USDA-APHIS-BRS Permit User’s Guide

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USDA-APHIS Biotechnology Regulatory Services

Permit User’s Guide

With Special Guidance for ePermits

v. March 8, 2017

Biotechnology Regulatory Services

Animal and Plant Health Inspection Service

United States Department of Agriculture

4700 River Road

Riverdale, MD 20737
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The information contained in this document is intended solely as guidance, and reflects 

APHIS’ current interpretation of applicable statutes and regulations. Except where noted, 

persons may choose to follow APHIS guidance or follow different procedures, practices, or 

protocols that meet applicable statutes and regulations.

Language implying that guidance is mandatory (e.g., “shall,” “must,” “required,” or 

“requirement”) should not be construed as binding unless the terms are used to refer to a 

statutory or regulatory requirement.

Conversely, following the guidelines contained in this document should not be construed as a 

guarantee of compliance with applicable statutes and regulations.
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Permit

Table of Contents

Quick Guide to Permits .......................................................................................................................................2

Introduction .......................................................................................................................................................4

Permits for the Introduction of Certain Regulated Articles.......................................................................................................... 4

Regulated Articles Under 7 CFR part 340.............................................................................................................4

Exemptions Under § 340.2(b) ..............................................................................................................................7

Other Federal and State Regulations........................................................................................................................................... 8

Containment Facilities................................................................................................................................................................. 8

Time Frame for Review and Issuance of a Permit........................................................................................................................ 9

NEPA Document (EA or EIS) ....................................................................................................................................................... 10

Applying for a Permit........................................................................................................................................11

Select the Type of Application and Submission Method ............................................................................................................ 11

Electronic Permit Application..................................................................................................................................................... 11

Paper Submission....................................................................................................................................................................... 11

Set up an ePermits Account....................................................................................................................................................... 11

Helpful Tips for ePermits............................................................................................................................................................ 12

Create a Permit Application....................................................................................................................................................... 13

Permit or Notification ................................................................................................................................................................ 13

Select Agent............................................................................................................................................................................... 13

Submission Method ................................................................................................................................................................... 13

Application Ownership - Responsible Person or Preparer.......................................................................................................... 14

Select New Permit, Amendment, Renewal ................................................................................................................................ 14

Amendments......................................................................................................................................................14

Renewal..............................................................................................................................................................15

Courtesy Permit ......................................................................................................................................................................... 15

Select the Introduction Type ...................................................................................................................................................... 16

Number of Releases, Points of Origins, Destinations and Duration...................................................................16

Select Confidential Business Information (CBI) or No CBI .......................................................................................................... 17

Application Submission – Data Requirements....................................................................................................17

Provide a CBI Justification Statement........................................................................................................................................ 18

Purpose of Permit...................................................................................................................................................................... 19

Industrial Product...............................................................................................................................................19

Pharmaceutical Product.....................................................................................................................................19

Phytoremediation ..............................................................................................................................................19

Traditional..........................................................................................................................................................19

Means of Movement ................................................................................................................................................................. 20

Additional Information .............................................................................................................................................................. 20
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Variance..................................................................................................................................................................................... 20

Applicant ................................................................................................................................................................................... 20

Article ........................................................................................................................................................................................ 21

Phenotypes/Genotypes Summary.............................................................................................................................................. 22

Phenotypic Designations....................................................................................................................................22

Genotype............................................................................................................................................................24

Construct Components......................................................................................................................................24

Phenotypes/Genotypes Summary .....................................................................................................................25

Interstate Movement & Release Locations Summary................................................................................................................ 26

Location – Movement Permits...........................................................................................................................26

Location – Release Permits................................................................................................................................27

Design Protocols - Proposed Experimental Description and Production Design for Movement ................................................ 29

Marking and Identity..........................................................................................................................................32

Design Protocols - Proposed Experimental Description and Production Design for Release...................................................... 33

Certify and Submit..................................................................................................................................................................... 37

APHIS Actions Upon Receipt of a Permit Application................................................................................................................. 38

Permit Conditions...................................................................................................................................................................... 39

Withdrawal or Denial of a Permit.............................................................................................................................................. 40

Changes to a Permit after Issuance of a Permit......................................................................................................................... 41

Change the Responsible Person for a Permit.....................................................................................................41

Decision Not to Carry Out the Release...............................................................................................................42

Notification of Unusual Occurrences or Unauthorized or Accidental Release ..................................................42

Compliance and Inspection........................................................................................................................................................ 42

Reports and Notices................................................................................................................................................................... 43

Records...................................................................................................................................................................................... 44

Version History .......................................................................................................................................................................... 44

Appendices

Guidance for Critical Habitat Analysis Appendix A

Pharmaceutical Industrial and Phytoremediation Permits Appendix B

Planting and Environmental Release Reports Appendix C

Consolidated Monthly Planting and Release Reports Appendix D

Sample Permits Appendix E

Sample Permit: Movement – CBI Multiple Species 1

Sample Permit: Movement – CBI-Deleted Multiple Species 6

Sample Permit: Release – CBI Corn 11

Sample Permit: Release – CBI-Deleted Corn 16

Sample Permit: Release & Movement – Multiyear 21
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Quick Guide to Permits

The permit process allows for the introduction (importation, interstate movement, or 

environmental release) of certain genetically engineered organisms under conditions determined 

by the Administrator as described in 7 CFR part 340 (http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&tpl=/ecfrbrowse/Title07/7cfr340_main_02.tpl). The goal is to prevent the 

unintended release of the regulated article. 

Introductions may not proceed without a permit or a notification from APHIS. 

A permit application should be submitted to APHIS:

• At least 60 days prior to the first proposed importation or interstate movement.

• At least 120 days in advance of the proposed release into the environment.

A review and evaluation is completed by APHIS; and the applicant will be notified if additional 

information is required or corrections need to be made to the permit application.

APHIS sends Confidential Business Information (CBI)-deleted copies of the permit application

to State regulatory officials and tribes when appropriate for review in each State where the 

introduction has been proposed.

The person who is issued a permit must comply with permit conditions set forth in § 340.4 and 

supplemental conditions imposed by APHIS during its review.

Applicants must promptly notify APHIS of any unusual occurrences (§ 340.4(f)(10)(i-ii))that 

happen during the introduction. 

All introductions are subject to inspection by Federal and/or State inspectors.

Planting/release reports must be submitted to APHIS as specified in the permit conditions.

A field test report must be submitted to APHIS within six months of the termination of an 

environmental release.

A courtesy permit may be issued for the introduction of genetically engineered organisms which 

are not subject to regulation to facilitate movement when the movement may be otherwise 

impeded.
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Introduction

This Permit Guidance is provided to assist permit applicants and the general public understand 

the process for obtaining a USDA APHIS permit to import, move interstate, or release into the 

environment genetically engineered organisms that are regulated under 7 Code of Federal 

Regulations part 340. Most permits are submitted electronically through ePermits, therefore this 

document gives special emphasis to that system, and provides step-by-step guidance. 

Throughout the document the regulatory language from 7 CFR 340 and from the Federal 

Register is presented in grayed boxes, followed by an explanation of APHIS’s current policies 

for permit administration.

The first section of the Permit Guidance explains what is regulated under 7 CFR part 340, offers

resources to obtain additional information beyond that provided in the Permit Guidance, 

discusses containment facilities, gives timeframes for permit review and covers APHIS’s

implementation of the National Environmental Policy Act (NEPA).

The subsequent sections are organized to provide information needed to submit an ePermits 

permit application and to carry out regulated activities under 7 CFR part 340. Different types of 

permits require that different types of information be submitted and reviewed by APHIS. This 

section clarifies what type of permit to apply for, what information to include in an application 

and how to enter the information into ePermits. Reports, notices, inspections, special 

requirements for Pharmaceutical, Industrial and Phytoremediation Permits, and guidance for 

critical habitat analysis are explained in the document and in the appendices. Example permits

that may be helpful to those new to the permit process can be found in the appendices.

APHIS may issue guidelines regarding scientific procedures, practices, or protocols which it 

has found acceptable in making various determinations under the regulations. A person may 

follow an APHIS guideline or follow different procedures, practices, or protocols. When 

different procedures, practices, or protocols are followed a person may, but is not required to, 

discuss the matter in advance with APHIS to help ensure that the procedures, practices, or 

protocols to be followed will be acceptable to APHIS. Footnote 5 in § 340.3

The Permit Guidance reflects APHIS administrative processes to carry out the regulations and 

does not create or confer any rights for or on any person and does not operate to bind APHIS or 

the public. An applicant can use an alternative approach if the approach satisfies the 

requirements of the applicable statutes and regulations. 

Permits for the Introduction of Certain Regulated Articles

Regulated Articles Under 7 CFR part 340

INTRODUCTION OF ORGANISMS AND PRODUCTS ALTERED OR PRODUCED 

THROUGH GENETIC ENGINEERING WHICH ARE PLANT PESTS OR WHICH 

THERE IS REASON BELIEVE ARE PLANT PESTS. 7 CFR part 340

Restrictions on the introduction of regulated articles.

(a) No person shall introduce any regulated article unless the Administrator is:
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(1) Notified of the introduction in accordance with § 340.3, or such introduction is 

authorized by permit in accordance with § 340.4, or such introduction is 

conditionally exempt from permit requirements under § 340.2(b); and

(2) Such introduction is in conformity with all other applicable restrictions in this part.1

§ 340.0

Part 340 regulates, among other things, the introduction of organisms and products altered or 

produced through genetic engineering that are plant pests or are believed to be plant pests.

Footnote 1 in § 340.0

Donor organism. The organism from which genetic material is obtained for transfer to the 

recipient organism. § 340.1

Genetic engineering. The genetic modification of organisms by recombinant DNA 

techniques.

United States to release into the environment to move interstate or any attempt thereat. § 

340.1

Introduce or Introduction. To move into or through the United States to release into the 

environment to move interstate or any attempt thereat. § 340.1

Genetic engineering. The genetic modification of organisms by recombinant DNA 

techniques.

Introduce or Introduction. To move into or through the United States to release into the 

environment to move interstate or any attempt thereat. § 340.1

Move (moving, movement). To ship, offer for shipment, offer for entry, import, receive for 

transportation, carry, or otherwise transport or move, or allow to be moved into, through, or 

within the United States. § 340.1

Plant pest. Any living stage (including active and dormant forms) of insects, mites, 

nematodes, slugs, snails, protozoa, or other invertebrate animals, bacteria, fungi, other 

parasitic plants or reproductive parts thereof; viruses; or any organisms similar to or allied 

with any of the foregoing; or any infectious agents or substances, which can directly or 

indirectly injure or cause disease or damage in or to any plants or parts thereof, or any 

processed, manufactured, or other products of plants. § 340.1

Recipient organism. The organism which receives genetic material from a donor organism.

§ 340.1

Regulated article. Any organism which has been altered or produced through genetic 

engineering, if the donor organism, recipient organism, or vector or vector agent belongs to 

any genera or taxa designated in § 340.2 and meets the definition of plant pest, or is an 

unclassified organism and/or an organism whose classification is unknown, or any product 

which contains such an organism, or any other organism or product altered or produced 

through genetic engineering which the Administrator, determines is a plant pest or has reason 

to believe is a plant pest. Excluded are recipient microorganisms which are not plant pests and 
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which have resulted from the addition of genetic material from a donor organism where the 

material is well characterized and contains only non coding regulatory regions. § 340.1

Vector or vector agent. Organisms or objects used to transfer genetic material from the donor 

organism to the recipient organism. § 340.1

Groups of organisms which are or contain plant pests and exemptions.

Groups of organisms which are or contain plant pests. The organisms that are or contain plant 

pests are included in the taxa or group of organisms contained in the following list. Within any 

taxonomic series included on the list, the lowest unit of classification actually listed is the 

taxon or group which may contain organisms which are regulated. Organisms belonging to all 

lower taxa contained within the group listed are included as organisms that may be or may 

contain plant pests, and are regulated if they meet the definition of plant pest in § 340.1.4 

Note: Any genetically engineered organism composed of DNA or RNA sequences, organelles, 

plasmids, parts, copies, and/or analogs, of or from any of the groups of organisms listed below 

shall be deemed a regulated article if it also meets the definition of plant pest in § 340.1. 

§ 340.2(a)

Any organism belonging to any taxa contained within any listed genera or taxa is only 

considered to be a plant pest if the organism “can directly or indirectly injure, or cause disease, 

or damage in any plants or parts thereof, or any processed, manufactured, or other products of 

plants.” Thus a particular unlisted species within a listed genus would be deemed a plant pest 

for purposes of § 340.2, if the scientific literature refers to the organism as a cause of direct or 

indirect injury, disease, or damage to any plants, plant parts or products of plants. (If there is 

any question concerning the plant pest status of an organism belonging to any listed genera or 

taxa, the person proposing to introduce the organism in question should consult with APHIS to 

determine if the organism is subject to regulation.) Footnote 4 in § 340.2(a)

Petition to amend the list of organisms.

General. Any person may submit to the Administrator a petition to amend the list of 

organisms in § 340.2 of this part by adding or deleting any genus, species, or subspecies. A 

petitioner may supplement, amend, or withdraw a petition in writing without prior approval of 

the Administrator and without prejudice to resubmission at any time until the Administrator 

rules on the petition. A petition to amend the list of organisms shall be submitted in 

accordance with the procedures and format specified by this section. § 340.5(a)

The regulations in Code of Federal Regulations (7 CFR part 340) 

(http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&tpl=/ecfrbrowse/Title07/7cfr340_main_02.tpl) under the Plant Protection Act (PPA) 

(7 U.S.C. 7701-7772) govern the introduction of regulated articles. Animal and Plant Health 

Inspection Service, Biotechnology Regulatory Services (APHIS BRS) regulates the introduction 

(importation, interstate movement, or environmental release) of certain genetically engineered 

(GE) organisms that may pose a risk to plant health (For more information on APHIS BRS see, 

http://www.aphis.usda.gov/biotechnology/brs_main.shtml). APHIS coordinates these 

responsibilities along with the other designated Federal agencies as part of the Federal
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Coordinated Framework for the Regulation of Biotechnology 

(http://www1.usgs.gov/usbiotechreg/ ). 

The introduction of regulated articles under § 340.4 requires a permit with the exception of 

introductions that are either eligible for introduction under the notification procedure (For 

Notification Guidance, see

https://www.aphis.usda.gov/biotechnology/downloads/notification_guidance_0311.pdf) or are 

conditionally exempt from 7 CFR part 340 requirements under § 340.2(b) (see Exemptions 

under § 340.2(b) below).

The list of organisms in § 340.2 may be amended according to the process described in §

340.5.

APHIS issues permits for the introduction of genetically engineered organisms, including 

plants, insects, or microbes that may pose a plant pest risk.

If you are uncertain as to whether the organism is a plant pest or a regulated article, please 

contact: Biotechquery@aphis.usda.gov. 

Exemptions Under § 340.2(b)

Exemptions.

(1) A limited permit for interstate movement shall not be required for genetic material from 

any plant pest contained in Escherichia coli genotype K-12 (strain K-12 and its derivatives), 

sterile strains of Saccharomyces cerevisiae, or asporogenic strains of Bacillus subtilis, 

provided that all the following conditions are met:

(i) The microorganisms are shipped in a container that meets the requirements of 

§340.8(b)(3);

(ii) The cloned genetic material is maintained on a nonconjugation proficient plasmid and 

the host does not contain other conjugation proficient plasmids or generalized 

transducing phages;

(iii) The cloned material does not include the complete infectious genome of a known plant 

pest;

(iv) The cloned genes are not carried on an expression vector if the cloned genes code for:

(A) A toxin to plants or plant products, or a toxin to organisms beneficial to plants; 

or

(B) Other factors directly involved in eliciting plant disease (i.e., cell wall 

degrading enzymes); or

(C) Substances acting as, or inhibitory to, plant growth regulators.

(2) A limited permit for interstate movement is not required for genetic material from any 

plant pest contained in the genome of the plant Arabidopsis thaliana, provided that all of the 

following conditions are met:

(i) The plants or plant materials are shipped in a container that meets the requirements of 

§340.8(b) (1), (2), and (3);

(ii) The cloned genetic material is stably integrated into the plant genome;

(iii) The cloned material does not include the complete infectious genome of a known plant 

pest. § 340.2(b)

Certain genetically engineered organisms regulated under 7 CFR part 340 are exempt from 

regulation for interstate movement only (not applicable to importations or release) provided 
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they qualify by meeting all of the criteria provided by § 340.2(b) and are shipped according to §

340.8. A variance from the container requirements can be requested if the container requirements 

normally applicable to the movement of the regulated article under § 340.8 are inappropriate due 

to unique circumstances, see the section on Variance in this document.

Other Federal and State Regulations

Part 340 regulates, among other things, the introduction of organisms and products altered or 

produced through genetic engineering that are plant pests or are believed to be plant pests. 

The introduction into the United States of such articles also may be subject to other regulations 

promulgated under the Plant Protection Act (7 U.S.C. 7701–7772) and found in 7 CFR parts 

319, 330, and 360. For example, under regulations promulgated in “Subpart-Nursery Stock, 

Plants, Roots, Bulbs, Seeds, and Other Plant Products” (7 CFR 319.37–3), a permit is required 

for the importation of certain classes of nursery stock whether such stock is genetically 

engineered or not. Accordingly, individuals should refer to those regulations before importing 

any nursery stock. Footnote 1 in § 340.0 

Other Federal and State plant quarantine regulations may restrict or prohibit the interstate 

movement, importation, or release of the regulated article. It is the applicant’s responsibility to 

obtain any additional permits required by Federal and State regulations. 

• APHIS Plant Protection and Quarantine (PPQ) permits are required for the importation, 

transit, domestic movement and environmental release of plant pests and importation of 

biological control agents that are NOT genetically engineered and soil that may contain 

plant pests, see https://www.aphis.usda.gov/aphis/ourfocus/planthealth/importinformation/permits. 

• APHIS PPQ permits are required for the importation into the U.S. and transit through the 

U.S. of regulated plants and plant products (genetically engineered or not genetically 

engineered) for consumption or propagation, see

https://www.aphis.usda.gov/aphis/ourfocus/planthealth/import-information/permits.

• APHIS Veterinary Services regulates the import, export, and interstate movement of all 

animals and animal products (e.g., tissues, blood, and semen), including those that are 

genetically engineered, see https://www.aphis.usda.gov/aphis/ourfocus/animalhealth.

• APHIS Animal Care regulates research facilities used for certain vertebrate animals, 

including vertebrate animals that are genetically engineered, see

https://www.aphis.usda.gov/aphis/ourfocus/animalwelfare.

• For more information on State regulations, the National Plant Board provides information 

about State-level quarantine laws, see http://nationalplantboard.org/laws/index.html.

Containment Facilities
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APHIS does not regulate the use of GE organisms in containment facilities (e.g., laboratory, 

contained greenhouse, or other contained structure). However, unauthorized introduction of

regulated GE organisms from such facilities are a violation of APHIS regulations. APHIS 

strongly encourages applicants to ensure that destination facilities follow containment guidelines 

established by the National Institutes of Health (NIH) or other similar guidelines.

For more information about containment facilities see,

• Guidelines for NIH Research Involving Recombinant DNA, see

http://www.osp.od.nih.gov/sites/default/files/NIH_Guidelines.html 

• Practical Guide to Containment— Greenhouse Research with Transgenic Plants and 

Microbes (Virginia Polytechnic Institute and State University, Information Systems in

Biotechnology), see http://www.isb.vt.edu/Containment-guide.aspx

Time Frame for Review and Issuance of a Permit

Permit for release into the environment. An application for the release into the 

environment of a regulated article shall be submitted at least 120 days in advance of the 

proposed release into the environment. An initial review shall be completed by APHIS 

within 30 days of the receipt of the application. If the application is complete, the 

responsible individual shall be notified of the date of receipt of the application for purposes 

of advising the applicant when the 120 day review period commenced.7 If the application 

is not complete, the responsible individual will be advised what additional information 

must be submitted. APHIS shall commence the 120 day review period upon receipt of the 

additional information, assuming the additional information submitted is adequate. § 

340.4(b)

The 120 day review period would be extended if preparation of an environmental impact 

statement in addition to an environmental assessment was necessary. 

Footnote 7 in § 340.4(b)

Limited permits for interstate movement or importation of a regulated article. An 

application for the interstate movement or importation of a regulated article shall be 

submitted at least 60 days in advance of the first proposed interstate movement and at least 

60 days prior to each importation. An initial review shall be completed by APHIS within 

15 days of the receipt of the application. If the application is complete, the responsible 

person shall be notified of the date of receipt of the application for purposes of advising the 

applicant when the 60 day review period commenced. If the application is not complete, 

the responsible person will be advised what additional information must be submitted. 

APHIS shall commence the 60 day review period upon receipt of the additional 

information, assuming the additional information submitted is adequate. § 340.4(c)

Renewals may receive shorter review. In the case of a renewal for a limited permit for 

importation that has been issued less than one year earlier, APHIS will notify the 

responsible person within 15 day either: (1) the renewal permit is approved or (2) that a 60 

day review period is necessary because the conditions of the original permit have changed. 
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Footnote 9 in § 340.4(c)(2)

Administrative action on applications. After receipt and review by APHIS of the 

application and the data submitted pursuant to paragraph (a) of this section, including any 

additional information requested by APHIS, a permit shall be granted or denied. If a 

permit is denied, the applicant shall be promptly informed of the reasons why the permit 

was denied and given the opportunity to appeal the denial in accordance with the 

provisions of paragraph (g) of this section. If a permit is granted, the permit will specify 

the applicable conditions for introduction of the regulated article under this part. § 340.4(e)

When a permit application is received by APHIS, a permit number will be assigned. Permit 

applications for interstate movement or importation shall be submitted at least 60 days 

before the planned movement date; permit applications for release shall be submitted at 

least 120 days before the planned release date. In some cases preparation of National 

Environmental Policy Act (NEPA) documents (e.g., Environmental Assessment (EA) or

Environmental Impact Statement (EIS)) will extend the review and processing period. Permit 

applications will be reviewed for completeness within 15 days for movement (interstate or 

importation) and within 30 days for release. If the application is not complete, the 

responsible person will be advised as to what additional information must be submitted in 

order to complete the review. When the application is deemed complete and APHIS has 

completed its review and NEPA analysis, APHIS will submit a copy of the confidential 

business information (CBI)-deleted permit application and proposed permit conditions to 

the State or tribal regulatory official as appropriate of destination or site of release to 

afford them an opportunity to review and comment on the proposed introduction. If a 

permit is issued, the applicant will be notified and the permit will specify the conditions of 

release or movement.

NEPA Document (EA or EIS)

According to APHIS’s NEPA implementing procedures (7 CFR part 372,), releases may be 

categorically excluded from the requirement of conducting a NEPA document (typically an EA 

for field releases) because the means through which adverse environmental impacts may be 

avoided or minimized have been built into the confinement and containment actions themselves. 

However, an EA may be required when a release of genetically engineered organisms or 

products involves new species or organisms or novel modifications that raise new issues per §

372.5(d)(4). 

If the agency determines that an environmental document must be prepared for an 

introduction, additional information may be requested from the applicant for this purpose. As 

field releases are conducted over several seasons, applicants should collect data that will assist 

the agency when it is deemed necessary to prepare future environmental documents. 

Information would typically consist of data relating to potential effects on non-target organisms, 

humans, wildlife, and the environment from exposure resulting from the introduction.

Because of the additional time required to complete a NEPA, publish it in the Federal Register 

for public comment and address any public comments, permit applications that will require a
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NEPA document , should be submitted at least one year prior to a requested release date. 

Contact APHIS as early as possible if you think an environmental document may be needed. 

Applying for a Permit

Select the Type of Application and Submission Method

Electronic Permit Application

As part of the electronic Government (eGovernment) initiative APHIS makes available the 

internet based ePermits system. APHIS continues to offer both a paper process and the online 

ePermits system. Applicants are encouraged to take advantage of the ePermits option. This will 

help to expedite the entire permitting process. In addition to the ease of applying online, 

ePermits has other time-saving features, including tools to help generate new applications from 

previous submissions, the automated generation of Confidential Business Information (CBI)-

deleted versions and the ability to submit subsequent notices and reports for issued permits.

Paper Submission

All applicants are strongly encouraged to submit electronically whenever possible. Submission 

of a paper copy permit may delay processing because APHIS staff must copy the application 

over to ePermits and then confirm the submitted data. To download a paper application (APHIS 

FORM 2000 Permit, http://www.aphis.usda.gov/brs/pdf/2000.pdf). If the application contains 

CBI information, submit two versions of the document: a complete version containing CBI and an 

edited version with the CBI redacted (http://www.aphis.usda.gov/brs/pdf/Doc_Prep_Guidance.pdf).

Business submitters must claim and write a justification for information claimed as CBI. Each 

page claimed to contain CBI must be denoted "CBI-Copy" at the top of each page; then those 

claims are analyzed within APHIS.

Mail paper applications to: 

APHIS BRS, Permit Staff 

4700 River Road, 6th Floor, Unit 91

Riverdale, MD 20737

Set up an ePermits Account

Users (permit applicants) are required to sign up for an eAuthentication account to access 

ePermits. An eAuthentication account consists of a User ID, a password, and your customer 

profile which contains information about you that will allow USDA to confirm that you have the 

correct permissions to view the website. Please note that USDA will only accept 

eAuthentication accounts from individuals. Currently USDA eAuthentication does not have the 

mechanism to issue accounts to businesses, corporations, or other entities.

Once you receive your User ID and password, it provides a centralized authentication service for 

all web-based services across the Federal government. Currently, USDA offers accounts with 

either Level 1 or Level 2 access. Level 1 is available immediately upon completing the on-line 
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application. With Level 1 access applicants may complete the permit application online, but then 

must print their application and mail a signed and dated copy to APHIS. With Level 2 access, 

permitting activities related to the permit application and permit issuance occur over the internet. 

Level 2 access requires independent verification of identity. For further information on setting 

up an eAuthentication account:

• For general information about setting up an account: 

http://www.eauth.egov.usda.gov/eauthWhatIsAccount.html

• For further assistance in setting up an account:

http://www.eauth.egov.usda.gov/USDA%20eA%20Registration%20Job%20Aid_v2.0.pd

f

• To submit an online application: http://www.aphis.usda.gov/permits/learn_epermits.shtml

Helpful Tips for ePermits

• The first step in creating a permit is to select the type of application: (1) Permit or 

Notification; (2) CBI or no-CBI; (3) Release, Importation or Interstate movement; (4) 

Courtesy or Not Courtesy Permit. Because each type of application has different data 

entry fields, applicants must select the appropriate type of application before continuing 

to enter the permit information. Once a type of application is selected permit applicants

cannot go back and change the type of application. Guidance for selecting the 

appropriate type of permit application is provided below. If you have questions about 

what type of permit is appropriate send an email to biotechquery@aphis.usda.gov. 

• After the appropriate type of application is selected, navigate through the application by 

selecting the text under the dots in the navigation map (see figure below).

• When entering data, some of the data entry boxes are required and these are denoted by 

an asterisk (*) in ePermits and in this guidance document. Other data may be used to 

assist APHIS in conducting its review and carrying out other functions associated with 

the permit, such as inspection and compliance. 

• Use drop down menus when they are provided. 

• Select Continue before leaving a data entry screen or the changes will be lost. 

• If you cut and paste text from another document embedded electronic codes may be 

transferred along with the text, which may cause problems in application submission. To 

remove these codes paste text from a program like Notepad.

• Special characters (i.e., alpha, beta, gamma, infinity, etc.) may be used, see 

https://epermits.aphis.usda.gov/epermits/xml_schema/Special%20Characters%20for%20t

he%20Web.doc

• You must submit the movement permit application at least 60 days and the release permit 

application at least 120 days before the permitted activity will occur.

• Data entry boxes have maximum character limits. To check the character limits of all 

data entry boxes, see 
USDA-APHIS-BRS Permit User’s Guide

13

https://epermits.aphis.usda.gov/ePermits/XML_SCHEMA/BRS_Permit_DATA_

TABLES_2_0.doc

• Contact ePermits Help desk if you are experiencing difficulties with 

ePermitsePermitshelp@aphis.usda.gov, (866) 794-2827.

Create a Permit Application

Log on to ePermits and select Create an Application and select Biotechnology Regulatory 

Services. If an application has been previously submitted, the permit can be copied and 

resubmitted (From the home screen, select All saved applications, select Copy).

For questions regarding APHIS notifications and permits send inquiries to 

biotechquery@aphis.usda.gov. 

Permit or Notification

In the next screen for the purposes of this documentation it is assumed “BRS Permit for the 

Introduction of Genetically Engineered Organisms” will be selected. 

The alternative is a BRS notification (§ 340.3), which is an administratively-streamlined 

alternative to a permit, applicable only to plants that meet specified eligibility criteria. The 

large majority of applications involving plant species are for notifications not permits. For 

further information on notifications, see User’s Guide: Notification,

https://www.aphis.usda.gov/biotechnology/downloads/notification_guidance_0311.pdf. 

Common reasons to submit a permit instead of a notification:

• The regulated organism is not a plant (e.g., virus, bacterium, fungus or insect)

• The function of the inserted genetic material is unknown

• The intended use is for the production of an industrial or pharmaceutical product

• The release will be conducted for more than one year (e.g., perennials that stay in the 

ground for more than one year)

• Introduced DNA is derived from an animal/human virus

Select Agent

The Agricultural Bioterrorism Protection Act of 2002 requires entities that possess, use, or 

transfer biological agents or toxins deemed a severe threat to animal or plant health or products 

to notify and register with APHIS. This law is designed to improve the ability of the United 

States to prevent, prepare for, and respond to bioterrorism and other public health emergencies 

that could threaten public health and safety or American agriculture. A list of select agents and 

toxins is available at: http://www.selectagents.gov/. If the organism is a select agent, follow the 

instructions in ePermits for select agent permits. 

Submission Method 
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14

Applicants can enter data directly into ePermits (Web Form Entry) or upload eXtensible 

Markup Language (XML) files. For more information on the rules governing the structure and 

content acceptable for XML permit applications and a sample XML permit, see

https://epermits.aphis.usda.gov/ePermits/XML_SCHEMA/permit.html.

Application Ownership - Responsible Person or Preparer

The applicant is the person responsible for the information provided in the permit and who has 

control and will maintain control over the introduction of the regulated article to ensure 

compliance with Federal regulations and permit conditions. ePermits allows the option for a 

person to prepare the application and then forward the application to the responsible person for 

submission. Indicate if you are the preparer or the responsible person. At the end of the permit 

application process, the preparer will be prompted to send an email to the responsible person at 

the end of the application process. The responsible person then logs into ePermits to submit the 

application. All ePermits communications from APHIS regarding the permit will be made to the 

responsible person.

Select New Permit, Amendment, Renewal

Amendments

After a permit is issued, and prior to the expiration date, modifications may be made to the permit 

using the permit amendment process. When applying for a permit amendment the proposed 

changes should be clearly described. Because administrative and review steps are the same 

for an amendment as that for a permit, a permit amendment may take up to 60 days and a 

release amendment may take up to 120 days. At this time ePermits does not have the 

capability to amend permits via the XML process. They must be amended via the web

forms method of entry.

Amendments may add certain items; the commonly requested amendments are to: 

• Add genetic constructs

• Add release sites, in States already listed in the permit or new States

• Change disposal methods

• Change the date of plantings/releases, as long as they are after the effective date and 

before the expiration date

• Add or modify SOPs or Design Protocols

• Add containment facilities

• Increase the size of shipments

• Increase the acreage for release sites

Amendments may not be used to:

• Change the effective or expiration dates of the permit

• Add new recipient species

• Add new plantings/releases that extend the permit beyond the expiration date
USDA-APHIS-BRS Permit User’s Guide

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• Remove a release location or construct1

Renewal

If you indicate that the permit is a renewal of a previously issued permit, information from the

previous permit will be copied into the new ePermits application. The new permit application can 

then be modified as needed. These modifications should be described as Additional Information

in the Application section of the permit application. A renewal of an application is essentially 

treated similarly to a new application, with a comparison to the previous application aiding and 

perhaps expediting with the review process. If renewal is selected you will be asked to provide 

the permit number that is being renewed. 

Courtesy Permit

Courtesy permit

(1) Issuance. The Administrator may issue a courtesy permit for the introduction of organisms 

modified through genetic engineering which are not subject to regulation under this part to 

facilitate movement when the movement might otherwise be impeded because of the 

similarity of the organism to other organisms regulated under this part. 

(2) Application. A person seeking a courtesy permit shall submit on an application form 

obtained from APHIS data required by paragraphs (b) (1), (2), and (5) of this section and 

shall indicate such data is being submitted as a request for a courtesy permit. A person 

should also include a statement explaining why he or she believes the organism or product 

does not come within the definition of a regulated article. The application shall be 

submitted at least 60 days prior to the time the courtesy permit is sought. 

(3) Administrative action. APHIS shall complete an initial review within 15 days of the date 

of receipt of the application. If the application is complete, the responsible individual shall 

be notified of the date of receipt of the application for purposes of advising the applicant 

when the 60 day review period commenced. If the application is not complete, the 

responsible individual will be advised what additional information must be submitted, and 

shall commence the 60 day review period upon receipt of the additional information, 

assuming the additional information submitted is adequate. Within 60 days from the date 

of receipt of a complete application, APHIS will either issue a courtesy permit or advise 

the responsible individual that a permit is required under paragraph (b) or (c) of this

section. § 340.4(h)

Upon request, APHIS issues courtesy permits for nonregulated organisms upon request in order 

to facilitate their movement, which might otherwise be impeded because of the similarity of the 

organism to other regulated organisms. A genetically engineered organism is considered a 

regulated article if the donor organism, recipient organism, vector or vector agent used in 

engineering the organism belongs to one of the taxonomic groups listed in § 340.2 and is also a 

plant pest, or if there is a reason to believe it is a plant pest. 

 1 There is no need to remove this information from an approved permit. If a location or construct will be not be 

used, that information will be reflected in the planting reports.
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Since most transgenic Drosophila developed for research purposes do not contain genetic 

sequences from plant pests and are themselves not considered plant pests, most transgenic 

Drosophila do not require permits from APHIS for their movement. However, shipments 

manifested as “fruit flies” have recently raised agricultural and environmental concerns because 

this common name also refers to plant pests like the Mediterranean and oriental fruit flies.

In the past, APHIS has accepted courtesy permit applications for importations of nonregulated 

Drosophila that were based upon a template of a partially-completed APHIS Form 2000. 

Applications based upon this template are no longer being accepted to issue courtesy permits. 

APHIS requires applicants requesting a courtesy permit for Drosophila importations to apply 

through ePermits with all required information, including details of the inserted construct. This 

information is necessary for APHIS to confirm that the transgenic Drosophila is not a regulated 

article before issuing a courtesy permit. For additional information, please contact 

biotechquery@aphis.usda.gov.

Similarly, the movement of products that have been purified from plants that are genetically 

engineered or produced using genetically engineered plant viruses do not require a permit under 

§ 340. For example, if tobacco mosaic virus that is genetically engineered to produce a 

compound is inoculated onto nonregulated tobacco plants and the compound is purified from the 

inoculated tobacco plants using procedures that would eliminate the GE virus, a permit is not 

required for the movement of the purified compound. An applicant should supply data in the 

courtesy permit application validating the claim that the purified product does not contain 

genetically engineered tobacco mosaic virus. Following review of the data, APHIS may issue a 

courtesy permit to facilitate movement of the engineered product.

Select the Introduction Type

Number of Releases, Points of Origins, Destinations and Duration

A single permit application may request interstate movements that originate at multiple points of 

origin and goes to multiple destinations. For introductions into the environment, a single permit 

may request multiple plantings or releases (for microbes or insects) at multiple locations. 

Importation permit applications must have only one point of origin and only one destination. 

Permit applications for importation cannot be combined with interstate movement or release.

Most release and movement permits are valid for only one year. The exception is for release 

permits for perennial plants or plants where the life cycle of the plant takes more than one year. 

Release permits for perennials can be valid for up to 3 years. However, for combined movement 

and release permits, even when the release portion of the permit extends beyond one year, the 

movement portion of the permit is valid for one year only. Applicants must reapply yearly for 

the movement portion of the release. Drosophila courtesy permits may extend up to 3 years.

A permit is valid from the “Effective” date through the “Expires” date listed on the permit. The 

“Issued” date is the date that APHIS issues the permit. All activities associated with the 

introduction, excluding post-harvest volunteer monitoring, must be carried out after the effective 
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date and before the expiration date listed on the permit. Applicants may submit applications and 

request that the “effective” date occur after the “date issued”. The permit will be issued with 

only a single effective date using the earliest date entered in the permit application.

Select Confidential Business Information (CBI) or No CBI

Information determined to be CBI is protected from public disclosure. All documents submitted 

to APHIS are subject to the Freedom of Information Act (FOIA), which requires that records 

submitted to Federal agencies be made available to the public

(http://www.aphis.usda.gov/brs/pdf/Doc_Prep_Guidance.pdf). APHIS provides the public with 

documents it receives when formally requested through the APHIS FOIA office. Additionally, 

APHIS voluntarily makes many submitted documents freely available on its website 

(http://www.aphis.usda.gov/biotechnology/brs_main.shtml). FOIA exempts from disclosure 

certain types of information related to trade secrets and commercial or financial information, 

collectively referred to as CBI. Documents submitted to APHIS that contain CBI require special 

handling. Only the information deemed to be CBI will be withheld from public disclosure. This 

applies to information submitted by any method approved by APHIS. 

For more information about the type of information that can be claimed as CBI see,

http://www.aphis.usda.gov/brs/pdf/Doc_Prep_Guidance.pdf.

Or contact: 

Document Control Officer 

USDA APHIS BRS 

4700 River Road, Unit 91 

Riverdale, Maryland 20737 

(301) 851-3892 or (301) 851-3877

When entering information into ePermits that is to be protected as CBI, surround it with square 

brackets ([ ]). If you try to use another separator, your CBI will not be protected. Before 

submission, take a look at a pdf CBI-deleted version of the permit application to check for any 

CBI information.

Application Submission – Data Requirements

The application shall include the following information:

(1) Name, title, address, telephone number, signature of the responsible person and type of 

permit requested (for importation, interstate movement, or release into the environment);

(2) All scientific, common, and trade names, and all designations necessary to identify the: 

Donor organism(s); recipient organism(s); vector or vector agent(s); constituent of each 

regulated article which is a product; and, regulated article;

(3) Names, addresses, and telephone numbers of the persons who developed and/or supplied 

the regulated article;

(4) A description of the means of movement (e.g., mail, common carrier, baggage, or hand 

carried (and by whom));
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(5) A description of the anticipated or actual expression of the altered genetic material in the 

regulated article and how that expression differs from the expression in the non-modified 

parental organism (e.g., morphological or structural characteristics, physiological 

activities and processes, number of copies of inserted genetic material and the physical 

state of this material inside the recipient organism (integrated or extrachromosomal), 

products and secretions, growth characteristics);

(6) A detailed description of the molecular biology of the system (e.g., donor-recipient-vector) 

which is or will be used to produce the regulated article;

(7) Country and locality where the donor organism, recipient organism, vector or vector agent, 

and regulated article were collected, developed, and produced;

(8) A detailed description of the purpose for the introduction of the regulated article including 

a detailed description of the proposed experimental and/or production design;

(9) The quantity of the regulated article to be introduced and proposed schedule and number of 

introductions;

(10) A detailed description of the processes, procedures, and safeguards which have been used 

or will be used in the country of origin and in the United States to prevent contamination, 

release, and dissemination in the production of the: Donor organism; recipient organism; 

vector or vector agent; constituent of each regulated article which is a product; and 

regulated article;

(11) A detailed description of the intended destination (including final and all intermediate 

destinations), uses, and/or distribution of the regulated article (e.g., greenhouses, 

laboratory, or growth chamber location; field trial location; pilot project location; 

production, propagation, and manufacture location; proposed sale and distribution 

location);

(12) A detailed description of the proposed procedures, processes, and safeguards which will 

be used to prevent escape and dissemination of the regulated article at each of the 

intended destinations;

(13) A detailed description of any biological material (e.g., culture medium, or host material) 

accompanying the regulated article during movement;

(14) A detailed description of the proposed method of final disposition of the regulated article. 

§ 340.4(b)

Enter your specific permit data into the appropriate ePermits data entry boxes. Navigate within 

the sections in the permit by selecting the different dots, or the text below it, on the red line 

(=Metro Map).

Provide a CBI Justification Statement

If the application contains *Confidential Business Information (CBI), it must be justified in 

terms related to competitive harm due to its release. Information is not protected from disclosure 

simply because the applicant does not want the information to be made public. The applicant 

must include a statement justifying all claims of CBI. The statement must be detailed enough to 

demonstrate that each piece of information claimed as CBI meets the definitions of trade secret 
USDA-APHIS-BRS Permit User’s Guide

19

or commercial or financial information. Each piece of information that is claimed as CBI must 

be justified in the statement. For examples of the type of information that can be claimed as CBI 

and the definitions of commercial or financial harm, see 

http://www.aphis.usda.gov/brs/pdf/Doc_Prep_Guidance.pdf. 

Purpose of Permit

*Choose the Purpose of the Permit from the drop down menu.

Industrial Product

Select Industrial if the engineered plant meets all three of the following criteria (68 FR 46434-

46436, http://www.aphis.usda.gov/brs/fedregister/BRS_20030806a.pdf; 70 FR 23009-23011, 

http://www.aphis.usda.gov/brs/fedregister/BRS_20050504a.pdf):

1. The plants are engineered to produce compounds that are new to the plant.

2. The new compound has not been commonly used in food or feed.

3. The new compound is being expressed for non-food, non-feed industrial uses.

Industrial uses include, but are not limited to, detergent manufacturing, paper production, 

biofuels and mineral recovery. Designation of industrial applies only to plants. Microbes that 

are engineered to produce industrial compounds should be entered as “traditional”.

Pharmaceutical Product

Select Pharmaceutical if the compounds produced are intended for pharmaceutical use and 

would need to be approved from at least one of the following agencies prior to 

commercialization:

• FDA Center for Biologics Evaluation and Research (human biologics)

• FDA Center for Drug Evaluation and Research (human drugs)

• FDA Center for Veterinary Medicine (animal drugs)

• USDA Center for Veterinary Biologics (animal biologics)

Phytoremediation

Select Phytoremediation if the compounds produced are intended for phytoremediation or 

mineral recovery. Applicants are encouraged to consult with APHIS for traits involving 

phytoremediation or mineral recovery to determine if these require a permit or are eligible for 

notification. For instance, plants would require a permit when engineered for phytoremediation 

or mineral recovery even if the plants are not intended for final use in food or feed. 

Alternatively, plants engineered for tolerance to heavy metals and which do not accumulate 

heavy metals and/or toxins and plants engineered for metabolic pathway research may qualify 

for notification.

Traditional

Select Traditional for all other permits. The majority of permits fall under this category.
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Means of Movement

*Means of Movement - Indicate if by mail, common carrier, baggage or hand carried.

Additional Information 

Use this section to include any additional information that may support the applicant’s

certification that the regulated article will be introduced in accordance with § 340.4. The 

information provided here will appear at the end of the final permit application.

Variance

General requirements. A regulated article shall not be moved unless it complies with the 

provisions of paragraph (b) of this section, unless a variance has been granted in accordance 

with the provisions of paragraph (c) of this section. § 340.8(a)

Request for a variance from container requirements. A responsible person who believes the 

container requirements normally applicable to the movement of the person's regulated 

article(s) are inappropriate due to unique circumstances (such as the nature volume or life 

stage of the regulated article) may submit in an application for a permit a request for a 

variance from the container requirements. The request for a variance under this section shall 

consist of a short statement describing why the normally applicable container requirements are 

inappropriate for the regulated article which the person proposes to move and what container 

requirements the person would use in lieu of the normally prescribed container requirements. 

USDA shall advise the responsible person in writing at the time a permit is granted on the 

person's request for a variance. § 340.8(c)

*A variance from the container requirements can be requested if the container requirements 

normally applicable to the movement of the regulated article under § 340.8 are unsuitable due to 

unique circumstances (see under the section Confinement Protocols for Movement for the 

regulations at § 340.8). Acceptable variances generally require a minimum of two levels of 

containment where each level can independently contain the regulated article in the event of a 

breach of one level of containment. Applicants should consider the following in deciding on the 

alternate packaging: the amount of the material being moved, the distance, the method of 

movement, the construction and capacity of containers and their suitability for the regulated 

article being shipped, and how the container will be sealed. 

Container variance requests may be submitted with the permit application or requested before 

the application is submitted. APHIS will review the variance request for adequacy in 

containment, and notify the applicant if the variance was approved or denied. A container 

variance is assigned a variance number and may be applicable to the permit application and 

future permits. If a previously approved variance is being applied to the permit application, 

briefly summarize why the variance is applicable.

Applicant
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Person. Any individual, partnership, corporation, company, society, association, or other 

organized group. § 340.1

Responsible person. The person who has control and will maintain control over the 

introduction of the regulated article and assure that all conditions contained in the permit and 

requirements in this part are complied with. A responsible person shall be a resident of the 

United States or designate an agent who is a resident of the United States. § 340.1

The responsible person (= applicant) will maintain control over the introduction of the regulated 

article and assure compliance with the permit conditions and regulatory requirements. The 

responsible person must have an ePermits account and be a resident of the United States, or must 

designate an agent who is a resident of the United States. APHIS discourages the designation of 

temporary employees (e.g., post-doctorates or graduate students) as responsible parties. 

For movement permit applications, the responsible person may be the shipper or the recipient. In 

either case, the responsible person must make certain that all permit conditions are carried out.

Provide the Title, *First Name, *Last Name, applicant Position, *Organization Name

Organization Code - If you enter an existing Organization Code, when you submit the permit an 

email will be sent to the organization's administrator. If you do not have an Organization Code 

and would like one assigned please contact: Cynthia.A.Eck@aphis.usda.gov.

Provide the *Address, *City, *State, County/Province, Township/Island, *State, *ZIP Code,

*Day Telephone, FAX, Alternate Telephone, *Email 1, Email 2 (ePermits correspondence 

will only be sent to the email address listed as Email 1. The second email address may be used 

for communications outside of ePermits.

Article

The responsible person may apply for a single limited permit for the interstate movement of 

multiple regulated articles in lieu of submitting an application for each individual interstate 

movement. § 340.4(c)(1)

A single permit application may include multiple lines derived from more than one 

transformation event and/or multiple constructs. In general all lines described in a single permit 

are from the same species. 

If you wish to apply for a movement permit for more than one species, separate the regulated 

articles by a comma. In some rare cases release permits for more than one species that are 

biologically similar may be combined in a single permit (e.g., Nicotiana spp, Citrus spp.). In all 

cases, list out the names of all the species contained in the permit.

*Scientific Name

Provide the scientific name for the recipient organism. Please use the drop down menu.
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Common Name, Cultivar and/or Breeding Line may be provided.

*Biological Material Accompanying the Regulated Article

Any biological material (e.g., culture medium or host material) accompanying the regulated 

article during movement should be described.

*Provide the country and locality where the donor organism, recipient organism, and 

vector or vector agent were collected, developed, and produced. 

o If the recipient organism is a plant or animal pest provide the strain, isolate, race, 

pathovar, etc. Indicate if the strain, isolate, race or pathovar of the pathogen is known to 

be present at the destination.

o If the origin is outside of the U.S. indicate if the virulence (host range and disease 

severity) is similar to strains known to occur in the U.S.

Article Supplier/Developer and a Summary Processes, Procedures, and Safeguards 

Description for Releases

A detailed description of the processes procedures and safeguards which have been used or 

will be used in the country of origin and in the United States to prevent contamination release 

and dissemination in the production of the: Donor organism; recipient organism; vector or 

vector agent; constituent of each regulated article which is a product; and the regulated article. 

§ 340.4(b)(10)

Article Supplier/Developer United States Verification

Provide the name of the person who developed and/or supplied the regulated article for this 

permit application and indicate if they reside in the United States.

Article Supplier/Developer Summary

Provide the name, address and phone number of the article supplier or developer: *First Name, 

*Last Name, *Address, *Zip Code and *Telephone number. Provide the Country if the 

supplier or develop resides outside the United States.

For releases (not required for movement permits) describe the *Processes, Procedures, and 

Safeguards that were used or will be taken in the production of the regulated article to prevent 

contamination, release or dissemination of the donor, recipient or vector/vector agent; constituent 

of each regulated article which is a product; and the regulated article.

Phenotypes/Genotypes Summary

Phenotypic Designations

Provide a phenotypic and genotypic description and origin of all transgenic DNA. Refer to the 

attached permits for examples of correctly formatted entries. Select Add.
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Phenotypic Designation Name is a unique designation given to a transformed line or lines that 

all contain the same construct. This field allows applicants to consistently identify the 

transformed line in all future documents submitted to APHIS (e.g., planting/release reports, 

permits, or petitions to grant nonregulated status, etc). The designation can be a name, number, 

short phrase, or any other unique identifier provided by the applicant to assist both the applicant 

and APHIS in tracking the transformed line. Events with multiple constructs (stacks) would be 

considered a single phenotype designation. 

Each unique phenotype designation is separately added to the application. If phenotype 

designations are similar, there is an option in ePermits to copy and edit the entered construct 

information to save time. 

Event/Line(s)

List line(s) to be introduced which carry a given construct. Use Commas to separate multiple 

lines/events.

*Construct(s)

Provide the name of the construct that was inserted to generate the identifying line(s).

*Mode of transformation

Provide the method used to insert the construct into the plant genome (e.g., biolistic 

transformation, disarmed Agrobacterium-mediated transformation, etc.) selecting from the drop 

down menu (preferred method) or type in your own.

Phenotype Description

A description of the anticipated or actual expression of the altered genetic material in the 

regulated article and how that expression differs from the expression in the non-modified 

parental organism (e.g., morphological or structural characteristics, physiological activities 

and processes, number of copies of inserted genetic material and the physical state of this 

material inside the recipient organism (integrated or extrachromosomal), products and 

secretions, growth characteristics). § 340.4(b)(5)

For release permit applications (not required for movement applications, but may be provided), 

provide a short summary of the phenotype.

Phenotypes

*Phenotype Category

Select one or more of the appropriate two-letter codes from the drop down menu. If the construct 

confers more than one phenotype, select all of the codes that apply.

VR = Virus Resistant

HT = Herbicide Tolerant

IR = Insect Resistant

FR = Fungus Resistant
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BR = Bacterium Resistant

NR = Nematode Resistant

PQ = Product Quality

AP = Agronomic Properties

MG = Marker Genes

OO = Other

Product quality - delayed ripening of fruit, altered amino acid or oil profile, modified seed 

storage proteins, enhanced floral characteristics for ornamentals, increased solids in fruit, etc. 

Agronomic properties - increased yield, drought tolerance, cold tolerance, tolerance to 

environmental stresses, enhanced nitrogen use, male sterility, etc.

Other - Anything that does not clearly fall into one of the other categories. For example, control 

lines transformed with empty vectors.

*Phenotype

Enter or use the drop down menu for the specific phenotype/trait created by the genetic 

modification. For example, if the category is HT, then the phenotype is tolerance to a specific 

herbicide. 

If the recombinant line contains more than one phenotypic category, select Add Phenotype; if 

not, select Continue. 

Genotype

A detailed description of the molecular biology of the system (e.g., donor recipient vector) 

which is or will be used to produce the regulated article. § 340.4(b)(6)

*Provide all inserted genetic material: See examples in the Appendix - Sample Permit 

Applications. 

Select the genotype from the drop down menu (Gene Silencer, Gene of Interest, Screenable 

Marker or Selectable Marker), or type in a value.

Construct Components

Enter each construct component, one at a time until each component (promoter, gene, etc.) is 

added. Keep selecting Add to Construct Components until all components are added 

individually.

*Construct Component Type

Select the construct component type from the drop-down menu (e.g., 3’UTR, 5’UTR, enhancer, 

promoter, gene or terminator) or enter in your own. The construct component types are entered 

one at a time and should be selected in the 5’ to 3’ order (e.g., promoter, gene, terminator).

*Construct Component Name

Enter a one to three word summary based on the gene or phenotype (e.g., catalase, extensin, 

peroxidase, Cry1Ab, etc.). Only common components should be abbreviated (e.g., 35S, GUS, 

GFP, NPTII, BAR, NOS, etc.).
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*Construct Component Donor

• Provide the scientific name (genus and species) of the organism from which the genetic 

material was obtained. 

• Manually enter the scientific name only if it cannot be found in the drop-down menu.

• For viruses do not use abbreviations; spell out the name (enter Cauliflower Mosaic 

Caulimovirus, not CMV).

• If there are two or more donor organisms, separate their names with a comma (e.g., Genus 

species1, Genus species2).

• If the sequence was synthesized in vitro based on the sequence from an organism, enter 

the organism from which the sequence originated. Indicate that the donor is “synthetic” 

or “artificial sequence” only when the origin is truly synthetic (e.g., histidine tag).

*Construct Component Detailed Description of Function

Provide a detailed description of the construct component function. Spell out abbreviated genes 

(e.g., beta- glucuronidase, green fluorescent protein, etc.). Indicate if the genetic element is 

truncated or modified. For lesser known components you may provide references to assist 

APHIS in conducting the review.

If applicable, indicate the donor name and indicate that the donor organism is a select agent, 

when any of the donor organisms are on the select agent list or is an organism that produces one 

of the toxins on the select agent and toxin list, in accordance with the Public Health Security and 

Bioterrorism Preparedness and Response Act of 2002. A list of select agents and toxins is 

available at http://www.selectagents.gov/.

Add All Construct Components

Select Add to Construct Components or select Continue. (You must add more than one 

construct component before proceeding.) Construct component types can be sorted to order 5’ to 

3’ if they were not originally entered in this order, by using the up and down arrows.

In ePermits, genotype refers to a single gene. If the construct contains 2 genes, then the 

applicant must complete the construct components section twice, once for each of the 2 genes. 

Phenotypes/Genotypes Summary

Select “I want to enter a new genotype for this designation” to add another genotype if it has 

the same phenotype as the construct just entered.

Select “I want to view ALL phenotypic designations or add a new description” if you want 

to add another phenotypic designation (e.g., a new line). This will take you back to the primary 

“Phenotypic Designations” page where you can review what you have entered, and add, edit, 

copy, or delete as needed. Continue this process until all constructs that will be covered by the 

permit are included. 
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Select “I am done entering all the phenotypic designations(s) for this permit application” 

when finished adding all genetic data.

Interstate Movement & Release Locations Summary

Add points of origins and destinations for a movement permit; add release sites for release 

permits.

Location – Movement Permits

If a permit is sought for multiple interstate movements between contained facilities the 

responsible individual shall specify in the permit application all the regulated articles to be 

moved interstate; the origins and destinations of all proposed shipments; a detailed description 

of all the contained facilities where regulated articles will be utilized at destination; and a 

description of the containers that will be used to transport the regulated articles. A limited 

permit for interstate movement of a regulated article shall only be valid for the movement of 

those regulated articles moving between those locations specified in the application. If a 

person seeks to move regulated articles other than those specified in the application, or to a 

location other than those listed in the application, a supplemental application shall be 

submitted to APHIS. § 340.4(c)(1)

The responsible person seeking a permit for the importation of a regulated article shall submit 

an application for a permit prior to the importation of each shipment of regulated articles. 

§ 340.4(c)(2)

Point of Origin

For movement permit applications provide the * Location name, *County/Province, *State. 

For importation permit applications provide the *Country of Origin.

Select Enter New Contact, and then enter *First Name, *Last Name,*Telephone.

Destination

For movement permit applications provide the * Location name, *County/Province, *State.

Start and End Dates

Provide the*Proposed Start Date and *Proposed End Date. See the section above entitled 

“Number of Releases, Points of Origins, Destinations and Duration” for guidance of the 

maximum duration of movement permits. 
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Quantity

*Quantity – Provide an estimate of the maximum quantity or regulated article(s) representing the 

total quantity of all movements for the duration of the permit. This quantity can only be 

increased with a permit amendment.

*Unit of Measure – Use the drop down menu to select kilograms, pounds, individuals, 

milliliters, etc.

*Material Types – Use the drop down menu to select: adults, eggs, eppendorf tubes, flowers,

fruit, larvae, leaves, petri dishes, plantlets in vitro, pupae, roots, seeds, stems, whole plants, or 

enter a material type. Multiple types can be indicated.

*Destination inspection – Provide information on any previous facility inspection by APHIS 

and the associated permit number.

Select Enter New Contact, and then enter *First Name, *Last Name,*Telephone 

Location – Release Permits

Location Unique ID

The *Location Unique ID allows the identification of each site in the application and subsequent 

reports. Each Unique ID can only be used once within the application and must be different for 

each location. It should consist only of letters, numbers and dashes (no special characters other 

than dashes are allowed). The same Unique ID may be used for the same location on different 

permits (or notifications), but must be unique within each permit.

GPS Coordinates Location Name

*Location Name is that used to designate the location, such as “Green’s Farm.”

*County/Province,*State. The county name provided must be that of the release site, not the 

grower or contact person associated with the site.

*Provide GPS Coordinates for the proposed release site in decimal degrees format. Round 

coordinates to six decimal places. For most all U.S. locations the latitude values are positive 

(17.0 to 50.0) and the longitude values are negative (-68.0 to -160). 

If only one coordinate pair is entered it should be located close to the northwest corner of the 

proposed release location. If the exact location of the release site is yet to be determined, 

provide GPS coordinates for the boundaries that encompass the possible area that will contain 

the release and the area to be monitored (includes the area monitored for separation distance). 
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If the GPS Coordinates are CBI

If you indicated that the application contains CBI, you may check the CBI box if the coordinates 

are CBI. Unlike other CBI information contained in the permit application, do not enclose the 

GPS coordinates in brackets. 

*Release Site History

Provide the land use history prior to this application. If the land has been in agricultural 

production, indicate for approximately how many years has the release site and the area to be 

monitored been used as such. Specify the type of agricultural activity (e.g., cropping, pasture, 

orchard, managed forest). If the permit application is a renewal, be sure to update the land use 

history to include recent field release activity. 

Describe the areas around the research site. For example, is this an agricultural research farm 

surrounded by other agricultural research or production; are there sexually compatible species in 

the surrounding area; is this area used for breeding studies of the same species that is in the 

application?

If you are changing the type of land use by establishing this release, please explain the nature of 

the change. For example, are you converting pasture land to an agricultural cropping system; are 

you converting a noncommercial forest into a research or commercial operation; are you 

converting pasture or grasslands into a biofuel research area? APHIS requires information on 

changes in land use history and sexually compatible species in the area because they could 

impact isolation conditions or threatened or endangered species (TES), including critical habitat.

Critical Habitat Analysis for Threatened and Endangered Species

APHIS analyzes the potential for effects of the permit on federally listed threatened and endangered 

species (TES) and species proposed for listing, as well as designated critical habitat and habitat 

proposed for designation, as required under Section 7 of the Endangered Species Act (ESA). To 

facilitate this analysis, permit applicants should provide their preliminary Critical Habitat analysis 

which is reviewed by APHIS and used in our final analysis.

*Is the proposed release site and/or the area requiring monitoring (or the area within the 

boundaries of the possible release/monitoring area for sites where the release site has yet to be 

determined) within designated critical habitat for a listed threatened or endangered species or 

within habitat proposed for designation under the Endangered Species Act (16 U.S.C., Section 

1531, Endangered Species Act (ESA) of 1973, as amended)? For guidance on conducting 

critical habitat analysis, see, Appendix - Guidance for Critical Habitat Analysis.

Start and End Dates

Provide the *Proposed Release Start Date and*Proposed Release End Date. This timeframe 

represents the time the regulated article is released. The duration of the permit, may extend for a 

longer timeframe (See the section above entitled “Number of Releases, Points of Origins, 

Destinations and Duration” for the maximum duration of release permits.)
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Number of Proposed Plantings or Releases

Enter the number of *plantings (for plants) or releases (for microbes or insects) that are 

proposed at this location for the duration of the permit. One release may span several days 

however, if there is a gap of more than 30 days when no releases take place, the next release date 

will constitute the beginning of a new release. Provide a number, do not state “multiple,” 

“many,” etc. 

You may propose a greater number of releases or plantings/releases than is actually planted or 

released to cover unexpected planting/release needs. Additional plantings/releases beyond those 

indicated in the permit are only authorized under a permit amendment so long as they do not 

extend the expiration date of the original permit.

For multiple plantings

Enter the number of plantings that will occur at this location. This is the number of times the 

total proposed quantity is planted in a year. For example, if the total proposed quantity is one 

acre and the full acre is harvested and replanted, the number of proposed plantings is two. If the 

one acre is planted over several weeks and a total of one acre is harvested, the number of 

proposed plantings is one. 

For multiple releases

Enter the number of releases that will occur at this location. 

Total Proposed Quantity

Enter the maximum proposed quantity in acres that will be in the ground at any given time. For 

permits where the release site size is CBI, if possible, provide APHIS with a non-CBI total 

acreage for the entire permit (in the Comments field) to include in the State letter. For microbes 

and insects indicate the largest area of release. For multiple plantings/releases, this value should 

represent the area of the largest planting /release, not the sum of all the plantings/releases. The 

area should exclude any sexually compatible border rows of non-GE crops, if planted. If the 

release is something other than plantings in the ground (e.g., plants in pots) you should indicate 

the number of the plants in the Comments field. Additional acreage is only authorized under a 

permit amendment.

For each location, enter a New Contact.

Design Protocols - Proposed Experimental Description and Production Design for 

Movement2

In the Design Protocols section describe procedures used to prevent unauthorized release into the 

environment and dissemination of the regulated article. Factors to consider are as follows:

Destination or Release Description for Movement

 2 Design Protocols will be reviewed by APHIS to ensure compliance with the regulations.
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*Provide the intended destination (including final and all intermediate destinations), uses, 

and/or distribution of the regulated article (e.g., greenhouses, laboratory, or growth 

chamber location; field trial location; pilot project location; production, propagation, and 

manufacture location; proposed sale and distribution location).

For plants

• What is the intended use?

• What are the final and intermediate destinations?

For microbes

• What is the intended use (e.g., virulence testing, DNA extraction for genetic analysis, 

etc.)?

• Where will it be used (e.g., laboratory, growth chamber, greenhouse)?

• Will plants be inoculated? If so, how will plants be inoculated and what plants will be 

inoculated?

• How is the pathogen dispersed? 

o If the pathogen be vectored by insects, what measures will be in place for insect 

control?

o If the pathogen is splash dispersed, what actions will be taken to ensure that it is 

not splash dispersed?

o If the pathogen is water dispersed, what measures will be taken to treat the water?

Confinement Protocols for Movement

General requirements. A regulated article shall not be moved unless it complies with the 

provisions of paragraph (b) of this section, unless a variance has been granted in accordance 

with the provisions of paragraph (c) of this section.

12 § 340.8(a)

Container requirements 

(1) Plants and plant parts. All plants or plant parts, except seeds, cells, and subcellular 

elements, shall be packed in a sealed plastic bag of at least 5 mil thickness, inside a sturdy, 

sealed, leak-proof, outer shipping container constructed of corrugated fiberboard, 

corrugated cardboard, wood, or other material of equivalent strength.

(2) Seeds. All seeds shall be transported in a sealed plastic bag of at least 5 mil thickness, 

inside a sealed metal container, which shall be placed inside a second sealed metal 

container. Shock absorbing cushioning material shall be placed between the inner and 

outer metal containers. Each metal container shall be independently capable of protecting 

the seeds and preventing spillage or escape. Each set of metal containers shall then be 

enclosed in a sturdy outer shipping container constructed of corrugated fiberboard, 

corrugated cardboard, wood, or other material of equivalent strength.

(3) Live microorganisms and/or etiologic agents, cells, or subcellular elements. All regulated 

articles which are live (non-inactivated) microorganisms, or etiologic agents, cells, or 

subcellular elements shall be packed as specified below:

(i) Volume not exceeding 50 ml. Regulated articles not exceeding 50 ml. shall be placed 

in a securely closed, watertight container (primary container, test tube, vial, etc.) 
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which shall be enclosed in a second, durable watertight container (secondary 

container). Several primary containers may be enclosed in a single secondary 

container, if the total volume of all the primary containers so enclosed does not 

exceed 50 ml. The space at the top, bottom, and sides between the primary and 

secondary containers shall contain sufficient nonparticulate absorbent material 

(e.g., paper towel) to absorb the entire contents of the primary container(s) in case 

of breakage or leakage. Each set of primary and secondary containers shall then be 

enclosed in an outer shipping container constructed of corrugated fiberboard, 

corrugated cardboard, wood, or other material of equivalent strength.

(ii) Volume greater than 50 ml. Regulated articles which exceed a volume of 50 ml. 

shall comply with requirements specified in paragraph (b)(3)(i) of this section. In 

addition, a shock absorbing material, in volume at least equal to that of the 

absorbent material between the primary and secondary containers, shall be placed 

at the top, bottom, and sides between the secondary container and the outer 

shipping container. Single primary containers shall not contain more than 1,000 

ml. of material. However, two or more primary containers whose combined 

volumes do not exceed 1,000 ml. may be placed in a single, secondary container. 

The maximum amount of micro-organisms or etiologic agents, cells, or subcellular 

elements which may be enclosed within a single outer shipping container shall not 

exceed 4,000 ml.

(iii) Dry ice. If dry ice is used as a refrigerant, it shall be placed outside the secondary 

container(s). If dry ice is used between the secondary container and the outer 

shipping container, the shock absorbing material shall be placed so that the 

secondary container does not become loose inside the outer shipping container as 

the dry ice sublimates.

(4) Insects, mites, and related organisms. Insects, mites, and other small arthropods shall be 

packed for shipment as specified in this paragraph or in paragraph (b)(3) of this section. 

Insects (any life stage) shall be placed in an escape-proof primary shipping container 

(insulated vacuum container, glass, metal, plastic, etc.) and sealed to prevent escape. Such 

primary container shall be placed securely within a secondary shipping container of 

crushproof styrofoam or other material of equivalent strength; one or more rigid ice packs 

may also be placed within the secondary shipping container; and sufficient packing 

material shall be added around the primary container to prevent movement of the primary 

shipping container. The secondary (styrofoam or other) container shall be placed securely 

within an outer shipping container constructed of corrugated fiberboard, corrugated 

cardboard, wood, or other material of equivalent strength.

(5) Other macroscopic organisms. Other macroscopic organisms not covered in paragraphs (b) 

(1), (2), and (4) of this section which do not require continuous access to atmospheric 

oxygen shall be packaged as specified in paragraph (b)(3) or (b)(4) of this section. All 

macroscopic organisms which are not plants and which require continuous access to 

atmospheric oxygen shall be placed in primary shipping containers constructed of a sturdy, 

crush-proof frame of wood, metal, or equivalent strength material, surrounded by escapeproof mesh or netting of a strength and mesh size sufficient to prevent the escape of the 

smallest organism in the shipment, with edges and seams of the mesh or netting sealed to 

prevent escape of organisms. Each primary shipping container shall be securely placed 

within a larger secondary shipping container constructed of wood, metal, or equivalent 
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strength material. The primary and secondary shipping containers shall then be placed 

securely within an outer shipping container constructed of corrugated fiberboard, 

corrugated cardboard, wood, or other material of equivalent strength, which outer 

container may have air holes or spaces in the sides and/or ends of the container, provided 

that the outer shipping container must retain sufficient strength to prevent crushing of the 

primary and secondary shipping containers. § 340.8(b)

The requirements of this section are in addition to and not in lieu of any other packing 

requirements such as those for the transportation of etiologic agents prescribed by the 

Department of Transportation in Title 49 CFR or any other agency of the Federal government.

Footnote 12 in § 340.8(a)

*Provide a description of the containers that will be used to transport the regulated article. 

Describe how contained movements of the regulated material will be conducted to prevent 

dissemination during transit, and how the regulated material will be stored at the destination 

facility to prevent unintended release. 

• How will the regulated material be packaged?

• How will the materials be identified, labeled and segregated in transit and during storage?

• How will the regulated article be kept separate from other organisms? 

• How will the regulated article be maintained in a manner so as to prevent the 

dissemination and establishment of plant pests?

• How will the regulated article be maintained only in areas and premises specified in the 

permit?

• How will the regulated article be identified with a label showing the name of the 

regulated article, and the date of importation?

• How will the material be identified so that persons handling the regulated articles will 

know that subsequent introductions (interstate movement or release not covered under the 

existing permit) require APHIS authorization? 

The shipping container requirements described in § 340.8 must be followed. If any variation 

from these methods will be used, a variance must be requested and approved (see Variance

above). 

Marking and Identity

Marking and identity.

(a) Any regulated article to be imported other than by mail, shall, at the time of importation 

into the United States, plainly and correctly bear on the outer container the following 

information:

(1) General nature and quantity of the contents;

(2) Country and locality where collected, developed, manufactured, reared, cultivated or 

cultured;

(3) Name and address of shipper, owner, or person shipping or forwarding the organism;

(4) Name, address, and telephone number of consignee;

(5) Identifying shipper's mark and number; and
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(6) Number of written permit authorizing the importation.

(b) Any regulated article imported by mail, shall be plainly and correctly addressed and mailed 

to APHIS through any USDA plant inspection station listed in §319.37–14 of this chapter 

and shall be accompanied by a separate sheet of paper within the package plainly and 

correctly bearing the name, address, and telephone number of the intended recipient, and 

shall plainly and correctly bear on the outer container the following information:

(1) General nature and quantity of the contents;

(2) Country and locality where collected, developed, manufactured, reared, cultivated, or 

cured;

(3) Name and address of shipper, owner, or person shipping or forwarding the regulated 

article; and

(4) Number of permit authorizing the importation;

(c) Any regulated article imported into the United States by mail or otherwise shall, at the time 

of importation or offer for importation into the United States, be accompanied by an 

invoice or packing list indicating the contents of the shipment. § 340.7

For import permits, refer to section § 340.7 (above) for package marking and identity during 

shipment.

Once the permit is issued, importation labels will be mailed directly to the applicant through the 

mail, generally 2-3 days after issuance.

No person shall move a regulated article interstate unless the number of the limited permit 

appears on the outside of the shipping container. § 340.4(c)(1)

For interstate movement permits, the permit number should be located on the outside of the 

package during movement under permit.

Final Disposition

*The proposed procedures, processes, and safeguards which will be used to prevent escape 

and dissemination of the regulated article at each of the intended destinations; 

• How will the regulated material be securely stored in a containment facility or devitalized 

in a way that will prevent persistence in the environment? 

• How will the packing material, shipping containers, and any other material 

accompanying the regulated article be treated to prevent the dissemination and 

establishment of plant pests?

Design Protocols - Proposed Experimental Description and Production Design for 

Release3

Production Design

 3 Design Protocols will be reviewed by APHIS to ensure compliance with the regulations.
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*Provide the purpose for the introduction of the regulated article including a detailed 

description of the proposed experimental (e.g., observation of agronomic characteristics, 

laboratory research, type (if any) of commercial product, phytoremediation, mapping virulence 

pathways, biological control, biomass production, etc.) and/or production design. If the 

introduction is part of a product development project, provide a non-confidential statement in 

layman’s language about the intended use of the product.

Destination or Release Description for Release

*Provide the intended destination (including final and all intermediate destinations), uses, 

and/or distribution of the regulated article (e.g., greenhouses, laboratory, or growth 

chamber location; field trial location; pilot project location; production, propagation, and 

manufacture location; proposed sale and distribution location). 

Describe where the regulated articles will be stored or grown. What will be the intended use?

Confinement Protocols for Release

Describe in detail the actions that will be taken throughout the duration of the permit and during 

the monitoring timeframe to maintain the regulated material at the release site and keep it 

separated from nonregulated material. Actions taken may consider the following:

Site Selection

• Can the isolation distance be maintained for the duration of the release?

• What is the proximity to sexually compatible wild or weedy relatives? 

• Is the location prone to flooding, high winds, animal incursion, or public access? If such 

circumstances should occur, provide measures that will be taken to avoid such situations.

• Can equipment be moved between the storage facility and release sites so as to minimize 

the loss of containment (e.g., to reduce the distance and avoid entering other fields)?

• Can markers be placed at the release site that are readily visible and not easily dislodged 

so that vehicles do not knock over the markers?

• How will access to the site be restricted to avoid unauthorized access (e.g., fencing etc.).

• Can the release site be accessed during the volunteer monitoring period?

Activities During the Release

• How will the release site be identified by flags, stakes and markers; and kept separated 

from other planting/release sites?

• Will there be alleys between the release site and neighboring release sites sufficient to 

allow movement of planting/release and harvesting equipment and other farm implements 

in such a way that seed or vegetative propagules do not become deposited outside of the 

release site and mixed with other materials? 

• Will there be a fallow zone immediately surrounding the release site to prevent 

inadvertent mixing with other nonregulated materials? 

• What type of isolation methods will be employed? 
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• What equipment will be used (e.g. planting, inoculation, harvesting, etc.) and will it be 

cleaned at the release site?

• Will persons granted access to the release site be cognizant of actions that must be taken 

to confine the regulated article to the release site?

• If bagging or netting is used or plants are not allowed to flower, how often and during 

what timeframe will the plants be checked for intact bags or presence of flowers? 

• How and how often will the site be monitored for deleterious effects on plants, nontarget 

organisms, or the environment?

• After harvest, how will the regulated material be labeled and kept separate from 

nonregulated material?

Plants

• Will the surrounding land be maintained free of reproductively compatible plants? The 

Association of Seed Certifying Agencies (AOSCA) publishes methods for maintaining

seed-stock purity. These methods include temporal and spatial isolation requirements, 

land use history, volunteer monitoring, etc. Isolation distance standards are published in 

AOSCA’s “Yellow Book,” which is only available online to members. However, seed 

isolation distances based upon AOSCA standards for most common crops are published 

in the Federal Seed Act Regulations (§ 201.76, see, https://www.ams.usda.gov/rulesregulations/fsa). APHIS considers these requirements as a reasonable starting point for 

designing confinement measures. It may be prudent to allow extra distance as a safety 

measure. All proposed isolation distance for release sites are evaluated on a case-by-case 

basis.

• What methods will be used to confine the pollen to the release site? What is the 

frequency and duration of monitoring to ensure confinement? Such as:

o isolation distance to sexually compatible wild or cultivated species

o pollen or pollination-proof caging, fine mesh screen

o bagging prior to flowering

o border rows to dilute and/or trap transgenic pollen

o flower removal prior to pollination

o plant growth regulators to block reproductive development

o temporal isolation

o netting to prevent pollination by insects

o use of a species, cultivar or engineered line that is sterile

• Are the seeds easily disseminated by wind, water or animals? If so what measure will be 

taken to confine the regulated material to the release site? Such as:

o use of screens or levees

o isolation from crops of the same type

o netting or bagging to prevent access by birds or insects

Microbes – Viruses, Bacteria & Fungi

• Can transgenes be transferred out of the engineered organism to other organisms? If so, 

explain the mechanism and include data, if available, on the frequency and species of 

organisms that could be potential recipients. 
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• Is the pest able to move and establish itself on other species in the surrounding 

environment? 

• Does the pest reproduce and survive on other plant species at the release site and 

surrounding environment? 

• What strain, isolate or pathovar is being used? Will plants be inoculated?

• For greenhouse work: What are containment measures for transport of microbe between 

lab and greenhouse?

• How is inoculation conducted at the release site?

• How is the microbe transmitted; and what control measures are required to conduct a 

release?

• Will weed host plants be removed? If so, what is duration and frequency of removal?

• Secondary spread of organism:

o Is secondary spread possible? If so, how is secondary spread controlled? 

o Can the microbe be vectored by an insect? If so, what control measures are in 

place to prevent insect contamination? 

o Can the organism be transmitted via seed? If so, how are seeds maintained and 

disposed of?

• Is disposition appropriate given the organism’s life cycle?

• Will plants be inoculated?

• Will plants be transformed?

• Generally, only pathogens that are widely prevalent in the release site area are allowed to 

be released.

• What are containment measures for transport of microbes between lab or greenhouse and 

the release site?

• Only pathogens that are the same or less virulent than the wild-type are allowed to be 

released. A virulence test in the laboratory or greenhouse is required prior to 

environmental release.

• What is the host range of the organism?

Final Disposition for Release

*Describe methods to be used to destroy or devitalize the regulated material after use (e.g., 

autoclaving, composting, chemical treatment), or how the regulated material will be returned to 

and maintained in a containment facility. Termination of the release into the environment must 

occur on or before the expiration date of the permit unless the permit has been renewed, except 

for multiyear permits for perennial that are renewed before the permit expires.

• After harvest, how will the regulated material be labeled and kept separate from 

nonregulated material?

• How will the remaining material at the release site after harvest be devitalized (e.g., 

turned into the ground, treated with an herbicide, etc.)?

• How long after harvest will the remaining material be devitalized?

• If there is reproductive material (viable material that could remain viable in the absence 

of human intervention (e.g., seeds, vegetative propagules, insects, inoculated plant 

material) remaining on the soil surface, what measures will be taken to ensure that they 

are not dispersed by wind or animal? 
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• In the case of woody perennial species, trees, and vines, how will the plants be 

devitalized (e.g., cutting and mulching, chipping, autoclaving, oven baking, or 

incineration, in accordance with local regulations, etc.)? How will you ensure that any 

underground plant parts capable of reproduction are removed and likewise devitalized?

• How will viable material be removed from the release site and moved to a containment

facility?

Volunteer Monitoring

• What methods will be used to minimize the likelihood of volunteers in subsequent 

seasons (e.g., disking, chemical treatment etc.)?

• What will be the duration (when will it start and stop) and frequency of monitoring and 

removal of volunteer plants to ensure that the regulated material or their offspring will 

not persist in the environment?

• How will the release site and border area be marked to identify the area for volunteer 

monitoring? 

• How will seed dormancy affect the period of time needed to monitor for volunteers?

• How will the release site and border area be used in the following growing season (e.g., 

growing morphologically distinct plants, fallow, growing regulated plants, etc.)?

*Supporting Documents

If you would like to attach supporting documents to your application select Attach Document, 

including CBI and CBI-deleted versions if appropriate. All attachments should be dated and 

indicate a version number if appropriate.

The following types of file extensions are accepted by ePermits: txt, html, htm, doc, wp, wpd, 

xls, pdf, gif, jpeg, jpg, bmp, and vsd.

Permits Intended for Pharmaceutical or Industrial Use

APHIS requires additional SOPs and personnel training for plants that are engineered to produce 

compounds intended for pharmaceutical or industrial use (68 FR 11337-11340). See Appendix

– Pharmaceutical, Industrial and Phytoremediation Permits.

*Application Validation

Any required data entry boxes that are missing data will be displayed.

Certify and Submit

Before the permit application is submitted to APHIS, click the Printable Version tab to view 

your permit as a pdf to ensure that the submitted information is correct, especially with regard to 

the submission of CBI. If the applicant is being prepared by someone who is not the applicant, 

this is the stage in the permitting process where the permit application can be transferred to the 

applicant for signature. 

Select *Certify and Submit to submit the permit application to APHIS.
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Shortly after APHIS receives a permit application, APHIS assigns a permit application number 

to the submission. This number will be shown after the application is submitted and will be the 

reference number used by APHIS to refer to your application. Please note the number. 

How to Find Out if APHIS Received the Permit Application?

To determine if APHIS has received the permit application, refer to the APHIS-BRS website that 

is updated after every business day (see,

https://www.aphis.usda.gov/aphis/ourfocus/biotechnology/permits-notificationspetitions/SA_Check_Status). 

How do Applicants Communicate with APHIS?

To communicate with APHIS regarding the permit, send an email to: 

Biotechquery@aphis.usda.gov.

After APHIS has received an application, APHIS may request more information or the applicant 

may wish to submit additional information to the permit application.

If the application was submitted via ePermits, and APHIS requests more information, the 

applicant will receive an email notice indicating to login to ePermits. If the applicant wishes to 

add additional information or attach new documents, the applicant can request APHIS to send 

the application back to the applicant via ePermits. 

If the applicant sends the application outside of ePermits, and APHIS requests more information, 

the applicant will be asked to provide the information via email or phone. If the applicant wishes 

to add additional information, contact APHIS by phone or email. 

How does ePermits Communicate with ePermit Applicants?

Permit applicants (not the permit preparer, if there is a permit preparer) will receive an email 

from ePermits to log into ePermits. The sender will be BRS_NoReply@aphis.usda.gov and the 

subject will be ePermits - BRS Permit for Permit # permit number. If there are two email 

addresses provided in the permit application, ePermits will only send messages to the addressed 

listed as email 1. The second email address may be used for communications outside of 

ePermits.

APHIS Actions Upon Receipt of a Permit Application

When a Permit is submitted through ePermits, an APHIS Regulatory Permit Specialist will 

review for administrative completeness; and then it is assigned to a Biotechnologist. 

The Biotechnologist will carry out the review and evaluation which will include the following:

• Examine the inserted genetic material, the regulated article and the intended use to 

determine if the proper type of application has been submitted.

• Check to see if all the inserted genetic material is provided appropriately.
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• Evaluate the design protocols for adequacy of confinement to the release site and of 

containment during movement.

• Determine if the introduction would present a risk of plant pest introduction.

• Conduct a Threatened and Endangered Species and NEPA analysis.

• When the genetic material is from a select agent, confer with the APHIS Select Agent 

Program.

• If the permit is for a release into the environment of a microbe engineered to control 

pests, confer with EPA.

• If the permit is for the movement or release of a pest, confer with APHIS PPQ.

• Determine and apply appropriate Permit Conditions and supplemental conditions.

• Prepare a state and tribe when appropriate letter for release permits that summarizes the

review.

Permit Conditions

Permit conditions. A person who is issued a permit and his/her employees or agents shall 

comply with the following conditions, and any supplemental conditions which shall be listed 

on the permit, as deemed by the Administrator to be necessary to prevent the dissemination 

and establishment of plant pests:

(1) The regulated article shall be maintained and disposed of (when necessary) in a manner so 

as to prevent the dissemination and establishment of plant pests.

(2) All packing material, shipping containers, and any other material accompanying the 

regulated article shall be treated or disposed of in such a manner so as to prevent the 

dissemination and establishment of plant pests.

(3) The regulated article shall be kept separate from other organisms, except as specifically 

allowed in the permit;

(4) The regulated article shall be maintained only in areas and premises specified in the 

permit;

(5) An inspector shall be allowed access, during regular business hours, to the place where the 

regulated article is located and to any records relating to the introduction of a regulated 

article;

(6) The regulated article shall, when possible, be kept identified with a label showing the name 

of the regulated article, and the date of importation;

(7) The regulated article shall be subject to the application of measures determined by the 

Administrator to be necessary to prevent the accidental or unauthorized release of the 

regulated article;

(8) The regulated article shall be subject to the application of remedial measures (including 

disposal) determined by the Administrator to be necessary to prevent the spread of plant 

pests;

(9) A person who has been issued a permit shall submit to APHIS a field test report within 6 

months after the termination of the field test. A field test report shall include the APHIS 

reference number, methods of observation, resulting data, and analysis regarding all 

deleterious effects on plants, nontarget organisms, or the environment.

(10) APHIS shall be notified within the time periods and manner specified below, in the event 

of the following occurrences:
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40

(i) Orally notified immediately upon discovery and notify in writing within 24 hours in the 

event of any accidental or unauthorized release of the regulated article;

(ii) In writing as soon as possible but not later than within 5 working days if the regulated 

article or associated host organism is found to have characteristics substantially 

different from those listed in the application for a permit or suffers any unusual 

occurrence (excessive mortality or morbidity, or unanticipated effect on non-target 

organisms);

(11) A permittee or his/her agent and any person who seeks to import a regulated article into 

the United States shall:

(i) Import or offer the regulated article for entry only through any USDA plant inspection 

station listed in §319.37–14 of this chapter;

(ii) Notify APHIS promptly upon arrival of any regulated article at a port of entry, of its 

arrival by such means as a manifest, customs entry document, commercial invoice, 

waybill, a broker's document, or a notice form provided for such purpose; and

(iii) Mark and identify the regulated article in accordance with § 340.7 of this part.

§ 340.4(f)

APHIS will apply permit conditions according to § 340.4 (f) and supplemental permit conditions 

that are tailored to the permitted action, the regulated article and its phenotypic expression. 

After review of the permit application by the Biotechnologist and by APHIS management, the 

draft permit conditions will be sent electronically to the permit applicant. The responsible 

person must sign off on each permit condition and resubmit the permit application.

When it is determined that an application is complete, APHIS shall submit to the State department 

of agriculture of the State where the release is planned, a copy of the initial review and a copy 

of the application marked, “CBI Deleted”, or “No CBI” for State notification and review.

§ 340.4(b)

The CBI-deleted permit application and draft permit conditions will then be sent to the State and 

tribe when appropriate for review and comment. When the permit application is returned from 

the State and further reviewed by APHIS, the permit may then be issued. When the permit is 

issued, applicants are notified by email.

Withdrawal or Denial of a Permit

Failure to allow the inspection of a premise prior to the issuance of a permit or limited permit 

shall be grounds for the denial of the permit. § 340.4(d)

Any permit which has been issued may be withdrawn by an inspector or the Administrator if 

he/she determines that the holder thereof has not complied with one or more of the conditions 

listed on the permit. APHIS will confirm the reasons for the withdrawal of the permit in 

writing within ten (10) days. Any person whose permit has been withdrawn or any person 

who has been denied a permit may appeal the decision in writing to the Administrator within 

ten (10) days after receiving the written permit of the withdrawal or denial. The appeal shall 

state all of the facts and reasons upon which the person relies to show that the permit was 
USDA-APHIS-BRS Permit User’s Guide

41

wrongfully withdrawn or denied. The Administrator shall grant or deny the appeal, in writing, 

stating the reasons for the decision as promptly as circumstances allow. If there is a conflict as 

to any material fact, a hearing shall be held to resolve such conflict. Rules of practice 

concerning such a hearing will be adopted by the Administrator. § 340.4(g)

A permit which has been issued may be withdrawn by an inspector or the Administrator if he/she 

determines that the holder thereof has not complied with one or more of the conditions listed on 

the permit. Failure to allow the inspection of the premises shall be grounds for the denial of the 

future permit applications.

A permit application may be withdrawn by the applicant anytime after submission and prior to 

issuance. The request to have a permit withdrawn must be done in writing either by email or 

mail:

Email: 

Steven.M.Bennett@aphis.usda.gov

Mail:

Animal and Plant Health Inspection Service (APHIS)

Biotechnology Regulatory Services (BRS)

Regulatory Operations Program

4700 River Rd. Unit 91

Riverdale, MD 20737

If the permit application is denied, APHIS will inform the applicant the reasons for the denial and 

give the applicant the opportunity to appeal the denial. 

Changes to a Permit after Issuance of a Permit

Change the Responsible Person for a Permit

In the event that the responsible person has changed, promptly submit the revised information to 

APHIS in writing either by email or mail:

Email: 

BRSPermits@aphis.usda.gov

Mail:

USDA APHIS BRS ROP Permits

4700 River Road, Unit 91

Riverdale, MD 20737

If major changes to the application need to be made prior to the introduction but after the 

issuance of a permit, such as additional constructs or lines, additional destinations for 

introduction of the regulated article or new release sites, applicant could submit an amendment to 

an already issued permit, or submit a new permit. See Amendments above.
USDA-APHIS-BRS Permit User’s Guide

42

Decision Not to Carry Out the Release

Following issuance of the permit, if the applicant decides not to carry out a release into the 

environment, the responsible party shall notify APHIS in the planting/release report of any 

sites that will not be planted. Responsible parties are encouraged to report to APHIS decisions 

not to release in a timely manner to avoid APHIS inspections of releases that did not take place.

Notification of Unusual Occurrences or Unauthorized or Accidental Release

APHIS shall be notified within the time periods and manner specified below, in the event of 

the following occurrences: 

i. Orally notified immediately upon discovery and notify in writing within 24 hours in the 

event of any accidental or unauthorized release of the regulated article; 

ii. In writing as soon as possible but not later than within 5 working days if the regulated 

article or associated host organism is found to have characteristics substantially different 

from those listed in the application for a permit or suffers any unusual occurrence 

(excessive mortality or morbidity, or unanticipated effect on non-target organisms). §

340.4(f)(10)(i-ii)

The applicant is required to notify APHIS of any unusual occurrences associated with the 

introduction of regulated articles under permit. In the event of any accidental or unauthorized 

release of the regulated article, the applicant must orally notify APHIS immediately, and in 

writing within 24 hours. Events that may require immediate action include, but are not limited 

to: potential dispersal of regulated material outside the approved area of introduction by high 

winds or flooding, accidental release of the regulated article in the wrong location, 

planting/release of a variety with an unauthorized construct, damaged packaging materials, or 

materials lost in shipping.

If the regulated organisms are observed to have any characteristics that are different from those 

described in the permit application—particularly those characteristics related to plant pest risk—

the applicant must notify APHIS in writing within five working days. Any unexpected changes 

in the plant’s phenotype should be reported. Additionally, any unexplained effects on plant 

heath such as crop failure or significant plant death, or unexpected impacts on non-target 

organisms, should be reported.

If a release site is damaged or destroyed to the extent that the release is prematurely terminated, a 

written report of the unusual occurrence must be submitted to APHIS. Further, APHIS 

recommends that the damage or destruction be included with the required field test report (see 

Reports and Notices below). Indicate clearly that the report is both a report of an unusual 

occurrence and the final field test report.

In the event of any of these unusual occurrences, contact APHIS as described in the permit 

conditions. Failure to notify APHIS of unusual occurrences in the required time frames can 

result in legal action, civil penalties, or criminal charges.

Compliance and Inspection
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43

Any regulated article introduced not in compliance with the requirements of this part shall be 

subject to the immediate application of such remedial measures or safeguards as an inspector 

determines necessary to prevent the introduction of such plant pests. § 340.0(b)

An inspector may hold, seize, quarantine, treat, apply other remedial measures to, destroy, or 

otherwise dispose of plants, plant pests, or other articles in accordance with sections 411, 412, 

421, and 434 of the Plant Protection Act (7 U.S.C. 7711, 7712, 7731, and 7754).

Footnote 2 in § 340.0(b)

An inspector may inspect the site or facility where regulated articles are proposed, pursuant to 

a permit, to be released into the environment or contained after their interstate movement or 

importation. Failure to allow the inspection of a premise prior to the issuance of a permit or 

limited permit shall be grounds for the denial of the permit. § 340.4(d)

An inspector shall be allowed access, during regular business hours, to the place where the 

regulated article is located and to any records relating to the introduction of a regulated article; 

§ 340.4(f)(5)

All introductions under permit are subject to inspection. Access to records, release sites and 

related facilities (e.g., buildings for equipment, seed storage, processing, disposal, etc.) must be 

provided when requested by authorized personnel. Authorized inspectors may include persons 

from APHIS and/or State regulatory officials. An inspector may hold, size, quarantine, treat, and 

apply other remedial measures necessary to prevent the spread of plant pests.

All permits receive at least one inspection within each State where a release occurs. Plants 

engineered to produce pharmaceutical or industrial proteins are inspected seven times (before, 

during, and after the release). These inspections are performed at critical times during release, 

including: prior to release, during planting/release, during flowering, during harvest/termination, 

and post-harvest. APHIS maintains a comprehensive database that captures and tracks 

inspection-related information to assure that all required inspections are accomplished for each 

permit.

For more information on inspections, see,

http://www.aphis.usda.gov/biotechnology/compinsp_process.shtml.

Reports and Notices

A report is the submission of required information; a notice is the alert of some action to occur in 

the near future. For what reports (e.g., unintended effects, planting or environmental release, 

field test, volunteer monitoring, etc.) and notices refer to:

o For information on what, when, and how to submit the reports and notices, refer to the 

permit conditions. 

o For additional information on submitting planting/environmental release reports refer to 

Appendix - Planting and Environmental Release Reports and Appendix -

Consolidated Monthly Planting and Reports
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44

o For information on what to include in these reports and notices and how and when to 

submit the reports and notices through ePermits, consult the permit conditions and the 

guidance provided in the “ePermits BRS Reports and Notices User Guide” (see

https://epermits.aphis.usda.gov/epermits/xml_schema/BRS_Reports_and_Notices_User_

Guide.pdf ) 

o Termination is typically defined by harvesting or destroying the regulated article(s). 

Because APHIS does not always know the actual termination date in advance, APHIS 

considers the field test report to be due no later than six months after the expiration of the 

permit. 

o For multiyear permits, the field test data report is due even if the permit has been 

renewed. 

Records

The responsible person shipping a regulated article interstate shall keep records for one year 

demonstrating that the regulated article arrived at its intended destination. § 340.4(c)(1)

The responsible person importing a regulated article shall keep records for one year 

demonstrating that the regulated article arrived at its intended destination. § 340.4(c)(2)

Applicants who have received permits for importation and interstate movement must keep 

records for one year demonstrating that the regulated article arrived at its intended destination.

Version History

1992 Section III. Sample Application for Release Into the Environment.

7/9/2008 Guidance for APHIS Permits for Field Testing or Movement of Organisms 

Intended for Pharmaceutical or Industrial Use

3/7/2012

5/30/2012

Combines and updates previous guidance documents

Permits Guidance, Appendices and Sample Permits were combined into a 

single document. 

3/8/2017 Fix broken hyperlinks.
USDA-APHIS-BRS Permit User’s Guide

Appendix A Guidance for Critical Habitat Analysis 

1

Guidance for Critical Habitat Analysis

Required for Submitting Release Permits

Question: Is the release site and/or the area requiring monitoring referred to as the action area

(or the area within the boundaries of the possible release/monitoring area for sites where the 

release has yet to be determined) within designated critical habitat for a listed threatened or 

endangered species or within habitat proposed for designation under the Endangered Species 

Act (16 U.S.C., Section 1531, Endangered Species Act (ESA) of 1973, as amended)? 

Guidance: The United States Fish and Wildlife Service (USFWS) is developing a database for 

public use that will provide current information on the status of critical habitat including spatial 

data. However, this tool is not yet fully functional and does not provide all data. For now, there 

is information available on the USFWS endangered species website (http://www.fws.gov) that 

can be used to locate critical habitat in relation to the field release site. However, the site has 

limitations. The critical habitat portal accessed through the site provides data to the county level, 

but it is incomplete. The critical habitat portal also has a mapping feature that can be used to 

provide more detail on the geographic location of the habitat; however, not all spatial 

information is available on the website and reliance on the mapping feature alone will not 

provide data that ensures compliance with the Act. It may be best to use the link to the webpage 

of the various USFWS Ecological Field Offices for more accurate information. Some local 

offices provide detailed critical habitat information on their websites that can be very useful. If 

in doubt, the office should be contacted. Below is a method that can be used to determine the 

presence of designated critical habitat and a couple options for determining the presence of 

proposed critical habitat. Their use will assure identification of critical habitat within the action 

area. Knowing the precise boundaries of the action area will make determinations easier. 

Applicants may use any method they chose provided it identifies all designated critical habitat 

and habitat proposed for designation within the action area. 

To obtain information on species with designated critical habitat:

1. Go to the USFWS website (http://www.fws.gov) and navigate to the endangered species 

listing by State to view all listed species in the state. 

2. Navigate to the list of all species with designated critical habitat to identify those species 

within the State that have critical habitat.

3. For those species that have critical habitat, use the species link to navigate to the Federal 

Register final rule designating the critical habitat for that species. This will provide 

specific information about the location of the critical habitat. 

To obtain information on species with proposed critical habitat:

The USFWS website does not provide a listing of proposed critical habitat, making this task 

more difficult. Below are possible methods:
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Appendix A Guidance for Critical Habitat Analysis 

2

Method A.

1. Go to the USFWS website (http://www.fws.gov) and navigate to the link for species 

proposed for listing.

2. Follow the link for individual species to the Federal Register notices for these species. 

Look for one proposing designated critical habitat and look to see if the release site 

and/or monitoring area are geographically included in the proposed designation. This 

will identify proposed critical habitat for species proposed for listing.

3. USFWS sometimes proposes designated critical habitat for species that have already been 

listed, and sometimes the rule for listing the species may be final while the decision on 

critical habitat is still pending. To look for these, go to the USFWS webpage that 

provides a State by State list of all listed species within a given state. 

4. For each species, use the species link to search for a Federal Register notice proposing 

critical habitat and review the document to see if the release site or monitoring area are 

geographically included in the proposal. 

Method B. Another and perhaps easier way to determine if the release site and/or area requiring 

monitoring is in proposed designated habitat is to look at the USFWS centralized library for 

Federal Register Documents. This method will likely be easier for states with many listed 

species. 

1. Go to the USFWS website (http://www.fws.gov) and navigate to the endangered species 

listing by State to view all listed species in the state. 

2. Navigate to the endangered species program page and to the link for “Laws and Policies.” 

Follow the link to the USFWS centralized library for Federal Register Documents and 

look under proposed rules for the species identified in step 1. 

3. For each species, search for a Federal Register notice proposing critical habitat and 

review the document to see if the release site or monitoring area are geographically 

included in the proposed designation. Caution: The USFWS guidelines are to reach a 

determination on designating the habitat as critical within one year of the proposal. 

However, this target is frequently not met and some may be pending for years. To assure 

compliance, it will be necessary to look back several years.

 

Perhaps the best method that can be used to obtain information on designated critical habitat and 

proposed critical habitat for a given area is to directly contact the USFWS. Links to the various 

USFWS regional and field offices can be found at http://www.fws.gov. 

It is important to note that critical habitat is not limited to the geographical area occupied by the 

species at the time of listing, but may include other areas if determined to be essential for the 

conservation of the species. Critical habitat may be unoccupied for a number of reasons 

including the extirpation of the species from this portion of the range. Critical habitat may be in 

areas unsuitable for the species, but may be restored to suitability with proper management. 

Some critical habitat may never be occupied by the species, but was designated or proposed 

because it is essential for conserving the species by maintaining factors constituting the species’ 

habitat. An example would be designating the headwaters of a stream as critical habitat in order 

to provide sufficient water quality for a species living downstream.
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Appendix A Guidance for Critical Habitat Analysis 

3

Question: If “Yes” to the above question, provide the genus/species name and common name 

for all species that have designated critical habitat or habitat proposed for designation within 

the release site and monitoring area. 

Guidance: Self explanatory.

Question: If “Yes” to above question, provide an analysis of the effects of the proposed release 

on designated critical habitat and habitat proposed for designation. Indicate if the proposed 

release will have "no effect" or "may affect" the designated critical habitat and/or habitat 

proposed for designation.

Guidance: Generally, if a release site is actually in or very near critical habitat, it may be best to 

use an alternate site. If this is not practical, the release site could still possibly be used if an 

effects analysis determines that the release will have “no effect” on the critical habitat.

The focus of the effects analysis should be on the habitat’s constituent elements, not on the 

presence of the species. The Federal Register notice that designates particular critical habitat 

provides useful information on the constituent elements (biological and physical attributes that 

are essential to the species’ conservation, such as: space; food, water and nutrition; cover or 

shelter; reproduction; and special habitats) that were the reason for the decision to designate or 

propose the habitat as critical. However, some critical habitat designations predate the 

requirement for identification of constituent elements or habitat qualities necessary to allow a 

species to survive and recover from the threat of extinction. In such cases, the analyst should use 

the best available scientific and commercial data to determine and document those characteristics 

of the designated or proposed critical habitat that support the species’ survival and recovery.

If the constituent elements are not found in the release site and area being monitored, it is 

possible that the release would have “no effect.” If the release site and area being monitored 

does contain constituent elements of the habitat, a “may affect” determination may be 

appropriate. The nature of the regulated article, related activities within the action area (staging, 

processing etc.), past and current land use activities, and the constituent elements of the 

designated habitat should be considered. Generally, it would be expected that if a release site is 

currently in agricultural production, there would be no effect on the habitat because there would 

be no change in the use. However, this needs to be carefully reviewed, as each situation is 

different. The nature and activities of the field trial in comparison to prior agricultural use 

should be considered and discussed, especially if they are a key factor supporting the final 

determination. 

Keep in mind that the “action” includes all aspects of the release and field trial including 

interdependent actions (having no independent utility apart from the proposed action) and 

interrelated actions (part of a larger action and depend on the larger action for justification). The 

analysis must consider both the direct (immediate) and indirect (later in time, but reasonably 

certain to occur) effects. 
USDA-APHIS-BRS Permit User’s Guide

Appendix A Guidance for Critical Habitat Analysis 

4

The effects analysis will result in either a “no effect” or “may affect” determination for the effect 

of the action on designated critical habitat. In supporting the determination, focus on the effects 

on the constituent elements of the habitat, not on the effect on the species. A “no effect” 

determination is made when the proposed action will not affect the designated critical habitat. 

“May affect” is an appropriate determination when a proposed action may have any effect on the 

designated critical habitat, even if they are entirely beneficial. If a “may affect” determination is 

reached, it must be determined if the action is likely or not likely to adversely affect the 

designated critical habitat. A “may affect, not likely to adversely affect” determination is 

appropriate when effects on designated critical habitat are expected to be discountable, 

insignificant, or completely beneficial. Discountable effects are those that are extremely unlikely 

to occur. Insignificant effects relate to the size of the impact. An example of this would be a 

situation where runoff from an agricultural field would have an effect on a constituent element of 

the habitat, but the field release is so minor compared to other agricultural activities in the 

vicinity that the added effect of the field release would be immeasurable. Beneficial effects are 

positive effects without any adverse effects (there can be no “balancing” wherein the benefits of 

the action would be expected to outweigh the adverse effects). APHIS reviews the analysis that 

is provided.

APHIS will be required to consult with USFWS for any “may affect” determination on 

designated critical habitat. If the determination is “may affect, not likely to adversely affect,” an 

informal consultation with USFWS is required. Failure to obtain USFWS concurrence with this 

determination requires initiation of formal section 7 consultation as does reaching a “may affect, 

likely to adversely affect” determination. This determination is appropriate when the effect of 

the action is not discountable, insignificant, or beneficial or the overall effect is beneficial, but is 

also likely to cause some adverse effects. The formal consultation process will end with a 

decision by the USFWS (usually written in a Biological Opinion) on whether the action will 

result in adverse modification/no adverse modification of designated critical habitat. 

For habitat proposed for designation, a conference with USFWS is required if the action is likely 

to “adversely modify” the proposed critical habitat, as opposed to the lesser threshold of “may 

affect” when dealing with habitat currently designated as critical habitat. The term “adverse 

modification” is defined by USFWS as the direct or indirect alteration that appreciably 

diminishes the value of critical habitat for the conservation of the species. The modification to 

the habitat must have the effect of jeopardizing the existence or recovery of a species. Generally, 

it must affect all proposed designated critical habitat or a part that is vital for survival of the 

species. 

The final analysis report should include the following:

a. A list of species in the release area and monitoring area that have designated critical habitat.

b. A list of species in the release area and monitoring area that have critical habitat proposed for 

designation.
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Appendix A Guidance for Critical Habitat Analysis 

5

c. For each species, an effects analysis of the action on the critical habitat. Provide a brief 

description of the critical habitat including its constituent elements. Focus on the effect of the 

action on the “constituent elements” that are essential to the species. Include all activities that 

will be part of the action including mobilization, harvesting, processing, and demobilization. 

d. Explain any proposed measures to reduce or avoid impacts.

e. Conclusions for each species, a determination of “no effect” or “may affect” designated 

critical habitat. If a “may affect” determination is reached, it must be determined if the action is 

likely or not likely to adversely affect the designated critical habitat. For proposed designated 

critical habitat, determine if there is “adverse modification” to the habitat or “no adverse 

modification.” 

f. Literature cited. 

g. List of preparers with contact information. 

h. Maps, diagrams, photos if appropriate.

Version

12/14/2011 Updates hyperlinks of Guidance Related to Critical Habitat Analysis 

available at http://www.aphis.usda.gov/biotechnology/permits.shtml.
USDA-APHIS-BRS Permit User’s Guide

Appendix B Pharmaceutical Industrial and Phytoremediation Permits

1

Pharmaceutical Industrial and Phytoremediation Permits

In 2003, APHIS modified its permit confinement measures and procedures to verify compliance 

and to enhance the transparency for permits intended for pharmaceutical and industrial use to 

include: a larger perimeter fallow zone (50 ft); cleaning of field equipment and storage facilities 

using APHIS-approved procedures; dedicated planting and harvesting equipment and storage 

facilities; planting restrictions in the subsequent growing season; APHIS approved training; and 

additional compliance and inspection oversight by APHIS (68 FR 11337-11340).

As part of a government-wide effort to increase transparency, APHIS posts to its website a 

NEPA document (including EA and EIS) and the Supplemental Permit Conditions for

Pharmaceutical, Industrial, and Phytoremediation permits, see 

http://www.aphis.usda.gov/brs/ph_permits.html. 

Additional Data Requirements

Additional information is required for the submission of permits intended for pharmaceutical and 

industrial use as follows:

• Provide a one to two page description of the gene product and its current or potential use. 

• If the gene leads to a product intended for an industrial or other non-food/feed use, 

indicate if it is the gene product or a down-stream product.

• If the gene product is for therapeutic use (e.g., an antibody or vaccine) provide the type of 

antibody ( IgG, IgM, etc.) the epitope or antigen, and the disease and target component of 

the immune system. 

• Indicate if the gene product is new to the plant or is commonly found in plants used for 

food or feed.

• Provide an assessment of gene sequence homology to known toxicants or proteins known 

to or likely to harm non-target organisms.

• Indicate if the cloning procedure has altered the amino acid sequence of the protein and 

indicate if this change is expected to change the biological properties of the protein.

• Compare the properties of the engineered protein/enzyme with the native molecule.

• Compare levels produced in the engineered plant with those of known, naturally 

occurring toxic compounds and address possible non-target exposure routes 

(groundwater, foraging animals, pollen dispersal, etc.).

• Address whether the engineered protein is expected to affect worker safety or to have 

effects (dermal, inhalation, toxicity, etc.) on non-target invertebrates (earthworms, bees, 

etc.) and vertebrates (birds, rabbits, rodents, etc.).

• Indicate whether engineering has or is likely to affect biological properties related to 

confinement measures (e.g., dormancy, pollen viability, etc.).

• Indicate where the product is in the regulatory review process with other agencies.
USDA-APHIS-BRS Permit User’s Guide

Appendix B Pharmaceutical Industrial and Phytoremediation Permits

2

Additional information is required for the submission of permits intended for phytoremediation 

use as follows:

• Data or references to show whether the engineering has altered, or would be expected to 

alter, the levels of any naturally occurring toxicant in the plant or the accumulation or the 

release of toxic compounds recovered during phytoremediation.

• Would any compounds that accumulate or result from breakdown be expected to affect 

worker safety or to have toxic effects on non-target organisms: invertebrates 

(earthworms, bees, etc.) and vertebrates (birds, rabbits, rodents, etc.).

• Indicate whether engineering has or is likely to affect biological properties related to 

confinement measures like seed dormancy, pollen viability, etc.

• Indicate where the product is in the regulatory review process with other agencies.

Confinement Measures

APHIS will institute the following changes in field test permit conditions for pharmaceutical 

corn. 

A. APHIS will require that there will be no corn grown within 1 mile (5,280 feet) of the field 

test site throughout the duration of any field test which involves open-pollinated corn. This 

establishes a physical isolation distance that is eightfold greater than the isolation distance 

required for the production of foundation seed (660 feet). When pollen flow is controlled by 

placing bags around the corn tassels there will be no other corn within 2,640 feet of the field

test site and the pharmaceutical corn must be planted no less than 28 days before or 28 days 

after any corn growing in a zone extending from 2,640 to 5,280 feet from the field test site 

ensuring there is no overlap in anthesis. 

B. With the establishment of isolation distances of 1 mile for open pollinated corn and onehalf mile for controlled pollination corn field tests, APHIS will not allow the use of border 

rows to reduce these isolation distances. APHIS believes that other methods are available and 

do not pose the difficulties inherent in using border rows. For example, by eliminating the use 

of border rows/buffer strips there will be a reduction in the amount of plant material that must 

be disposed of after the field test is terminated (border rows are handled the same as the 

regulated article as their proximity to the plots make them possible pollen recipients). This 

should reduce the possibility of inadvertent mixing of regulated articles with nonregulated 

plant material. 68 FR 11337-11340 (II)(2)(A)

APHIS requires greater confinement measures for pharmaceutical and industrial corn.

Perimeter Fallow Zone

APHIS will increase the size of the perimeter fallow zone (not in production) around the field 

test site from 25 to 50 feet. This measure is designed to ensure that test plants are not 

inadvertently commingled with plants to be used for food or feed. APHIS currently prohibits 

the use of the field test site and its perimeter fallow zone to be used to produce food or feed 

crops during the tests. APHIS increased the size of the perimeter fallow zone around the test 

site to allow farm machinery to move around the site and yet still prevent physical mixing of 
USDA-APHIS-BRS Permit User’s Guide

Appendix B Pharmaceutical Industrial and Phytoremediation Permits

3

the regulated plants with surrounding plants that may be used for food or feed. 68 FR 11337-

11340 (II)( 1)(A)

To prevent regulated plants from inadvertently commingling with plants to be used for food or 

feed, a perimeter fallow zone of at least 50 ft. must be maintained around the release site in 

which no crops are grown to be harvested or used for food or feed. Plants may be grown in the 

50 ft. fallow zone, as long as they are not used for food or feed.

SOPs and Cleaning of Field Equipment and Seed Cleaning and Drying Equipment

APHIS will require cleaning procedures to be submitted and approved to minimize the risk of 

seed movement by field operations or equipment (movement of seed on tires of tractors, etc.) 

from the authorized test site. 

APHIS will require procedures to be submitted and approved for seed cleaning and drying in 

order to confine the plant material and minimize the risk of seed loss or spillage. 68 FR 

11337-11340 (II)(1)(E-F)

Submit Standard Operating Procedures (SOPs) that describe how a particular task or operation 

will be carried out. Processes described in the SOPs should be followed for the duration of the 

permit and post-harvest monitoring period. If the permit is a renewal, indicate what changes 

were made and what additional equipment was added to the SOP. SOPs must be dated or have a 

version number. SOPs must be submitted and approved by APHIS for equipment cleaning.

Provide the following information in the SOPs for Cleaning of Field Equipment and Seed 

Cleaning and Drying Equipment:

• Methods for cleaning equipment used for planting/inoculation and harvesting, as well as 

other field equipment (e.g. tractors and tillage attachments, such as disks, plows, harrows, 

subsoilers, etc.) used from the time of planting/inoculation through the post-harvest 

monitoring period.

• Field equipment cleaning should be carried out in the release site, fallow zone, building 

or other regulated area designated in the permit or SOPs. Indicate where cleaning will 

take place.

• Equipment used to transport seeds or harvested material must be cleaned after 

transportation.

SOPs and Restrictions for Dedicated Planting and Harvesting Equipment

APHIS will require that planters and harvesters be dedicated to use in the permitted test site(s) 

for the duration of the tests. In addition, while tractors and tillage attachments, such as disks, 

plows, harrows, and subsoilers, do not have to be dedicated, they must be cleaned in 

accordance with protocols approved by APHIS (see item II.1.E). To ensure the regulated 
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Appendix B Pharmaceutical Industrial and Phytoremediation Permits

4

articles are not inadvertently removed from the site, APHIS authorization will be required 

before the machinery is used elsewhere. 68 FR 11337-11340 (II)(1)(C)

To prevent the regulated article from being inadvertently removed from the site, planting and 

harvesting equipment must be dedicated for use in the permitted release site(s) from the time of 

planting through the end of harvesting. After use in the pharma release(s) is complete, dedicated 

planters and harvesters must be thoroughly cleaned and inspected by APHIS before being 

returned to general use.

After harvest, the permittee will not be required to obtain APHIS authorization to use this 

equipment on APHIS -permitted sites (same sites or different sites) planted with the same 

regulated crop, with the target protein(s) authorized under this permit, in subsequent growing 

seasons under an extension of this permit or a different permit. A harvester does not have to be 

dedicated for the season as long as the pharma releases are harvested last and the harvester is 

then inspected by APHIS before being returned to general use.

Permission must be granted by APHIS (with a determination made by the APHIS inspector) 

before planting and harvesting equipment can be used on any sites planted to crops not included 

under this permit. The permittee must submit a notice to APHIS and the State Regulatory 

Official at least 21 calendar days in advance of cleaning this equipment so that APHIS can 

complete an inspection to ensure that the equipment has been cleaned appropriately. This is 

done by submitting a Cleaning notice (Return to General Use Notice) through ePermits, email, 

FAX or mail.

In addition to the information required for Cleaning of Field Equipment and Seed 

Cleaning and Drying Equipment SOPs, provide the following information in the SOPs for 

dedicated equipment (i.e., planters and harvesters):

• If the equipment is moved between release sites, provide the method(s) used to prevent 

the release of the regulated article (e.g., seed) between release sites.

• Provide the make, model and Vehicle Identification Number (VIN), serial number or any 

other way to uniquely identify the dedicated field equipment. SOPs should be applicable 

to the specific make and model of the equipment.

• Indicate the final disposition of material recovered during cleaning operations. Viable 

plant material should be destroyed or handled appropriately to maintain containment. 

Non-viable material may be disposed of through appropriate waste disposal methods, 

depending on the constructs and where in the plant the protein is expressed. 

• This equipment must be posted as restricted to authorized personnel only. When not in 

use, it needs to be locked or secured to prevent use by unauthorized personnel or all 

dedicated equipment must be labeled indicating for NON-FOOD/ NON-FEED USE 

ONLY. 

• If the permit is a renewal, indicate what changes were made and what additional 

equipment was added to or removed from the SOPs. 
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Appendix B Pharmaceutical Industrial and Phytoremediation Permits

5

Dedicated Storage Facilities for Equipment and Regulated Articles

APHIS will require the use of dedicated facilities for the storage of equipment and regulated 

articles for the duration of the field test. Facilities must be cleaned according to APHIS 

approved protocols prior to general use of the facilities. 68 FR 11337-11340 (II)( 1)(D)

Dedicated facilities for the storage of equipment and regulated articles (locked or secured 

buildings, bins, or areas) must be posted as restricted to authorized personnel only and used for 

storage of dedicated equipment and regulated articles. All dedicated storage facilities must be 

labeled indicating for NON-FOOD/ NON-FEED USE ONLY. 

Before returning these facilities to general use, they must be cleaned in accordance with 

procedures submitted to and approved by APHIS. The permittee must submit a notice to APHIS 

at least 21 calendar days in advance to allow for APHIS to complete an inspection to ensure that 

the facilities have been cleaned appropriately. APHIS authorization (a determination by the 

APHIS inspector) must be received before facilities are returned to general use. This is done by 

submitting a Cleaning notice (Return to General Use Notice) through ePermits, email, FAX or 

mail.

Post Harvest Land Use Restrictions

APHIS will restrict the production of food and feed crops at the field test site and perimeter 

fallow zone in the following season in cases where there is a potential for volunteer plants to 

be inadvertently harvested with the following crop. 68 FR 11337-11340 (II)(1)(B)

Production of food and feed crops at the release site and the perimeter fallow zone is restricted 

during one or more growing seasons following harvest or termination of the release. This is 

done to ensure that volunteer plants are adequately monitored for and controlled to prevent 

mixing with other commodities and persistence in the environment. The same release site may 

be used in subsequent years for pharma production (for pharmaceutical or for industrial use) 

under permit. Authorization must be obtained from APHIS prior to planting any food or feed 

crop at the release site and perimeter fallow zone during the post-harvest monitoring period. 

Requests for such authorization are not encouraged and will not be granted in cases where there 

is a reasonable potential for the regulated articles to become mixed with the proposed food or 

feed crop during harvesting.

Personnel Training Program

APHIS will require the permittee to implement an approved training program to ensure that 

personnel are prepared to successfully implement and comply with permit conditions. 68 FR 

11337-11340 (II)( 1)(G)

Permittees are required to carry out an APHIS approved training program to ensure that 

personnel follow the confinement procedures put forth in the permit and SOPs and comply with 

all Permit Conditions. All personnel should be trained or work directly under the supervision of 
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Appendix B Pharmaceutical Industrial and Phytoremediation Permits

6

someone who has been trained, and receive instruction pertaining to the duties for which they are 

responsible. Records of who was trained, for what activity, and when they were trained should 

be maintained and be made available upon request at the time of inspection.

If a training program has been approved with a previous permit, you must resubmit the training 

materials that will be used for each permit. If any changes have been made to previously 

approved training materials, please note this in the new application.

The training program must be submitted with the permit application and should cover all aspects 

related to the permitted activities and conditions at all of the intermediate and final destinations 

listed in the permit application. For example, these may include, but not be limited to the 

following:

• The regulations at 7 CFR 340 for release, interstate movement, and importation as 

applicable to the permittee's activities:

o sections 7 CFR 340.4 (a)-(f), 7 CFR 340.7 and 7 CFR 340.8

 http://www.aphis.usda.gov/biotechnology/regulations.shtml

o FR Notice (68 FR 11337-11340) on Field Testing of plants Engineered to Produce 

Pharmaceutical and Industrial Compounds

 http://www.aphis.usda.gov/brs/fedregister/BRS_20030310a.pdf

o Plant Protection Act [7 U.S.C. 7734 (Sec. 424)] that address the consequences of 

noncompliance

 http://www.aphis.usda.gov/biotechnology/regulations.shtml

• The training should include all aspects related to permit activities including those 

described in the permit, the standard permit conditions, the supplemental permit 

conditions and the SOPs.

• The training should include methods for inspecting, monitoring, and recording activities 

that are undertaken to meet the conditions of the permit. For example, this could include 

monitoring or reporting forms, seed inventory and transport forms, third party auditing, 

or witness verification that critical procedures were performed according to SOPs and/or 

permit conditions.

• The training program should be applicable to all personnel who handle, store, perform 

field activities with, or transport regulated articles, or who are responsible for regulatory 

affairs, or those who manage these activities.

• Personnel should know who has authorized access to the release site and other restricted 

areas. Persons having access should receive training that addresses site security and how 

to prevent unauthorized access to regulated articles.

• Personnel should be made aware of reporting requirements for accidental or unauthorized 

releases and appropriate remedial measures to address spills or loss of containment of 

regulated articles.

Compliance and Inspections
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Appendix B Pharmaceutical Industrial and Phytoremediation Permits

7

In order to ensure compliance with the regulations as well as all permit conditions APHIS will 

increase the number of field site inspections during the upcoming growing season to 

correspond with critical times relevant to the confinement measures. Examples might include 

inspection at the preplanting stage to evaluate the site location; at the planting stage to verify 

site coordinates and adequate cleaning of planting equipment; at midseason to verify 

reproduction isolation protocols and distances; at harvest to verify cleaning of equipment and 

appropriate storage; at post-harvest to verify cleanup at the field site; and for the following 

growing season inspections will be timed to ensure that regulated articles do not persist in the 

environment. For example a field test may have five inspections during the growing season 

and two additional inspections postharvest; however APHIS may inspect more frequently in 

some cases. 

The permittee must as always maintain records of activities related to meeting the permitting 

conditions. APHIS will increase the auditing of the permittee’s records to verify that required 

permit conditions were accomplished. APHIS will continue to require permittees to regularly 

inspect sites and maintain accurate records that will be available for APHIS auditing. The 

permittee will be required to record all efforts undertaken to meet the confinement protocols 

and other permit conditions. Some of this information will be related to agronomic 

information (i.e. detasseling, pollination time of test crop, pollination time of surrounding 

crops, etc.). Frequent APHIS audits will enable the Agency to identify any discrepancies and 

mitigate any potential adverse effects. 68 FR 11337-11340 (III)

To ensure compliance with regulations and permit conditions, APHIS’s policy for 

pharmaceutical and industrial releases is to conduct inspections at critical control points in the 

production cycle of the regulated article. Generally, seven inspections of the release are 

performed. These inspections usually occur prior to planting/microbe inoculation, during 

planting/microbe inoculation, during active growth (generally at mid-season), at harvest, and 

after harvest. Two inspections are conducted at the same site the following season to monitor for 

volunteer plants.

For perennial plants, inspections may be different than that of annual plants depending on the 

biology of the species. Generally, sites are inspected prior to planting/release and during 

planting/release. The release is usually inspected during the period when volunteer plants 

usually emerge or when flowering is expected each year. Harvest and post-harvest inspections 

are performed in the year in which these activities occur. Site inspections for volunteer 

monitoring occur in year one or year two following the harvest of the regulated plants to ensure 

they do not persist in the environment.

As part of a government-wide effort to increase transparency, APHIS posts to its website 

redacted notices of inspection findings summarizing the results of permit inspections for 

Pharmaceutical, Industrial, and Phytoremediation permits, see 

http://www.aphis.usda.gov/brs/ph_permits.html. 

Records and Record Audits
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Appendix B Pharmaceutical Industrial and Phytoremediation Permits

8

The permittee must, as always, maintain records of activities related to meeting the permitting 

conditions. APHIS will increase the auditing of the permittee’s records to verify that required 

permit conditions were accomplished. APHIS will continue to require permittees to regularly 

inspect sites and maintain accurate records that will be available for APHIS auditing. The 

permittee will be required to record all efforts undertaken to meet the confinement protocols 

and other permit conditions. Some of this information will be related to agronomic 

information (i.e., detasselling, pollination time of test crop, pollination time of surrounding 

crops, etc.). Frequent APHIS audits will enable the Agency to identify any discrepancies and 

mitigate any potential adverse effects. 68 FR 11337-11340 (III)

APHIS audits records and verifies compliance with the conditions imposed in permits. See the 

section on Compliance and Inspections in the Permit Guidance for further information. Records 

of who has been trained, for what activity, and when they were trained should be maintained.

Reports and Notices

Additional Reports and Notices are required for permits designed for pharmaceutical and 

industrial intent. A report is the submission of required information; a notice is the alert of some 

action to occur in the near future. 

o For information on what reports must be submitted, when and where and how to submit 

the reports, refer to the permit conditions. 

o For additional information on submitting planting/environmental reports refer to 

Appendix –Planting/Environmental Reports and Appendix - Consolidated Monthly 

Planting/Release Report Submission Formats for Applicable Organizations

o For information on what to include in these reports and notices and how and when to 

submit the reports and notices through ePermits consult the permit conditions and the 

guidance provided in the “ePermits BRS Reports and Notices User Guide” (see

https://epermits.aphis.usda.gov/epermits/xml_schema/BRS_Reports_and_Notices_User_

Guide.pdf ) 

Version

7/9/2008 “Guidance for APHIS Permits for Field Testing or Movement of Organisms 

Intended for Pharmaceutical or Industrial Use”

12/7/2011 “USDA-APHIS-BRS User’s Guide Permit, Appendix - Pharmaceutical, 

Industrial and Phytoremediation Permits” supersedes “Guidance for APHIS 

Permits for Field Testing or Movement of Organisms Intended for 

Pharmaceutical or Industrial Use” Version 7/9/2008
USDA-APHIS-BRS Permit User’s Guide

Appendix C Planting and Environmental Release Reports

1

Planting and Environmental Release Reports 

Introduction

This appendix clarifies and describes the planting/release information APHIS requires for 

environmental releases conducted under the permit process. Planting/release information (i.e., 

location, size and date) must be provided when a permit is submitted to APHIS prior to 

planting/release or outdoor placement of plants or environmental subject to these regulations.

A report is the submission of required information; a notice is the alert of some action to occur in 

the near future. 

o For information on what, when and how to submit all reports and notices, refer to the 

permit conditions. 

o For information on reports and notices submitted through ePermits, also consult

“ePermits BRS Reports and Notices User Guide” (see

https://epermits.aphis.usda.gov/epermits/xml_schema/BRS_Reports_and_Notices_User_

Guide.pdf).

o If CBI is involved, submit both a CBI and CBI-deleted version.

APHIS allows planting/release information to be provided in two stages in order to meet the 

permit requirements as stated in 7 CFR 340.4. At the time of submission of a permit, certain 

general information about each planting/release location is allowed. However, specific 

information must be provided in one or more subsequent planting/release reports.

The information in this appendix is intended for all applicants, especially those who do not 

include specific planting/release location information in their original permit. 

Submission of Planting/Release or Other Environmental Release Information

For plants, there are three types of environmental releases under permit: plantings of seed, 

transplanting of plants, and the outdoor placement or transplanting of plants grown in containers. 

For each of these releases, defined here as “planting” events, a planting report is required so that 

the location, size, and duration of all plant environmental releases are known. An historical 

synonym for a planting report is a “post-planting report.”

For microbes or insects, an environmental release (release) occurs each time the regulated article 

is released into the environment.

Environmental release information supports three critical APHIS regulatory functions. It is used 

to (1) evaluate the permit and other analyses for the planned environmental release, (2) verify 

compliance through inspections, and (3) monitor and respond to regulatory incidents, and 

emergency management situations, such as severe weather events.

As stated in the regulation, APHIS requires three types of information related to the 

environmental releases under permit. They are the location, size of planting/release, and date of 
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Appendix C Planting and Environmental Release Reports

2

the environmental release. This information must be provided when the permit is submitted to 

APHIS prior to environmental release. However, a permit is typically submitted many months 

prior to the expected date of release, which has made it difficult for the responsible person to 

predict, and for APHIS to know, the exact release site, size, and release date at the time the 

permit was submitted. In order to meet this requirement, APHIS allows this information to be 

provided in two stages. 

In the first stage, the State and County of each location, at least one GPS coordinate, a maximum 

planted area, and the proposed start and end dates of the release are provided with the permit 

application. This information shall be sufficient for APHIS permit review and TES and NEPA 

analysis. 

In the second stage, following permit issuance, the actual location (which must be situated within 

the State and County authorized), size of the planting/release and planting/release date must be 

submitted in a planting/release report within the required time frame. Each of these 

planting/release reports must be submitted according to the permit conditions and must include 

the data described below. Note, however, that the permit applicant may define a planting/release 

and its associated start date in ways that are meaningful, convenient, or important to their 

processes. Regardless of how each planting/release is defined, it’s corresponding 

planting/release report must include the required information.

Submit the information requested to APHIS as in the Supplemental Permit Conditions. Below is 

additional information on what to submit and when to submit the planting/release reports.

Planting/Release Reports: What to Submit

1. Location. The location must be assigned, by the applicant, a Location Unique ID that 

exclusively identifies one release site for the location described in the permit. The Location

Unique ID is used, among other reasons, to link all reports for the same release site. If this

Unique ID has been assigned previously as part of the permit submitted via ePermits, then the 

same Unique ID must be used in the planting/release report. The Unique ID may be meaningful 

words or a coded string of alphanumeric characters. The same Unique ID may be used for the 

same location on different permits (or notifications), but must be unique within each permit (or 

notification).

The location must be described either in the form of at least one (and no more than six) GPS 

coordinate(s) for the release site. If only one required GPS coordinate is provided, it must define 

the northwest corner, or the northwestern-most point, of the planting/release. 

2. Planting/Release Unique ID. If more than one planting/release is to be made at this location 

(e.g., different times or different release sites within the same location) under this permit, provide 

a planting/release Unique ID. This identifier typically will be used to designate different release 

sites planted/released at different times within temperate locations, or for different 

planting/release times on the same release sites within tropical locations. A single 

planting/release may span several days. An extended planting/release period—planned or 
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Appendix C Planting and Environmental Release Reports

3

unplanned (e.g., poor weather)—may be divided into two or more plantings/releases that each 

have a different planting/release Unique ID. The planting/release Unique ID may be meaningful 

words or a coded string of alphanumeric characters, such as “P1” or “planting_n” or “release_n”.

3. Planting/release start date. The date of each planting/release occurrence in the relevant 

release site (i.e., with this Location Unique ID) must be provided.

4. Size of release. The applicant must report the amount of regulated material planted or 

otherwise released in acres. In most cases, the applicant must provide the area occupied only by 

the regulated article(s) for the planting/release occurrence on the planting/release date. Border 

rows may optionally be included in the reported area; however, the acres planted/released over 

all planting/release occurrences must sum to be equal to or less than the authorized area provided 

in the issued permit. Consequently, it is possible to exceed the allowable acreage if border rows 

are included in the reported area.

Note that total area planted/released (regulated plus border rows, etc.) may be provided 

optionally in addition to area planted/released only to the regulated article(s).

Report Only New Information

When providing a planting/release report, submit only previously unreported planting 

information; do not submit previously reported plantings/releases on the same site unless it is a 

new planting/release.

Report Sites Not to be Planted or Released

Identify in planting/release reports any release sites included in the permit that will not be 

planted at all under the permit. Identify these sites as soon as you know that they will not be 

planted.

Do not identify sites as “not planted” or “not released” if they will be, or are likely to be, 

planted/released later under the permit. Only note a site as “not planted” or “not released” in a 

planting/release report if you are certain no planting/release will occur at a given site before the 

permit expires. All sites must be accounted for in the Final Planting/Release Report that is 

submitted within 6 months after the end of the release. 

Planting/Release Reports: Due Date

All required planting/release information must be provided in a report, preferably as an 

electronic file according to the permit conditions. When multiple plantings/releases are made 

under a single permit, a planting/release report must be submitted for each planting/release; 

however, the permit holder may actually define these as one or more plantings/releases, 

depending on factors that are meaningful, convenient, or important to their processes. For 

example, if two plantings/releases are made during the month of May, the planting/release

information may be submitted in either one or two reports.
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Appendix C Planting and Environmental Release Reports

4

In general, APHIS currently uses the date of submission stated on a planting/release report as the 

date of receipt. This is the practice for both electronically and conventionally mailed reports. 

Consequently, if the date on a planting/release report, or its attached cover letter, memorandum, 

email, or postmarked envelope is no later than the date provided in the permit conditions, the 

report will be deemed on time unless there is reason to believe the date is not accurate. If no date 

of submission appears on or with the report, then a verifiable tracking report from the delivery 

service will be used to determine the actual date of submission (i.e., the date sent). When there is 

no date on or with the planting/release report and no tracking record available, APHIS will use 

the actual date the report was received by APHIS as the date of receipt.

For Multiple Plantings (Plants) or Releases (Microbes)

If the plantings/releases occur with more than 30 days in between, these should appear on 

separate planting/release reports; however, for reporting purposes, the permit holder may define 

separate plantings/releases that occur at intervals shorter than 30 days. 

Examples of Non-Compliance

1. Required report “late”

If APHIS does not receive a planting/release report containing the required information by the 

date in the permit conditions the report will be deemed late.

2. Required report “not provided”

If APHIS does not receive a planting/release report containing the required information 31 or 

more days after the due date, the requirements specified in 7 CFR 340.4(b) have not been met, 

and the absent report will be considered a compliance infraction. APHIS identifies as “not 

provided” any planting/release report that is submitted 31 or more calendar days following the 

due date. 

3. Required report ‘incomplete”

If APHIS receives a planting/release report that does not contain required information, then the 

requirement specified in 7 CFR 340.4(b) have not been met. An incomplete report will be 

considered a compliance infraction.

Late and/or missing reports are subject to enforcement actions including the issuance of a notice 

of non-compliance and/or a warning letter, and the potential assessment of a civil penalty.

12/13/2011 “USDA-APHIS-BRS User’s Guide Permit, Appendix – Planting and 

Environmental Release Reports” updates USDA-APHIS-BRS User’s Guide 

Notification and Appendix A Planting/Environmental Release Report 

Requirements” Version 3/28/11 to be specific to Permits
USDA-APHIS-BRS Permit User’s Guide

Appendix D Consolidated Monthly Planting and Release Reports

1

Consolidated Monthly Planting and Release Reports

Information that must be submitted in a planting/release report is described in Appendix -

Planting/Environmental Reports; some organizations release at many locations under multiple 

permits and may prefer to submit consolidated monthly reports. In this appendix, APHIS 

provides to these organizations guidance for (1) the data elements to be provided, (2) the 

formatting of those data elements, and (3) the methods of report submission. All required 

information must be reported for each environmental release. If a planting/release made during a 

calendar month is not included in the consolidated report that is due for that month, then permit 

holders must include those plantings/releases in the consolidated planting/release report due the 

following month.

Data Elements to be Provided

In general, the data elements needed to satisfy the planting/release report requirements in a 

consolidated monthly planting/release report must be arranged in a tabular, spreadsheet format. 

The data elements described below are consistent with the ePermits module that allows the web 

form entry or XML uploading of planting/release information into the system. For consolidated 

monthly planting/release reports APHIS is requesting that the same data elements be provided as 

follows:

1. Permit Number. Report the permit number.

2. State. Report the name of the State in which the planting/release occurs.

3. County. Depending on the State or territory, report the name of the County, parish, borough 

or municipality in which the planting/release occurs.

4. Location Name. Report the release site’s Location name (farm level) the same as it is listed 

in the issued permit.

5. Location Unique ID. This is an alphanumeric code that more specifically identifies the 

release site of the planting/release, typically at the field level and is used, among other reasons, 

to link all reports for the same field location. It can be any combination of letters or numbers 

that you choose, but it must be unique for each release site within each permit. If a Unique ID 

was provided for this release site in the issued permit, the applicant must use the same Unique ID 

in the planting/release report.

6. Planting/Release occurred. Indicate whether or not a planting/release has occurred at this 

release site. There are three possible entries: Use a “Y” if a planting/release occurred or an “N” 

if the release site will never be planted/released under this permit. Leave the entry blank if no 

planting/release was made but the site will be, or may be, planted/released later under this 

permit.
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Appendix D Consolidated Monthly Planting and Release Reports

2

7. Planting/Release Unique ID. For this permit and unique release site, use a unique 

alphanumeric term or code to identify this planting/release at a specific field, plot or time. Use a 

simple planting/release identifier even if there will be only one planting/release at the site. 

Provide this identifier only if you entered “Y” for “planting/release occurred” (#6 above).

8. Planting/Release start date. Report the beginning date on which the release was 

planted/release occurred. Provide this date only if you entered “Y” for “planting/release 

occurred” (#6 above).

9. Size. Report the total size of the planting/release, including only the area planted/released 

with the regulated article(s). This quantity must be submitted in acres; use no more than three 

decimal places. APHIS prefers that border rows not be included in this figure, even though they 

usually are treated as regulated during the release. For complex field designs that involve 

plantings/releases under multiple permits and notifications at one field location, report the 

planting/release size separately for each permit or notification, excluding border rows. Provide 

the planting/release size only if you entered “Y” for “planting/release occurred” (#6 above).

10. Latitude coordinate. Report a latitude coordinate for the planting/release in degree decimal 

format. Up to six decimal places can be provided. Provide this coordinate only if you entered 

“Y” for “planting/release occurred” (#6 above). Example: 39.123456.

11. Longitude coordinate. Report the corresponding longitude coordinate in degree decimal 

format. Up to six decimal places can be provided. Each value is reported as a negative number. 

Provide this coordinate only if you entered “Y” for “planting/release occurred” (#6 above). 

Example: -101.123456.

NOTE: Up to six latitude/longitude pairs may be provided to define the perimeter of each 

planting/release location. However, if you report only one pair of coordinates, the latitude and 

longitude coordinates must be for the northwest corner, or northwestern-most point, of the field 

or plot planted/released.

GENERAL NOTE: Submit only new (not previously reported) planting/release information in 

each monthly report. Do not submit previously reported plantings/releases at the same location 

unless it is a new planting/release (e.g., a new plot, field or time with a new planting/release 

identifier).

Other Data Elements that May be Provided (Optional)

Elements aligning with ePermits

A new ePermits module is now available and allows for the electronic reporting of 

planting/release information. The module contains additional data elements that applicants may 

optionally include in consolidated monthly reports. Although their use will not be required, 

applicants who plan to use these elements in ePermits may want to establish some continuity in 
USDA-APHIS-BRS Permit User’s Guide

Appendix D Consolidated Monthly Planting and Release Reports

3

their planting/release report submissions prior to using ePermits by using one or more of these 

elements. They are described below.

1. Site cooperator contact information. Provide the name and contact information for the 

person responsible for conducting the release at this specific location. Provide this contact 

information only if you entered “Y” for “planting/release occurred” (#6 above). Note: After the

new ePermits module becomes available, the system will automatically bring forward this 

information from the permit into the planting/release report.

2. Anticipated harvest/destruct date. Provide the date on which the regulated article(s) 

planted/release is expected to be harvested or to be terminated prior to harvest.

3. Comments. Provide as text any comments or miscellaneous information relating to the 

planting/release. Examples of such information include data elements that the applicant has 

provided in the past or desires to add to the ePermits record (e.g., total acres planted, including 

borders, cumulative acres planted). Note that multiple comments and data elements may be 

provided for each planting/release, but they may be entered only into one open “Comments” text 

field in ePermits.

4. Phenotypic designation. The applicant may provide the constructs involved with this 

planting/release. Note that the phenotypic designations must be provided in the final field test 

report even if they have been provided earlier in planting/release reports.

Other Optional Elements

An applicant may voluntarily provide in a consolidated planting/release report other information 

not listed above. However, with the availability of the ePermits reporting, an applicant may 

continue to submit all such voluntary information to ePermits, but these additional elements will 

need to be submitted either in the single “Comments” text field that will be available for each 

planting/release, or in a separate attachment.

Formatting of Data Elements

APHIS requests this information as an Excel spreadsheet file containing the above information in 

the columnar format shown on the next page, or in another format that allows for data extraction. 

Formats such as the portable document file (pdf) do not allow for data extraction and processing. 

However, a second file in a non-extractable format may be submitted with the extractable spread 

sheet. APHIS is requesting this information in an extractable format due to the large volume of 

records received on a monthly basis, and due to the varying formats of reports being received. 

An example of a consolidated monthly planting/release report table is shown on the final page of 

this appendix. This example includes only data elements that are required by the ePermits 

reporting module. It does not include optional data elements. APHIS requests receiving the 

report in the format shown, but applicants may include optional fields. Columns may be 

arranged in any order the applicant desires. In either instance, these column headings are 

requested to facilitate accurate data processing.
USDA-APHIS-BRS Permit User’s Guide

Appendix D Consolidated Monthly Planting and Release Reports

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If CBI is involved, please submit both a CBI and CBI-deleted version.

Example: Consolidated Planting/Release Report 

Consolidated Planting/Release Report for June 2010

Note: This report would be due on the date provided in the permit conditions.

Version

12/7/2011 “USDA-APHIS-BRS User’s Guide Permit Appendix - Consolidated Monthly 

Planting and Release Reports” updates “USDA-APHIS-BRS User’s Guide 

Notification, Appendix B Consolidated Monthly Planting Report Submission 

Formats for Applicable Organizations” Version 3/28/11 to be specific to 

Permits. 
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Appendix E Sample Permits

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Sample Permit: Movement – CBI Multiple Species
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Appendix E Sample Permits

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Sample Permit: Movement – CBI-Deleted Multiple Species
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Appendix E Sample Permits

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Sample Permit: Release – CBI Corn
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Sample Permit: Release – CBI-Deleted Corn 
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Sample Permit: Release & Movement – Multiyear
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