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

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.

The latest form for Basic Requirements for Special Exemption Permits and Authorizations to Take, Import, and Export Marine Mammals, Threatened and Endangered Species, and for Maintaining a Captive expires 2023-11-30 and can be found here.

Permit & Authorization Applications: Scientific Research & Enhancement (SR/EN), SR/EN Parts Only, Public Display (PD)

Federal Enterprise Architecture: Natural Resources - Conservation, Marine and Land Management

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.