OBTAINING A SMALLTOOTH SAWFISH SCIENTIFIC RESEARCH … · Scientific research or enhancement...

OBTAINING A SMALLTOOTH OBTAINING A SMALLTOOTH SAWFISHSAWFISH

SCIENTIFIC RESEARCH OR SCIENTIFIC RESEARCH OR ENHANCEMENT PERMIT:ENHANCEMENT PERMIT:

Navigating the ProcessNavigating the Process

Jennifer F. Jefferies andJennifer F. Jefferies andDavid O’BrienDavid O’Brien

Office of Protected ResourcesOffice of Protected Resources

Prohibitions of the ESAProhibitions of the ESA

TakingTaking a listed species within the U.S. or its a listed species within the U.S. or its territorial sea, or upon the high seasterritorial sea, or upon the high seas

Importing, exporting, possessing, selling, offering Importing, exporting, possessing, selling, offering for sale, delivering, carrying, transporting, for sale, delivering, carrying, transporting, shipping, or receiving a listed speciesshipping, or receiving a listed species

Thou shalt not “take”Thou shalt not “take”

ESA definition of takeESA definition of take: “to harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or attempt to engage in any such conduct”

Exceptions to the Exceptions to the prohibition of takeprohibition of take

Incidental Take (e.g. bycatch in fisheries) Incidental Take (e.g. bycatch in fisheries) Federal agenciesFederal agencies –– incidental take may be authorized through incidental take may be authorized through an ESA section 7 consultationan ESA section 7 consultationStates and other nonStates and other non--federal entitiesfederal entities –– Incidental take permits Incidental take permits may be issued following the development of a species may be issued following the development of a species conservation plan (typically called habitat conservation plans, conservation plan (typically called habitat conservation plans, or or HCPsHCPs))

Directed take Directed take To conduct bona fide scientific researchTo conduct bona fide scientific researchTo enhance the propagation or survival of the speciesTo enhance the propagation or survival of the species

Who to contact for permits?Who to contact for permits?

Incidental take permitsIncidental take permits –– David O’Brien, David O’Brien, Endangered Species DivisionEndangered Species Division

Scientific research or enhancement permitsScientific research or enhancement permits ––Jennifer Jefferies, Jennifer Jefferies, Permits, Conservation, and Education Permits, Conservation, and Education DivisionDivision

When in doubt, call either Jen or DaveWhen in doubt, call either Jen or Dave

How to request a research or How to request a research or enhancement permit:enhancement permit:((The Application Process)The Application Process)

DefinitionsDefinitions

Application contentApplication content

Preparing the Application:Preparing the Application:DefinitionsDefinitions

Applicant/Permit Holder:Applicant/Permit Holder:

Person, institutionPerson, institution**, or agency, or agency** who is ultimately who is ultimately responsible for all activities of any individual who is responsible for all activities of any individual who is operating under the authority of the permit.operating under the authority of the permit.

*If it is an institution/agency, there must also be a *If it is an institution/agency, there must also be a Responsible Party with signature authority.Responsible Party with signature authority.

Preparing the Application:Preparing the Application:DefinitionsDefinitions

Principal Investigator (PI):Principal Investigator (PI):

IndividualIndividual** primarily responsible for the taking, primarily responsible for the taking, importation, export, and any related activities importation, export, and any related activities conducted under the permit.conducted under the permit.

*There can be only 1 PI per permit and the Applicant/Permit Holder can be the PI.

Preparing the Application: Preparing the Application: DefinitionsDefinitions

CoCo--Investigator (CI):Investigator (CI):

The onThe on--site representative(s)site representative(s)** of the PI who of the PI who conducts, or directly supervises the conduct of conducts, or directly supervises the conduct of taking, import, and export activities authorized under taking, import, and export activities authorized under a permit.a permit.

**There can be numerous CIsThere can be numerous CIs..

Application Content:Application Content:Do’s and Don'tsDo’s and Don'ts

DoDo give complete information and citationsgive complete information and citationsDoDo follow the approved format follow the approved format DoDo avoid technical jargonavoid technical jargonDon’tDon’t use vague or ambiguous words use vague or ambiguous words Don’tDon’t forget to sign the applicationforget to sign the application

Application ContentApplication Content

SummarySummaryIntroductionIntroductionMethodsMethodsNational Environmental Policy Act (NEPA) and National Environmental Policy Act (NEPA) and ESA considerationsESA considerationsPrevious and other permitsPrevious and other permitsSpecial considerationsSpecial considerations

Application Content:Application Content:Summary*Summary*

ConciseConcise statement (not more than 200 words) that statement (not more than 200 words) that includes:includes:

Why Why -- objective(s)objective(s)What What -- species (common and scientific names)species (common and scientific names)How How -- methods (type of take and numbers)methods (type of take and numbers)Where Where -- locationlocationWhen When -- field season and duration of projectfield season and duration of project

*Used in FR Notice*Used in FR Notice

Application Content:Application Content:IntroductionIntroduction

Hypothesis/Objective(s)Hypothesis/Objective(s)Status of speciesStatus of species

life historylife historypopulation dynamicspopulation dynamicsestimates of abundance and distributionestimates of abundance and distributioncurrent threats to species and habitatcurrent threats to species and habitat

Literature reviewLiterature reviewhas this study been done before?has this study been done before?

Application Content:Application Content:MethodsMethods

JustificationJustificationChoice of speciesChoice of speciesNecessary discomfort, pain, sufferingNecessary discomfort, pain, sufferingSample size (power analysis)Sample size (power analysis)Benefit to species, or critically important Benefit to species, or critically important research need (recovery plan objectives)research need (recovery plan objectives)


Types of take: Narrative descriptionTypes of take: Narrative descriptionDescribe Describe allall procedures (e.g. capture, restraint, procedures (e.g. capture, restraint, sampling, tagging) in detailsampling, tagging) in detailIndicate maximum number per species, age Indicate maximum number per species, age class, sex, location, etc. for class, sex, location, etc. for eacheach procedureprocedureDescribe Describe anticipated effectsanticipated effects and and mitigating mitigating measuresmeasures (not only to sawfish but to any other potential (not only to sawfish but to any other potential bycatch)bycatch)

Indicate method(s) of data analysis (including Indicate method(s) of data analysis (including statistics)statistics)


Types of take: Take TableTypes of take: Take TableIndicate Indicate allall types of take proposedtypes of take proposedGive Give exactexact numbers by type of take, sorted by numbers by type of take, sorted by species, location, age class, sex, reproductive species, location, age class, sex, reproductive condition, etc. for each year of the study and in condition, etc. for each year of the study and in totaltotalUse same numbers as in narrativeUse same numbers as in narrative


Parts or Specimen SamplesParts or Specimen SamplesIndicate Indicate allall parts/samples that will be taken, parts/samples that will be taken, imported, or exportedimported, or exportedIndicate size (size of fin clip) or volume Indicate size (size of fin clip) or volume (amount of blood), where applicable(amount of blood), where applicableDescribe method of tracking and arrangements Describe method of tracking and arrangements for dispositionfor dispositionFor imports, indicate source (e.g. wild, captive), For imports, indicate source (e.g. wild, captive), location, date of collection, name of collectorlocation, date of collection, name of collector


Lethal takeLethal takeExplain why nonExplain why non--lethal method is not feasible lethal method is not feasible

and how results will and how results will directlydirectly benefit the benefit the species/stock or fulfill critically important species/stock or fulfill critically important research needresearch need

lethal takes must be done in a humane mannerlethal takes must be done in a humane manner

If unintentional mortality is possible, indicate If unintentional mortality is possible, indicate maximum number by species (and include in maximum number by species (and include in Take Table)Take Table)

Sample Take TableSample Take Table


Don’t forget...Don’t forget...Dates of research (i.e. field seasons) and Dates of research (i.e. field seasons) and duration of permitduration of permitIncidental harassment/nonIncidental harassment/non--target speciestarget speciesPublication of resultsPublication of results

Application Content:Application Content:ESA Section 7 ConsultationsESA Section 7 Consultations

All federal agencies must insure that any action authorized, All federal agencies must insure that any action authorized, funded, or carried out by the agency is not likely to funded, or carried out by the agency is not likely to jeopardize the continued existence of an endangered or jeopardize the continued existence of an endangered or threatened species or result in the destruction or adverse threatened species or result in the destruction or adverse modification of designated critical habitat.modification of designated critical habitat.The Permits Division must consult* with the Endangered The Permits Division must consult* with the Endangered Species Division on all smalltooth sawfish permit actions.Species Division on all smalltooth sawfish permit actions.Must determine: what species affected and where, nature Must determine: what species affected and where, nature of potential effects, temporal and spatial extent of effects, of potential effects, temporal and spatial extent of effects, and other factors affecting species.and other factors affecting species.

*ESA allows for 90 days or more for consultation and an addition*ESA allows for 90 days or more for consultation and an additional 45 days to al 45 days to produce the “biological opinion”.produce the “biological opinion”.

Application Content:Application Content:NEPA ConsiderationsNEPA Considerations

Responsibility of Federal agencies to consider and publicly Responsibility of Federal agencies to consider and publicly disclose the potential environmental impacts of all federal disclose the potential environmental impacts of all federal actions (including permit issuance).actions (including permit issuance).

The impacts of permit issuance must be addressed in eitherThe impacts of permit issuance must be addressed in either

Environmental Assessment & Finding of No Significant Impact, Environmental Assessment & Finding of No Significant Impact, oror

Environmental Impact Statement.Environmental Impact Statement.

Traditionally, most scientific research permits have been Traditionally, most scientific research permits have been categorical excluded from the need to prepare an EA/EIS.categorical excluded from the need to prepare an EA/EIS.


New, innovative, controversial or experimental techniques New, innovative, controversial or experimental techniques -- likely to be adopted by others?likely to be adopted by others?Unique, unknown, or highly uncertain risks?Unique, unknown, or highly uncertain risks?Significant cumulative impact?Significant cumulative impact?Adverse effect on marine mammals, other ESAAdverse effect on marine mammals, other ESA--listed listed species or critical habitat?species or critical habitat?Affect public health or safety?Affect public health or safety?Loss or destruction of significant scientific, cultural, or Loss or destruction of significant scientific, cultural, or historic resources?historic resources?In violation of Federal, state or local environmental In violation of Federal, state or local environmental protection laws?protection laws?


For NMFS to appropriately assess the nature and For NMFS to appropriately assess the nature and extent of any potential social, economic, extent of any potential social, economic, biological or physical environmental effects from biological or physical environmental effects from proposed research, applications need to outline:proposed research, applications need to outline:

Target and nonTarget and non--target species, including age/sex target species, including age/sex classes and sample sizesclasses and sample sizesDetails of Details of allall protocols, including time of year and protocols, including time of year and overall project durationoverall project durationGeographic location of the activity, noting any areas Geographic location of the activity, noting any areas of of special importancespecial importance = marine protected areas, = marine protected areas, ESA critical habitat, Essential Fish HabitatESA critical habitat, Essential Fish Habitat

Why ask for so much info?Why ask for so much info?

Regulations require an applicant to demonstrate that their Regulations require an applicant to demonstrate that their proposed activities will meet established permit issuance proposed activities will meet established permit issuance

criteria.criteria.

THE REVIEW PROCESSTHE REVIEW PROCESS

Who?Who?

USFWS USFWS some state F&W deptssome state F&W deptsNMFS Regions/ NMFS Regions/

EnforcementEnforcementNOS/NMS

Public comments Public comments (FR Notice of (FR Notice of Receipt)Receipt)independent independent expertsexpertsNOS/NMS


NEPANEPA NEPANEPA

ESAESA

CITESCITES EFHEFH(Magnuson(Magnuson--Stevens)Stevens)

NMSANMSA

YOUR NMFS PERMITYOUR NMFS PERMIT

AWAAWA

CZMACZMA

Ocean’s ActOcean’s Act

Why?Why?


How long?How long?

Statutory processing requirements:Statutory processing requirements: Public Public comment period is 30 dayscomment period is 30 days

Incomplete applicationsIncomplete applications: : depends on response time depends on response time of applicant to request for additional informationof applicant to request for additional information

Biological Opinions/NEPA AnalysisBiological Opinions/NEPA Analysis: : BiOp has BiOp has 135 days for consultation and opinion (bare minimum); 135 days for consultation and opinion (bare minimum); NEPA is unlimited time but depends on finalized BiopNEPA is unlimited time but depends on finalized Biop

What if you change your mind?What if you change your mind?

Research Permit ModificationsResearch Permit ModificationsMajorMajor -- for changes in:for changes in:

number of takesnumber of takesmanner of take, if it will increase the level of riskmanner of take, if it will increase the level of risklocationlocationduration, if greater than 12 monthsduration, if greater than 12 months

MajorMajor -- subject to the same review process as a subject to the same review process as a new application, with a 30new application, with a 30--day public comment day public comment periodperiod and may require reand may require re--initiation of Sect. 7 initiation of Sect. 7 consultation and new NEPA analysis.consultation and new NEPA analysis.Minor Minor

anything that is not a major modificationanything that is not a major modificationchange in duration, if less than 12 monthschange in duration, if less than 12 months

Research Permit ModificationsResearch Permit ModificationsReRe--initiating consultation under ESA is required when:initiating consultation under ESA is required when:

the amount or extent of authorized or incidental take is the amount or extent of authorized or incidental take is exceededexceedednew informationnew information reveals effects of the agency action that may reveals effects of the agency action that may affect listed species or critical habitat in a manner or to an affect listed species or critical habitat in a manner or to an extent not consideredextent not considered in the Biological Opinionin the Biological Opinionthe agency action is subsequently the agency action is subsequently modifiedmodified in a manner that in a manner that causes an effect to the listed species or critical habitat not causes an effect to the listed species or critical habitat not considered in the BiOpconsidered in the BiOpa new species is listed or critical habitat designated that may a new species is listed or critical habitat designated that may be affected by the actionbe affected by the action

IN SUMMARY…IN SUMMARY…135 days + 30 days + processing = at least 8 months from a complete application

Apply earlyApply early

Plan aheadPlan ahead Modifications take time to process

Give complete informationGive complete information Decreases processing Decreases processing timetime

ESAMMPA

NEPA

FSA

AWA

Still confused?Still confused?

For more information on NMFS For more information on NMFS smalltooth sawfish research smalltooth sawfish research

permits:permits:

Call us at 301/713-2289visit our website at

http://www.nmfs.noaa.gov/prot_res/overview/permits.htmlemail me at [email protected]

OBTAINING A SMALLTOOTH SAWFISH SCIENTIFIC RESEARCH … · Scientific research or enhancement...

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