1) 90-day written bird statement 42 42 0 None 101 Identification Marks 11,637 11,637 0 None 101, 201 Agree Confine Possession 25 13 -12 Adjustment 103(a)(1) Ratite space reservation 2 2 0 None 101(c) et seq. Declaration of Import 27,579 25,618 -1,961 Adjustment 101(b) Quarterly Submit Registers 4 40 36 Adjustment
101(b) Owners Daily Register 13 13 0 None
101(b) Export Country Register 86 86 0 None
101(a) Request Hearing Ratite Permit 6 6 0 None
101(b) Inspect Ratite Farm 2 2 0 None
106(a) Cooperative Agreement 48 48 0 None
106© Bird Quarantine Daily Log 13 13 0 None
106© Additional Requirements 2 2 0 None
103 et seq. VS 17-129 13,757 6,899 -6,858 Adjustment
301 et seq. Request Quarantine Space 880 1,130 250 Adjustment
104 et seq. Import Health Cert 77,568 180,885 103,317 Adjustment
103 et seq. Letter of Credit etc. 40 1 -39 Adjustment
103 et seq, Written Notice Cancellation 1 1 0 None
301(d)(1) Daily Record Thoroughbred 80 129 49 Adjustment
301(d)(1) Thoroughbred record/breed 6,000 129 -5,871 Adjustment
PREVIOUS NEW TYPE OF
REGS BURDEN HOURS HOURS DIFFERENCE CHANGE
301(f)(6) Change Horse Itinerary 2 2 0 None
301(a) Appeal Import Permit Withdraw 6 6 0 None
301(h)(1) CEM Monitoring 665 300 -365 Adjustment
301(h)(5) Present Views Suspension 6 6 0 None
404, 504 Zoo inspection report 10 10 0 None
404, 504 Agree Import Wild Ruminants 6 6 0 None
404, 504 Report contagious zoo animals 1 1 0 None
404,504 Agree Transfer Wild Ruminants 1 1 0 None
301, 412 Application Approve Quarantine 7 2 -5 Adjustment
103 et seq. Opp present views facility withdraw 102 72 -30 Adjustment
301, 304 Trust Fund Equine Quarantine 6 29 23 Adjustment
412(d)(4) Daily Quarantine Log 8 15 7 Adjustment
210 et seq. Request Inspection/Dipping 6,723 6,723 0 None
427(b) Certification Tick Free 1,763 1,763 0 None
704, 804 72-Hour Notice 891 50 -841 Adjustment
435(d) Affidavit Scrapie Regions 1 1 0 None
92.2(a) Region Recognition Request 5 5 0 None
92.2(b) Application Disease Freedom 520 520 0 None
92.2(b),(g) Request Additional Information 210 210 0 None
92.2 Appeal Classification 10 10 0 None
92.2 Documentation Implementation 60 60 0 None
314(b) Equids Less than 60 Days 5 566 561 Adjustment
304(a)(1) Compatible Electronic ID 20 20 0 None
304(a)(1) Photos to ID Horses 20 20 0 None
301(f)(5) Written Horse Medical Plan 2 2 0 None
301 et seq. Screwworm Certification 360 165 -195 Adjustment
301(b),(c) Quarantine Checklist 3 50 47 Adjustment 204 et seq. VS 10-4 1,815 1,815 0 None
Part 94 Notice of Arrival 4,001 4,001 0 None
Part 94 PPQ 523 3 3 0 None
Part 94 VS 16-3 2 2 0 None
906(b) 17-136 1 1 0 None
904(c)(3) Clean/Disinfect Certificate 1 1 0 None
404 Herd of Origin Certificate 50,149 50,149 0 None
406 TB History Certificate 106,984 106,984 0 None
427(b)(2) Dip Certificate 4,419 4.419 0 None
427(b) Brand 268 268 0 None
Part 94 VS 16-79 78 78 0 None
Part 94 VS 16-78 202 202 0 None
98.34,35,36 Semen Import Certificate 2 2 0 None
427(b)(1) Seals 1 87 86 Adjustment
429 VS 17-36 462 462 0 None
305 et. seq. VS 17-30 64,881 64,900 19 Adjustment
305 VS 17-31 250 125 -125 Adjustment
301(b)(3_ VS 17-13 30 30 0 None
439(b),442(b) Official ID/Cert 35,000 35,000 0 None
Handbook VS 17-37 4,862 4,595 -267 Adjustment
Handbook VS 17-41 4,862 4,862 0 None
Part 93 VS 17-33 0 50,000 50,000 Program
_________ _________ ________________________
462,503 600,320 137,817
APHIS has no plans to publish information it collects in connection with this program.
VS Forms 10-4, 10-4A, 16-3, 16-78, 17-8, 17-29, 17-30, 17-129, and PPQ 523 are used in multiple collections; therefore, it is not practical to include an OMB expiration date because of the various expiration dates for each collection. APHIS is seeking approval to not display the OMB expiration date on these forms.
These and other forms may be available as paper forms, fillable PDF, or data entry screens in information systems. Due to the widespread use of the forms, various versions may be in circulation at any one time. To maintain consistency across all forms and minimize or prevent conflicting information across the different mediums, APHIS requests that the approval expiration date not be displayed on the forms.
ROCIS does not support intra-Agency common form management. APHIS is exploring different methods and procedures for creating a common form ICR that is manageable across the entire agency and coordinated with the agency’s ICR inventory.
APHIS can certify compliance with all provisions in the Act.
No statistical methods are associated with the information collection activities used in this program.
1 The World Organization for Animal Health internationally follows a British English spelling of “organization” in its name, but APHIS has adopted the Americanized spelling. The organization was formerly the Office International des Epizooties, or OIE, but on May 28, 2022, the Organization announced that the acronym was changed from OIE to WOAH.
2 Incorrectly labeled in the past.
3 Equine previously listed here is covered in 0579-0313.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | Importation of Animals and Poultry, Animal and Poultry Products, Certain Animal Embryos, and Zoological Animals |
| Author | Government User |
| File Modified | 0000-00-00 |
| File Created | 2024-07-22 |