0020 ss 20170731

SUPPORTING STATEMENT-OMB NO. 0579-0020
U.S. ORIGIN HEALTH CERTIFICATE

July 2017
A. Justification
1. Explain the circumstances that make the collection of information necessary. Identify any
legal or administrative requirements that necessitate the collection.
The Animal Health Protection Act (AHPA) of 2002 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. The Secretary may also prohibit or
restrict the import or export of any animal or related material if necessary to prevent the spread of any
livestock or poultry pest or disease. The AHPA is contained in Title X, Subtitle E, Sections 10401-18
of P.L. 107-171, May 13, 2002, the Farm Security and Rural Investment Act of 2002. Disease
prevention is the most effective method for maintaining a healthy animal population and for
enhancing APHIS’ ability to compete in the world market of animal and animal product trade.
The export of agricultural commodities, including animals and animal products, is a major business
in the United States and contributes to a favorable balance of trade. As part of its mission to facilitate
the export of U.S. animals and products, the U.S. Department of Agriculture (USDA), Animal and
Plant Health Inspection Service (APHIS)’s Veterinary Services (VS) unit maintains information
regarding the import health requirements of other countries for animals and animal products exported
from the United States.
To ensure a favorable balance of trade, APHIS is seeking OMB approval to continue the use of this
information collection for an additional 3 years.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new
collection, indicate the actual use the Agency has made of the information received from the
current collection.
APHIS uses the following information collection activities to meet certification requirements of other
countries for the export of animals from the United States:
9 CFR 91.3: U.S. Origin Health Certificate, VS 17-140, VS 17-140A, and VS 17-140B (or
equivalent) (Businesses and Farms)
The U.S. Origin Health Certificate is used in connection with the export of large animals to foreign
countries, is completed by APHIS-accredited veterinarians, and is endorsed by an authorized APHIS
veterinarian using information obtained from owners or exporters of the animals. The information
collected is used to establish that the animals are moved in compliance with APHIS regulations, to
verify that the animals destined for export are listed on the health certificate by means of an official
identification, and to verify to the consignor and consignee that the animals being offered for export
are healthy. The U.S. Origin Health Certificate also contains the results of various tests conducted on
the animals (such as tests for tuberculosis or brucellosis) and the dates the tests were conducted. In
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addition, all livestock intended for export from the United States must be identified in a manner that
allows the animals to be correlated to the animals listed on the U.S. origin health certificate.
The collection of this information helps prevent unhealthy or untested animals from being exported
from the United States, thereby preventing the international dissemination of animal diseases. The
collection of this information is also necessary to satisfy the import requirements of the receiving
countries, thereby facilitating trade between the United States and other regions of the world.
9 CFR Part 91 requires that all livestock intended for export by air or sea receive a visual health
inspection from an APHIS veterinarian and that this inspection be conducted at an APHIS-approved
inspection facility associated with the port of embarkation. To gain approval, pre-export facilities
must be inspected, the procedures of the facility must be approved, and the animals be transported in
cleaned and disinfected vehicles. Certifications that these conditions have been met are contained in
the U.S. Origin Health Certificate. If these certifications were not provided, other countries would not
accept animals from the United States.
9 CFR 91.3: U.S. Origin Health Certificate for the Export of Horses from the United States to
Canada, VS Form 17-145 (or equivalent) (Businesses and Farms)
This certificate is used in connection with the exportation of U.S. horses to Canada and is completed
by APHIS-accredited veterinarians using information obtained from owners and/or exporters of the
animals. The information collected is used to establish that the animals are moved in compliance with
APHIS regulations, to verify that the animals listed for export are listed on the health certificate by
means of an official identification, and to verify to the consignor and consignee that the animals
being offered for export are healthy. The collection of this information helps prevent unhealthy
animals from being exported from the United States, thereby preventing the international
dissemination of animal diseases. The collection of this information is also necessary to satisfy the
import requirements of Canada.
9 CFR 91.7: Undue Hardship – Animals (Businesses and Farms)
In special cases, certain ports (other than those officially designated as permanently approved ports of
embarkation, as described in 9 CFR Part 91) may be designated as temporary ports of embarkation by
APHIS, when the exporter can demonstrate, in writing, that the animals to be exported would suffer
undue hardship if moved to a permanently approved port of embarkation. The explanation of undue
hardship can be submitted to APHIS via letter, fax, or e-mail.
9 CFR 91.10: Application for Approval of Inspection Facility-Environmental Certification
(Businesses)
Applications for permanent approval of an export inspection facility must contain basic information
such as the facility’s location, size, cleaning and disinfection procedures, and other critical
information. The application is completed by the facility operator and must be accompanied by a
certification from local environmental authorities stating that the facility complies with all applicable
State or local regulations or ordinances, and the requirements (if any) of the U.S. Environmental
Protection Agency, in connection with the disposal of animal wastes.. These certification statements
can be submitted to APHIS via letter, fax or email.
9 CFR 91.10: Annual Site Inspection of Inspection Facilities (Businesses) (new)
APHIS will conduct site inspections of approved export inspection facilities at least once a year for
continued compliance with the standards. If a facility fails to pass the inspection, the Administrator
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may revoke its approval. If the Administrator revokes approval for a facility that serves a designated
port of embarkation, the Administrator may also remove that port from the list of designated ports of
embarkation.
9 CFR 91.10: Opportunity to Present Views Concerning Withdrawal of Facility Approval
(Businesses)
APHIS can deny or revoke its approval of a permanently approved export inspection facility, but
must first send the facility’s operator a written notice at least 60 days before the date of the proposed
revocation or denial. The facility operator can give APHIS a written explanation as to why approval
should not be denied or revoked. This explanation can be submitted to APHIS via letter, fax, or
email.
9 CFR 91.12 (a): Certification to Carry Livestock (Businesses) (new)
Ocean vessels must be certified by APHIS prior to initial use to transport any livestock from the
United States. The owner or the operator of the ocean vessel must make arrangements prior to the
vessel's arrival at a designated port of embarkation in the United States for an APHIS representative
to inspect the vessel while it is at that port of embarkation. Alternatively, at the discretion of the
Administrator and upon request of the exporter, transporting company, or their agent, the inspection
may be done at a foreign port. If APHIS determines that the ocean vessel meets the requirements of
paragraph (d) of 9 CFR 91.12, APHIS will certify the vessel to transport livestock from the United
States. APHIS may certify a vessel that does not meet all of the requirements in paragraph (d),
provided that an exemption from the requirements the vessel does not meet has been granted to the
vessel pursuant to paragraph (e) of this section. The certification will specify the species of livestock
for which the vessel is approved. The certification will be valid for up to 3 years; however, the ocean
vessel must be recertified prior to transporting livestock any time significant changes are made to the
vessel, including to livestock transport spaces or life support systems; any time a major life support
system fails; any time species of livestock not covered by the existing certification are to be
transported; and any time the owner or operator of the ocean vessel changes. The owner or operator
of the vessel must present the following documentation to APHIS prior to its initial inspection for
certification and when requested by APHIS prior to subsequent inspections for recertification.
9 CFR 91.12(a): Inspection of Vessel Prior to Voyage (Businesses) (new)
Prior to loading any livestock intended for export from the United States, an APHIS representative
must inspect the vessel to confirm that the ocean vessel has been adequately cleaned and disinfected,
has sufficient food and water for the voyage, and continues to meet the requirements of 9 CFR
91.12(d). APHIS will schedule the inspection after the owner or operator of the ocean vessel provides
the following information: The name of the ocean vessel; the port, date, and time the ocean vessel
will be available for inspection, and estimated time that loading will begin; a description of the
livestock to be transported, including the type, number, and estimated average weight of the
livestock; stability data for the ocean vessel with livestock on board; the port of discharge; and the
route and expected length of the voyage.
9 CFR 91.12 (f): Notarized Statement (Businesses)
The owner or operator of any ocean vessel used to export livestock (including vessels that use
shipping containers) from the United States must submit a written report to APHIS within 5 business
days after completing a voyage. The report must include the name of the ocean vessel; the name and
address of all exporters of livestock transported on the vessel; the port of embarkation; dates of the
voyage; the port where the livestock were discharged; the number of each species of livestock loaded;
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the number of each species that died and an explanation for those mortalities; and the number of
animals that sustained injuries or sustained illnesses that were significant enough to require medical
attention from the personnel entrusted with the care of the animals, as well as the nature of these
injuries or illnesses. The report must also document any failure of any major life support system for
the livestock, including, but not limited to, systems for providing feed and water, ventilation systems,
and livestock waste management systems. Any such failure must be documented, regardless of the
duration or whether the failure resulted in any harm to the livestock. The report must include the
name, telephone number, and email address of the person who prepared the report and the date of the
report. The report must be submitted to APHIS by facsimile or email.
9 CFR 91.13: Aircraft Cleaning and Disinfection (Businesses) (new)
The time at which the cleaning and disinfection of the aircraft are to be performed must be approved
by the APHIS representative, who will give approval only if he or she determines that the cleaning
and disinfection will be effective up to the projected time the livestock will be loaded. If the livestock
are not loaded by the projected time, the APHIS representative will determine whether further
cleaning and disinfection are necessary.
After cleaning and disinfection is performed, the APHIS representative will sign and deliver to the
captain of the aircraft or other responsible official of the airline involved a document stating that the
aircraft has been properly cleaned and disinfected, and stating further the date, the carrier, the flight
number, and the name of the airport and the city and state in which it is located. If an aircraft is
cleaned and disinfected at one airport, then flies to a subsequent airport, with or without stops en
route, to load animals for export, an APHIS representative at the subsequent airport will determine,
based on examination of the cleaning and disinfection documents, whether the previous cleaning and
disinfection is adequate or whether to order a new cleaning and disinfection. If the aircraft has loaded
any cargo in addition to animals, the APHIS representative at the subsequent airport will determine
whether to order a new cleaning and disinfection, based on both examination of the cleaning and
disinfection documents and on the inspection of the stowage area for materials, such as garbage, soil,
manure, plant materials, insects, waste paper, or debris, that may harbor animal disease pathogens.
9 CFR 91.3: Export Health Certificate (VS Form 17-141 (Health Certificate for the Export of
Live Finfish, Mollusks, and Crustaceans (and their Gametes)), VS Form 17-140 (U.S. Origin
Health Certificate), APHIS Form 7001 (United States Interstate and International Certificate of
Health Examination for Small Animals), or equivalent/country specific health certificate of
export (Businesses) (new)
APHIS requires U.S. exporters to complete an export health certificate before exporting any live
crustaceans and their gametes, live finfish and their gametes, or live mollusks and their gametes, if
requested by the importing country. Exporters meet this requirement by completing one of the
aforementioned forms. The certificates will be completed by an accredited veterinarian with
assistance from the producer, and must be signed by the accredited veterinarian and endorsed by
APHIS as the competent Federal authority who certifies the health status of the shipment being
exported. The health certificate identifies the names of the species being exported from the United
States, their age and weight, place of origin, country of destination, date and method of transport, and
whether they are cultured stock or wild stock.
By issuing and endorsing the health certificate, the accredited veterinarian and the Federal official
(respectively) certify (1) that the live aquatic animals in the consignment have - as their place of
production - a country, zone, or aquaculture establishment that has been subjected to an official
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health surveillance scheme according to the procedures described in the World Organization for
Animal Health (OIE) Diagnostic Manual for Aquatic Animal Diseases; (2) that the country, zone, or
aquaculture establishment is officially recognized as being free from all of the pathogens causing the
diseases identified on the specific health certificate being endorsed; or (3) other health requirements
specified by the importing country.
9 CFR 91.3 (b)(2): Country Specific Health Care (Businesses) (new)
The Country Specific Health Certificate Information is for every country of the world. This
information provides the ability to locate the United States Embassy or any Consular Office as to
whether a visa is needed, information on crime and security, health and medical situations, drug
penalties, localized hot spots, and more. The Consular Program informs the public of conditions
abroad that may affect the safety and security of everyone.
9 CFR 91: Travel Time (Businesses) (new)

3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other forms of information technology, e.g., permitting
electronic submission of responses, and the basis for the decision for adopting this means of
collection. Also describe any consideration of using information technology to reduce burden.
APHIS is developing options for use of electronic submission and digital signature with VS-Forms 17140, 17-140A, 140B, 17-141, 17-145, APHIS Form 7001, and others by developing a fully electronic
template to be housed in the Veterinary Export Health Certification System (VEHCS)
https://pcit.aphis.usda.gov/pcit/. The template follows World Trade Organization (WTO) standards and
has been approved by the governments of Canada, Taiwan, and China, among others. VEHCS will also
incorporate APHIS’ new digital signature product, approved by OMB as of February 2017. APHIS is
now in the process of issuing a WTO notification on this new template, which will allow the form to
be used widely with international trading partners. APHIS expects this template to be fully operational
within the next 2 years. APHIS currently has a bilateral agreement with Canada where the template is
accepted with digital signature for exports of breeding cattle through four (4) Western U.S. land border
ports.
In addition, the health certificates (VS Forms 17-140, 17-141, 17-145, and APHIS 7001) employed in
this program are currently available from VS Field Offices, or by writing USDA APHIS, 4700 River
Road Unit 39, Riverdale, MD 20737. An electronic PDF version of APHIS 7001 is available at
http://www.aphis.usda.gov/library/forms/pdf/APHIS7001.pdf. An electronic version of VS 17-145 is
available at https://www.aphis.usda.gov/library/forms/pdf/vs17_145.pdf.
The undue hardship letter, environmental certification statements that must accompany applications
for facility approval, ocean vessel operator’s reports, and letters to contest a denial or revocation of
facility approval can be emailed or faxed to APHIS.
Some country specific health requirements and model veterinary health certificates are posted on the
International Regulations (Iregs) Retrieval system at
http://www.aphis.usda.gov/regulations/vs/iregs/animals

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4. Describe efforts to identify duplication. Show specifically why any similar information already
available cannot be used or modified for use for the purpose described in item 2 above.
The information that APHIS collects in connection with the exportation of animals from the United
States is exclusive to APHIS’ mission of ensuring the health status of U.S. animals sent to other
countries. It is not available from any other source.

5. If the collection of information impacts small businesses or other small entities, describe any
methods used to minimize burden.
The information APHIS collects is the minimum needed to ensure that U.S. exporters meet the
minimum import requirements of other countries. Eighty-five percent of the respondents to this
collection are small businesses.

6. Describe the consequences to Federal program or policy activities if the collection is not
conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing
burden.
The U.S. Origin Health Certificate, the proper identification of animals for export, and the approval
of export inspection facilities in the United States are critical components of APHIS’ export program.
Without these information collection activities, APHIS would be unable to certify the health status of
animals exported from the United States to other countries. Without this certification, the United
States would be unable to compete in the world market of animal trade.

7. Explain any special circumstances that require the collection to be conducted in a manner
inconsistent with the general information collection guidelines in 5 CFR 1320.5.
•

requiring respondents to report information to the agency more often than
quarterly;

•

requiring respondents to prepare a written response to a collection of information
in fewer than 30 days after receipt of it;

The owner or operator of any ocean vessel used to export livestock (including vessels that use
shipping containers) from the United States must submit a written report to APHIS within 5 business
days after completing a voyage. This requirement allows APHIS to respond quickly should any
conditions exist on an ocean vessel that could threaten the health or safety of animals shipped on the
vessel.
•

requiring respondents to submit more than an original and two copies of any
document;

•

requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records for more than 3 years;
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•

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.

•

No other special circumstances exist. This information collection is conducted in a manner consistent
with the guidelines established in 5 CFR 1320.6.

8. Describe efforts to consult with persons outside the agency to obtain their views on the
availability of data, frequency of collection, the clarity of instructions and recordkeeping,
disclosure, or reporting form, and on the data elements to be recorded, disclosed, or reported. If
applicable, provide a copy and identify the date and page number of publication in the Federal
Register of the agency's notice, soliciting comments on the information collection prior to
submission to OMB.
APHIS engaged in productive consultations with the following individuals concerning its use of the
information collections employed in the export of animals from the United States:
Sandy Moore
Segrest Farms, Inc.
P.O. Box 758
Gibsonton, FL 33534
813-677-9196
Dr. Paul Sundberg
Senior Vice President – Science and Technology
National Pork Board
1776 NW 114th Street
Des Moines, IA 50325
515-223-2764
Stacey Diaz
5D Tropical, Inc.
6507 Bob Head Road
Plant City, FL 33656
(813) 986-4560
fish@5dtropical.com

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On Friday, May 26, 2017, page 24275, APHIS published in the Federal Register, a 60-day notice
seeking public comments on its plans to request a 3-year renewal of this collection of information.
During that time, APHIS received one comment from a concerned citizen regarding the treatment of
animals; however, it doesn’t concern the information collection activities.

9. Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
This information collection activity involves no payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the
assurance in statute, regulation, or agency policy.
No additional assurance of confidentiality is provided with this information collection. However, the
confidentiality of information is protected under 5 U.S.C. 552a.

11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and others that are considered private. This justification
should include the reasons why the agency considers the questions necessary, the specific uses to
be made of the information, the explanation to be given to persons from whom the information
is requested, and any steps to be taken to obtain their consent.
APHIS asks 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.
Respondents are the owners and facility operators for sheep, goats, and horses; accredited
veterinarians; live animal exporters; and owners or masters of an ocean vessel. APHIS estimates the
total annualized cost to these respondents to be $753,763. APHIS arrived at this figure by multiplying
the total burden hours (17,170 hours) by the estimated average hourly wage of the above respondents
($43.90). The average hourly rate is derived from the U.S Department of Labor; Bureau of Labor
Statistics May 2016 Report–National Compensation Survey: Occupational Employment and Wages,
May 2017.
Owners of and facility operators for sheep, goats, and horses: $36.44 per hour [median, farmers,
ranchers, and facility operators]
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Owners or masters of an ocean vessel: $46.94 [median, owners or masters of an ocean vessel –
transportation, storage, and distribution managers]
Accredited veterinarians: $48.34 per hour [median, accredited veterinarians]

13. Provide estimates of the total annual cost burden to respondents or record keepers resulting
from the collection of information (do not include the cost of any hour burden shown in items 12
and 14). The cost estimates should be split into two components: (a) a total capital and start-up
cost component annualized over its expected useful life; and (b) a total operation and
maintenance and purchase of services component.
No annual cost burden is associated with capital and startup costs, maintenance costs, and purchase of
services in connection with this program.

14. Provide estimates of annualized cost to the Federal government. Provide a description of the
method used to estimate cost and any other expense that would not have been incurred without
this collection of information.
The estimated cost for the Federal Government is $10,137,274.17. (See APHIS Form 79.) Salary
figures were derived from the Office of Personnel Management’s GS salaries at a step 4 level.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of
the OMB Form 83-1.

ICR Summary of Burden:
•

Program
Change
Requested
Due to New
Statute
Annual
Number of
Responses

35,761

0

Program
Change
Change
Change
Due to
Due to
Previously
Due to Adjustment Potential
Approved
Agency
in Agency Violation of
Discretion Estimate
the PRA
-41,368
4,374
0
72,755

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Annual Time
Burden (Hr)
Annual Cost
Burden ($)

17,170

0

-2,631

2,190

0

17,611

0

0

0

0

0

0

Overall, the total burden hours decreased 441 hours (-2,631 program change and +2,190 adjustment)
and the total number of responses decreased 36,994 responses (-41,368 program change and +4,374
adjustment).
The decrease resulted from removing Recordkeeping for Modification, which is no longer codified or
practiced (-45,000 responses; -3,735 hours) (program change).
The following items were previously approved under 0579-0278 (discontinued) and have been added
to this information collection for approval (program change/violation):
• VS Form 17-141(+100 responses; +26 hours).
• APHIS Form 7001 (+750 responses; + 98 hours).
• Country Specific Health Care (+1,800 responses; + 450 hours).
• Travel Time (+256 responses; + 256 hours).
The following items were inadvertently not included in previous information collection submissions
and have been added to this information collection for approval (program change/violation):
• Annual Site Inspection of Inspection Facilities (+38 responses; +76 hours).
• Certification to Carry Livestock (+8 responses; + 20 hours).
• Inspection of Vessel Prior to Voyage (+ 10 responses; + 10 hours).
• Aircraft Cleaning and Disinfection (+670 responses; + 168 hours).
The burden of the following items has increased since the last submission of this information
collection to more accurately reflect current use (adjustment):
• VS Form 17-140 (+ 1,368 responses; + 684 hours).
• VS Forms 17-140A and 17-140B (+ 3,000 responses; +1,500 hours).
• Notarized Statement (+ 6 responses; +6 hours).
16. For collections of information whose results are planned to be published, outline plans for
tabulation and publication.
APHIS has no plans to tabulate or publish the information APHIS is collecting.

17. If seeking approval to not display the expiration date for OMB approval of the information
collection, explain the reasons that display would be inappropriate.
VS Form 17-140, VS Form 17-140A, and APHIS Form 7001 are used in several other information
collections; therefore, it is not practical to include an OMB expiration date because of the various
expiration dates for each information collection. APHIS is seeking approval to not display the OMB
expiration date on these forms.
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APHIS will display the expiration date on VS Form 17-145, VS Form 17-141, and VS Form 17140B.

18. Explain each exception to the certification statement identified in the "Certification for
Paperwork Reduction Act."
APHIS is able to certify compliance with all the provisions of the Act.

B. Collections of Information Employing Statistical Methods
Statistical methods are not used in this information collection.

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