Guide for the completion of an application for a permit under the Species at Risk Act for listed aquatic species

Instructions

This information assists applicants in meeting the requirements of the Permits Authorizing an Activity Affecting Listed Wildlife Species Regulations when applying for a permit affecting aquatic species listed as threatened, endangered, or extirpated on Schedule 1 of the Species at Risk Act (SARA).  Please read carefully to ensure that your application contains all required information.   There may be a delay in processing your application if information is missing.  If you have any questions about applying for a SARA permit, please contact your regional Fisheries and Oceans Canada (DFO) office.

The Species at Risk Act

The purposes of SARA are to prevent wildlife species from becoming extirpated or extinct, to provide for the recovery of wildlife species that are extirpated, endangered or threatened as a result of human activity, and to manage species of special concern to prevent them from becoming endangered or threatened.

DFO is responsible for the administration and enforcement of SARA with respect to listed aquatic species. These aquatic species include:

• Fish, shellfish, crustaceans and marine animals including any parts thereof;
• all of their life stages, such as eggs, sperm, spawn, larvae, spat and juvenile stages of fish; and
• marine plants, including algae and phytoplankton.

SARA prohibits the killing, harming, harassing, capturing, taking, possessing, collecting, buying, selling or trading of individuals of endangered, threatened or extirpated species listed in Schedule 1 of SARA^{Footnote 1}. SARA also prohibits damage or destruction of listed species' residences^{Footnote 2}.

SARA also contains provisions that prohibit the destruction of any part of the critical habitat of aquatic species^{Footnote 3}. Critical habitat is the habitat necessary for the survival or recovery of the species, and is identified and described in the recovery strategy or action plan for that species. 

Verify if a species is listed under SARA, consult the Species at Risk Public Registry website. To find out if there are aquatic species at risk or critical habitat in your area, please consult our aquatic species at risk maps. You can then find out more about the species, including if critical habitat has been identified, by consulting its recovery strategy or action plan, available on the Species at Risk Public Registry.

Prohibitions apply to species listed on Schedule 1 of SARA as threatened, endangered, or extirpated. They do not apply to species listed as special concern.

SARA Permits

Under SARA, permits may be issued to authorize certain activities that would otherwise contravene these prohibitions. SARA permits may only be issued when:

1. the activity is scientific research relating to the conservation of the species and conducted by qualified persons;
2. the activity benefits the species or is required to enhance its chance of survival in the wild; or
3. affecting the species is incidental to the carrying out of the activity^{Footnote 4}.

AND:

1. all reasonable alternatives to the activity that would reduce the impact on the species have been considered and the best solution has been adopted;
2. all feasible measures will be taken to minimize the impact of the activity on the species or its critical habitat or the residences of its individuals; and
3. the activity will not jeopardize the survival or recovery of the species^{Footnote 5}.

Applying for a permit

If you are planning to undertake activities affecting^{Footnote 6}aquatic species at risk or their habitat, an application should be submitted to DFO at least 90 days in advance of your activity.  If the activity affects individuals of listed aquatic species located in a national park or other land administered by Parks Canada, you will need to apply to Parks Canada for a SARA permit. 

SARA permits are not needed for activities that impact only species listed as Special Concern.

For construction or development project in or around water, please consult DFO’s Projects Near Water web page for guidance. It is recommended to submit a Request for Review form instead of a SARA Permit application to your regional DFO’s office.  In addition to determining whether your project will impact an aquatic species at risk or its habitat, DFO will determine if your proposed activity may also result in death of fish or the harmful alteration, disruption or destruction of fish habitat, which is prohibited by the Fisheries Act.  When regulatory approvals are required under both SARA and the Fisheries Act, it may be possible to get a Fisheries Act authorization that also acts as a SARA Permit^{Footnote 7}. DFO will contact you to let you know which DFO regulatory approvals will be needed, and how to apply for them.

Depending on your activity, you may also need other federal, provincial or municipal permits, licences or other authorizations to proceed with your activity.  A permit under SARA does not eliminate the obligation to obtain these other authorizations.

To avoid delays, please provide as much information as possible, demonstrating how your proposed activity meets the pre-conditions described above and as set out in the application form. DFO will notify you if additional information is required.

Permits will be considered on a case-by-case basis, and the decision whether or not to permit the activity will take into account, among other things, the factors listed above.

Application Form Instructions

1. Applicant information

The applicant is the individual or incorporated organization who will be undertaking the activity. If the applicant is an incorporated organization, please provide the name of the main contact person and the person who will act as the signing authority, and the name of the person who will be in the field executing the activity. If a consultant or third party will be carrying out the activity on behalf of the applicant, their contact information must also be provided.

2. Qualifications of the applicant or person conducting the work

State the qualifications of the applicant that demonstrate their knowledge of the species and their ability to carry out or supervise this activity in a manner that avoids or minimizes harm to the species at risk. If there are other people directly involved in carrying out the activity who will be working independently of the applicant, their qualifications will also need to be submitted. For scientific research projects in particular, the applicant should indicate their previous experience both working with the species and undertaking similar kinds of research.  Attach a curriculum vitae if applicable.  

3. Preferred language of correspondence

Indicate the preferred language of correspondence.

4. Has the applicant received a SARA permit before?

Indicate if the applicant has received a permit before, and please provide the permit number(s).

5. Activity name

Provide the name of the activity to be used in all future correspondence. It is recommended this name includes the species, activity and waterbody. If another authorization or permit is being requested for this activity, please use the same name, and indicate the file number (if known).

6. Listed species affected

List the aquatic species at risk that will be affected by the activity.  Include common and scientific names, as they are found in Schedule 1 of SARA.  If the species is identified on Schedule 1 as being part of a particular population, it is important that you specify the population being affected. Please ensure that the species identified in your permit application are currently listed on schedule 1 of SARA as either endangered or threatened or extirpated.

7. Purpose of the proposed activity

Please check the option that most closely describes the purpose of your activity, and explain why the activity fits that category:

1. Scientific research relating to the conservation of the species: Select if the activity is for the purpose of obtaining information that will contribute to the survival or recovery of the species, and is being conducted by qualified persons.
2. The activity benefits the species or is required to enhance its chance of survival in the wild: Select if the activity is expected to benefit the species or needs to be undertaken to contribute to its survival or recovery, but is not scientific research as described above in a). This could include activities related to habitat enhancement projects for the species’ benefit, public education, reintroduction, etc. 
   
   

   In both categories a) and b) above, the activity should be supported by the recovery strategy or action plan for the species. Recovery strategies and action plans describe the research and management activities that are needed to help the species recover.  These documents can be referenced in this application to show that the proposed activities benefit the species or is related to their conservation.

3. Affecting the species is incidental to the carrying out of the activity: Select if the main purpose of the activity does not specifically target the aquatic species at risk.  Examples include:

• scientific research directed at a non-listed species that may incidentally capture or affect a species at risk.
• surveys being done as part of an environmental study or a general planning exercise; and
• habitat restoration that may benefit the species but is not directed at them;

Also indicate and explain if different purposes apply to different species at risk – for example if scientific research on “species A” will incidentally affect “species B”.

8. Description of proposed activity

Provide a detailed description of the activity. If the activity is recurring, please provide the frequency of recurrence. Explain why the activity fits the purpose identified in question 7.

If the activity is part of a larger project, provide a description of the project. If it is a construction or development project, it may require review under the Fisheries Act; please consult DFO’s Projects Near Water web page to determine if you should submit a Request for Review form. 

If specimens are to be captured, handled, relocated, held in captivity, or subjected to invasive sampling, indicate the animal care protocols you will be following.  Invasive sampling includes any methodology that involves direct or remote sampling of blood or tissues and the attachment of any apparatus to an animal.

Attach all supporting documents such as work plans, research methodology, construction plans, engineering documents, relevant photos, animal care committee protocols, best management practises and mitigation measures.

9. Location of the proposed activity

Provide a description of the location of the activity.  Include, as appropriate:

• geographical co-ordinates (latitude/longitude or UTM coordinates);
• name of nearest community (city, town, village):
• municipality, district, township, county, province:
• name of watercourse(s) or waterbody(ies);
• Northwest Atlantic Fisheries Organization (NAFO) areas/sub-areas, or Fishery Management Zones or Areas.

Include a map at a scale appropriate to identify the location(s) and boundaries, and/or a site plan indicating existing structures and geographic features. If the activities will take place in proposed or identified critical habitat or residence(s) for a listed SARA species, please include map(s) delineating your project site in relation to the proposed or identified critical habitat or residence(s).  

Indicate if the activity occurs in a land claim settlement area, or in the vicinity of an Indigenous community.  Describe any discussions / consultations you have had with the relevant community or Wildlife Management Board about the activity, and if applicable, provide any documentation demonstrating that they support the activity. You should also be aware that if consultations between DFO and Indigenous peoples is required for the activity to proceed, then information about your activity that is submitted to DFO may be shared with them during consultations.

If the activity will take place at sea, please indicate Fishery Management Zones or Areas, and onboard which vessel(s), platform or aircraft information including photos, name and Commercial Fishing Vessel/Registration number, country of registration, and Foreign Vessel Clearance (if applicable).

10. Date of proposed activity

Indicate the start and end dates (day, month and year) of the activity.  If applicable, describe the anticipated phases and their start and end dates. You can find more information about the best times to avoid harm to fish.

11. Effects of the proposed activity on the species

The Permits Authorizing an Activity Affecting Listed Wildlife Species Regulations state that applicants shall describe any changes that the activity may cause to the listed wildlife species, its critical habitat or the residences of its individuals, the possible effects of those changes and the significance of those effects.

You should assess what kind of changes will occur as a result of the activity on individuals of the species, their residences, and their habitat, taking into consideration whether and how the identified changes will affect the species as well as what those effects could mean for the survival or recovery of the species. For an example of the relationship between changes, effects, and their significance, please refer to the table below:

Recovery strategies and action plans contain useful information about listed species at risk such as distribution, threats, critical habitat, examples of activities likely to result in the destruction of critical habitat, and measures that can be taken to avoid impacts to critical habitat. This information can be helpful in determining the relationship between changes, effects, and their significance.  If a recovery strategy and/or action plan has been completed for the species being affected, please find it on the Species at risk public registry website.

DFO has developed a number of "Pathway of Effects" diagrams and guidance materials for evaluating the effects of works and undertakings on fish and fish habitat Pathways of Effects.  These can be applied to species at risk to help evaluate the link between changes and their effects and the significance of those effects.

11 a) Describe any changes that the proposed activity may cause to the individuals of the species (after mitigation measures), and the effects of those changes.  Describe the potential significance of those effects on the population as a whole.  If multiple activities are part of the project, please provide this information for each activity.

To the extent possible, include:

• the nature of the effects (e.g., mortality, non-lethal bodily injury, stress, reproduction may be interrupted, species will likely move out of the area, prey food numbers will diminish);
• estimated number of individuals of each species likely to be affected;
• life stages likely to be affected (e.g., egg, juvenile, adult);
• the timing and duration of the effects;
• The significance of the effects in terms of what these effects mean for the survival or recovery of the species

11 b) If applicable, describe the anticipated changes to the residences of individuals of the species or any habitat that is identified as critical habitat in a recovery strategy or action plan for the species at risk, and how those changes could affect individuals of the species at risk and the population^{Footnote 9}as a whole. If multiple activities are part of the project, please provide this information for each activity.

To the extent possible, include:

• if any residences are to be affected (e.g., redds), the nature and duration of the effect
• If any critical habitat is to be affected, the nature of the effects broken down by temporary and permanent effects;
• The number of residences affected;
• The area of critical habitat affected (in m2 or hectares);
• The type of habitat, and the life processes it supports;
• The timing and duration of the effects;
• The significance of the effects on the species as a whole in terms of how impacts to residences and critical habitat could affect the population as a whole, and what this means for the  survival or recovery of the species (e.g., damage will result in a reduced likelihood of successful spawning that could result in a decline in the population growth, which will slow recovery).

Attach any relevant documentation. If an environmental assessment has been done under the Impact Assessment Act or other environmental assessment legislation, and contains the relevant information pertaining to your application, it should be included.  Please indicate the page or section numbers in the document that are pertinent to the species at risk permit application.

12. Alternatives considered

Describe, in detail, all the reasonable alternatives to the proposed activity that were considered to avoid or reduce the impact on the species, including:

• other methodology, technical or research designs,  equipment or processes that were considered in order to achieve the outcomes of the proposed activity, and why these were rejected in favour of the proposed activity, design, equipment, or process (e.g., use of photographic vouchers instead of lethal sampling). If no other methods could be considered please provide your rationale (e.g., consistency with previous studies);
• other locations that have been considered that are outside of the species’ range or outside of identified critical habitat (if applicable), and why these locations were rejected in favour of the current location.  If no other locations were considered, please provide your rationale;
• other timelines that were considered that would avoid periods when the species are present or sensitive to disturbance and why these were rejected in favour of the proposed timelines. If no other timelines were considered please provide your rationale;  
• the option of not undertaking the activity.

If the activity is scientific research, describe:

• if other research projects are being conducted on the same or similar species, whether collaboration was sought in order to reduce the number of individuals needed, and why collaboration was deemed not feasible;
• whether surrogate species or information was considered and why was their use rejected

Explain why the current proposal is the best reasonable alternative.  If applicable, describe any selection criteria that were used, how the selection criteria were applied and how the alternatives were ranked.  If any alternatives were deemed to be unreasonable, explain why they were considered so.

If multiple activities are included in your permit application, please describe, as set out above, alternatives for each activity.

It is expected that at least two alternatives are considered, including not undertaking the proposed activity (i.e., the “do nothing” alternative). For each alternative, describe the impact on individuals of the species, their residences, and their habitat using the approach described above, and explain why the alternatives were rejected in favour of the current proposal.  If no reasonable alternatives are available, please explain. If DFO is of the view that there are other reasonable alternatives available, but that were not addressed in the application, this might result in a delay in a decision. If an application states that no alternatives were considered, then by law the application must be refused^{Footnote 10}.

13. Measures to Minimize Impacts

Describe all the measures that will be implemented to minimize the impact of the activity on the species, its habitat, or the residences of its individuals, including:

• a description of specific mitigation measures that will be taken to minimize the impacts of the activity on the species (e.g., fish/mussel salvage, sediment and erosion control etc.) and the extent to which the measures have been demonstrated to be effective; and
• specific contingency measures in the event that the mitigation measures are not as effective as anticipated; and
• use of appropriate personnel to conduct the activities (e.g., the applicant has qualifications from a recognized institution, demonstrated experience with the species, and/or demonstrated experience with the proposed methodology).

Provide references to any existing standards, best practices, or animal care protocols  that will be used to minimize impacts. If there will be any deviation from existing standards, best practices or protocols, explain why this is considered preferable or necessary.  If any other measures to minimize the impact of the activity were rejected as not feasible, explain why they were considered to be so.

If multiple activities are included in your application, please describe the measures that will be taken to minimize the impacts of each activity.

14. Monitoring

Describe how you will monitor the effects of your proposed activity on the species, including the effectiveness of mitigation measures, or attach your monitoring plan. Include as relevant:

• who will undertake the monitoring, and their credentials;
• what will be monitored, and the reason these indicators were chosen;
• how often monitoring will take place and over what time frame;
• the methods used to collect the data;
• how the data will be analysed; and
• when reports will be submitted e.g., end of project, end of season, when a problem is detected.

15. Describe, to your best understanding, why the proposed activity will not jeopardize the survival or recovery of the species

In order for the Minister of Fisheries and Oceans Canada to issue a s. 73 permit, the Minister must be of the opinion that the proposed activities will not jeopardize a species’ survival or recovery. Please explain, based on the information provided, why you anticipate that your activity will not jeopardize survival or recovery of the species. The explanation should consider the species’ current population status and any specific recovery objectives for the species established in a recovery strategy or action plan.

Please send your completed application to the Regional Manager, Species at Risk Program at the relevant DFO Regional office: