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INCIDENTAL TAKE AUTHORIZATIONS – APPLICANT INSTRUCTIONS

Incidental Take Authorizations –
Applicant Instructions
See “How do I know if I need to apply for an incidental take authorization?” for general information
on when to seek an authorization and the Letter of Authorization Requests page for instructions on
applying for a Letter of Authorization (LOA). 

To obtain an incidental take authorization (https://www.fws.gov/alaska/pages/incidental-takeauthorizations-general-information) (either incidental take regulations (ITRs) or an incidental
harassment authorization (IHA)), applicants must submit a written request to the Service containing
information specified in the Code of Federal Regulations (50 CFR §18.27(d) (https://ecfr.io/Title-

50/Section-18.27)), which is described below. Note this information is very similar, but not identical,
to the information required by the National Marine Fisheries Service (NMFS) for its marine mammal
incidental take requests.  
We strongly encourage applicants to reach out to the Marine Mammals
Management (MMM) Regulatory Program ([email protected]
(https://mail.google.com/mail/[email protected]), 1-800-3625148) prior to developing an application, in order to discuss an authorization timeline, any data
needs, or other considerations that may impact your application. Communicating early and often
is key to a successful application.  
It may take up to 18 months from your initial communication to the promulgation of final incidental
take regulations (ITRs). The process for issuance of an incidental harassment
authorization (IHA) may take 12 months. Processing time will vary depending on the nature of the
proposed activities, so we encourage communication well in advance of the start of proposed
activities. Applicants can review this flowchart (https://www.fws.gov/ecologicalservices/species/MMPA-ITA-Flowchart-for-Webpage-2016.pdf) of the application process.  
Complete applications should be submitted to the Marine Mammals Management Regulatory
Program by email to [email protected] (https://mail.google.com/mail/?
[email protected]). 

Application Requirements (IHA and ITRs) 
A complete application describes in detail the proposed activities; anticipated impacts on marine
mammals (under Service jurisdiction), their habitat, and their availability for subsistence uses; and
mitigation, monitoring, and reporting plans. Past applications that resulted in issued
authorizations may be helpful examples and can be requested from the MMM Regulatory
Program by email. We recommend structuring your application for an IHA or ITRs with separate
sections for each of the 11 written request components required by Service regulations: 
1. Activity description—A description of the specific activity or class of activities that can be
expected to result in incidental taking of marine mammals. 
All proposed activities for the entire effective period of the authorization should be described in
detail. Descriptions should include all types of equipment to be used, including aircraft and vessels,
and how they will be operated and interact with the environment. Diagrams and tables are often
helpful. Please include daily operation schedules in this section. Applicants may also choose to
include additional activity timing and location details in this section rather than the following
section.  
Here is information that is typically required for specific activities: 

In-water or shoreline construction
Whether there will be pile driving, and if so, the type, size, and total numbers of piles to be driven
using vibratory or impact methods; any sound attenuation methods to be used; sound source levels
for equipment from field measurements and/or manufacturer specifications.
Marine vessel transit 
Vessel length and type; transit speeds and track lines 
Marine seismic/geophysical surveys
Acoustic source frequency, sound level, directionality, and daily usage; track lines 
Aircraft operations 
Aircraft model; flight paths; flights per day 
Tundra travel
Travel dates and routes 
Land seismic/geophysical surveys 
Subblock entry and exit dates (for both advanced and full crew)  
Onshore drilling operations 
Percentage of total time that each area (e.g., well pad, camp, mine site, road) is occupied by
humans during each month or season. Applicable seasons are open water season, 19 July – 10
November, and ice season, 11 November – 18 July. 
2. Timing and location details—The dates and duration of such activity and the specific
geographical region where it will occur. 
Applications should specify where and when activities will occur in as much detail as possible. If
this information is provided in the description of activities, a brief summary of timing and location in
this section is sufficient. Please note that any information provided in the application will be made
available to the public. Applications must include: 
Dates (start and end) for each proposed activity. Please be as specific as possible. If timing of
activities depends on certain factors, explain those factors fully. Describe activity durations
and frequencies.  

Locations of activities. Please include a detailed map in the application and provide the
Service with a GIS data file (i.e., shapefile) showing activity footprints, including any transit
routes.   
3. Take estimates—An estimate of the species and numbers of marine mammals
(https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=a1df90cd8649ef6de1aeea3e8de21584&term_occur
to be taken (https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=afb8311b308cb22cac56203083cbc7c7&term_occur
age, sex, and reproductive conditions, and the type of taking (e.g., disturbance by sound, injury
or death resulting from collision, etc.) and the number of times such taking is likely to occur. 
In this section, describe the total number of marine mammal takes that are anticipated to occur
during proposed activities. Include the total numbers of anticipated takes by Level B harassment,
by Level A harassment, and by lethal take. If any Level A harassment is anticipated to amount to
serious injury (i.e., injury with a 50% or greater chance of causing mortality), state how many
“serious” Level A takes are expected to occur.  
Applications should include a thorough narrative of how take estimates were generated, including all
assumptions applied.  
We encourage applicants to follow the Service’s methodologies to estimate total
take. These generally consist
of applying scientifically established take exposure thresholds (e.g., levels of noise or activity
proximity thresholds that have been shown to potentially disturb or harm polar bears, sea otters, or
walruses). The total area and duration of exposures above take thresholds from activities is
determined, and the number of takes expected to occur is calculated based on the density of marine
mammals in the exposure area and the proportion of exposures that will result in take based
on animal responses.  
Take estimates should account for any planned mitigation. For example, if trained observers will
monitor for marine mammals and activities will not start or will cease if animals are within a certain
proximity, this should be factored into the estimation of take. 
The MMM Regulatory Program can provide technical assistance on the generation of take
estimates. We encourage applicants to review recent Federal Register notices for similar
authorizations (refer to the ITRs list page (https://www.fws.gov/alaska/pages/list-incidental-takeregulations) and the IHA list page (https://www.fws.gov/alaska/pages/list-incidental-harassmentauthorizations)), which include thorough descriptions of the Service’s take estimation methods.  

4. Species or stocks description—A description of the status, distribution, and seasonal
distribution (when applicable) of the affected species or stocks likely to be affected by such
activities. 
Descriptions of the affected stock(s) should provide information on abundance and
distribution, recent population trend, and factors affecting this trajectory. Also, describe life history,
including behavioral patterns (e.g. reproduction, feeding, migrating, and hauling out) and
physiological traits (e.g. hearing range, metabolic demands) that may influence how
activities could affect animals. Please identify any areas or times that animals are particularly
sensitive to potential impacts from activities.  
Our program issues authorizations for the marine mammal stocks listed below, and the
linked Service reports contain stock-specific information that may be helpful. We recommend
reviewing relevant recent authorizations (IHA list page; ITRs list page) for additional sources of
information on these stocks.  

Species 

Stock1 

Service Resources2 

Polar
bears 

Chukchi/Bering
Sea  

SAR (https://www.fws.gov/alaska/sites/default/files/202106/Chukchi_Bering%20Sea%20SAR%20Final%20May%2019%20

Southern
Beaufort Sea  

SAR (https://www.fws.gov/alaska/sites/default/files/202106/Southern%20Beaufort%20Sea%20SAR%20Final_May%2019r

Northern
sea
otters 

Southeast
Alaska 

SAR (https://www.fws.gov/ecological-services/eslibrary/pdfs/Northern-Sea-Otter-SEAK-Final-SAR.pdf) 

Southcentral
Alaska 

SAR (https://www.fws.gov/ecological-services/eslibrary/pdfs/Northern-Sea-Otter-SCAK-Final-SAR.pdf) 

Southwest
Alaska 

SSA (https://ecos.fws.gov/ServCat/DownloadFile/195484), SAR
(https://www.fws.gov/ecological-services/es-library/pdfs/North
Sea-Otter-SWAK-Final-SAR.pdf) 

Pacific
walrus 

Single rangewide stock 

SSA (https://ecos.fws.gov/ServCat/DownloadFile/132114), SAR
(https://www.fws.gov/ecological-services/es-library/pdfs/Pacifi
Walrus-Final-SAR.pdf) 

1Population unit that is recognized and managed under the Marine Mammal Protection Act 
2SAR = Stock Assessment Report; SSA = Species Status Assessment 
5. Anticipated impact on marine mammals—The anticipated impact of the activity upon the
species or stocks. 
In this section, provide a description of how proposed activities are likely to impact marine
mammals. Include what biological consequences activities and incidental take may have on animal
behavior, distribution, physiology, health, and the population as a whole. This section may be
combined with the take estimate section as long as it is clear where this information is provided.
Make sure the application includes whether any serious injury or mortality is anticipated and how
severe the impacts from harassment are likely to be, given the type of harassment, time of
occurrence, any cumulative stressors, and the potential for repeated exposures.   
6. Anticipated impact on subsistence use of marine mammals—The anticipated impact of the
activity on the availability of the species or stocks for subsistence
(https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=b8312b19e6ca24e842e00dfeae4bcfd3&term_occur
Authorizations may be issued only if incidental take does not have an “unmitigable adverse
impact” on the availability of marine mammals for subsistence uses. Activities may have such an
impact if they cause marine mammals to abandon or avoid hunting areas, directly displace
subsistence users, or place physical barriers between the marine mammals and the subsistence
hunters. This section should describe whether activities could have any of these effects and the
specific communities and hunts that may be impacted. Applicants should consult with subsistence
communities, and the Service can provide appropriate contacts, if needed. In some cases, the
Service may require applicants to develop a formal Plan of Cooperation (POC), which includes:  
A statement that the applicant has notified and provided the affected subsistence community
with a draft POC; 
A schedule for meeting with the affected subsistence communities to discuss proposed
activities and to resolve any potential conflicts; 

A description of the measures the applicant has taken and/or will take to ensure that proposed
activities will not interfere with subsistence hunting; and 
A plan to continue to meet with the affected communities, both prior to and while conducting
the activity, to resolve conflicts and to notify the communities of any changes in the
operation.  
7. Anticipated impact on habitat—The anticipated impact of the activity upon the habitat of
the marine mammal (https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=a1df90cd8649ef6de1aeea3e8de21584&term_occur
and the likelihood of restoration of the affected habitat. 
Applications should describe how activities may impact marine mammal habitat, including both
physical and biological features. Examples of anticipated impacts to habitat include increases in
background noise levels, displacement of prey, release of contaminants, and preventing use of an
area (e.g., for foraging, resting, or denning). Please explain any effects of activities that could cause
marine mammals to avoid the area of impact, either temporarily or permanently. Applications should
address climate change-related impacts of activities, if applicable. For authorizations affecting polar
bears, it is helpful for applications to specifically address impacts to foraging habitat, denning
habitat, and barrier island habitat.  
8. Anticipated impacts of habitat loss or modification on species—The anticipated impact of the
loss or modification of the habitat on the marine mammal
(https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=a1df90cd8649ef6de1aeea3e8de21584&term_occur
involved. 
This section should explain how the impacts of activities on habitat may affect marine mammal
populations, e.g. by impacting animal behavior, energetics, health, exposure to threats, or vital
rates.  
9. Mitigation measures—The availability and feasibility (economic and technological) of
equipment, methods, and manner of conducting such activity or other means of effecting the
least practicable adverse impact upon the affected species or stocks, their habitat, and, where
relevant, on their availability for subsistence
(https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=b8312b19e6ca24e842e00dfeae4bcfd3&term_occur
paying particular attention to rookeries, mating grounds, and areas of similar significance.
(The applicant and those conducting the specified activity
(https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=417417b0737b3b966984e1b07e838ea5&term_occu

the affected subsistence (https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=b8312b19e6ca24e842e00dfeae4bcfd3&term_occur
are encouraged to develop mutually agreeable mitigating measures that will meet the needs
of subsistence (https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=b8312b19e6ca24e842e00dfeae4bcfd3&term_occur
This section should describe in detail all mitigation measures planned to avoid,
significantly reduce, or control potentially harmful impacts of activities on marine
mammals. Potential mitigation measures include spatial and temporal restrictions on
activities; monitoring by trained protected species
observers and implementation of appropriate standoff distances, exclusion zones, and power-down
or shutdown zones; conducting marine mammal surveys (e.g., for polar bear dens, walrus haulouts,
or large concentrations of sea otters) prior to activities to avoid sensitive areas; development of
specific marine mammal interaction plans; and use of sound-attenuation devices. Please describe
when and how specific mitigation measures will be applied, and include a discussion of any
measures that were considered but are not proposed because they are not feasible.  
10. Monitoring and reporting—Suggested means of accomplishing the necessary monitoring and
reporting, which will result in increased knowledge of the species through an analysis of the
level of taking or impacts, and suggested means of minimizing burdens by coordinating such
reporting requirements with other schemes already applicable to persons conducting such
activity. 
Explain how monitoring for marine mammals will be completed before, during, and after activities.
Specify what data will be collected and who will collect the data. The Service can provide sighting
forms that specify relevant data to be collected (e.g., location, direction of travel, behavior, number
of animals). We strongly recommend using the Service sighting form to standardize data
collected. Describe how marine mammal sightings will be reported to the Service, including chains
of communication and reporting schedules (i.e., frequency and timing). Note that letters of
authorization (LOAs) and IHAs generally require annual or after-action reports on activities
and monitoring and mitigation results. Marine mammal reports should be submitted
to [email protected] (https://mail.google.com/mail/?
[email protected]). 
In addition to developing a specific marine mammal monitoring plan, applicants should
consider what additional impact monitoring may be completed during activities that can benefit
future analyses. For example, please consider whether it is practicable to monitor sound levels
produced by equipment, or the magnitude of other potential impacts that could affect marine
mammals. 
Information gained from marine mammal monitoring and reporting will serve several purposes: 

Ensure compliance with permissible methods of take and mitigation; 
Ensure activities and effects are in line with the incidental take authorization’s analysis to
ensure the findings remain valid; and 
Identify limits to the effectiveness or practicability of mitigation and improve procedures for
future requests.   
11. Research coordination—Suggested means of learning of, encouraging, and
coordinating research (https://www.law.cornell.edu/definitions/index.php?
width=840&height=800&iframe=true&def_id=aaebfadfd31d89dc09e4c805e9249c1f&term_occur=
plans, and activities relating to reducing such incidental taking from such specified activities,
and evaluating the effects of incidental take. 
This section should list the entities the applicant will coordinate with while planning and completing
activities and associated monitoring, e.g., Federal and State agencies, local and Tribal government
and organizations, and other groups. Please briefly explain how the coordination will be achieved
and whether the proposed activities are expected to contribute to cooperative research or
conservation efforts related to marine mammals and reduction of adverse impacts.  
Additional requirements – National Environmental Policy Act and Endangered Species Act  
Before issuing an incidental take authorization, the Service must complete an appropriate
analysis under the National Environmental Policy Act (NEPA) for this major Federal action. If any
NEPA analysis has been performed for proposed actions in an incidental take authorization
application, that analysis (e.g., a draft or final Environmental Assessment or Environmental Impact
Statement) must be submitted to the Service with the application for review.  
For proposed activities that may result in incidental take of a marine mammal that is also listed as
endangered or threatened under the Endangered Species Act (ESA) (e.g., polar bears or northern sea
otters from the Southwest Alaska stock), compliance with both the ESA and MMPA is required. The
Service will initiate an intra-agency ESA Section 7 Consultation prior to issuing an incidental take
authorization.  
Paperwork Reduction Act:  
The Office of Management and Budget (OMB) has approved, under the Paperwork Reduction Act of
1995 (44 U.S.C. 3501 et seq.), the information collection requirements associated with incidental
take of marine mammals and assigned OMB control number 1018-0070 (expires January 31, 2022).
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. 

Public reporting burden for this collection of information, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information, are in the table below. (NOTE: Burden hours will vary based
on the complexity of the requested action.) 

Type of Action 

Average Completion
Time (Hours) 

Incidental Take of Marine Mammals – Application for

150 

Regulations 

Incidental Take of Marine Mammals – LOA Requests 

24 

Incidental Take of Marine Mammals – On-site Monitoring and

1.5 

Observation Reports  

Incidental Take of Marine Mammals – Final Monitoring Report 

10 

Polar Bear Den Detection Report 

50 

Applications and other information submitted by applicants are available for review, subject to the
requirements of the Privacy Act (5 U.S.C. 552 (https://api.fdsys.gov/link?
collection=uscode&title=5&year=mostrecent§ion=552&type=usc&link-type=html)a) and
Freedom of Information Act (5 U.S.C. 552 (https://api.fdsys.gov/link?
collection=uscode&title=5&year=mostrecent§ion=552&type=usc&link-type=html)). 

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