0402 ss ren 013009rev

SUPPORTING STATEMENT
APPLICATIONS AND REPORTS FOR SCIENTIFIC RESEARCH AND
ENHANCEMENT PERMITS UNDER THE ENDANGERED SPECIES ACT
OMB CONTROL NO. 0648-0402

A.

JUSTIFICATION

This request is for renewal of this information collection.
1. Explain the circumstances that make the collection of information necessary.
National Oceanic and Atmospheric Administration (NOAA)’s National Marine Fisheries Service
(NMFS) is responsible for the conservation and recovery of marine and anadromous species
listed as threatened or endangered under the Endangered Species Act of 1973 (ESA; 16 U.S.C.
1531 et seq.). The ESA prohibits, with some exceptions, “take” of listed species. Take is defined
by the ESA as: "to harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or to
attempt to engage in any such conduct." Section (a)(1)(A) of the ESA allows the issuance of
permits which authorize take of listed species for scientific purposes or to enhance the
propagation or survival of the affected listed species. The regulations implementing the authority
to issue permits for scientific research or enhancement are found at 50 CFR §222.308.
The regulations contain two sets of information collections: (l) §222.308(b) – applications for
scientific research/enhancement permits; (2) §222.308(d)(5) – reporting requirements for permits
issued under §222.308. The specific reporting requirements may vary depending on the nature of
the activity, but consist of specific information on any listed species taken (species, dates,
location, numbers of individuals taken, biological information and procedures performed,
condition of animal, any preliminary analysis of data).
A permit applicant who wishes to obtain an exemption to the take prohibitions of the ESA must
provide justification as to why NMFS Service should grant the permit. NMFS needs the
information provided in the permit application to make an informed decision as to whether to
grant or deny the permit. Without a permit, any taking of a listed species would be subject to
prosecution as a violation of section 9 of the ESA. Anyone requesting an additional permit must
submit a new application.
The reports required by an issued permit help NMFS determine: (1) whether or not the
conditions of the permit are being followed, (2) the impact of the permitted activities on the
listed species, and (3) new information about the species which may then help NMFS to improve
the species management.

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2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
NMFS uses the information provided to determine the sufficiency of the application and whether
the activity proposed meets the goals and objectives of the ESA. This determination is the basis
for a decision on issuance or denial of the permit.
The reports required by the permits (§222.308(d)(5)) are used by NMFS to ensure that the terms
and conditions of the permit are being complied with, as required by section (a)(2)(C) of the
ESA, and that the taking of the affected species is not appreciably reducing the likelihood of the
survival and recovery of the species.
As explained in the preceding paragraphs, the information gathered has utility. NMFS will retain
control over the information and safeguard it from improper access, modification, and
destruction, consistent with NOAA standards for confidentiality, privacy, and electronic
information. See response to Question 10 of this Supporting Statement for more information on
confidentiality and privacy. The information collection is designed to yield data that meet all
applicable information quality guidelines. Although the information collected is not expected to
be disseminated directly to the public, results may be used in scientific, management, technical
or general informational publications. Should NMFS decide to disseminate the information, it
will be subject to the quality control measures and pre-dissemination review pursuant to Section
515 of Public Law 106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
NMFS developed, and began to use in 2007, an on-line application system known as
Authorizations and Permits for Protected Species (APPS) at
http://www.nmfs.noaa.gov/pr/permits/apps.htm, for application instructions for research and
enhancement permits for marine mammals, Pacific salmon, and other threatened and endangered
species under the Marine Mammal Protection Act and ESA. The intent of the APPS on-line
system is to provide a user-friendly and efficient electronic format for the public to apply for
ESA scientific research and enhancement permits for protected species, in addition to the paper
applications. Applicants are able to submit applications and reports electronically, thus
substantially reducing the need to submit paper applications and hopefully reducing the time
spent filling out the paper applications. The public is also able to search the APPS database and
obtain information available to the public more efficiently and in an electronic format.
4. Describe efforts to identify duplication.
The type of information requested is not typically available from any other source, as each
project for which an applicant requests a permit is unique. However, if the applicant already has
a proposal (for example, to obtain funding for the project), they may submit it as an attachment
inasmuch as it covers the information requested in the application.

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5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
There should not be a significant impact. The information is submitted one time for each permit,
unless the applicant requests a modification to the permit. Since some projects may take several
years to complete, NMFS has discretion to issue long-term permits to provide continuity, and
avoid the need to apply for a permit each year.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
Permit applications are initiated by an applicant who wishes the privilege of protection from the
prohibitions of ESA section 9. Without a permit application which follows the requirements at
§222.308, NMFS cannot legally grant such a permit.
A reporting period of less than annually will not allow NMFS to adequately monitor the permit
activities and compliance with permit conditions. Additionally, the information gained from the
annual reports is used in making management decisions to aid in the recovery of listed species.
Therefore, if this information is not available, it may negatively affect the recovery of listed
species, and NMFS may be viewed as unresponsive to the Congressional mandates expressed in
the ESA.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
The collection is consistent with Office of Management and Budget (OMB) guidelines except for
the requirement of notification when significant events take place (e.g., mortality or injury of an
animal, exceeding the authorized take, or the taking of a species not authorized by the permit).
Notification for these events must take place typically within two days after the event, to allow
for quick response by NMFS and the permit holder to incidents with a significant impact on
listed species and that were not authorized by the permit and therefore not anticipated.
8. Provide information on the PRA Federal Register Notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
A Federal Register Notice published on October 17, 2008 (73 FR 61784) solicited public
comments. No comments were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gifts have been provided to any respondents. However, the fee to the applicant
allowed for by the regulations at §222.308(d)(8), is waived.
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10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
No assurance of confidentiality is given. A notice of receipt of permit applications is required by
statute to be published in the Federal Register. Applications and supporting documentation are
available for review by the public at every stage of processing and throughout the duration of the
permit. This is explained in the application instructions. Even after the permit expires, the
documents remain open as historical information as long as the file is maintained. The
information collection is a matter of public record and no confidential material is required. All
permit documentation including reports is subject to the Freedom of Information Act.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
No sensitive questions are asked.
12. Provide an estimate in hours of the burden of the collection of information.
See table below Question 14. The number of responses is expected to be approximately 170 and
the total hours, 1,400.
13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in Question
12 above).
Total recordkeeping/reporting costs for materials, printing, mailing, etc. are $105: $2 to fax the
last page of each of the 30 application to NMFS, totaling $60, plus an average of $5 in postage
for the 5% of the responses (9) that are expected to be mailed rather than submitted via the Web,
totaling $45.
14. Provide estimates of annualized cost to the Federal government.
See the table below. The total government cost, including labor, overhead and incidental costs, is
$133,620.

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Permit
Applications (once
per permit)

Modification
Requests from
Permit Holder

Annual Reports * Final Reports (once
per permit)*

Respondent Burden and
Labor Cost
Annual # of Responses

30

20

100

20

Hours per Response

20

5

5

10

600

100

500

200

$400

$100

$100

$200

$12,000

$2,000

$10,000

$4,000

120

80

10

10

$2,400

$1,600

$200

$200

$60

$40

$5

$5

$56

$28

$1.50

$1.50

$2,516

$1,668

$207

$207

$75,480

$33,360

$20,650

$4,130

Total Hours (Annually)
Labor Cost per Response
@$20/hr
Total Labor Costs to all
Respondents
Federal Government
Burden and Costs
Govt. Hrs. per Response
Labor Cost per Response
@$20/hr
Overhead per Response
Incidental Cost per
Response
Total Cost to Govt. per
Response
Total Cost to Fed. Govt.

Totals

170

1,400

$28,000

$133,620

* Based on an average permit length of 3 years.

15. Explain the reasons for any program changes or adjustments.
Adjustments:
A change request for the new APPS on-line system was approved on September 21, 2007. The
on-line system provides a user-friendly and efficient electronic format for the public to apply for
permits, submit modification requests, and fill out annual reports. The efficiency of this on-line
system is expected to lower the total incidental costs to the public and reduce the hours per
response.
For applicants using the on-line system, the time per response is expected to be 25% lower. The
rest of the reduction in time per response is based on a downward adjustment of the previous
estimates by 25%, as the previous estimates appear to have been too high. The reduction of
hours, based on current responses, would be 1,000.
However, the number of responses per year is expected to increase. NMFS is currently reviewing
the status of several new species and a listing decision is expected to be made in the coming
months. If these new species are listed under the ESA, NMFS would expect to see more requests
for permits (2 more new applications per year) as well as related modification requests, annual
reports, and final reports, for a total annual increase of 24 responses (170, up from 146). The
estimated increase in hours from these additional responses is 120. Therefore, the net reduction
in hours is estimated to be 880 (1,000 – 120).
Total recordkeeping/reporting costs have been adjusted downward by $2,075 due to a much
lesser expected postage cost based on the estimated 95% on-line submission. In addition to $5
per document mailed if an applicant cannot access APPS (5% of 170 responses or 9 responses

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per year, or $45), there will still continue to be a $2 cost to fax the signature page for new
applications (30 applications per year, or $60).
16. For collections whose results will be published, outline the plans for tabulation and
publication.
Although NMFS uses the data, NMFS does not have plans to publish it. Typically, the researcher
will publish at the end of his/her project. During the project, NMFS uses information from
permit reports to monitor activities authorized by permits, and to monitor requirements under the
ESA Biological Opinions that are associated with the permits. In addition, information such as
run estimates for salmonids are used by the NMFS Science Centers to better manage the species.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
Not applicable.
18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
There are no exceptions to the certification statement.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection does not employ statistical methods.

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