Form 3-200-31 Introduction from the Sea (CITES)

OMB Control No. 1018-0093
Expires xx/xx/xxxx

FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

Introduction from the Sea (CITES)
☐New ☐Reissue/Renew ☐Amendment
APPLICATION FORM INSTRUCTIONS
The following instructions pertain to U.S. Fish and Wildlife Service (FWS) permit applications. The General Permit Procedures in 50
CFR 13 address the permitting process. For simplicity, all licenses, permits, registrations, and certificates are referred to as a permit.
If you are an individual, who would be named on the face of the permit, you need to complete the Individual Applicant section of this
application.
If you are an individual seeking permits issued to yourself for activities not associated with your business or institution, you need to
complete the Individual Applicant section as an individual permittee.
If you are an individual associated with a business or institution, and the business or institution’s name would appear on the face of the
permit, you need to complete the Business Applicant section of this application.
If you are a business applying on behalf of an individual, you need to complete the Business Applicant section of this application and
include a limited power of attorney from the person for whom you represent.
A person/entity is qualified to obtain a U.S. Fish and Wildlife Service permit or license when they are "subject to the jurisdiction of the
United States", per 16 USC 1532(13). A foreign person/entity with no permanent physical presence in the United States only qualifies
for an import/export license when they physically enter or exit the U.S. with the wildlife items. The foreign entity is required to designate
a U.S. agent for purposes of record keeping.
GENERAL INSTRUCTIONS:
•

An incomplete application may cause delays in processing or may be returned to the applicant. Be sure you are
filling in the appropriate application form for the proposed activity. Items marked with an asterisk (*) are required
fields.

•

Print clearly or type in the information. Illegible applications may cause delays.

•

Sign the application. Faxes or copies of the original signature will not be accepted.

•

If you choose to mail your submission, mail the original application to the address listed below or, if applicable, on the attached
address list. We encourage electronic filing in the ePermits system.

•

Keep a copy of your completed application.

•

Please plan ahead. Unless otherwise indicated, allow at least 60 days for your application to be processed, however,
some applications may take longer than 90 days to process (50 CFR 13.11). Longer processing times will be noted on
those applications.

•

Applications are processed in the order they are received.

Individual or Business Applicants:
Individual Applicant. Complete if applying as an individual [do not complete this application if applying for Import/Export License (3-2003) or a Designated Port Exception Permit (3-200-2)]:
•

Enter the information requested. Required fields must be completed. This is used to create your profile and consumer
information in the ePermits system. If you do not have an email address, enter not applicable.

•

Doing business as (dba) / Affiliation: The Division of Management Authority (DMA) and the Office of Law Enforcement
(OLE) do not accept doing business as affiliations for individuals seeking permits on behalf of themselves. “Doing business
as” affiliations apply to individuals seeking permits for a business, agency, Tribe, organizational, or institutional affiliation
directly related to the activity requested in the application. For example, a taxidermist is an individual whose business can
directly relate to the requested activity of exporting taxidermy (dba relevant permit); however, said taxidermist should not apply
as a business for permits to non-business related travel with their pet exotic parrot (dba is not relevant to the permit; complete
the Business Applicant section).
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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

OMB Control No. 1018-0093
Expires xx/xx/xxxx

Business Applicant. Complete if applying as a business, corporation, public agency, Tribe, or institution:
•

Enter the information requested. Required fields must be completed. This is used to create your contact and account
information in the ePermits system. If you do not have an email address, enter not applicable.

•

If you are applying on behalf of a client, a document evidencing power of attorney must be included with the application.

•

Principal Officer is the person in charge of the listed business, corporation, public agency, Tribe, or institution. The principal
officer is the person responsible for the application and any permitted activities. Often the principal officer is a Director or
President.

•

The Contact is the person at the business, corporation, public agency, or institution who will be available to answer questions
about the application or permitted activities. Often this is the preparer of the application. Each person that is associated with
the business that would need to access the business account needs to create their own contact in the ePermits system.

Application processing fee:
•

An application processing fee is required at the time of application, unless exempted under 50 CFR 13. The application
processing fee is assessed to partially cover the cost of processing a request. The fee does not guarantee the issuance of a
permit, nor will fees be refunded for applications for which processing has begun. Checks or money orders must be
for the exact amount for each application submitted. If you are making more than one request, you must submit a
separate payment for each request, otherwise your application will be returned.

•

Documentation of fee exempt status is not required for applications submitted by Federal, Tribal, State, or local
government agencies; but must be supplied by those applicants acting on behalf of such agencies. Such applications
must include a letter on agency letterhead and signed by the head of the unit of government for which the applicant is acting
on behalf, confirming that the applicant will be carrying out the permitted activity for the agency.

CERTIFICATION:
•

The individual identified in the Individual Applicant Section, the principal officer named in the Business Applicant
Section, or person with a valid power of attorney (documentation must be included in the application) must sign and
date the application. This signature legally binds the applicant to the statement of certification. You are certifying that you
have read and understand the regulations that apply to the permit. You are also certifying that all information included in the
application is true to the best of your knowledge. Be sure to read the statement and re-read the application and your answers
before signing.

ALL APPLICANTS COMPLETE THE QUESTIONS ASSOCIATED WITH YOUR APPLICATION
Please continue to next page. DO NOT RETURN THIS PAGE WITH THE APPLICATION
Mail applications to: U.S. Fish and Wildlife Service; Division of Management Authority; Branch of Permits, MS:IA; 5275
Leesburg Pike; Falls Church, Virginia 22041-3803 or as directed by specific applications.
If you would like expedited mailing, please enclose a self-addressed, pre-paid, computer-generated, courier service
airway bill. If unspecified, all documents will be mailed via the U.S. Postal Service.
Please refer to the fee schedule for the appropriate fees for the activity you are requesting.

If you are making more than one request, you must submit a separate
payment for each request, otherwise your application will be returned.

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OMB Control No. 1018-0093
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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

INDIVIDUAL APPLICANTS
*First Name

Middle Name

*Last Name

*Email Address

Telephone Number

*Street Address

*City

*State/Province

*Zip or Postal Code

*Country

If you wish to have your permit mailed to a different address, complete the following:
*Street Address

*State/Province

*City

*Zip or Postal Code

*Country

If you would like expedited mailing, please enclose a self-addressed, pre-paid, computer-generated, courier service
airway bill. If unspecified, all documents will be mailed via the U.S. Postal Service.

Have you or your client (if a broker applying on behalf of your client), been assessed a
civil penalty or convicted of any criminal provision of any statute or regulation relating
to the activity for which the application is filed; been convicted, or entered a plea of
guilty or nolo contendere, for a felony violation of the Lacey Act, the Migratory Bird
Treaty Act, or the Bald and Golden Eagle Protection Act; forfeited collateral; OR are
currently under charges for any violation of the laws mentioned above?
☐ No ☐ Yes
If you answered “Yes”, provide: a) the individual’s name; b) date of charge; c) charge(s);
d) location of incident; e) court and f) action taken for each violation. Please be aware
that a “Yes” response does not automatically disqualify you from getting a permit.

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OMB Control No. 1018-0093
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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

Certification Statement
Certification: I hereby certify that I have read and am familiar with the regulations
contained in Title 50, Part 13 of the Code of Federal Regulations and the other applicable
parts in subchapter B of Chapter I of Title 50, and I certify that the information submitted in
this application for a permit is complete and accurate to the best of my knowledge and
belief. I understand that any false statement herein may subject me to the criminal
penalties of 18 U.S.C. 1001.

Signature and date

Include a check or money order, payable to the U.S. FISH AND WILDLIFE SERVICE, as
a nonrefundable processing fee [50 CFR 13.11(d)(4)] (see instructions above).
Federal, Tribal, State, and local government agencies, and those acting on behalf of such
agencies, are exempt from the processing fee – attach documentation of fee exempt
status as outlined in instructions. (50 CFR 13.11(d))
*Required fields. Applications without this information are subject to delays or returns.

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OMB Control No. 1018-0093
Expires xx/xx/xxxx

FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

BUSINESS APPLICANTS
*Business Name

doing business as (dba)

*Indicate your business type:
__ Business or other for profit
__ Farm

__ Small business

__ Government (Federal/State/Local/Tribal)

__ Not-for-profit institution

Name that will appear on the permit if you are applying on behalf of an individual/business

*Primary Contact Name

*Primary Contact Email Address

*Business Email Address

*Preferred Contact Method (e.g. phone, email)

*Principal Officer Name

*Principal Officer Title

*Principal Officer Email

Tax ID Number

*Business Phone

Alternate Phone

*Street Address

*State/Province

*City

*Zip or Postal Code

*Country

If you wish to have your permit mailed to a different address, complete the following:
*Street Address

*State/Province

*City

*Zip or Postal Code

*Country

If you would like expedited mailing, please enclose a self-addressed, pre-paid, computer-generated, courier service
airway bill. If unspecified, all documents will be mailed via the U.S. Postal Service.

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OMB Control No. 1018-0093
Expires xx/xx/xxxx

FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

Have you or your client (if a broker applying on behalf of your client), been assessed a
civil penalty or convicted of any criminal provision of any statute or regulation relating to
the activity for which the application is filed; been convicted, or entered a plea of guilty or
nolo contendere, for a felony violation of the Lacey Act, the Migratory Bird Treaty Act, or
the Bald and Golden Eagle Protection Act; forfeited collateral; OR are currently under
charges for any violation of the laws mentioned above?
☐ No ☐ Yes
If you answered “Yes” provide: a) the individual’s name; b) date of charge; c) charge(s); d)
location of incident; e) court and f) action taken for each violation. Please be aware that a
“Yes” response does not automatically disqualify you from getting a permit.

Certification Statement
Certification: I hereby certify that I have read and am familiar with the regulations
contained in Title 50, Part 13 of the Code of Federal Regulations and the other applicable
parts in subchapter B of Chapter I of Title 50, and I certify that the information submitted in
this application for a permit is complete and accurate to the best of my knowledge and
belief. I understand that any false statement herein may subject me to the criminal
penalties of 18 U.S.C. 1001.

Signature and date

Include a check or money order, payable to the U.S. FISH AND WILDLIFE SERVICE, as
a nonrefundable processing fee [50 CFR 13.11(d)(4)] (see instructions above).
Federal, Tribal, State, and local government agencies, and those acting on behalf of such
agencies, are exempt from the processing fee – attach documentation of fee exempt
status as outlined in instructions. (50 CFR 13.11(d))
*Required fields. Applications without this information are subject to delays or returns.

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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

OMB Control No. 1018-0093
Expires xx/xx/xxxx

INTRODUCTION FROM THE SEA (CITES)
This application is for the “introduction from the sea” of marine specimens collected from the high seas by a U.S.
registered vessel returning directly to the United States.
U.S. regulations define introduction from the sea as "transportation into a country of specimens of any species which
were taken in the marine environment not under the jurisdiction of any country."
CITES defines the marine environment not under the jurisdiction of any country as “those marine areas beyond the areas
subject to the sovereignty or sovereign rights of a State consistent with international law, as reflected in the United
Nations Convention on the Law of the Sea.”
Use this application:
• if you are collecting in the high seas (i.e., in the marine environment outside of any country’s territorial
jurisdiction), using a U.S. registered vessel, and returning directly to the U.S.
This form should NOT be used:
•

•

if you are collecting in the high seas using a U.S. registered vessel and transporting the specimens directly to a
different country. Your shipment would require a U.S. CITES export permit (use Form 3-200-29).
o For CITES Appendix I specimens, an additional import permit issued by the country into which the
specimens are entering is required, prior to transport.
for the import of Appendix I specimens collected from territorial waters of other countries:
o Live specimens (use Form 3-200-37a).
o For biological or scientific specimens (use Form 3-200-37e).

This application is for (choose all that apply):

☐ A new permit
☐ Renewal of permit # ____________________________
☐ Amendment of permit # __________________________
1. Provide the following for each animal/specimen (you may present this information in tabular format if you wish).
a. Scientific name and common name;
b. Approximate age (e.g., adult, juvenile);
c.

Sex, if known; and

d. Description of live animal(s) or specimen(s) (e.g., physical description of live animal; type of biological samples,
number and size of samples/containers).
2. Provide information on the source of the animal(s)/specimen(s):
a. Specific location of where (e.g., ocean basin, geographical coordinates, specific stock/population), when, how,
and by whom (name, address, and expertise) the specimen will be removed form the wild; and
b. The purpose of the removal.
3. What is the purpose of the introduction from the sea?
4. Provide evidence that you have permission to collect on the high seas (e.g., copies of your collecting permit, license,
contract, or agreement).

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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

OMB Control No. 1018-0093
Expires xx/xx/xxxx

5. Provide the following details of the introduction from the sea activities:
a. A copy of other permit or authorization issued by the FWS or NMFS under the Endangered Species Act, Marine
Mammal Protection Act, or the Migratory Bird Treaty Act to conduct relevant activities.
b. Purpose of your proposed activity. If for scientific research, attach a copy of your research proposal which outlines
the purpose, objectives, methods (e.g., include specific information on survey/collection methods, sampling
regime, equipment to be used), and whether similar work has already been done or is currently being done.
c. Describe the technical expertise of each person as it relates to the proposed activities.
d. Copies of any contracts, agreements or other permits that identify persons involved in and dates of proposed
activities.
6. If live wildlife will be held in captivity:
a. Provide a detailed description (e.g., size, construction materials, protection from the elements) and photographs
or diagrams (no blueprints) clearly depicting the existing facilities where the wildlife will be maintained. If the
specimens will be housed at multiple facilities, either immediately or within the next year, provide a description for
each facility. If you are unsure of which facilities may be receiving specimens (e.g., SSP has not made final
decision), please indicate likely candidates and the mechanism that will be used to determine recipient facilities.
b. A statement of the specific technical experience available to the recipient(s) for maintaining and propagating live
specimens of the same or similar species, including:
i. The number of years each species has been maintained:
ii. A list of the number of successful births by year for each species for the last 5 years; and
iii. Number of mortalities resulting from your activities with these or similar species in the last 5 years, causes of
such mortality and steps taken to avoid or decrease such mortality.
7. Transport conditions for live animals must comply with the CITES Guidelines for Transport of Live Animals, FWS
regulations at 50 CFR 14, Subpart J. If applicable, you must also meet USDA standards for Humane and Healthful
Transport. As such, provide:
a. A description of the type, size, and construction of any shipping container;
b. The arrangement for caring for the wildlife during transport, and
c.

For marine mammals, documentation showing compliance with USDA regulations for transport and care (7 U.S.C.
2131-2159; 9 CFR 3, Part E).

8. Introduction from the sea of CITES Appendix I species requires a finding that the activity is not for primarily
commercial purposes as outlined in Resolution Conf. 5.10 (Rev. CoP15). Please provide information to show that the
introduction from the sea activity is not for primarily commercial purposes.
9.

Provide the U.S port(s) which the introduction from the sea is anticipated to occur:

NOTE: All introduction from the sea shipment(s) of wildlife must be through a designated port. declared to the
U.S. Fish and Wildlife Service at the time of introduction. A list of designated ports (where a wildlife inspector is posted) is
available. If you wish to use a port not listed, please contact the Office of Law Enforcement for a Designated Port
Exemption Permit (Form 3-200-2).

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OMB Control No. 1018-0093
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FWS Form 3-200-31 (Rev. 02/2023)
U.S. Department of the Interior

NOTICES
PRIVACY ACT STATEMENT
Authority: The information requested is authorized by the following: the Bald and Golden Eagle Protection Act (16
U.S.C. 668), 50 CFR 22; the Endangered Species Act (16 U.S.C. 1531-1544), 50 CFR 17; the Migratory Bird Treaty Act
(16 U.S.C. 703-712), 50 CFR 21; the Marine Mammal Protection Act (16 U.S.C. 1361, et seq.), 50 CFR 18; the Wild
Bird Conservation Act (16 U.S.C. 4901-4916), 50 CFR 15; the Lacey Act: Injurious Wildlife (18 U.S.C. 42), 50 CFR 16;
Convention on International Trade in Endangered Species of Wild Fauna and Flora (TIAS 8249), 50 CFR 23; General
Provisions, 50 CFR 10; General Permit Procedures, 50 CFR 13; and Wildlife Provisions (Import/export/transport), 50
CFR 14.
Purpose: The collection of contact information is to verify the individual has an eligible permit to conduct activities
which affect protected species. This helps FWS monitor and report on protected species and assess the impact of
permitted activities on the conservation and management of species and their habitats.
Routine Uses: The collected information may be used to verify an applicant’s eligibility for a permit to conduct activities
with protected wildlife; to provide the public and the permittees with permit related information; to monitor activities
under a permit; to analyze data and produce reports to monitor the use of protected wildlife; to assess the impact of
permitted activities on the conservation and management of protected species and their habitats; and to evaluate the
effectiveness of the permit programs. More information about routine uses can be found in the System of Records
Notice, Permits System, FWS-21.
Disclosure: The information requested in this form is voluntary. However, submission of requested information is
required to process applications for permits authorized under the listed authorities. Failure to provide the requested
information may be sufficient cause for the U.S. Fish & Wildlife Service to deny the request.
PAPERWORK REDUCTION ACT STATEMENT
We are collecting this information subject to the Paperwork Reduction Act (PRA; 44 U.S.C. 3501 et seq.) in order
provide the U.S. Fish and Wildlife Service the information necessary, under the applicable laws governing the requested
activity, for which a permit is requested. Information requested in this form is purely voluntary. However, submission of
requested information is required in order to process applications for permits authorized under the applicable laws.
Failure to provide all requested information may be sufficient cause for the U.S. Fish and Wildlife Service to deny the
request. According to the PRA, an agency may not conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a currently valid OMB control number. OMB has approved this collection of
information and assigned Control No. 1018-0093
ESTIMATED BURDEN STATEMENT
We estimate public reporting for this collection of information averages 1 hour 30 minutes (original submission electronic) and 2 hours (original submission - paper-based) and 1 hour 15 minutes (amended submission) to 1 hour 45
minutes (amended submission - paper-based), including time for reviewing instructions, gathering and maintaining data
and completing and reviewing the form.Direct comments regarding the burden estimate or any other aspect of the form
to the Service Information Clearance Officer, Fish and Wildlife Service, U.S. Department of the Interior, 5275 Leesburg
Pike, MS: PRB (JAO/3W), Falls Church, VA 22041-3803, or via email at Info_Coll@fws.gov. Please do not send your
completed form to this address.
Questions regarding permits from Management Authority should be sent to managementauthority@fws.gov.

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