Basic Requirements for Special Exemption Permits and Authorizations to Take, Import, and Export Marine Mammals, Threatened and Endangered Species, and for Maintaining a Captive

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Permit & Authorization Applications: Scientific Research & Enhancement (SR/EN), SR/EN Parts Only, Public Display (PD)	Form and Instruction	Modified	Available
Retain or transfer rehabilitated animals	Form and Instruction	Removed	Available
Reports: SR/EN Reports, SR/EN Parts Only Reports, PD Reports, PH Reports, GA Reports, PD Inventory Forms	Form and Instruction	Modified	Repair queued
0648-0084 30-day 84 FR 71378 2019-1227.pdf	Supplementary Document	Uploaded 2019-12-30	Available
0648-0084 Supporting Statement - Attachment 2.docx	Supplementary Document	Uploaded 2019-12-18	Available
0648-0084 Supporting Statement - Attachment 1.docx	Supplementary Document	Uploaded 2019-12-18	Available
0648-0084 Supporting Statement Part A.docx	Supporting Statement A	Uploaded 2019-12-17	Available
0648-0084 60-day 84 FR 50409 2019-0925.pdf	Supplementary Document	Uploaded 2019-12-17	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
43569	Permit & Authorization Applications: Scientific Research & Enhancement (SR/EN), SR/EN Parts Only, Public Display (PD)	Form and Instruction	Modified
223097	Scientific Reserach & Enhancement for Parts Only: Photography (PH), General Authorization (GA)	Instruction	Modified
190478	Retain or transfer rehabilitated animals	Form and Instruction	Removed
190477	Recordkeeping: General Permit Recordkeeping, General PD Inventory Recordkeeping		Modified
190476	Reports: SR/EN Reports, SR/EN Parts Only Reports, PD Reports, PH Reports, GA Reports, PD Inventory Forms	Form and Instruction	Modified
190475	Amendments: Major Amendments-Modifications to Permits, Minor-Authorizations, GA Changes		Modified

ICR Details

OMB Control No: 0648-0084	ICR Reference No: 201912-0648-016
Status: Active	Previous ICR Reference No: 201608-0648-008
Agency/Subagency: DOC/NOAA	Agency Tracking No:
Title: Basic Requirements for Special Exemption Permits and Authorizations to Take, Import, and Export Marine Mammals, Threatened and Endangered Species, and for Maintaining a Captive
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/27/2020
	Date Received in OIRA: 12/31/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2023	36 Months From Approved	11/30/2020
Responses	963	0	991
Time Burden (Hours)	6,741	0	7,245
Cost Burden (Dollars)	988	0	1,000

---

Abstract: The required information in this collection is used to make the determinations required by the MMPA, FSA, ESA and their implementing regulations prior to issuing a permit; to establish appropriate permit conditions; to evaluate the impacts of the proposed activity on protected species; and, to ensure compliance with the Acts. Permits authorize what is described in the application. An applicant who wishes to obtain an exception to the take prohibitions of the Acts for activities on marine mammals and ESA-listed species must provide justification as to why NMFS should grant them a permit or authorization consistent with the provisions of the Acts and implementing regulations. They must also describe the proposed activities (how many animals and the research and other methods) and anticipated effects on the target and non-target species, and must include information to assess environmental impacts in accordance with NEPA. NMFS needs the information provided in the application in order to make an informed decision on whether to grant or deny the permit or authorization. This includes, among other things, determining whether the taking, import, or export is necessary, humane, will not operate to the disadvantage of the species, will not jeopardize the continued existence of the species or destroy or modify critical habitat, will not have a significant impact on the environment, and whether the proposed activity is consistent with the purposes and policies of the Acts and all applicable implementing regulations. Taking, importing, or exporting without a permit or authorization is a violation of the Acts and subject to prosecution. The marine mammal inventory forms ensure legal compliance with MMPA reporting requirements and allow NMFS to maintain the National Inventory of Marine Mammals (NIMM), as required by the MMPA.

---

Authorizing Statute(s): US Code: 16 USC 31 Name of Law: Marine Mammal Protection Act of 1972
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 50409	09/25/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 71378	12/27/2019
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Scientific Reserach & Enhancement for Parts Only: Photography (PH), General Authorization (GA)
Permit & Authorization Applications: Scientific Research & Enhancement (SR/EN), SR/EN Parts Only, Public Display (PD)	N/A, N/A, N/A, N/A	Marine Mammal Commercial or Educational Photography Permit Application ,   Endangered Species Scientific Research & Enhancement Permit Application ,   Marine Mammal Scientific Research & Enhancement Permit Application ,   Qualifications Form
Amendments: Major Amendments-Modifications to Permits, Minor-Authorizations, GA Changes
Reports: SR/EN Reports, SR/EN Parts Only Reports, PD Reports, PH Reports, GA Reports, PD Inventory Forms	NOAA 89-880, N/A, NOAA 89-881, NOAA 89-882	Endangered Species Protected Species Permit Report Form ,   Marine Mammal Data Sheet (MMDS) ,   National Inventory of Marine Mammals Institutional Contacts ,   Marine Mammal Transfer/Transport Notification
Recordkeeping: General Permit Recordkeeping, General PD Inventory Recordkeeping
Retain or transfer rehabilitated animals	NA	Marine mammal transfer/transport notification

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	963	991	0	0	-28	0
Annual Time Burden (Hours)	6,741	7,245	0	0	-504	0
Annual Cost Burden (Dollars)	988	1,000	0	0	-12	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Decrease in number of SR/EN applications received over past 3 years and anticipated next 3 years. Decreased number of PD facilities reporting; more accurate number from NIMM database of U.S. facilities holding marine mammals (e.g., removed foreign facilities previously included). Received comments that 30 hours was a low estimate for Public Display (PD); we increased to 50 hours.

---

Annual Cost to Federal Government: $615,500

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/31/2019

---