OMB No. 0648-0084

Expires 09/30/2009

**APPLICATION INSTRUCTIONS**

**AND SUPPLEMENTAL INFORMATION**

**FOR**

**SCIENTIFIC RESEARCH OR ENHANCEMENT**

**PERMITS**

**UNDER THE**

**ENDANGERED SPECIES ACT**

**MARINE MAMMAL PROTECTION ACT**

**FUR SEAL ACT**

DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration (NOAA)

National Marine Fisheries Service (NMFS)

Office of Protected Resources

Permits, Conservation and Education Division, F/PR1

1315 East-West Highway, Room 13705

Silver Spring, Maryland 20910-3226

*Tel*: (301) 713-2289

*Fax*: (301) 427-2521

*Web site*: <http://www.nmfs.noaa.gov/pr/>

Number range CHAPTER

TABLE OF CONTENTS

[INTRODUCTION 3](#introduction)

[Activities/Species for Which These Instructions Apply
4](#activitiesspecies-for-which-these-instructions-apply)

[Guidelines for Preparing Your Application
4](#guidelines-for-preparing-your-application)

[Where to Send Your Application 4](#where-to-send-your-application)

[When to Apply 5](#when-to-apply)

[Give Complete Information 5](#give-complete-information)

[Endangered Species Act Consultation
6](#endangered-species-act-consultation)

[National Environmental Policy Act
6](#national-environmental-policy-act)

[Letters of Confirmation under the General Authorization
7](#letters-of-confirmation-under-the-general-authorization)

[Current or Previous Permit Holders
7](#current-or-previous-permit-holders)

[Permit Amendments/Modifications 7](#permit-amendmentsmodifications)

[Permit Fees 8](#permit-fees)

[USFWS Permits 8](#usfws-permits)

[CITES Import/Export Permits 8](#cites-importexport-permits)

[APPLICATION INSTRUCTIONS 10](#application-instructions)

[I. TITLE OF APPLICATION 10](#i.-title-of-application)

[II. DATE OF APPLICATION 10](#ii.-date-of-application)

[III. APPLICANT AND PERSONNEL 10](#iii.-applicant-and-personnel)

[A. Contact Information for Applicant and Personnel
10](#a.-contact-information-for-applicant-and-personnel)

[B. Qualifications and Experience 11](#qualifications-and-experience)

[IV. PROPOSAL 11](#iv.-proposal)

[A. Summary 11](#summary)

[B. Introduction 12](#introduction-1)

[C. Methods 14](#c.-methods)

[D. Research Effects and Mitigation Measures
18](#d.-research-effects-and-mitigation-measures)

[E. Resources Needed to Accomplish Objectives
20](#e.-resources-needed-to-accomplish-objectives)

[F. Publication of Results 20](#f.-publication-of-results)

[V. National Environmental Policy Act Considerations
21](#v.-national-environmental-policy-act-considerations)

[VI. Previous and Other Permits 22](#vi.-previous-and-other-permits)

[VII. References 22](#vii.-references)

[VIII. Certification and Signature
23](#viii.-certification-and-signature)

[APPENDIX I: OVERVIEW OF PERMITS/AUTHORIZATIONS
25](#appendix-i-overview-of-permitsauthorizations)

[APPENDIX II: DEFINITIONS 29](#appendix-ii-definitions)

[APPENDIX III: ADDITIONAL GUIDANCE ON APPLICATION
34](#appendix-iii-additional-guidance-on-application)

[APPENDIX IV: RELEVANT STATUTES 38](#appendix-iv-relevant-statutes)

[APPENDIX V: NMFS REGIONAL OFFICES
41](#appendix-v-nmfs-regional-offices)

**APPLICATION INSTRUCTIONS**

**AND SUPPLEMENTAL INFORMATION**

**FOR SCIENTIFIC RESEARCH OR ENHANCEMENT**

**PERMITS UNDER THE**

**ENDANGERED SPECIES ACT**

**MARINE MAMMAL PROTECTION ACT**

**FUR SEAL ACT**

# INTRODUCTION

The Endangered Species Act of 1973 (ESA) prohibits, with certain
exceptions, the taking[^1] of species listed as threatened or
endangered. The ESA provides for the issuance of permits by either the
National Marine Fisheries Service (NMFS) or the U.S. Fish and Wildlife
Service (USFWS) to take threatened or endangered species for scientific
research purposes and/or to enhance a species propagation or survival.
Under the ESA, NMFS and USFWS share management responsibility for marine
mammals[^2] and for threatened and endangered sea turtles (NMFS for sea
turtles in the water, and USFWS for sea turtles on land). Species for
which NMFS has sole responsibility under the ESA include salmon,
shortnose sturgeon, smalltooth sawfish, white abalone, and certain
corals. NMFS regulations implementing the provisions of the ESA can be
found at 50 CFR Parts 216 and 222-226; USFWS regulations can be found at
50 CFR Part 17.

The Marine Mammal Protection Act of 1972 (MMPA) places a moratorium,
with certain exceptions, on the taking and importing of marine mammals
and marine mammal products. One exception provides for the issuance of
permits by either NMFS or USFWS, depending on the species involved, to
take[^3] marine mammals for purposes of scientific research, public
display, enhancing the survival or recovery of a species or stock, or
educational or commercial photography. NMFS and USFWS regulations
implementing the permit provisions of the MMPA can be found at 50 CFR
Part 216 and 50 CFR Part 18, respectively.

The Fur Seal Act of 1966 (FSA) provides for research on fur seals of the
North Pacific and permits for the taking, transport, import, export, or
possession of fur seals of the North Pacific or their parts for
educational, scientific, or exhibition purposes.  Since northern fur
seals are also marine mammals, to avoid duplication, applications for
scientific research permits are also processed under the MMPA
regulations of 50 CFR Part 216.

## Activities/Species for Which These Instructions Apply

These permit instructions provide the format for preparing applications
for scientific research and/or enhancement permits to take, import, or
export species and specimens of species for which NMFS has management
responsibility, which includes the following:

-   **cetaceans and pinnipeds (except walruses) under the provisions of
    the MMPA and ESA (if applicable);**

-   **sea turtles in the water under the provisions of the ESA; and**

-   **shortnose sturgeon, smalltooth sawfish, and white abalone under
    the provisions of the ESA.**

    These application instructions are available as a PDF or Microsoft
    Word document from the NMFS Office of Protected Resources web site:
    <http://www.nmfs.noaa.gov/pr/>.

    If the proposed research or enhancement activity includes species
    under the jurisdiction of both NMFS [and]{.underline} USFWS, a joint
    permit from NMFS and USFWS is recommended, or you may choose to
    apply for separate permits. If the proposed activity involves only
    species under the jurisdiction of USFWS, applicants should contact
    the USFWS directly to request a permit (see section below, "USFWS
    Permits" for contact information for USFWS).

Species lists and information on the status of species under the MMPA,
ESA, and the Convention on International Trade in Endangered Species of
Wild Fauna and Flora (CITES) are available by calling the Permits,
Conservation and Division (hereinafter Permits Division) or on the
following web site:
<http://apps.nmfs.noaa.gov/docs_cfm/species_lists.cfm> .

For information on applying for permits to conduct other types of
activities (*e.g.*, commercial/educational photography) involving the
taking of marine mammals under the MMPA, or the taking of salmon under
the ESA, please see Appendix I and NMFS' web sites:
[www.nmfs.noaa.gov/pr/permits/](http://www.nmfs.noaa.gov/) and
<http://apps.nmfs.noaa.gov/index.cfm>.

## Guidelines for Preparing Your Application

**If you have any questions concerning the preparation of your
application, please contact the Permits, Conservation and Education
Division (Permits Division) at**

**(301) 713-2289.**

### *Where to Send Your Application*

Submit a signed original, one hard copy, and an electronic copy of the
application to the Chief, Permits, Conservation and Education Division,
Office of Protected Resources, 1315 East-West Highway, F/PR1 Room 13705,
Silver Spring, Maryland 20910-3226. The electronic copy must be in Word,
WordPerfect, or PDF, and can be included on a 3.5\" disk or CD, or sent
as an email attachment (contact the Permits Division for a current email
address).

### *When to Apply*

**Applications involving threatened or endangered species should be
submitted at least**

**one year prior** to the planned initiation of research. Such
applications require consultation under Section 7 of the ESA (see below
for further information).

**Applications for non-ESA listed marine mammals** (*i.e.*, animals not
designated as threatened or endangered under the ESA) **should be
submitted at least six months in advance** of the proposed research.

All permit applications require a mandatory 30-day public comment period
and are subject to analysis under the National Environmental Policy Act
(see below for further information).

### *Give Complete Information*

The permit processing "clock" does not begin until the Permits Division
has determined that an application is complete. An application must be
considered complete before the Permits Division can publish a Notice of
Receipt in the *Federal Register*, which initiates a 30-day public
comment period. Please avoid the use of technical jargon as much as
possible because your application will be available to the public for
review. As part of the review process, the Permits Division will forward
your application to the appropriate NMFS Region(s) and subject matter
experts, where takes of marine mammals are involved, to the Marine
Mammal Commission (see Appendix II, "Definitions") for review and
comment.

**Incomplete applications cannot be processed.** The Permits Division
may return incomplete applications or request additional information
from an applicant. If the requested information is not received within
60 days of the request, the application will be returned. Therefore,
please provide complete and specific information according to the
instructions. To expedite processing, when a question does not apply,
please indicate "Not Applicable" (N/A) and provide a brief explanation
as to why not.

Applications that do not adhere to the requirements for content and
format will be considered incomplete and may be returned to the
applicant or may result in processing delays if the applicant needs to
be contacted for additional information. To facilitate review,
information should be presented in the designated categories/headings,
and in the order listed. Use of additional subheadings to clarify the
application may be added at the discretion of the applicant. Line
spacing, font size and style are at the discretion of the applicant, but
the application must be readily legible. We suggest Times New Roman 12
pt font. **Do not submit bound applications.**

You are encouraged to contact the Permits Division with any questions in
advance of submitting an application. It is helpful to draft an
application and send it to the Permits Division for preliminary review.
If possible, please send the draft electronically (contact the Permits
Division for a current e-mail address) to save on paper and postage.
Permits Division staff will review your draft application and assist you
in ensuring that it is complete. Once the application is complete, a
signed copy of the application should be mailed to the Permits Division
at the address above.

### *Endangered Species Act Consultation*

Under Section 7 of the ESA, all federal agencies are required, "in
consultation with and with the assistance of the Secretary, to insure
that any action authorized, funded, or carried out by such agency is not
likely to jeopardize the continued existence of any threatened or
endangered species or result in the destruction or adverse modification
of designated critical habitat." For species under NMFS jurisdiction,
consultation is with NMFS Endangered Species Division. For species under
USFWS jurisdiction, consultation is with USFWS.

Thus, before the Permits Division can recommend issuance of a permit to
take, import, or export threatened or endangered species, it must
consult with the NMFS Endangered Species Division or the USFWS, and
obtain a written statement with an opinion, and summary of the
information on which the opinion is based, that the issuance of the
permit is not likely to jeopardize any threatened or endangered species.
This written statement is known as a biological opinion. The requirement
for consultation also includes any ESA-listed species that may be in the
proposed research area, even if they are not the subject of the research
or enhancement, as well as any designated critical habitat that may be
affected by the proposed activities. Consultation involves the Permits
Division providing an "initiation package" to the Endangered Species
Division or USFWS.

**The ESA Section 7 initiation package consists of the following:**

-   a description of the action being considered (in the application and
    proposed permit);

-   a description of the specific area that may be affected by the
    action (*i.e.*, the action area);

-   a description of any ESA-listed species or critical habitat that may
    be affected by the action (including the species name, listed
    status, distribution, status and trend of the population, why it was
    listed, existing threats, range-wide distribution at the species
    level, and whether critical habitat is involved);

-   a description of the manner in which the action may affect any
    ESA-listed species or critical habitat, and an analysis of
    cumulative effects;

-   relevant reports, including any Environmental Analysis,
    Environmental Impact Statements, Biological Assessments, or other
    analyses prepared on the proposal; and

-   any other relevant studies or information available on the action,
    the affected species, or critical habitat (this includes permit
    annual reports, most recent publications, etc.).

    The information the applicant provides in the permit application is
    necessary for the ESA Section 7 consultation process. In some cases,
    the Permits Division may have to contact the applicant for
    clarifying or additional information during this process.

### *National Environmental Policy Act*

The National Environmental Policy Act of 1969 (NEPA) was enacted to
ensure that the government gives proper consideration to the environment
prior to undertaking any major federal action that could significantly
affect the environment. Issuance of a permit is considered a major
federal action, and NMFS is required to comply with NEPA.

If a threatened or endangered species is involved in a proposed research
or enhancement activity, if the activity is considered controversial, or
under other certain circumstances, preparation of an Environmental
Assessment (EA) or an Environmental Impact Statement (EIS) may be
necessary. If an application does not contain sufficient information on
the environmental impact of the proposed activity to determine whether
an EA/EIS is necessary, or if the information is insufficient to
complete such analyses, the application may be returned to the applicant
or processing may be delayed.

You may submit a draft EA with your application to facilitate
processing. The Permits Division will review and accept a draft EA if it
is determined to be sufficient. Otherwise, the Permits Division will
prepare an EA or EIS on the potential environmental impacts of the
proposed research using the description of the activities provided in
the application and the best available information on the effects of
such activities. Depending on workload, resources, and the complexity of
the research proposal, preparation of an EA may take six months or more.
Preparation of a final EIS typically takes well over a year. Please
contact the Permits Division at (301) 713-2289 for guidance regarding
whether or not an EA or EIS is needed.

### *Letters of Confirmation under the General Authorization*

The 1994 amendments to the MMPA established a streamlined "General
Authorization" (GA) procedure for obtaining permission to conduct
research activities involving only Level B harassment[^4] (*e.g.*,
photo-identification, aerial surveys) of marine mammals. If your
research meets these criteria, you may be eligible to obtain a letter of
confirmation under the GA. Research on marine mammals listed as
endangered or threatened under the ESA, including research that would
qualify for the GA, requires an ESA/MMPA scientific research permit. You
should contact the Permits Division to confirm whether your research can
be covered under the GA. Interim Final Regulations implementing the GA
(50 CFR 216.45) were published by the Service in the *Federal Register*
on October 3, 1994 (59 FR 50372) and are available on the Service's web
site at <http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.htm#ga> .

*NOTE:* *In the event that your proposed research involve (1) both ESA
listed and non-ESA listed species; and/or (2) both Level A and Level B
harassment, you must apply for a scientific research permit.*

### *Current or Previous Permit Holders*

If you currently hold or have held a NMFS permit in the past, a new
application cannot be processed until all reports required to date under
those permits have been submitted and determined to be complete and in
compliance with reporting requirements.

### *Permit Amendments/Modifications*

Scientific research and enhancement permits may be amended or modified
by the Director, Office of Protected Resources in response to or
independent of a request from the Permit Holder named in the permit. The
Permit Holder must submit requests for amendments to permits in writing
to the Chief, Permits, Conservation and Education Division, Office of
Protected Resources at the address listed above. An application for an
amendment or modification must follow the same format as the original
permit application, and should address all applicable sections of these
instructions, including a detailed description of the purpose and nature
of the proposed changes. Where a section has been previously addressed
and will not change, you may simply make reference to your original
permit application.

Major amendment and modification requests include the following:

-   changing the species to be taken or imported/exported;

-   increasing the number of animals to be taken or imported/exported;

-   changing or adding locations;

-   changing methods which may result in an increased level of take or
    risk of adverse impact; and

-   extending a permit for more than 12 months.

Major amendments undergo a 30-day public review and are processed in the
same manner as a permit application.

Minor changes not involving the changes above may be authorized at the
discretion of the Director without public review. A one-year extension
of a permit may be granted as a minor amendment prior to the expiration
of your permit provided that no additional takes or major changes to the
permit are requested.

Amendments and modifications are subject to additional analyses under
NEPA and the ESA.

### *Permit Fees*

Section 104(g) of the MMPA and 50 CFR Section 222.308 (for ESA species)
provide the authority to establish and charge a reasonable permit fee.
However, there is no fee at this time.

### *USFWS Permits*

Application instructions for sea turtles on land and marine mammal
species under USFWS jurisdiction can be obtained by calling the USFWS
Division of Management Authority at (800) 358-2104 or by visiting the
USFWS web site at <http://permits.fws.gov/.>

### *CITES Import/Export Permits*

U.S. regulations require that imports or exports of wildlife or parts
thereof listed in Appendix I or II to the Convention on International
Trade in Endangered Species of Wild Fauna and Flora (CITES)[^5] be
accompanied by the proper CITES permit or documentation (50 CFR 23). If
the species you are importing or exporting is listed on Appendix I or
II, you must secure a CITES permit in addition to the required permits
under the ESA and/or MMPA.

The USFWS Division of Management Authority (see telephone number and web
site, above) is responsible for implementing CITES. The CITES status of
threatened and endangered species and marine mammals under NMFS and
USFWS jurisdiction is indicated on the following web site:
<http://www.cites.org/> .

**APPLICATION INSTRUCTIONS**

**AND SUPPLEMENTAL INFORMATION**

**FOR SCIENTIFIC RESEARCH OR ENHANCEMENT**

**PERMITS UNDER THE**

**ENDANGERED SPECIES ACT**

**MARINE MAMMAL PROTECTION ACT**

**FUR SEAL ACT**

# APPLICATION INSTRUCTIONS

## I. TITLE OF APPLICATION 

> Indicate in the title whether you are requesting a permit for
> scientific research, enhancement, or both, and the applicable
> statute(s) (Endangered Species Act, Marine Mammal Protection Act,
> and/or Fur Seal Act). For example: "Application for a scientific
> research permit under the Endangered Species Act and Marine Mammal
> Protection Act."
>
> *For assistance in selecting a title, please contact the Permits,
> Conservation and Education Division (Permits Division) at (301)
> 713-2289.*

## II. DATE OF APPLICATION 

Indicate date application was completed and sent to the Permits
Division.

## III. APPLICANT AND PERSONNEL 

### A. Contact Information for Applicant and Personnel 

> Provide the following contact information for the Applicant/Permit
> Holder, Principal Investigator (PI), and all Co-investigators (CIs)
> directly involved in the proposed activities. *Refer to Appendix II,
> Definitions, for explanations of PI, CI, etc.*
>
> Name
>
> Title
>
> Institutional Affiliation
>
> Mailing Address
>
> Physical Address (if different from mailing address)
>
> Telephone number
>
> Fax number
>
> E-mail address
>
> If the Applicant/Permit Holder is an institution, governmental entity,
> partnership, or corporation, specify a Responsible Party (*i.e.*, the
> individual who has signature authority for the institution, etc.).
> Indicate the relationship between this entity and the PI. There can be
> **only one Applicant/Permit Holder and only one PI** for each
> application/permit. The Applicant/Permit Holder can be the same as the
> PI. Permits are not transferable from one Permit Holder to another and
> the Applicant/Permit Holder cannot be changed. The Responsible Party,
> PI, and CIs on a permit can be changed at the request of the Permit
> Holder and with approval by the Chief, Permits Division. There can be
> more than one CI on an application/permit.
>
> List any other persons (*e.g.*, veterinarians, research assistants, or
> students) to be directly involved in the taking, import, or export.
> For sea turtle research, you must provide the name of a veterinarian
> who would respond in the event of an emergency during your activities.
>
> Indicate the primary contact for correspondence during the permit
> review process. If that person is other than the Applicant/Permit
> Holder, PI, or a CI, please include their name and the contact
> information requested above.

### Qualifications and Experience 

> Attach a summary of qualifications (*e.g.*, resume, curriculum vitae)
> for the Applicant, PI, and CIs, and the activities to be carried out
> by each. Include relevant publications and information on the
> individual's previous experience with the activities proposed in the
> application. Do not include personal information such as social
> security number or date of birth, as the application will be available
> to the public.
>
> Also provide this information for any veterinarians that would be
> involved in the research and the duties they would be performing (if
> they are not designated as CIs).

## IV. PROPOSAL

### Summary 

> Provide a brief summary, not more than 200 words, of the proposed
> research and/or enhancement project. This summary will be published in
> the *Federal Register* Notice of Receipt for a 30-day public comment
> period, and therefore should be understandable to a lay reader. The
> summary should include **concise** statements of the following
> information:

-   purpose of the research or enhancement activity;

-   target species (both common and scientific names);

-   type and manner of take (*e.g.*, photo-identification, capture,
    biopsy sampling), import and/or export;

-   numbers of animals to be taken for each activity, or number of
    specimens to be imported and/or exported, by species (over a
    specified time, *e.g*., per year);

-   numbers and kinds of non-target marine mammals and species listed
    under the Endangered Species Act (ESA) that may be taken
    incidentally, as applicable;

-   specific geographic location(s) of the take, including locations
    from which animals will be imported, or to which they will be
    exported, as applicable; and

-   requested period of the permit[^6].

### Introduction 

#### 1. Species 

> **a.** List the **target species** (common and scientific names) and,
> as applicable, the subspecies, stock, population group and range that
> may be taken, imported, or exported.
>
> **b.** List any **non-target species**, including but not limited to,
> marine mammals, reptiles, sea birds, sharks, etc., that could be
> affected by your activities. Also include any ESA-listed species
> (plant or animal) that may occur in the study area, and therefore, may
> be affected (*e.g.*, disturbed, harassed, or injured) incidentally
> during the course of your proposed activities. Include any species
> under the jurisdiction of the U.S. Fish and Wildlife Service (USFWS)
> that may be incidentally taken.
>
> **c.** As applicable, indicate the status of each species or stock
> listed above as determined under the ESA (threatened or endangered),
> Marine Mammal Protection Act (MMPA; depleted, strategic), and
> Convention on International Trade in Endangered Species of Wild Fauna
> and Flora (CITES Appendix I, II, or III). Species information is
> available at the following web sites:
>
> <http://www.nmfs.noaa.gov/pr/species/>

<http://www.nmfs.noaa.gov/pr/sars/>

> <http://www.fws.gov/>
>
> <http://www.cites.org/>

#### 2. Background/Literature Review

> **a.** Provide a succinct review of the current knowledge of the
> problem under investigation, with appropriate citations, to
> demonstrate the following:

-   whether your proposed activities are different from or build upon
    past research being cited;

-   whether your activities would duplicate previous efforts, and if so,
    why;

-   whether your proposed activities are necessary and would contribute
    to the conservation and/or management of the subject species; and/or

-   whether your proposed activities will result in necessary biological
    information.

[]{.mark}

> **b.** Include complete literature citations in the "References"
> section at the end of your application.

#### 3. Hypothesis/Objectives and Justification

> **a.** Provide a clear statement of the objectives and expected
> significance of the proposed research and/or enhancement activities.
> For scientific research, include the hypothesis being tested. For
> enhancement, describe how the activity relates to enhancing the
> survival or recovery of the species in the wild. Explain the rationale
> for the proposed activities and methods and explain how your study
> design will allow you to meet your objectives. Also justify the
> following:

-   choice of species; and

-   number of animals or specimens to be used (include a power analysis
    or other sample size estimation to determine whether the sample size
    is sufficient to provide statistically significant results).

> **b.** The following Statutory and Regulatory requirements must be
> addressed for the target species, as applicable.
>
> **(1)** For ESA-listed species:

-   Justify use of an ESA-listed species rather than a non-listed
    species, including a discussion of possible alternatives.

-   Provide a statement of:

    -   whether the proposed project has broader significance than the
        individual researcher's goals (*e.g.*, does the project respond
        to recommendations of a national or international scientific
        body charged with research or management of the endangered
        species and if so, how?); and

    -   whether the research will contribute to the objectives
        identified in the species recovery or conservation plan, and if
        so, how the proposed project will meet those objectives. If
        there is no recovery or conservation plan, indicate how your
        research will otherwise contribute to conservation of the
        species.

> **(2)** For ESA-listed marine mammals and MMPA-depleted species:

-   Explain why the proposed research cannot be conducted using an
    alternative species or stock (as above).

-   Explain how the expected research results would:

    -   directly benefit the species or stock;

    ```{=html}
    <!-- -->
    ```
    -   contribute significantly to fulfilling a critically important
        research need; identify, evaluate, or resolve conservation
        problems for the species or stock; and/or

    -   contribute significantly to understanding the basic biology or
        ecology of the species.

> **(3)** For enhancement activities on marine mammals:

-   Explain how the proposed activity will:

    -   contribute to maintaining or increasing distribution or
        abundance;

    -   enhance the health or welfare of the species or stock; and/or

    -   ensure the survival or recovery of the species or stock in the
        wild.

-   Indicate how the enhancement activity is consistent with the species
    conservation or recovery plan.

> **(4)** For enhancement activities involving captive maintenance of
> threatened, endangered, or depleted species of marine mammals:

-   Also discuss how the proposed captive maintenance will contribute
    directly to the survival or recovery of the species by either:

    -   maintaining a viable gene pool;

    -   increasing productivity;

    -   providing necessary biological information; and/or

    -   establishing animal reserves.

    ```{=html}
    <!-- -->
    ```
    -   If these animals are to be removed from the wild for captive
        maintenance, discuss how the benefit to the species outweighs
        alternatives that do not require removal from the wild. Indicate
        what plans are in place for returning animals and any offspring
        to the wild. If animals are going to remain in permanent
        captivity, additional justification is required.

### C. Methods 

> It is important to provide complete details for all activities to
> facilitate analyses required under the ESA, MMPA, and NEPA, as
> applicable.

#### 1. Duration of Project and Location of Taking

> **a.** Clearly specify the proposed start date and end date of your
> research or field seasons and overall duration of the project.
> Indicate specific dates (with location if multiple locations will be
> used) of the proposed taking, import, or export where known. *NOTE:
> permits are issued for up to a five-year period.*
>
> **b.** Identify all locations in which the activities will occur.
> Locations should be identified as specifically as possible within a
> general area (*e.g.*, specific islands, bays, latitude/longitude,
> river kilometers, etc., within a specified geographic region or
> state). Include a map of the study area if available. In the case of
> aerial or vessel surveys, also indicate the coordinates outlining the
> proposed survey area(s).
>
> If the location you will be working in has been given any special
> status (*e.g.*, National Marine Sanctuary, State Reserve, etc.),
> indicate the name of the protected area. Are your proposed activities
> consistent with the protective status of the site, and could the
> activities effectively be carried out at an alternative location? For
> any activities to be conducted in protected areas, justification for
> the choice of location is required.
>
> Provide a brief (*e.g.*, one paragraph) physical description of the
> locations in which you will be working.
>
> For imports, indicate the country of origin/export to the U.S.; for
> exports, indicate the destination country. Include U.S. ports of
> import/export to be used (see Appendix II, "Definitions", for U.S.
> designated ports).

#### 2. Types of Activities, Methods, and Numbers of Animals or Specimens to be Taken or Imported/Exported 

> This section applies to research or enhancement activities on live
> animals in the wild or in captivity, and any collection, import, or
> export of parts taken from live or dead animals.
>
> **a.** Include a **Take Table** of your proposed activities, as shown
> below, with the following information:

-   species;

-   life stage *(e.g.*, larvae, hatchling, pup, calf; sub-adult; adult)
    and reproductive condition (*e.g.*, pre-spawning fish, lactating
    marine mammals); if you are proposing to take immature animals,
    including dependent mammals, specify the minimum age at the time of
    taking;

-   sex;

-   expected take or import/export (include the maximum number of
    individuals proposed to be taken by each type of activity **annually
    or over a specified time period**);

-   number of times an animal would be repeatedly taken each year, as
    applicable;

-   take action (*i.e.*, types of collection methods and activities that
    will be performed on each animal, or import/export);

-   transport methods, as applicable;

-   location of take, import or export; and

-   dates or time period when each activity will occur (*e.g.*,
    quarterly, January through March, etc.).

> ***Incidental harassment:*** Indicate in the Take Table the annual
> maximum number of marine mammals or ESA-listed species, by species and
> location, that may be harassed or harmed incidental to your activities
> or that could occur in the study area, as applicable.

+-----+----+---+----------+-----------+-------+-------+------+-------+
| *   |    |   |          |           |       |       |      |       |
| *Ta |    |   |          |           |       |       |      |       |
| ble |    |   |          |           |       |       |      |       |
|  1. |    |   |          |           |       |       |      |       |
| Pr  |    |   |          |           |       |       |      |       |
| opo |    |   |          |           |       |       |      |       |
| sed |    |   |          |           |       |       |      |       |
| a   |    |   |          |           |       |       |      |       |
| cti |    |   |          |           |       |       |      |       |
| vit |    |   |          |           |       |       |      |       |
| ies |    |   |          |           |       |       |      |       |
| o   |    |   |          |           |       |       |      |       |
| ver |    |   |          |           |       |       |      |       |
| a   |    |   |          |           |       |       |      |       |
| spe |    |   |          |           |       |       |      |       |
| cif |    |   |          |           |       |       |      |       |
| ied |    |   |          |           |       |       |      |       |
| per |    |   |          |           |       |       |      |       |
| iod |    |   |          |           |       |       |      |       |
| .** |    |   |          |           |       |       |      |       |
+-----+----+---+----------+-----------+-------+-------+------+-------+
| **  | ** | * | **Ex     | **Number  | *     | **T   | **Lo | **    |
| Spe | Li | * | pected** | of**      | *Take | ransp | cati | Dates |
| cie | fe | S |          |           | Act   | ort** | on** | /Time |
| s** | ** | e | **Take   | **Takes   | ion** |       |      | Per   |
|     |    | x | or       | per**     |       |       |      | iod** |
|     | *  | * | Import/  |           |       |       |      |       |
|     | *S | * | Export** | **Ind     |       |       |      |       |
|     | ta |   |          | ividual** |       |       |      |       |
|     | ge |   |          |           |       |       |      |       |
|     | ** |   |          |           |       |       |      |       |
+-----+----+---+----------+-----------+-------+-------+------+-------+
|     |    |   |          |           |       |       |      |       |
+-----+----+---+----------+-----------+-------+-------+------+-------+
|     |    |   |          |           |       |       |      |       |
+-----+----+---+----------+-----------+-------+-------+------+-------+

b.  Provide a **narrative account** of research and/or enhancement
    methods. Provide the number and manner in which animals or animal
    parts would be taken (*e.g.,* aerial survey and
    photo-identification; capture, tagging, and blood sampling;
    collection of specific parts from dead animals and analyses; etc.),
    imported or exported. Provide detailed descriptions of methodologies
    to be used for each activity. Cite references where applicable. If
    the application is for a new technique or methodology, provide
    sufficient information to allow evaluation of its relative merits
    and potential effects on the animals and environment.

> Indicate whether individual animals will be taken more than once per
> year (*e.g*., recapture for instrument retrieval) and the frequency of
> the take per individual (*e.g.*, number of times per year or field
> season). State whether the same animals will be taken in more than one
> manner, and if so, how (*e.g.,* capture, blood sample, biopsy, and
> flipper tag). For specimen sampling, indicate type, location, size,
> and/or volume of samples to be taken and methods of preserving,
> shipping, and analyzing samples.
>
> *Refer to **Appendix III for specific information to include in the
> narrative description of your methods.***
>
> Provide information on the target species' life history with regard to
> how your proposed activities coincide with or avoid sensitive
> physiological/biological periods such as reproductive seasons and
> maternal care.
>
> Indicate the minimum number of animals that would need to be taken in
> order to reach your objectives or statistical requirements, in the
> event the maximum number is not obtainable due to circumstances beyond
> your control. Also indicate the estimated number of non-target species
> identified in Section IV.B.1.b above (including but not limited to
> marine mammals, ESA-listed species, sea birds, sharks, etc.) that may
> be affected each year, and the manner in which they may be affected.
>
> ***For import and export activities:*** Provide a detailed description
> of how the animals or parts to be imported were or would be taken in
> the country of origin, addressing the humaneness of collection of live
> animals from the wild and sample collection from live animals; or, how
> an animal died (*e.g.,* natural stranding or died incidental to
> fisheries), as applicable. Provide documentation regarding the
> legality of the take in the country of origin where available.
> Describe shipment/transport methods for import/export. If an import
> would be necessary for the protection or welfare of a marine mammal,
> discuss the circumstances involved and any alternatives considered.
> ***See also "Sample collection and analysis" in Appendix III.***

#### 3. Additional Information for Removing Animals from the Wild into Captivity and Research or Enhancement on Captive or Rehabilitating Animals

> In addition to the above-requested information, when proposing to
> remove an animal from the wild (for permanent or temporary captivity)
> and/or to conduct research or enhancement activities on captive
> animals (including marine mammals in rehabilitation), as applicable:

a.  Explain why removal from the wild is necessary and why suitable
    animals cannot be obtained from captive or rehabilitated stock.

b.  Provide a description of the enclosure or cage to be used for
    temporary holding and transport, mode of transportation, name of
    transportation company, special care during transport, and the
    length of time required for the transfer from the capture site to
    the initial holding facility, and then to the permanent holding
    facility. Provide a list of personnel who will be involved in and/or
    accompanying the animals during transport and whether a veterinarian
    will be present, and their qualifications.

c.  *For marine mammals*: If the source stock is to be beached/stranded
    marine mammals undergoing rehabilitation, indicate the name and
    location of the rehabilitation facility.

d.  If the source stock is from animals already in captivity (other than
    beached/stranded animals in rehabilitation) indicate the name and
    location of the facility and identify the specific animals (by NOAA
    ID number where applicable) involved in the proposed activity.

e.  *For marine mammals*: Include a copy of any license or registration
    issued by the Animal and Plant Health Inspection Service (APHIS) of
    the U.S. Department of Agriculture, any outstanding variances
    granted, and the most recent APHIS inspection report.

f.  Provide a written statement from the responsible veterinarian or
    expert certifying that the facilities, methods of care and
    maintenance, and methods of transport will be adequate to ensure the
    well-being of the animals *and,* *for marine mammals*, will comply
    with all care and transport standards established under the Animal
    Welfare Act.

g.  *For ESA-listed species*: Describe the care and maintenance of the
    animals, including a complete description of the facilities where
    they will be maintained. This includes the dimensions of the pools
    or other holding facilities and the number, sex, and age of animals
    by species to be held in each; the water supply, amount, and
    quality; the diet, amount and type; sanitation practices; and
    qualifications and experience of the husbandry staff.

h.  Indicate whether a captive breeding program will be established and
    if so, provide justification in accordance with the species
    conservation or recovery plan as applicable for enhancement
    activities. *For ESA-listed species*, indicate if you are willing to
    participate in a captive breeding program if requested by NMFS.

i.  Indicate the disposition of captive animals at the termination of
    research or enhancement activities.

j.  If release of captive animals to the wild is proposed, state the
    length of time the animals will be held, no matter how temporary,
    and describe the protocols for the release, including post-release
    monitoring protocols. Include in the release protocol mitigation for
    the following:

    -   disease transmission between released animals and the wild
        population;

    -   potential genetic exchanges between introduced and endemic
        stocks;

    -   ability of the released animals to forage and protect themselves
        from predators; and

    -   elimination of behavioral patterns acquired during captivity
        that could prove detrimental to the released animals or the
        social structure of local populations.

#### 4. Lethal Take 

> **a.** If **intentional** lethal take is involved, provide an
> explanation of why a non-lethal method is not feasible; and, for
> depleted, endangered, or threatened species, describe how the research
> results will directly benefit the species or stock or fulfill a
> critically important research need. Provide detailed methods of lethal
> take, number of animals to be taken, and protocols for tissue
> collection and carcass disposal.
>
> **b.** If **unintentional** mortality or serious injury[^7] is
> possible as a result of the proposed activities, indicate the maximum
> number of animals from each species that could die or be seriously
> injured incidental to the research per year. Please note that this
> refers not only to animals that die during the conduct of research,
> but also to those that may succumb, at some later time, due to effects
> of research such as capture myopathy, adverse reaction to drugs,
> infection at the site of intrusive procedures, or abandonment of
> dependent young. Describe the potential ways that animals may die
> incidental to the proposed activities and include protocols for tissue
> collection and carcass disposal.

#### 5. Exports of Marine Mammals from the U.S.

> **a.** Foreign applicants requesting the export of marine mammals, or
> marine mammal parts/products from the U.S., must submit their
> applications to NMFS through the appropriate agency of the foreign
> government (*e.g.*, the CITES management authority). The appropriate
> agency of the foreign government must certify the accuracy of the
> information submitted in the application.
>
> **b.** If the application is for the export from the U.S. of living
> marine mammals subject to the MMPA, ESA, or Fur Seal Act (FSA), then
> the appropriate agency of the foreign government must certify that the
> laws and regulations of the government involved allow enforcement of
> requirements equivalent to the requirements of the ESA, MMPA, FSA, and
> AWA, as applicable, and that the government involved will enforce such
> requirements.

### D. Research Effects and Mitigation Measures 

> ***The information you provide on the effects of your activities on
> the subject animals is critical for completing the analyses required
> under the applicable statutes (MMPA, AWA, ESA, and NEPA).*** ***Please
> provide complete information to facilitate timely processing of your
> application. Include references where available. References may
> include both published and unpublished sources of information. If no
> information is available for the proposed species, inferences may be
> made from other species.***
>
> **1. Effects**
>
> **a.** Clearly indicate the known or anticipated effects (*i.e.*,
> stress, pain, suffering, injury; effects on behaviors such as resting,
> foraging, migration, mating, nursing, etc.) of each activity proposed
> (*e.g.*, effects of capture, blood sample, tag; effects of aerial and
> vessel survey/close approach, etc.) on the target species in the
> application, based on published or unpublished data or information on
> other species.
>
> Considerations of risk assessment are of particular importance for
> completing this section. For example, describe what it is about an
> activity that puts an animal at risk and explain how different
> activities both individually and combined may pose a risk to the
> animal. Explain the anticipated effects on the individual animals as
> well on the population or stock as a whole, and what this
> determination is based on. Include citations for any relevant
> references and be prepared to provide copies if requested.
>
> **b.** Also describe any potential effects of incidental harassment or
> take of conspecifics or other non-target species (*e.g.*, other marine
> mammals, fish, or invertebrates; any threatened or endangered animals
> including fish, birds, reptiles, and mammals) in the study area.
>
> ***Refer to Appendix III for specific information to include in the
> description of the effects of your activities.***
>
> **2. Measures to minimize effects**
>
> For each activity, describe all measures to be taken to minimize
> adverse effects and to ensure that the activity will be conducted in a
> humane manner, with minimal disturbance and/or harm. For example:
> describe measures that would be taken to minimize the potential for
> stress, pain, injury, infection, and mortality during capture,
> restraint, and intrusive procedures. If using sedatives or
> immobilizing agents, discuss measures that would be taken if an animal
> had an adverse reaction to the drug. For active acoustic work (*e.g.*,
> controlled exposure experiments), describe measures that would be
> taken to minimize the potential for disturbance, injury, and mortality
> from exposure to the sound. Indicate measures that would be taken to
> minimize any incidental disturbance of non-target animals and any
> potential adverse reactions, including the potential for injury or
> death (*e.g.*, from a stampede).
>
> **3. Monitoring effects of activities**
>
> Indicate any post-handling or post-disturbance monitoring procedures
> that would be conducted to evaluate the effects of the proposed
> activities and/or to ensure animals have recovered.
>
> **4. Alternatives**
>
> **a.** If the proposed activities will or may cause stress,
> discomfort, pain, suffering, injury, or mortality, you must explain
> why there are no feasible alternative methods (*e.g.*, less intrusive
> procedures) for obtaining the data or information being sought.
>
> *For research on marine mammals and where your institution requires
> the following:* Indicate the status of your Institutional Animal Care
> and Use Committee (IACUC) review and approval. If the protocols have
> been approved, submit the signed approval for the activities proposed
> in this application and include any comments from the IACUC. If the
> protocols have not been approved, indicate why.
>
> Applicants are strongly encouraged to submit a copy of the protocols
> that have been submitted to and approved by their IACUC, as additional
> support for choice of species, numbers of animals, and methodologies.
>
> *NOTE:* The PI, CIs, or other individuals listed in this application
> cannot vote during the IACUC review of the application.
>
> Number range CHAPTERAnimal Welfare Act requirements for IACUC's apply
> to all research facilities, which include institutions, organizations,
> or people that use or intend to use live animals in research, tests,
> or experiments; and, that receive funds under a grant, award, loan, or
> contract from a department, agency, or instrumentality of the U.S. for
> the purpose of carrying out research, tests, or experiments.
>
> A field study that "involves an invasive procedure, harms, or
> materially alters the behavior of an animal under study" is subject to
> IACUC review and approval.

### E. Resources Needed to Accomplish Objectives 

> Attach copies of any relevant formal research proposals, contracts, or
> letters of agreement that would demonstrate the financial or
> logistical resources available to the applicant to conduct and
> complete the proposed activities. Include the name and address of
> sponsors, cooperating institutions/researchers, or contractors.
> Explain any coordination that will occur with these or other
> individuals or organizations to minimize duplication in effort.

### F. Publication of Results 

> Indicate where and, if possible, when, the research results would be
> published or otherwise made available to the public and the scientific
> community.

## V. National Environmental Policy Act Considerations 

*Under the National Environmental Policy Act (NEPA), NMFS is required to
determine whether issuance of your proposed permit would, in combination
with other factors, result in significant cumulative impacts on the
human environment, which includes the biological components of the
environment. In order for NMFS to make this determination, your
application must contain sufficient information to conclude whether an
Environmental Assessment (EA) or an Environmental Impact Statement (EIS)
is required, or if the research and/or enhancement permit is
categorically excluded from the requirement to prepare an EA or EIS, and
to prepare an EA or EIS where applicable. Please answer, to the best of
your knowledge, the following questions. Please note that a simple "yes"
or "no" is not sufficient. Please provide a detailed explanation for
each response. The information below will be used, along with the
information you have provided on the types of activities proposed and
their effects on animals, in determining the potential impacts of your
research on the environment.*

1.  Will your research or enhancement activity involve equipment
    (*e.g.,* scientific instruments) or techniques that are new, or may
    be considered innovative or experimental? If yes, are they likely to
    be adopted by other researchers in the future?

2.  Does your activity involve the collection, handling, or transport of
    potentially infectious agents or pathogens (*e.g.*, biological
    specimens such as blood), and/or does your activity involve the use
    or transport of hazardous substances (*e.g.*, toxic chemicals)? If
    so, provide a description of protocols to be used to ensure human
    safety from injury or zoonotic disease transmission.

3.  If any of your activities occur in or near unique geographic areas
    (such as National Marine Sanctuaries, Marine Protected Areas, State
    National Parks or Wilderness Areas, Wildlife Refuges, Wild and
    Scenic Rivers, designated Critical Habitat for endangered species,
    Essential Fish Habitat, etc.), would any aspect of your activities
    impact the physical environment, such as by direct alteration of
    substrate (*e.g.*, bottom trawling, net setting, anchoring vessels
    or buoys, erecting blinds or other structures, disrupting nesting
    bird habitat, etc.)?

4.  Do you know if your work could affect entities listed in or eligible
    for listing in the National Register of Historic Places, or cause
    loss or destruction of scientific, cultural, or historic resources
    (*e.g.*, archeological resources, species used for subsistence
    purposes, etc.)? If so, list the sites and explain how they might be
    affected or why they would not be affected.

5.  Would any of your proposed activities include actions that might
    involve the transportation of any material, biological or otherwise,
    from one area to another (*e.g.*, transport of animals or tissues,
    ballast water discharge, working in sensitive remote areas, etc.).
    If so, please explain the types of activities and indicate any
    measure you would take to prevent the possible introduction or
    spread of non-indigenous or invasive species (including plants,
    animals, microbes, or other biological agents).

## VI. Previous and Other Permits

**A. Previous Permits**

> If the applicant, PI, or CIs have been issued previous permits for the
> taking, import, or export of species under NMFS jurisdiction, indicate
> permit numbers and ensure that all reports required to date have been
> submitted. Applications for new permits or permit
> amendments/modifications cannot be processed until all reporting
> requirements for previous permits have been satisfied.

**B. Other Permits**

> State Parks or Reserves, National Marine Sanctuaries, National Parks,
> etc., may also require you to obtain a permit for activities within
> their jurisdiction. It is your responsibility to obtain these
> additional permits. These permits may place restrictions or
> requirements on your activities in addition to any NMFS may impose
> under the ESA or MMPA.
>
> Indicate what other Federal, State, or local permits (*e.g.*, USFWS,
> National Marine Sanctuaries, the Army Corps of Engineers, National
> Park Service, etc.) are necessary and have been sought and/or issued
> in connection with the requested research or enhancement activities.
>
> Please be aware that research in the coastal zone surrounding various
> states including Alabama, Hawaii, Washington, and Guam and the
> Commonwealth of the Northern Marianas, must meet the criteria for
> Coastal Zone Consistency before a permit can be issued. These
> jurisdictions have up to six months to make a determination of
> consistency. It is the applicant\'s responsibility to seek this
> determination. Please state if such a determination has been sought
> and when a decision is expected.

## VII. References

> This is the bibliography for the entire application. You must include
> complete citations for any referenced material cited. Citations must
> include: the names of all authors, article title, book or journal
> title, volume number, page numbers, year of publication, name and
> location of publisher. For technical memorandum, thesis, or other
> similar publications, sufficient information should be provided to
> allow for document retrieval.
>
> Referenced materials must be made available to the Permits Division
> upon request, as needed for evaluation of the application, or
> preparation of any necessary ESA and/or NEPA analyses.

## VIII. Certification and Signature

> The following Certification, followed by the signature, name, and
> title of the applicant or Responsible Party, must be submitted as the
> concluding section of the application. Note that the list of statutes
> (ESA, MMPA, and FSA) in this certification should correspond to those
> indicated in your application title.
>
> *\"I hereby certify that the foregoing information is complete, true,
> and correct to the best of my knowledge and belief. I understand that
> this information is submitted for the purpose of obtaining a permit
> under one or more of the following statutes and the regulations
> promulgated there under, as indicated in Section I of this
> application:*
>
> *The Endangered Species Act of 1973 (16 U.S.C. 1531-1543) and
> regulations (50 CFR Part 222); and/or*
>
> *The Marine Mammal Protection Act of 1972 (16 U.S.C. 1361-1407) and
> regulations (50 CFR Part 216); and/or*
>
> *The Fur Seal Act of 1966 (16 U.S.C. 1151-1175).*
>
> *I also understand that any false statement may subject me to the
> criminal penalties of 18 U.S.C. 1001, or to penalties provided under
> the Endangered Species Act of 1973, the Marine Mammal Protection Act
> of 1972, or the Fur Seal Act of 1966, whichever are applicable.\"*
>
> [Signature of Applicant and Date of Signature]{.underline}
>
> [Typed or Printed Name of Applicant]{.underline}
>
> [Title of Applicant]{.underline}

**Additional Information:**

Under section 104(c) of the MMPA and section 10(a)(1)(A) of the ESA,
persons may be authorized to take marine mammals and threatened and
endangered species, respectively, for purposes of scientific research or
enhancing the survival of the species. Interested persons are required
to submit an application in accordance with the Acts and the
implementing regulations at 50 CFR part 216, subpart D, and 50 CFR part
222. These regulations are available at the following web site:
<http://www.gpo.gov/>. MMPA section 104 is available at:
<http://www.nmfs.noaa.gov/pr/pdfs/laws/mmpa104.pdf>. ESA section
10(a)(1)(A) is available at:
<http://www.nmfs.noaa.gov/pr/pdfs/laws/esa_section10.pdf>.

The information requested in this application is required and is used to
determine whether the activities described in the application are
consistent with the purposes and policies of the Acts and their
implementing regulations.

Public reporting burden for this collection of information is estimated
to average 32 hours per response, including the time for reviewing
instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or any other
aspect of this collection of information, including suggestions for
reducing this burden, to the Chief, Permits Conservation and Education
Division, Office of Protected Resources, F/PR1, NOAA/National Marine
Fisheries Service, 1315 East-West Highway, Silver Spring, MD 20910.

All permit documentation, including the application, permit and
amendments, reports, inventory information, and any other associated
documents are considered public information and as such, are subject to
the Freedom of Information Act.

Notwithstanding any other provision of the law, no person is required to
respond to, nor shall any person be subject to a penalty for failure to
comply with, a collection of information subject to the requirements of
the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB Control Number.

**APPLICATION INSTRUCTIONS**

**AND SUPPLEMENTAL INFORMATION**

**FOR SCIENTIFIC RESEARCH OR ENHANCEMENT**

**PERMITS UNDER THE**

**ENDANGERED SPECIES ACT**

**MARINE MAMMAL PROTECTION ACT**

**FUR SEAL ACT**

**APPENDICIES**

# APPENDIX I: OVERVIEW OF PERMITS/AUTHORIZATIONS

The Endangered Species Act (ESA) and Marine Mammal Protection Act (MMPA)
provide for the following types of permits/authorizations:

**Scientific Research and/or Enhancement Permits**

Under Section 10 of the Endangered Species Act of 1973 (ESA), permits
may be issued to take threatened or endangered species for scientific
purposes or to enhance the propagation or survival of a species.
Research conducted pursuant to a permit issued under the ESA must be
consistent with the objectives identified in the species recovery or
conservation plan, or otherwise likely to contribute to conservation of
the species. National Marine Fisheries Service (NMFS) regulations
implementing the provisions of the ESA section 10 can be found at 50 CFR
Parts 222-226.

Under Section 104 of the MMPA, permits may be issued for the taking of
marine mammals for scientific research and/or enhancement purposes.
Research conducted on marine mammals must be *bona fide* (*i.e.*,
scientific research on marine mammals, the results of which -- likely
would be accepted for publication in a referred scientific journal; are
likely to contribute to the basic knowledge of marine mammal biology or
ecology; or are likely to identify, evaluate, or resolve conservation
problems). NMFS regulations implementing the provisions of the MMPA
Section 104 can be found at 50 CFR Part 216.

*Note:* NMFS may authorize the use of healthy rehabilitated
beached/stranded marine mammals for research purposes in lieu of taking
animals from wild populations (50 CFR 216.27). Where a captive marine
mammal is necessary for the conduct of scientific research, particularly
in the case of U.S. coastal pinnipeds, such as California sea lions
(*Zalophus californianus*), applicants must justify the need for
capturing animals from the wild rather than obtaining them from
rehabilitated beached/stranded stock. For information on the
availability of these animals contact the appropriate NMFS Regional
Office: <http://www.nmmfs.noaa.gov/pr/health/coordinators.htm>

**Research and Enhancement Permits involving Sea Turtles on Land**

Permits to conduct research or enhancement activities on endangered or
threatened sea turtles are issued by the U.S. Fish and Wildlife Service
(USFWS) for turtles on land, including beached/stranded sea turtles and
sea turtles in rehabilitation. Application instructions for sea turtles
on land can be obtained by calling the USFWS Division of Management
Authority at (800) 358-2104 or by visiting their web site at
<http://permits.fws.gov/.>

**Salmon Research and Enhancement Permits under the ESA**

Permits to conduct research or enhancement on endangered or threatened
salmon are issued by the NMFS Northwest and Southwest Regional Offices.
Information may be obtained by visiting their web sites: Northwest
Region main page: [http://www.nwr.noaa.gov](http://www.nwr.noaa.gov/)
and the Southwest Region main page: <http://swfsc.noaa.gov/> or by
calling the Endangered Species Division, Office of Protected Resources
at (301) 713-1401 for further information.

**Commercial or Educational Photography Permits for Marine Mammals**

The 1994 amendments to the MMPA provided new authority to issue permits
for educational and commercial photography involving only Level B
harassment[^8] of non-ESA listed marine mammals[^9]. Presently, NMFS is
reviewing such applications on a pilot basis and may publish a Proposed
Rule in the *Federal Register* based in part on the information obtained
from these applications (50 CFR 216.42).

The commercial photography application instructions can be obtained at
the following web site:
[http://www.nmfs.noaa..gov/pr/permits/mmpa_permits.htm#photo]()

*NOTE:* These permits apply only to commercial or educational
photography of non-ESA listed species with methods involving only Level
B harassment. These permits do not provide any authorization for
activities involving ESA-listed species, methods involving Level A
harassment, or scientific research.

**Letters of Confirmation under the General Authorization**

The 1994 amendments to the MMPA established a streamlined "General
Authorization" (GA) procedure for obtaining permission to conduct
research activities involving only Level B harassment (*e.g.*,
photo-identification, aerial surveys). If your research meets these
criteria, you may be eligible to obtain a letter of confirmation under
the GA. Note that research on ESA-listed marine mammals requires a
separate permit. You should contact the Permits Division to confirm
whether your research can be covered under the GA. Interim Final
Regulations implementing the GA (50 CFR 216.45) were published by the
Service in the *Federal Register* on October 3, 1994 (59 FR 50372) and
are available on the Service's web site at
<http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.htm#ga> .

*NOTE:* *In the event that your proposed research activities involve
either (1) both ESA listed and non-ESA listed species, and/or (2) both
Level A and Level B harassment activities, the scientific research
permit requirements take precedence over the GA.*

**Public Display of Marine Mammals**

Public display permits are required for the capture of marine mammals in
the wild, for the importation of marine mammals, and for obtaining
releasable rehabilitated marine mammals for purposes of public display.
Applications for a public display permit can be found at
<http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.htm#display> or by
calling the NMFS Permits, Conservation and Education Division at (301)
713-2289.

A NMFS permit is **not** required for publicly displaying marine
mammals. Public display of marine mammals is based on three criteria.
Facilities holding and maintaining marine mammals for public display
purposes must: (1) maintain facilities that are open to the public on a
regularly scheduled basis with access that is not limited or restricted
other than by charging an admission fee; (2) offer a program of
education or conservation that is based on professionally recognized
standards of the public display community; and (3) be registered or hold
an exhibitor's license, issued by the U.S. Department of Agriculture,
Animal and Plant Health Inspection Service (USDA/APHIS), under the
Animal Welfare Act (AWA; 7 U.S.C. 2131 *et seq*.). See Appendix IV for
more information on the AWA.

Permits are **not** issued for the exportation of marine mammals for
public display. The receiving holder/facility must meet standards that
are comparable to those applicable to domestic facilities and/or permit
holders under the MMPA, and the appropriate agency of the foreign
government must submit a statement certifying that: (1) the application
is accurate; (2) the laws and regulations of the government involved
have equivalent provisions to the MMPA and AWA, and that such laws will
be enforced; and (3) the government will provide comity to requests made
by NMFS (*e.g.*, requests to enforce the requirements of the MMPA or
comparable laws with respect to the facility).

A stranded marine mammal that has been classified as non-releasable may
be held for the purposes of public display without a permit and in
accordance to the three public display criteria. A permit is required to
hold a releasable marine mammal in captivity for any purpose including
public display.

**Import/Export of Pre-Act Parts**

A letter of authorization is required for importing or exporting
"pre-Act" parts under NMFS jurisdiction for commercial or personal use.
Pre-Act parts are either those marine mammal parts taken prior to
enactment of the MMPA, or those parts of species listed under the ESA
that are at least 100 years old. Instructions for how to apply for
authorization to import or export pre-Act parts may be found at:
<http://www.nmfs.noaa.gov/pr/permits/parts_instructions.htm>.

**Receipt of Marine Mammal Parts from the NMFS Stranding Network under
the MMPA**

If you would like to receive marine mammal parts taken from marine
mammals (that stranded after 1972) for use in scientific research,
education, or curation, please contact the appropriate NMFS Stranding
Network Coordinator. Contact information for Stranding Network
Coordinators can be found at
<http://www.nmmfs.nooaa.gov/pr/health/coordinators.htm.> *NOTE: If you
intend to develop **cell lines** from such parts for research purposes,
you must apply for a scientific research permit using the application
instructions for scientific research purposes.*

**Incidental Take Permits/Authorizations under the MMPA and/or ESA**

If you are conducting a non-research related activity that may affect
marine mammals or ESA-listed species, you may need an incidental
harassment authorization, incidental take permit, or coverage through
the ESA Section 7 process (and issuance of an incidental take statement
under section 7(b)(4)). If you are conducting research on animals
incidentally taken during some other activity (*i.e.*, the capture is
not part of your research), you must ensure that the animals have been
taken legally. For example, if you are going to sample, tag, and measure
sea turtles that have been captured incidentally in a fishery, you need
to make sure that the capture of the turtles was legal. In this instance
it would be appropriate to request a research permit to conduct the
tagging, measuring and tissue sampling, but not for the capture. To
determine what type of coverage you would need, visit the following web
sites:

<http://www.nmfs.noaa.gov/pr/permits/guide.htm>

<http://www.nmfs.noaa.gov/pr/permits/incidental.htm>

<http://www.nmfs.noaa.gov/pr/permits/esa_permits.htm>

# APPENDIX II: DEFINITIONS

**[Acute behavioral response]{.underline}** - Repeated, prolonged or
excessive instances of behavior, brought on by any act or omission of
the researcher and manifested by, among other actions on the part of an
animal, a rapid change in direction or speed; escape tactics such as
prolonged diving, underwater course changes, underwater exhalation, or
evasive swimming patterns; interruptions of breeding, nursing, or
resting activities, attempts by a whale to shield a calf from a vessel
or human observer by tail swishing or by other protective movement;
movement away from researchers by pinnipeds, including a stampede; or
the abandonment of a previously frequented area.

**[Animal and Plant Health Inspection Service (APHIS)]{.underline}** --
Part of the U.S. Department of Agriculture that has responsibility for
administering the provisions of the Animal Welfare Act to regulate the
care and treatment of warm blooded animals bred for commercial sale,
used in research, transported commercially, or exhibited to the public,
except those animals used for agricultural purposes. APHIS has
established regulations and standards for animal care, including
"Specifications for the Humane Handling, Care, Treatment, and
Transportation of Marine Mammals" (9 CFR Ch. 1, Subpart E).

**[Animal Welfare Act]{.underline}** (AWA; 7 U.S.C. 2131 *et seq*.) --
Federal statute created in 1966 to "(1) insure that animals intended for
use in research facilities or for exhibition purposes or for use as pets
are provided humane care and treatment; (2) assure the humane treatment
of animals during transportation in commerce; and (3) protect the owners
of animals from the theft of their animals by preventing the sale or use
of animals which have been stolen."

**[Applicant/ Permit Holder]{.underline}** - Person, institution, or
agency that is ultimately responsible for all activities of any
individual who is operating under the authority of the permit. *NOTE:*
there can be only one person/institution/agency designated as the
Applicant/Permit Holder.

**[Approach]{.underline}** -- For the purposes of cetacean research: a
continuous sequence of maneuvers (episode) involving a vessel, aircraft,
or researcher\'s body in the water, including drifting, directed toward
a cetacean or group of cetaceans for the purposes of conducting
authorized research which involves one or more instances of coming
closer than 100 yards to that cetacean or group of cetaceans.

**[Attempt]{.underline}** - An effort made to accomplish some permitted
activity whether or not the objective is accomplished (*e.g.*, a tag or
biopsy dart deployment from a crossbow, air gun, or pole that may or may
not result in a successful deployment).

**[Biological Opinion]{.underline}** -- Under Section 7 of the
Endangered Species Act, "a written statement setting forth the
Secretary's opinion and a summary of the information on which the
opinion is based". Biological opinions are produced in fulfillment of a
federal agency's requirements under the ESA "to insure that any action
authorized, funded, or carried out by such agency is not likely to
jeopardize the continued existence of any threatened or endangered
species or result in the destruction or adverse modification of
designated critical habitat."

**[Bona fide scientific research]{.underline}** (as defined under the
MMPA) - Scientific research on marine mammals conducted by qualified
personnel, the results of which: 1) likely would be accepted for
publication in a refereed scientific journal; 2) are likely to
contribute to the basic knowledge of marine mammal biology or ecology;
or 3) are likely to identify, evaluate or resolve conservation problems.
Research that is not on marine mammals, but that may incidentally take
marine mammals, is not included in this definition.

**[Code of Federal Regulations (CFR)]{.underline}** -- Regulations
created by various federal agencies to support and explain federal
statutes. The NMFS and USFWS have created wildlife and fisheries
regulations to support and clarify sections of the MMPA and ESA (50 CFR
1 -- 599). Specifically, parts 17, 18, 216, 222-226, and 402 are
applicable to research and enhancement permits for marine mammals and
endangered and threatened species under NMFS and USFWS jurisdiction.

**[Co-investigator (CI)]{.underline}** - The on-site representative of a
Principal Investigator (PI) who has qualifications comparable to the PI
and who is authorized to conduct or directly supervise the conduct of
the taking, import, and export activities authorized under a permit.
There can be numerous CIs designated under a single permit. For example,
there could be separate CIs in charge of distinct activities/projects
under a permit, or responsible for distinct geographic areas under a
permit.

**[Distinct Population Segment (DPS)]{.underline} --** A subgroup of a
vertebrate species that is treated as a species for purposes of listing
under the Endangered Species Act. It is required that the subgroup is
separable from the remainder of and significant to the species to which
it belongs.

**[Enhancement permits]{.underline} -** Permits "issued for the recovery
of a species or stock where taking or importation: a) is likely to
contribute significantly to maintaining or increasing distribution or
numbers necessary to ensure the survival or recovery of the species or
stock; and b) is consistent with any conservation plan adopted by the
Secretary \[NMFS or USFWS\] for the species or stock, or if there is no
conservation or recovery plan in place, with the Secretary's evaluation
of action required to enhance the survival or recovery of the species or
stock..."

**[Evolutionary Significant Unit (ESU)]{.underline} -** A section of a
population that 1) is reproductively isolated from other conspecific
population units, or 2) represents an important component in the
evolutionary history of a species.

**[Flipper tag]{.underline}** -- A plastic or metal tag attached to the
flipper of a sea turtle, phocid, or otariid and used for identification
of individual animals.

**[Handling/restraint time]{.underline}** - The amount of time that an
animal is physically handled or restrained during research activities
(*i.e.,* weighed, measured, tagged, biopsied, etc.).

**[Harassment]{.underline}** (as defined in the MMPA) -- Any act of
pursuit, torment, or annoyance that 1) has the potential to injure a
marine mammal or marine mammal stock in the wild ([Level A
harassment]{.underline}); or 2) has the potential to disturb a marine
mammal or marine mammal stock in the wild by causing a disruption of
behavioral patterns, including, but not limited to, migration,
breathing, nursing, breeding, feeding, or sheltering ([Level B
harassment]{.underline}).

Harassment includes the disruption of the normal behavior or prior
activity of an animal by any act or omission. This disruption of normal
behavior may be manifested by, among other actions on the part of the
animal, interruptions of breeding, nursing, or resting activities; a
rapid change in direction or speed; escape tactics such as prolonged
diving, underwater course changes, underwater exhalation, or evasive
swimming patterns; attempts by a cetacean to shield a calf from a vessel
or human observer by tail swishing or by other protective movement;
movement away from researchers by pinnipeds, including a stampede; or
the abandonment of a previously frequented area.

**[Hard parts]{.underline}** - Any bone, tooth, baleen, treated pelt, or
other part of an animal that is relatively solid or durable.

**[Holding time]{.underline}** - The time from capture to the time of
release.

**[Humane]{.underline}** (as defined in the MMPA) - The method of
taking, import, export, or other activity that involves the least
possible degree of pain and suffering practicable to the animal
involved.

**[Intrusive research]{.underline}** (as defined under the MMPA) - A
procedure conducted for bona fide scientific research involving: A break
in or cutting of the skin or equivalent, insertion of an instrument or
material into an orifice, introduction of a substance or object into the
animal\'s immediate environment that is likely either to be ingested or
to contact and directly affect animal tissue (*i.e.*, chemical
substances), or a stimulus directed at animals that may involve a risk
to health or welfare or that may have an impact on normal function or
behavior (*i.e.*, audio broadcasts directed at animals that may affect
behavior). For captive animals, this definition does not include: 1) A
procedure conducted by the professional staff of the holding facility or
an attending veterinarian for purposes of animal husbandry, care,
maintenance, or treatment, or a routine medical procedure that, in the
reasonable judgment of the attending veterinarian, would not constitute
a risk to the health or welfare of the captive animal; or 2) A procedure
involving either the introduction of a substance or object (*i.e.*, as
described in this definition) or a stimulus directed at animals that, in
the reasonable judgment of the attending veterinarian, would not involve
a risk to the health or welfare of the captive animal.

**[Live car]{.underline}** - A tank of flowing and/or oxygenated water
on a boat or shore where fish are placed to keep them alive.

**[Marine Mammal Commission (MMC)]{.underline}** -- Number range
CHAPTERThe MMC is an independent agency of the U.S. Government,
established under Title II of the Marine Mammal Protection Act. In
enacting the Act in 1972, Congress recognized that those federal
agencies with primary regulatory responsibility for marine mammal
programs may have potentially conflicting missions and had, in some
instances, failed to prevent the over-harvesting and endangerment of
stocks. Thus, the MMC was created to provide independent oversight of
the marine mammal conservation policies and programs being carried out
by the federal regulatory agencies. The MMC is charged with developing,
reviewing, and making recommendations on domestic and international
actions and policies of all federal agencies with respect to marine
mammal protection and conservation and with carrying out a research
program.

**[Net checking]{.underline}** - A complete and thorough visual check of
a net either by snorkeling the net in clear water or by pulling up on
the top line such that the full depth of the net is viewed along the
entire length.

**[Permit Holder]{.underline}** - Person, institution, or agency that is
ultimately responsible for all activities of any individual who is
operating under the authority of the permit.

**[PIT tag]{.underline}** - Passive integrated transponder tags,
inserted into study animals for purposes of individual identification.
These internal tags are read by scanning with a special reader.

**[Ports, Designated]{.underline}** - U.S. Customs ports designated for
the importation or exportation of wildlife. These ports include the
following:

-   Anchorage, AK

-   Atlanta, GA

-   Baltimore, MD

-   Boston, MA

-   Chicago, IL

-   Dallas/Fort Worth, TX

-   Honolulu, HI

-   Houston, TX

-   Los Angeles, CA

-   Louisville, KY

-   Memphis, TN

-   Miami, FL

-   Miami, FL

-   New Orleans, LA

-   New York, NY

-   Newark, NJ

-   Portland, OR

-   San Francisco, CA

-   Seattle, WA

**[Principal Investigator (PI)]{.underline}** - The individual primarily
responsible for the taking, importation, exportation, and any related
activities conducted under a permit issued for scientific research or
enhancement purposes. The PI must have qualifications, knowledge and
experience relevant to the type of research activities authorized by the
permit.

**[Rehabilitation]{.underline}** (as defined under the MMPA) - Treatment
of beached and stranded marine mammals taken under section 109(h) of the
MMPA with the intent of restoring the marine mammal\'s health and, if
necessary, behavioral patterns, for release back to the wild.

**[Researchers]{.underline}** -- Researchers include personnel involved
in the permitted activities, including the Permit Holder, Principal
Investigator, Co-investigator(s), and Research Assistants.

**[Research Assistant (RA)]{.underline}** - Individual who works under
the direct and on-site supervision of the CI or PI. The qualifications
and experiences of the RA must be commensurate with his/her assigned
responsibilities.

**[Responsible Party]{.underline}** - The Responsible Party is an
official who has the legal authority to bind the organization. Where an
applicant for a permit is an organization/institution/agency rather than
an individual, the application must be signed by the Responsible Party.
In addition, the permit, which is a legally binding document, must be
signed by the Responsible Party to validate it.

**[Sanctuary net]{.underline}** - A fish net that holds water during
transfer.

**[Secretary]{.underline}** -- The Secretary of Commerce (NMFS) or the
Secretary of the Interior (USFWS).

**[Serious injury]{.underline}** - Any injury that will likely result in
a mortality.

**[Soft parts]{.underline}** - Any part that is not a hard part, *e.g.*
blood, blubber, or other tissue samples. Soft parts do not include urine
or fecal material.

**[Stranded marine mammal]{.underline}** (as defined under the MMPA) - A
marine mammal specimen under the jurisdiction of the Secretary of
Commerce, if: 1) the specimen is dead and is on a beach or shore, or is
in the water within the Exclusive Economic Zone of the U.S.; or 2) the
specimen is alive, and is on a beach or shore and is unable to return to
the water, or is in the water within the Exclusive Economic Zone of the
U.S. where the water is so shallow that the specimen is unable to return
to its natural habitat under its own power.

**[Take]{.underline}** -- [As defined in the MMPA]{.underline}: To
harass, hunt, capture, collect, or kill, or attempt to harass, hunt,
capture, collect, or kill any marine mammal. This includes by regulatory
definition, without limitation, any of the following: the collection of
dead animals, or parts thereof; the restraint or detention of a marine
mammal, no matter how temporary; tagging a marine mammal; the negligent
or intentional operation of an aircraft or vessel, or the doing of any
other negligent or intentional act which results in disturbing or
molesting a marine mammal; and feeding or attempting to feed a marine
mammal in the wild. [As defined in the ESA]{.underline}: To harass,
harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or to
attempt to engage in any such conduct.

**[Take table]{.underline}** - An tabular outline, by species, age, and
sex, of the type of activities requested in an application or authorized
in a permit over a specified time period, including the number of takes
per activity, the number of takes per individual, and the location of
takes and activities.

**[Trotline]{.underline} -** A fishing line that lays on the bottom of a
river or bay, usually with smaller lines off it. Bait is attached at
various points along the line.

# APPENDIX III: ADDITIONAL GUIDANCE ON APPLICATION

**As applicable, include the following information in the narrative
description of the methods you propose to use (Section IV. C. 2 of
Application Instructions):**

***Acoustics**:* Provide all of the following operational details about
the sound source: frequency, source level characteristics including
descriptive statistics (*i.e.*, minimum, maximum, mean; how source
levels vary as a function of time), source depth in water column, signal
duration, duty cycle, and energy output.

Please specify the anticipated maximum received level of sound at the
target animals and expected behavioral or physical responses of target
and non-target animals. Consider and discuss possible effects on marine
species other than mammals and sea turtles. Include a discussion of
mitigation and monitoring measures that would be employed such as
ramp-up or shutdown protocols and observer protocols. You are also
encouraged to provide results of a propagation model appropriate to the
geographic location and time of year proposed for the broadcasts.

For acoustic studies on captive animals, in addition to the information
above, provide what is known about baseline hearing parameters,
sensitivity of methods in measuring noise impacts, and what follow-up
measurements will be taken.

***Aerial and boat surveys:*** Indicate type of aircraft or vessel,
flight altitudes, approach distance of boats to animals, and frequency
of surveys. Provide details on the type of survey you are conducting
(*e.g.*, line transect). If surveys will include photo-identification,
indicate whether the survey craft will break from the transect and
approach target animals more closely. If photo-identification or other
activity will require multiple approaches, indicate the maximum number
of approaches per animal.

***Capture:*** Describe capture methods in detail, including number of
persons used to capture, if applicable, and how you will approach and
physically capture an animal. For nets, include size of net, net mesh
size, deployment method, and soak time if applicable. For traps,
describe the dimensions of the trap and deployment or operation. Include
any net or trap monitoring protocols.

***Handling/Restraint:*** Describe handling/restraint methods in detail.
Indicate maximum handling/restraint time needed per animal to complete
the proposed procedures, and number of persons required for restraint.
Indicate whether sedatives or immobilizing drugs will be used and if so,
type, dosage, and route of administration. Indicate maximum duration of
sedation/immobilization and whether reversal and/or emergency drugs and
resuscitation equipment would be used if necessary. For pinnipeds,
indicate approximate time needed on a rookery/haul-out to conduct the
procedures.

***Import/export:*** Provide a detailed description of how the animals
or parts to be imported were or would be taken in the country of origin,
addressing the humaneness of collection of live animals from the wild
and sample collection from live animals, or how an animal died (*e.g.,*
natural stranding or died incidental to fisheries), as applicable.
Provide documentation regarding the legality of the take in the country
of origin. Describe shipment/transport methods for import/export. If an
import would be necessary for the protection or welfare of a marine
mammal, discuss the circumstances involved and any alternatives
considered. See also "*Sample collection and analysis*" below.

***Marking:*** Indicate type of mark (*e.g.*, hot-brand, flipper tag,
bleach, photo-ID, etc.) and describe the method used to mark the animal.
For example, for hot- or freeze-branding, describe location of brand on
animal, type of branding iron, iron temperature, contact time, total
size of brand (*e.g.*, three 5-cm by 8-cm characters); and indicate
whether anesthesia will be used and if not, why. Also describe
mark-recapture methodologies.

***Sample collection and analysis:*** Give protocols for how all
specimens will be collected, citing references where appropriate, and
include safe handling procedures for working with hazardous and
biological materials. Describe all parts/samples (*e.g.,* blood, blubber
biopsy, fin clip, etc.) that will be taken, imported, or exported,
including a description of size (*e.g.,* 5 mg blubber biopsy) or volume
(*e.g.,* 50 ml blood) and number of samples that will be taken per
animal. Indicate the amount needed for the various analyses proposed.

Describe how samples will be stored, transported, shipped, and analyzed.
Indicate if any analyses will be contracted out or otherwise completed
by persons not listed as Co-investigators in this application. List and
attach statements of agreement from these collaborators to the
application (if available).

Provide a description of what arrangements have been made, if any, for
disposition of any parts or samples remaining after the research or
enhancement activities are complete, including curation at your
institution. Describe any arrangements made with a museum or other
institutional collection to ensure that remaining tissues will be
available for scientific research or enhancement purposes.

Please note that NMFS has established a National Marine Mammal Tissue
Bank that is a source and repository of material for qualified
researchers. For more information on receiving or donating tissues,
contact the Marine Mammal and Sea Turtle Conservation Division, Office
of Protected Resources (301) 713-2232 or visit the following web site:
<http://www.nmfs.noaa.gov/pr/health/tissue/> .

***Scientific instruments:*** Provide a complete description (weight and
external dimensions) of any equipment to be attached to or implanted in
an animal (*e.g.,* TDR, VHF tag, PIT tag, etc.), as well as a
description of the method of attachment or implantation (and removal
where applicable), location of placement on the animal, number of
attachments/implantations per animal (*e.g.*, TDR and satellite tag) and
whether they are combined or not, anticipated duration of attachment or
implantation, and method of retrieval or tag release. Describe
hydrodynamic drag properties for external tags, with citations if
possible. For sonic tags, also include emission frequency. Describe
protocol for tracking and monitoring instrumented animals.

**As applicable, include the following information in the description of
the effects of your activities on animals (Section IV. D. 1 of
Application Instructions):**

***Acoustics**:* Describe anticipated responses of the target
individuals to the sound. Discuss known or possible effects of the sound
on the target individual, such as disturbance, temporary threshold
shift, or permanent threshold shift. If behavioral or physiological
effects are possible from exposure, discuss what proportion of animals
exposed to the sound is likely to respond or be affected. Also discuss
known or possible effects of the sound on non-target animals that may be
within the area of propagation.

***Aerial and boat surveys*:** Describe anticipated responses of
individuals of each proposed species to survey craft. If the survey
method is known or likely to result in disturbance, discuss what
proportion of animals exposed to the survey is likely to respond and the
nature and duration of their response.

***Capture:*** Describe anticipated responses (*e.g.*, evading approach;
exhibiting stress response with increased respirations, etc.) of
individuals of each proposed species to capture in general, and to the
proposed capture method in particular. Also indicate whether the capture
method is known or likely to result in injury or mortality, and what
proportion of animals subjected to the method could be injured or die,
based on previous experience or published work.

For any non-target species that may be incidentally caught, describe
what effects this could have on those species. Also indicate whether
your nets or capture methods could affect the physical or biological
environment, such as by alteration or disturbance of substrate or
vegetation.

***Handling/Restraint:*** Describe anticipated responses of individuals
of each proposed species to the types of handling and restraint
proposed, including effects of sedatives or immobilizing agents if used.
For example, indicate if individuals struggle and show signs of stress
during restraint, etc., and describe how they react. Indicate the
physiological response to any drug administered and clearance time of
the drug. Also indicate whether the handling and restraint methods are
known or likely to result in injury or mortality and what proportion of
animals subjected to the method is likely to be injured or die. Also
indicate who will be administering sedatives and immobilizing agents and
what experience, training, or other qualifications they have to do so.

***Import/Export:*** For import/export activities that involve live
animals, describe how the animals will respond to the transport, the
duration of transport, and mitigation to minimize stress and injury
during transport. Indicate the qualifications of the individuals
accompanying the animals during transport. If an import/export would be
necessary for the protection or welfare of a marine mammal, discuss the
circumstances involved and special mitigation to be implemented.

***Incidental Harassment:*** Describe the anticipated responses of any
non-target animals of the proposed species, including conspecifics and
other species in the area, to your activities. If the proposed
activities are known or likely to result in disturbance, discuss what
proportion of animals exposed are likely to respond and the nature and
duration of their response.

***Marking:*** Describe anticipated responses of marked individuals of
each proposed species to the application of the mark (*e.g.*, flipper
tag, branding, etc.). Discuss known or possible effects of the mark on
survival (including impacts on foraging ability and predator avoidance)
and reproduction of the animal. Also indicate whether the marking method
is known or likely to result in pain, infection, injury, or mortality.
Include information on healing time where applicable. If infection or
mortality is possible, indicate what proportion of animals subjected to
the proposed procedure is likely to develop infection or die.

***Sample Collection*:** Describe anticipated responses of individuals
of each proposed species to each type of sampling method (*e.g.*,
venipuncture, tissue biopsy, tooth pulling). Describe healing time where
applicable. Also indicate whether the sampling methods are known or
likely to result in pain, infection, or mortality. If infection or
mortality is possible, indicate what proportion of animals subjected to
the proposed procedure is likely to develop an infection or die.

***Scientific Instruments*:** Describe anticipated responses of
individuals of each proposed species to both the instrument attachment
method and the presence of the instrument itself. For external
instruments, include effects of drag. Also include a discussion,
providing references, of known or possible effects of the instrument on
movement, survival (including impacts on foraging ability and predator
avoidance), and reproduction of the animal. If placing instruments on/in
lactating mammals, discuss known or possible effects of the instrument
on the female's ability to care for her dependent young. Indicate
whether the tag attachment method is known or likely to result in
stress, pain, injury, infection, or mortality. Also indicate whether the
presence of the tag is known or likely to result in injury or infection.

# APPENDIX IV: RELEVANT STATUTES

**Animal Welfare Act**

The Animal Welfare Act (AWA) (U.S.C. 2131 *et seq*.) was enacted in 1966
to "(insure that animals intended for use in research facilities or for
exhibition purposes or for use as pets are provided humane care and
treatment; (2) assure the humane treatment of animals during
transportation in commerce; and (3) protect the owners of animals from
the theft of their animals by preventing the sale or use of animals
which have been stolen."

The U.S. Department of Agriculture's Animal and Plant Health Inspection
Service (USDA/APHIS), has responsibility under the AWA for captive
warm-blooded animals, including marine mammals. APHIS has established
regulations and standards for animal care, including "Specifications for
the Humane Handling, Care, Treatment, and Transportation of Marine
Mammals" (9 CFR Ch.1, Subpart E).

Most U.S. facilities maintaining animals as defined under the AWA,
including marine mammals, are required to be licensed or registered by
APHIS. For information concerning the AWA and its requirements and the
name and address of the Veterinarian in Charge in the State concerned,
contact the Regulatory Enforcement and Animal Care staff, USDA/APHIS
(301/734-7833) or visit
[[http://www.aphis.usda.gov/]{.underline}](http://www.aphis.usda.gov/)

Your application will be forwarded to APHIS for review and comment if
your research or enhancement activities involve (1) the use of captive
marine mammals, including marine mammals in rehabilitation, and/or (2)
free-ranging animals if substantial AWA issues are identified during the
initial review of the application.

For research to be conducted on captive (including rehabilitating)
animals and/or any intrusive procedures to be conducted on captive or
free-ranging animals, applicants are strongly encouraged to submit, with
their permit application, a copy of the protocols submitted to their
institution's Animal Care and Use Committee (IACUC). A copy of the
approval granted by the IACUC must accompany your application. The PI,
CIs, or other individuals listed in this application cannot vote during
the IACUC review of the application (9 CFR 2.31 (d)).

*NOTE:* Number range CHAPTERAnimal Welfare Act requirements for IACUC's
apply to all research facilities. "Research facilities" are defined in
APHIS regulations (9 CFR 1.1) to mean "any school (except an elementary
or secondary school), institution, organization, or person that uses or
intends to use live animals in research, tests, or experiments, and that
(1) purchases or transports live animals in commerce, or (2) receives
funds under a grant, award, loan, or contract from a department, agency,
or instrumentality of the United States for the purpose of carrying out
research, tests, or experiments\...."

Under this definition, a researcher may qualify as a "research facility"
even if animals are not brought into captivity. Based on APHIS
regulations (9 CFR 1.1 and 2(d)(1)) a field study that "involves an
invasive procedure, harms, or materially alters the behavior of an
animal under study" is subject to IACUC review and approval.

**Endangered Species Act**

The Endangered Species Act (ESA) (7 U.S.C. 16; 16 U.S.C. 4660 *et seq*.)
was enacted in 1973 to conserve threatened and endangered plants and
animals and their habitats. The law prohibits any action that results in
a "taking[^10]" of a listed species, or that adversely affects its
habitat. The law also prohibits the import, export, and interstate and
foreign commerce of listed species with the appropriate authorizations.

The ESA prohibits, with certain exceptions, the taking of species listed
as threatened or endangered. The ESA provides for the issuance of
permits to take threatened or endangered species for scientific research
purposes and/or to enhance a species propagation or survival. Under the
ESA, the National Marine Fisheries Service (NMFS) and the U.S. Fish and
Wildlife Service (USFWS) share management responsibility for marine
mammals and for threatened and endangered sea turtles (NMFS for sea
turtles in the water, and USFWS for sea turtles on land). NMFS has sole
responsibility under the ESA for salmon, shortnose sturgeon, smalltooth
sawfish, and white abalone. NMFS regulations implementing the provisions
of the ESA can be found at 50 CFR Parts 216 and 222-226; USFWS
regulations can be found at 50 CFR Part 17.

Under Section 7 of the ESA, all federal agencies are required, "in
consultation with and with the assistance of the Secretary, to insure
that any action authorized, funded, or carried out by such agency is not
likely to jeopardize the continued existence of any threatened or
endangered species or result in the destruction or adverse modification
of designated critical habitat." Thus, before issuing permits affecting
ESA-listed species, the Permits Division must consult with the NMFS
Endangered Species Division or the USFWS and obtain a written statement
that the issuance of the permit is not likely to jeopardize any
protected species. This written statement is known as a biological
opinion. Federal regulations allow a minimum of 135 days for this
consultation process.

**Freedom of Information Act**

The Freedom of Information Act (FOIA) (5 U.S.C. 552) was enacted in 1966
to ensure that the federal government makes government information
available to the public when requested. Certain restrictions apply to
the release of information (*e.g.*, classified documents).

**Fur Seal Act**

The Fur Seal Act (FSA) (16 U.S.C. 1151-1187) was enacted in 1966 to
prohibit the taking of North Pacific fur seals, except by Alaska natives
for subsistence purposes or by a permit issued by NMFS. NMFS'
regulations implementing the FSA for Alaska native purposes can be found
at 50 CFR Part 215. Applications for permits for scientific research on
northern fur seals are processed under the MMPA regulations of 50 CFR
Part 216.

**Marine Mammal Protection Act**

The Marine Mammal Protection Act (MMPA) (16 U.S.C. 1361-1407) was
enacted in 1972 in partial response to growing concerns among scientists
and the general public that certain species and populations of marine
mammals were in danger of extinction or depletion as a result of human
activities. The MMPA includes a general moratorium on the taking[^11]
and importing of marine mammals, with certain exceptions, on the taking
and importing of marine mammals and marine mammal products. One
exception provides for the issuance of permits by either NMFS or USFWS,
depending on the species involved[^12], to take marine mammals for
purposes of scientific research, public display, enhancing the survival
or recovery of a species or stock, or educational or commercial
photography. NMFS and USFWS regulations implementing the permit
provisions of the MMPA can be found at 50 CFR Part 216 and 50 CFR Part
18, respectively.

**National Environmental Policy Act**

The National Environ mental Policy Act (NEPA) (42 U.S.C. 4321 *et seq*.)
was enacted in 1969 to ensure that the government gives proper
consideration to the environment prior to undertaking any major federal
action that could significantly affect the environment. Issuance of a
permit is considered a major federal action and NMFS is required to
comply with NEPA. Some applications may require additional environmental
analyses under NEPA, which can substantially increase the time required
for processing. If a threatened or endangered species is involved in a
proposed research or enhancement activity, if the activity is considered
controversial, or under other certain circumstances, preparation of an
Environmental Assessment (EA) or an Environmental Impact Statement (EIS)
may be necessary.

# APPENDIX V: NMFS REGIONAL OFFICES

+----------------------------------+-----------------------------------+
| **Regional Office**              | **Regional Jurisdiction**         |
+----------------------------------+-----------------------------------+
| NMFS Alaska Region,              | Alaska \[including Arctic Ocean,  |
|                                  | Bering, Beaufort, Chukchi Seas\]  |
| P.O. Box 21668                   |                                   |
|                                  |                                   |
| Juneau, AK 99802-1668            |                                   |
|                                  |                                   |
| Tel (907)586-7221; fax           |                                   |
| (907)586-7249                    |                                   |
+----------------------------------+-----------------------------------+
| NMFS Northwest Region            | Colorado, Idaho, Montana, North   |
|                                  | Dakota, Oregon, South Dakota,     |
| 7600 Sand Point Way NE, BIN      | Utah, Washington, Wyoming         |
| C15700                           |                                   |
|                                  |                                   |
| Seattle, WA 98115-0700           |                                   |
|                                  |                                   |
| Tel (206)526-6150; fax           |                                   |
| (206)526-6426                    |                                   |
+----------------------------------+-----------------------------------+
| NMFS Southwest Region            | Arizona, California, Nevada,      |
|                                  |                                   |
| 501 West Ocean Blvd., Suite 4200 |                                   |
|                                  |                                   |
| Long Beach, CA 90802-4213        |                                   |
|                                  |                                   |
| Tel (562)980-4001; fax           |                                   |
| (562)980-4018                    |                                   |
+----------------------------------+-----------------------------------+
| NMFS Northeast Region            | Connecticut, Delaware, District   |
|                                  | of Columbia, Illinois, Indiana,   |
| One Blackburn Drive              | Maine, Maryland, Massachusetts,   |
|                                  | Michigan, Minnesota, New          |
| Gloucester, MA 01930-2298        | Hampshire, New Jersey, New York,  |
|                                  | Ohio, Pennsylvania, Rhode Island, |
| Tel (978)281-9200; fax           | Vermont, Virginia, West Virginia, |
| (978)281-9371                    | Wisconsin                         |
+----------------------------------+-----------------------------------+
| NMFS Southeast Region            | Alabama, Arkansas, Florida,       |
|                                  | Georgia, Iowa, Kansas, Kentucky,  |
| 263 13^th^ Avenue South          | Louisiana, Mississippi, Missouri, |
|                                  | Nebraska, New Mexico, North       |
| St. Petersburg, FL 33701         | Carolina, Oklahoma, South         |
|                                  | Carolina, Tennessee, Texas        |
| Tel (727)824-5312; fax           |                                   |
| (727)824-5309                    |                                   |
+----------------------------------+-----------------------------------+
| NMFS Pacific Islands Region      | Hawaii, U.S. Pacific Islands      |
|                                  | \[including American Samoa, Guam, |
| 1601 Kapiolani Blvd., Room 1110  | Northern Mariana Islands\]        |
|                                  |                                   |
| Honolulu, HI 96814-4700          |                                   |
|                                  |                                   |
| Tel (808)973-2937; fax           |                                   |
| (808)973-2941                    |                                   |
+----------------------------------+-----------------------------------+

[^1]: Under the ESA, the term "take" is defined as: *To harass, harm,
    pursue, hunt, shoot, wound, kill, trap, capture, or collect, or to
    attempt to engage in any such conduct.*

[^2]: NMFS has management authority for cetaceans (whales and dolphins)
    and pinnipeds (except walruses). USFWS has management authority for
    sea and marine otters, polar bears, walruses, manatees, and dugongs.

[^3]: Under the MMPA, the term "take" is defined as: *To harass, hunt,
    capture, or kill, or attempt to harass, hunt, capture, or kill any
    marine mammal.*

[^4]: Harassment (as defined in the MMPA) -- *Any act of pursuit,
    torment, or annoyance which* - 1) [Level A harassment]{.underline}:
    *has the potential to injure a marine mammal or marine mammal stock
    in the wild*; or 2) [Level B harassment]{.underline}: *has the
    potential to disturb a marine mammal or marine mammal stock in the
    wild by causing a disruption of behavioral patterns, including, but
    not limited to, migration, breathing, nursing, breeding, feeding, or
    sheltering.*

[^5]: CITES (the Convention on International Trade in Endangered Species
    of Wild Fauna and Flora) is an international agreement between
    Governments. Its aim is to ensure that international trade in
    specimens of wild animals and plants does not threaten their
    survival. CITES works by subjecting international trade in specimens
    of selected species to certain controls. All import, export,
    re-export and introduction from the sea of species covered by the
    Convention has to be authorized through a licensing system.

[^6]: Note that permits are issued for up to a five-year period.

[^7]: Serious injury is defined by regulation as any injury that will
    likely result in mortality.

[^8]: Harassment (as defined in the MMPA) -- *Any act of pursuit,
    torment, or annoyance which* --

    1\) [Level A harassment]{.underline}: *has the potential to injure a
    marine mammal or marine mammal stock in the wild*; or 2) [Level B
    harassment]{.underline}: *has the potential to disturb a marine
    mammal or marine mammal stock in the wild by causing a disruption of
    behavioral patterns, including, but not limited to, migration,
    breathing, nursing, breeding, feeding, or sheltering.*

[^9]: A list of marine mammal species and information on the status of
    the species under the ESA is available at the following web site:
    <http://apps.nmfs.noaa.gov/docs_cfm/species_lists.cfm>.

[^10]: Under the ESA, the term "take" is defined as: *To harass, harm,
    pursue, hunt, shoot, wound, kill, trap, capture, or collect, or to
    attempt to engage in any such conduct.*

[^11]: Take (as defined in the MMPA): *To harass, hunt, capture,
    collect, or kill, or attempt to harass, hunt, capture, collect, or
    kill any marine mammal.* This includes by regulatory definition,
    without limitation, any of the following: *the collection of dead
    animals, or parts thereof; the restraint or detention of a marine
    mammal, no matter how temporary; tagging a marine mammal; the
    negligent or intentional operation of an aircraft or vessel, or the
    doing of any other negligent or intentional act which results in
    disturbing or molesting a marine mammal; and feeding or attempting
    to feed a marine mammal in the wild.*

[^12]: NMFS has management authority for cetaceans (whales and dolphins)
    and pinnipeds (except walruses). USFWS has management authority for
    sea and marine otters, polar bears, walruses, manatees, and dugongs.