0579-0076 2018 Ss

July 2018
SUPPORTING STATEMENT
Endangered Species Regulations and Forfeiture Procedures
OMB No. 0579-0076

JUSTIFICATION
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.
The United States Department of Agriculture (USDA) is responsible for preventing plant pests
from entering the United States, preventing the spread of pests, and noxious weeds not widely
distributed within the United States, and eradicating plant pests when eradication is feasible. The
Plant Protection Act authorizes the Department to carry out this mission.
The Endangered Species Act of 1973 (16 U.S.C. 1531, et seq.) directs Federal departments to
utilize their authorities under this Act to conserve endangered and threatened species. This Act
specifies that the Secretary of Agriculture is authorized to promulgate such regulations as
appropriate to enforce the Act.
The regulations contained in 7 CFR 355 are intended to carry out the provisions of the
Endangered Species Act. USDA's Animal and Plant Health Inspection Service (APHIS), Plant
Protection and Quarantine (PPQ) program is responsible for implementing these regulations.
Specifically, Section 9(d) of this Act authorizes 7 CFR 355.11, which requires a general permit
to engage in the business of importing or exporting terrestrial plants listed in 50 CFR Parts 17
and 23.
The United States Department of Interior regulations contained in 50 CFR 17 and 23 specify
requirements for validating documents at the time of importation or exportation. The documents
are needed to determine that the movement is in accordance with Section 9 of this Act.
Section 9(d)(2) of this Act requires recordkeeping activities as well as the production of reports
from these records. These requirements are explained in 7 CFR 355.23.
Section 11(e)(5) of this Act authorizes requirements for a claim, and petition for remission of
forfeiture. This provides the mechanism for obtaining title to items moved in violation of the
provisions.
APHIS is asking the Office of Management and Budget (OMB) to approve, for an additional 3
years, the use of these information collection activities associated with its effort to help conserve
endangered and threatened species of terrestrial plants.

2. Indicate how, by whom, how frequently, 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 activities to conserve endangered and threatened species
of terrestrial plants:
Application for Protected Plant Permit to Engage in the Business of Importing, Exporting
or Re-Exporting Terrestrial Plants (PPQ 621); (7 CFR 355.11); (Business)
Businesses wishing to import, export, or re-export terrestrial plants listed in the CITES
endangered species plants regulations must obtain permits from the USDA. These include
importers, exporters, or re-exporters who are nursery or plant dealers and who intend to engage
in the sale or resale of the plants. Application for the 2-year permit is made using PPQ Form 621
and submitting it to PPQ for approval. Each application for a protected plant permit must be
accompanied by a check or money order for $70 made payable to Plant Protection and
Quarantine. The fee is refunded unless the application is denied or abandoned.
Appeal of Denial of General Permit; (7 CFR 355.11(e)); (Business)
If a protected plant permit is denied, the applicant will be notified of the reason. The applicant
may then request a hearing, and/or submit a rebuttal in writing to PPQ, within 60 days of the
receipt of denial notification.
Marking and Notification Requirements; (7 CFR 355.20(a); .21(a), (b)); (Business)
Any terrestrial plant which is to be imported, exported, or reexported shall plainly and correctly
bear on the outer container or on a tag, invoice, packing list, or other document accompanying
the plant, the genus and species, quantity of each (if a hybrid, genus of each parent, and quantity
of each hybrid), country and locality where collected from the wild or where produced from
cultivated stock, name and address (in the United States if exported or reexported) of shipper,
owner or person shipping or forwarding the plants, name and address (in the United States if
imported) of consignee, identifying shipper's mark and number, and serial number and type (e.g.,
permit, certificate) of document issued for the importation, exportation, or reexportation of the
plant. It is the importer’s or exporter’s responsibility to ensure that containers are properly
marked. Promptly upon arrival at a port of import, the importer shall notify PPQ of the arrival
and of the genus and species of the plant by such means as a manifest, Customs entry document,
commercial invoice, waybill, broker's document, or notice form provided for that purpose.
Notice of Arrival (PPQ 368 or equivalent); (7 CFR 355.20(b)); (Business)
The importer of an endangered species terrestrial plant must notify PPQ of the impending arrival
of the shipment, and the port of entry at which the shipment will arrive. This notification alerts
PPQ that a shipment is eminent and allows the scheduling of inspectors to inspect and process
the shipment when it arrives. Inspection ensures the shipment is not harboring insect pests.
Notice of Exportation; (7 CFR 355.20(c)); (Business)
The exporter of an endangered species terrestrial plant must notify PPQ of the impending
exportation of the shipment and the port from which it will depart. This notification alerts PPQ
that an exportation of endangered species will be occurring and allows it schedule inspectors to

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process the shipment. Inspection ensures the shipment documentation accurately describes the
contents of the shipping container.
Validation of Documents; (7 CFR 355.22); (Business)
Importers and exporters are responsible for providing at the port the documents accompanying
any endangered species terrestrial plants for import or export to PPQ inspectors for validation
and to ensure the plants are eligible for importation or exportation.
Waiver of Forfeiture Procedures by Owner of Seized Property (PPQ 623);
(7 CFR 356.4(b)); (Business)
For shipments of endangered species terrestrial plants seized by the USDA at the port of entry,
the owner of the shipment may accept and sign a PPQ Form 623 waiving procedures and
authorizing government disposal of the shipment. The waiver describes the shipment, the date
and place it was seized, and the reason it was seized, and serves as the official record that the
owner understands his/her options in the matter and voluntarily waived any further rights or
interests in the seized shipment.
Claim (PPQ 625); (7 CFR 356.4(c)(2)); (Business)
While filing a claim and bond (PPQ Form 625) is no longer required by the Civil Asset
Forfeiture Reform Act (CAFRA), the activity remains in the CFR. The activity is listed in the
information collection with 1 response and 1 hour of burden as placeholders.
Request for Return of Property; (7 CFR 356.5); (Business)
Any request for the return of property shall be submitted in writing to PPQ. The request must
include evidence to establish that the person making the request is the sole owner of the property
or is the agent of the sole owner of such property. PPQ will return a response in writing granting
or denying the request.
Petition for Remission or Mitigation of Forfeiture (PPQ 626); (7 CFR 356.7(a)); (Business)
The owner of a seized shipment may prepare PPQ Form 626 and petition for remission or
mitigation of a pending forfeiture. The form describes the seized property, provides the name and
address of the owner, and states the facts and circumstances upon which the owner is relying to
justify his/her request that forfeiture of the property not take place.
Reports and Recordkeeping; (7 CFR 355.23(a-d)); (Business)
Any entity engaged in the business of importing or exporting endangered species terrestrial
plants must keep records of each importation and exportation and make the records available to
PPQ inspectors within 60 days upon request. The records provide important information to PPQ
inspectors conducting traceback investigations when exotic plant diseases or insect pests are
accidentally introduced into the United States. The records must include shipping documents, a
description of the plants, the number of plants in the shipment, the plants’ region of origin, the
date and place of import or export, and the name and address of the individuals who received the
plants, and they must be kept for at least 5 years.

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3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological collection techniques or other
forms of information technology, e.g., permitting electronic submission of responses, and
the basis for the decision for adopting this means of collection. Also describe any
consideration of using information technology to reduce burden.
PPQ Forms 368, 621, 623, and 626 will be available in fillable PDF format from the APHIS
forms website at https://www.aphis.usda.gov/aphis/resources/forms/ct_ppq_forms. The PPQ
Form 621 permit application may also be prepared and submitted online via the APHIS ePermits
portal reachable at https://www.aphis.usda.gov/aphis/resources/permits/ct_learn_epermits.

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 APHIS collects is exclusive to its mission of regulating importers and exporters
of endangered and threatened species of terrestrial plants. 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.
APHIS estimates 40 percent of the respondents are small entities. The information APHIS
collects is the minimum needed to protect the United States against destructive plant pests and
plant diseases, and the improper trade of protected terrestrial plants.

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.
Without the collected information, APHIS would not be able to carry out its responsibilities
under The Endangered Species Act, and the United States would not be able to fulfill its
responsibilities as a signatory to the Convention on International Trade in Endangered Species
(CITES) Treaty. The consequences of either would directly impact the protection of endangered
plant species around the world.

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;

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•

requiring respondents to prepare a written response to a collection of
information in fewer than 30 days after receipt of it;
For shipments of endangered species terrestrial plants seized by the USDA at the
port of entry, the owner of the shipment may accept and sign a PPQ Form 623
waiving procedures and authorizing government disposal of the shipment. The
waiver describes the shipment, the date and place it was seized, and the reason it was
seized, and serves as the official record that the owner understands his/her options in
the matter and voluntarily waived any further rights or interests in the seized
shipment.
Otherwise, when property valued at $10,000 or less is processed for forfeiture, PPQ
shall publish a copy of the notice of seizure and proposed forfeiture for 21 days in a
conspicuous place accessible to the public at the Plant Protection and Quarantine
Enforcement office nearest the place of seizure. The time and date of posting shall be
indicated on the notice. Upon the execution of such statement and following
publication of the notice for 21 days, any interest in such property by such owner
shall become forfeited unless someone claiming ownership or other interest in the
seized property files a claim before the 21st day.
Any request for the return of property shall be submitted in writing to PPQ before
the notice of seizure and proposed forfeiture expires. The request must include
evidence to establish that the person making the request is the sole owner of the
property or is the agent of the sole owner of such property. PPQ will return a
response in writing granting or denying the request.
The owner of a seized shipment may prepare PPQ Form 626 and petition for
remission or mitigation of a pending forfeiture. The form describes the seized
property, provides the name and address of the owner, and states the facts and
circumstances upon which the owner is relying to justify his/her request that
forfeiture of the property not take place.

•

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;
APHIS has specified 5 years as the retention period for records that must be kept in
connection with the importation and exportation of endangered species as this is the
longest period within which insect pests may manifest themselves or discovery for
Endangered Species Act investigations may need to be conducted.

•

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;

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•

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 that would require this collection to be conducted in a
manner inconsistent with the general information collection guidelines in
5 CFR 1320.5.

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 the
information collection activities associated with this program:
Eva Mentel
Hardwood Plywood and Veneer Association
42777 Trade West Drive
Sterling, VA 20166
Phone: 703-435-2900
Fax: 703-435-2537
E-mail: innovate@hpva.org
Jane Wilson
Director of Program Development
American Herbal Products Association
8484 Georgia Avenue, #370
Silver Spring, MD 20910
Phone: 301-588-1171 x108
jwilson@ahpa.org
Dr. Werner Baumann
Chairman, Bayer Crop Science LP
Alfred-Nobel-Str. 50
40789 Monheim am Rhein, Germany
Phone: +49 0 217-3380

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On Friday, May 11, 2018, APHIS published in the Federal Register on pages 21999 and 22000 a
60-day notice seeking public comments on its plans to request a 3-year renewal of this collection
of information. One comment from the public was received but contained no relevent comments
or recommendations about the activities or burdens in this information collection.

9. Explain any decision to provide any payment or gift to respondents, other than
reenumeration 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. No
information obtained in this collection shall be disclosed except in accordance with
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.
This information collection activity 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.
See APHIS Form 71. Respondents are businesses wishing to import, export, or re-export
terrestrial plants listed in the CITES endangered species plants regulations, and those
without permits claiming a business interest in shipments seized at U.S. ports of entry.

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• Provide estimates of annualized cost to respondents for the hour burdens for
collections of information, identifying and using appropriate wage rate categories.
APHIS estimates the total annualized cost to the above respondents to be $572,025.
APHIS arrived at this figure by multiplying the hours of estimated response time (15,254
hours) by the estimated average hourly wage of the above respondents ($37.50). The
hourly wage of $36.80 was derived from the U.S. Department of Labor, Bureau of Labor
Statistics May 2017 Report – Occupational Employment and Wages in the United States.

13. Provide estimates of the total annual cost burden to respondents or recordkeepers
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.
Each application for a protected plant permit must be accompanied by a check or money order
for $70 made payable to Plant Protection and Quarantine. The fee is refunded if the application is
not denied or abandoned. The total estimated annual cost burden to respondents is $70.00.

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.
See APHIS Form 79. The estimated cost to the Federal Government is $5,019,870.

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

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

162,217

0

349

80,604

0

81,264

Annual Time
Burden (Hours)

15,254

0

1,161

6,539

0

7,554

70

0

0

70

0

0

Annual Cost
Burden ($)

In this renewal request, the number of respondents decreased from 6,724 to 1,097 as they are
now limited to businesses with permits (967) and those without permits but an interest in
shipments seized by the government at ports of entry (130).

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The number of annual responses changed from 81,264 to 162,217 for a net increase of +80,953
responses, and the number of burden hours changed from 7,554 to 15,254 for a net increase of
+7,700 hours. Both increases are largely attributable to validation of documents at ports, and
recordkeepers and recordkeeping.
Four activities reflect changes due to estimate adjustments. Permits are valid for two years so the
respondents for permit applications was halved from 840 to 485. This resulted in 355 fewer
responses and burden hours. Marking and notification has increases of 840 responses and 61
burden hours. Notices of arrival has increases of 73 responses and 43 burden hours. Validation of
documents has increases of 80,046 responses and 6,790 hours of burden.
Two activities reflect program changes. While filing a claim and bond (PPQ Form 625) is no
longer required by the Civil Asset Forfeiture Reform Act (CAFRA), the regulation has not
changed and the activity was put back in the information collection with 1 response and 1 hour
of burden as placeholders. The number of recordkeepers was adjusted as was the hours per
response for them, increasing from 1.25 hours to 2.00 hours per response. This resulted in 348
additional responses and 1,160 additional hours of burden.
Each application for a protected plant permit must be accompanied by a check or money order
for $70 which is refunded unless the permit is denied or abandoned which is rare. To capture this
possibility, one instance of $70 respondent burden cost is included in this information collection.
The following two tables provide summaries of the changes described above.
CHANGES IN RESPONSES
7 CFR
355.11
355.11(e)
355.20, 21
355.20(b)
355.20(c)
355.22(a-d)
355.23(d)
356.4(b)
356.4(c)(s)
356.5, 8
356.7(a)
355.23(a-c)

ACTIVITY
Permit Application
Appeal Denial of Permit
Marking, Notification
Notice of Arrival
Notice of Exportation
Validation of Documents
Reports
Waive Forfeit Procedures
Claim
Request Return of Property
Petition for Remission
Recordkeeping

RESP
B
B
B
B
B
B
B
B
B
B
B
B

PREVIOUS
NEW
RESPONSES RESPONSES DIFFERENCE TYPE OF CHANGE
840
485
(355)
Adjustment
1
1
0
18,500
19,340
840
Adjustment
12,498
12,571
73
Adjustment
100
100
0
48,565
128,611
80,046
Adjustment
3
3
0
130
130
0
0
1
1
Program
1
1
0
7
7
0
619
967
348
Program
________
_________
________
+ 81,264

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+ 162,217

+ 80,953

CHANGES IN BURDEN HOURS
7 CFR
355.11
355.11(e)
355.20, 21
355.20(b)
355.20(c)
355.22(a-d)
355.23(d)
356.4(b)
356.4(c)(s)
356.5, 8
356.7(a)
355.23(a-c)

ACTIVITY
Permit Application
Appeal Denial of Permit
Marking, Notification
Notice of Arrival
Notice of Exportation
Validation of Documents
Reports
Waive Forfeit Procedures
Claim
Request Return of Property
Petition for Remission
Recordkeeping

RESP
B
B
B
B
B
B
B
B
B
B
B
B

PREVIOUS
BURDEN
840
40
970
1,000
5
3,885
2
33
0
1
4
774
_______
+ 7,554

NEW
BURDEN
485
40
1,031
1,043
5
10,675
2
33
1
1
4
1,934
________

DIFFERENCE TYPE OF CHANGE
(355)
Adjustment
0
61
Adjustment
43
Adjustment
0
6,790
Adjustment
0
0
1
Program
0
0
1,160
Program
_______

+ 15,254

+ 7,700

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 this data.

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.
PPQ Form 368 is used in multiple information 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 this form.
The OMB expiration date will be displayed on PPQ Forms 621, 623, and 626.

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 under the Act.

B. Collections of Information Employing Statistical Methods
This collection of information does not use statistical methods.

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