**OMB No. 0648-0084**

**Expires 09/30/2009**

**Instructions for Submitting a "Letter of Intent" under the**

**General Authorization for Scientific Research**

**Introduction**

Under the Marine Mammal Protection Act (MMPA), the General Authorization
(GA) applies to *bona fide* scientific research[^1] studies on marine
mammals for activities involving only Level B harassment[^2]. Research
on marine mammals listed as endangered or threatened under the
Endangered Species Act (ESA), including research that would qualify for
the GA, requires an ESA/MMPA scientific research permit.

Researchers desiring to take marine mammals in the wild via Level B
harassment for purposes of *bona fide* scientific research under the GA
must submit a letter of intent to the Chief, Permits, Conservation and
Education Division (see below). The individual responsible for the
overall research project (*i.e.*, the principal investigator or
responsible party) must submit the letter of intent via certified return
receipt mail at least 60 days before the intended research start date.
The principal investigator is the individual primarily responsible for
the activities conducted under the GA and must have qualifications,
knowledge and experience relevant to the type of research activities
proposed. The responsible party is the individual who has the legal
authority to bind an organization and who is responsible for supervision
of the principal investigator.

The following types of research activities will likely qualify for
inclusion under the GA: photo-identification studies, behavioral
observations, and vessel and aerial population surveys (except aerial
surveys over pinniped rookeries at altitudes of less than 1,000 ft.) of
non-ESA listed marine mammals.

Requirements for applying for a GA included in these instructions are
pursuant to National Marine Fisheries Service regulations implementing
the MMPA \[50 CFR 216.45\] and MMPA section 104(c)(3)(C). If you have
any questions about applying for a GA, call the Permits, Conservation
and Education Division at (301) 713-2289.

**General Authorization Letter of Intent**

National Marine Fisheries Service regulations require that General
Authorization "Letters of Intent" contain the following information:

1.  The name, address, telephone number, qualifications and experience
    of the applicant (*i.e.*, principal investigator) and any
    co-investigator(s)[^3] to be conducting the proposed research, and
    curriculum vitae for each, including a list of publications by each
    investigator relevant to the objectives, methods, or other aspects
    of the proposed research.

NOTE: The qualifications and experience listed in each curriculum vitae
must include accomplishments relevant to the proposed activities each
person will be performing.

2\. The species or stocks of marine mammals (common and scientific
names) that are the subject of the scientific research and any other
species or stock of marine mammals that may be harassed during the
conduct of the research.

3\. The geographic location(s) in which the research is to be conducted.

NOTE: Identify locations as specifically as possible within a general
area (*e.g.*, specific islands, bays, latitude/longitude, etc., within a
specified geographic region or state). Include a map if available. For
aerial or vessel surveys, indicate the coordinates outlining the
proposed survey area(s). Indicate whether the location you will be
working in has been given any special status (e.g., National Marine
Sanctuary, State Reserve, etc.).

4\. The period(s) of time over which the research will be conducted (up
to five years), including start date, approximate dates or field
season(s), and end date.

5\. The purpose of the research, including a description of how the
proposed research qualifies as "*bona fide* scientific research."

> NOTE: This includes, but is not limited to, the following information:
> hypothesis and objectives; how the results of the research are likely
> to contribute to the basic knowledge of marine mammal biology or are
> likely to identify, evaluate, or resolve conservation problems; how
> the research relates to the current body of knowledge on the subject
> species or past NMFS permitted research conducted by the applicant (if
> applicable).

6\. The methods to be used to conduct the research.

NOTE: This includes, but is not limited to, the following information:
sample size, specific methods or protocols to meet objectives of
research, approach distances and frequencies, number of crew during
field research, etc. NMFS may determine that specific proposed
activities (*e.g.*, underwater photography and filming; aerial surveys
over pinniped rookeries) may exceed Level B harassment. In these cases,
the applicant will be notified that a scientific research permit is
required.

7\. The "Letter of Intent" must include the following certification
statement, signed and dated by the applicant:

*"In accordance with section 104(c)(3)(C) of the Marine Mammal
Protection Act of 1972, as amended (16 U.S.C. 1361 et seq.) and
implementing regulations (50 CFR part 216) I hereby notify the National
Marine Fisheries Service of my intent to conduct research involving only
Level B harassment on marine mammals in the wild, and request
confirmation that the General Authorization for Level B Harassment for
Scientific Research applies to the proposed research as described
herein. I certify that the information in this letter of intent is
complete, true, and correct to the best of my knowledge and belief, and
I understand that any false statement may subject me to the criminal
penalties of 18 U.S.C. 1001, or penalties under the MMPA and
implementing regulations. I acknowledge and accept that authority to
conduct scientific research on marine mammals in the wild under the
General Authorization is a limited conditional authority restricted to
Level B harassment only, and that any other take of marine mammals,
including the conduct of any activity that has the potential to injure
marine mammals (i.e., Level A harassment), may subject me to penalties
under the MMPA and implementing regulations."*

Please send an original signed General Authorization "Letter of Intent"
to the following address:

Chief, Permits Conservation and Education Division

Office of Protected Resources, F/PR1

NOAA/National Marine Fisheries Service

1315 East-West Highway, Room 13705

Silver Spring, MD 20910

Phone: (301) 713-2289

Fax: (301) 427-2521

No later than 30 days after receipt of a letter of intent, NMFS will
issue a letter to the applicant either:

\(1\) Confirming that the GA applies to the proposed scientific research
as described in the letter of intent;

\(2\) Notifying the applicant that all or part of the research described
in the letter of intent is likely to result in a taking of a marine
mammal in the wild involving other than Level B harassment and, as a
result, cannot be conducted under the GA, and that a scientific research
permit is required to conduct all or part of the subject research; or

\(3\) Notifying the applicant that the letter of intent fails to provide
sufficient information and providing a description of the deficiencies,
or notifying the applicant that the proposed research as described in
the letter of intent is not *bona fide* research as defined above.

**Additional Information:**

Under section 104(c)(3)(C) of the MMPA, as amended, persons may be
authorized to take marine mammals in the wild by Level B harassment, as
defined in 50 CFR 216.3, for purposes of *bona fide* scientific
research. Interested persons are required to submit a letter of intent
in accordance with the interim final rule published on October 3, 1994
and submit certain information outlined at 50 CFR 216.45(b) under the
General Authorization and provided in these instructions. Regulations
implementing the GA may be found at 50 CFR 216.45 \[59 FR 50376, Oct. 3,
1994\] and are available at the following web site:
<http://www.gpo.gov/>. MMPA section 104 is available at the following
web site: <http://www.nmfs.noaa.gov/pr/pdfs/laws/mmpa104.pdf>.

The information requested in this application is required and is used to
determine whether the research described in the letter of intent is
likely to exceed Level B harassment of a marine mammal in the wild; and
whether a scientific research permit is required to conduct all or part
of the subject research; and whether the research as described in the
letter of intent is *bona fide*.

Public reporting burden for this collection of information is estimated
to average 10 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.

The letter of intent and any associated documents, including any reports
required under the GA, 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.

[^1]: ***Bona fide* scientific research**: Scientific research conducted
    by qualified personnel, the results of which---

    likely would be accepted for publication in a refereed scientific
    journal;

    are likely to contribute to the basic knowledge of marine mammal
    biology; or

    are likely to identify, evaluate, or resolve conservation problems.

[^2]: **Harassment**: Under the 1994 Amendments to the MMPA, harassment
    is statutorily defined as, any act of pursuit, torment, or annoyance
    which---

    (Level A harassment) has the potential to injure a marine mammal or
    marine mammal stock in the wild; or,

    (**Level B harassment**) has the potential to disturb a marine
    mammal or marine mammal stock in the wild by causing disruption of
    behavioral patterns, including, but not limited to, migration,
    breathing, nursing, breeding, feeding, or sheltering but which does
    not have the potential to injure a marine mammal or marine mammal
    stock in the wild.

[^3]: **Co-investigator** means the on-site representative of a
    principal investigator.