MMPA Research and enhancement permit application

National Marine Fisheries Service
Marine Mammal Scientific Research
and Enhancement Permit Application
OMB No. 0648-0084
Expires: MM/DD/YYYY

Marine Mammal Scientific Research and Enhancement
Permit Application
TABLE OF CONTENTS
INTRODUCTION.......................................................................................................... 3 
APPLICATION INSTRUCTIONS .......................................................................... 5 
PROJECT INFORMATION ....................................................................................................................... 5 
PROJECT DESCRIPTION PAGE............................................................................................................. 6 
PROJECT SUPPLEMENTAL INFORMATION ....................................................................................... 13 
CAPTIVE INFORMATION ...................................................................................................................... 16 
PROJECT LOCATIONS ......................................................................................................................... 17 
NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) CONSIDERATIONS ................................... 21 
PROJECT CONTACTS ........................................................................................................................... 22 
SUBMIT APPLICATION ......................................................................................................................... 25 

ADDITIONAL INFORMATION ............................................................................. 25 
PAPERWORK REDUCTION ACT STATEMENT .................................................................................. 25 

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Introduction
What is this application for?
 This application is for requesting a Marine Mammal Protection Act (MMPA) and
Endangered Species Act (ESA) scientific research or enhancement permit to
take1, import, or export National Marine Fisheries Service (NMFS) protected
marine mammals, including:
 Cetaceans (dolphins, porpoises, and whales)
 Pinnipeds (seals and sea lions)
What is this application not for?
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 Bona fide scientific research on non-ESA listed marine mammals for activities
involving only Level B harassment3 under the General Authorization
 Commercial or educational photography/filming of marine mammals
 Only importing, exporting, or receiving marine mammal parts
 Public display of marine mammals
 To apply for one of these permits, visit:
http://www.nmfs.noaa.gov/pr/permits/types.html
When should I apply?
 ESA-MMPA permits: at least 1 year before your project will begin
 MMPA permits: at least 6 months before your project will begin

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A take under the MMPA means to harass, hunt, capture, collect, or kill, or attempt to harass, hunt, capture,
collect, or kill any marine mammal. This includes, 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.
Under the ESA, a take means to harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or
attempt to do any of the preceding.

2

Bona fide scientific research means research on marine mammals, conducted by qualified individuals, the
results of which:
 are likely to be accepted for publication in a refereed scientific journal;
 are likely to contribute to the basic knowledge of the species biology or ecology; or
 are likely to identify, evaluate, or resolve conservation problems.
3 Harassment means 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.

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What is the process for getting a permit?
1. Follow these instructions and contact the Permits and Conservation Division at
301-427-8401 with any questions.
2. Submit your application via APPS (https://apps.nmfs.noaa.gov/).
a. An assigned permit analyst will contact you and review the application.
3. Address any questions on the application. To facilitate processing, reference the
application File No. in all correspondence.
a. Once complete, we will publish a notice in the Federal Register, which
starts a mandatory 30-day public comment period.
b. Concurrently, we will send your application to the Marine Mammal
Commission and other subject matter experts in partner institutions and
federal and state agencies for review.
c. If needed, we will also request consultation under section 7 of the ESA to
assess impacts to ESA-listed species. The ESA consultation can take up
to 6 months.
4. Address any questions received during the comment period and consultation.
a. We will then draft the permit and supporting documentation (including
National Environmental Policy Act analyses and documentation of
MMPA and ESA issuance criteria), which will be reviewed by various
NMFS offices including a legal review by General Counsel.
b. A Biological Opinion will be issued if ESA-listed species may be taken
and adversely affected to determine if the activity will jeopardize the
species or adversely modify critical habitat.
c. The Office Director will make a final decision.
Important information
 If you do not follow these instructions, your application will be withdrawn and
you will be asked to resubmit a new application that includes the information
required.


If we request additional information and do not receive it within 60 days, we may
withdraw your application.



Your permit may only authorize what is in your application; therefore, it must be
a stand-alone document that describes all proposed activities even when you
reference previous permits or published literature.



When a question does not apply (i.e., N/A), explain why.



Your application should be free of grammatical errors and readable to a lay
person.



Permit reports for current or previous permits must be up-to-date. Outstanding
reports will delay processing of your new application.

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

You are highly encouraged to contact us at 301-427-8401 with questions in
advance of submitting your application.

How do I use APPS?
 Refer to Chapter 2 (“How to Use the System”).


When starting from your portfolio, click on the link of your file number under the
File Number column to take you to the application.



Save your application every 20 minutes or you will lose information!



You do not have to complete an application in one session. Your application will
remain in draft mode until you submit.



An * means it is a required field.



If you cut and paste from Word, special characters and formatting may be lost.



Attachments cannot be larger than 10MB – contact us if you have larger files.

Questions?
 Contact the Permits and Conservation Division at 301-427-8401.

Application Instructions
Project Information
File Number
 This number is automatically generated and cannot be changed. To facilitate
processing, reference this File No. in correspondence with our office.
*Project Title (up to 255 characters)
 Provide a concise title to include the activity, species (or taxa if multiple species),
location, and purpose of the study. For example:
 Vessel surveys, sampling, and tagging cetaceans in the Gulf of Mexico to
characterize population structure, forging ecology, and movement
patterns.
*Project Status
 The project status (New or Renewal) is automatically selected based on your
answers in the pre-application guide (PAG). Do not change this field.
Previous Federal or State Permit #
 If applicable, enter your most recent and closely related NMFS permit number.
Otherwise leave blank. State permit numbers are not applicable.

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*Permits Requested
 One or more permit will be listed based on your answers in the PAG. If the
options listed are incorrect, please call us at 301-427-8401 for assistance.
*Where Will the Activities Occur?
 One or more general locations will be listed based on your answers in the PAG.
If a location is incorrect, please call us at 301-427-8401 for assistance.
*Research Timeframe
 Enter the desired start and end dates of the entire project in the following format:
MM/DD/YYYY. The start date must not be prior to the date you submit the
application and should be at least 6 months (MMPA) or 1 year (MMPA-ESA)
after the date you submit. The end date must be within five years of the start date
because permits are valid for a maximum of five years.
*Sampling Season/Project Duration (up to 1,000 characters)
 Describe the annual field season(s) including the months and frequency of
fieldwork (i.e., when and how many times per year/how frequently will you
conduct your activities?). If this includes year-round research, indicate when
activities are most likely to occur and how frequently.
*Abstract (up to 2,000 characters)
 Federal regulations require the following information be published in the Federal
Register Notice of Receipt that initiates a mandatory 30-day public comment
period:
 Purpose of the research or enhancement
 Target and non-target species (common and scientific names)
 Proposed take activities (e.g., vessel based surveys, remote biopsy
sampling, tagging), import, or export
 Numbers of animals to be taken or imported/exported or number of
animals from which specimens will be imported/exported, by species or
taxa, annually
 Specific geographic locations of take and locations from which animals or
samples will be imported or to where they will be exported, if applicable
 Requested duration of the permit (the maximum is five years)
Project Description Page
*Project Purpose: Hypothesis/Objectives and Justification (up to 64,000 characters)
 Discuss the purpose of your project including your hypotheses and/or objectives.


Briefly summarize published findings related to your objectives. If you
previously held or worked under a permit, use literature citations from that work
to show how you previously met your objectives; or, use other published literature
on the subject. Describe how this study is different from, builds upon, or
duplicates past research.

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

If proposing novel procedures, include a discussion on results from pilot studies
or studies on other species, if available.



Explain how you determined your sample size/take numbers. For example, did
you base your numbers on previous encounter rates or abundance estimates for
your study area? If appropriate for your study, include a power analysis or other
sample size estimation to show whether the sample size is sufficient to provide
statistically significant or otherwise robust results appropriate for your study.



The information above should support how your proposed research is bona
fide, including how the results of your research:
 are likely to be accepted for publication in a refereed scientific journal;
 are likely to contribute to the basic knowledge of the species biology or
ecology; or
 are likely to identify, evaluate, or resolve conservation problems.

For ESA-listed and MMPA-depleted species, also:
 Discuss why your project must involve ESA-listed or MMPA-depleted species.


Discuss how your project will, as applicable:
 contribute to the objectives identified in the species’ recovery or conservation
plan or otherwise respond to recommendations of a scientific body charged
with management of the species;
 contribute significantly to understanding the basic biology or ecology of the
species; and/or
 contribute significantly to identifying, evaluating, or resolving conservation
problems.



If your goals are to directly enhance the survival or propagation of an ESA-listed
or MMPA-depleted species:
 Explain how the project will:
 contribute to maintaining or increasing distribution or abundance,
 enhance the health or welfare of the species, and/or
 ensure the recovery of the species in the wild.


If captive maintenance for enhancement is proposed, explain how you
will:
 maintain a viable gene pool,
 increase productivity,
 provide necessary biological information, or
 establish animal reserves.



How does the benefit of removing animals from the wild into captivity
outweigh alternatives that do not require removal from the wild? What

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plans are in place for returning animals and any offspring to the wild?
Justify maintaining animals in permanent captivity.
*Project Description (up to 64,000 characters)
 Your permit may only authorize what you describe in your application.


Provide a brief overview of a day in the field and the suite of activities you intend
to perform on each animal during an encounter or capture event including where
your work will happen, especially if different projects occur in different locations.



Methods: Provide clear descriptions of all methods for each species, by
MMPA stock or ESA Distinct Population Segment (DPS) where applicable, and
the number of animals by age class4 and sex you expect to take by each
method/procedure annually.



The methods must match what is in the take table.
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 There should be a narrative description for each Take Action ,
Observe/Collect Method6, and Procedure7 in the take table, and the take
numbers and procedures in the narrative must match the table.
 Reference take table lines that correspond to the methods, as needed.
 If you have multiple projects, it is helpful to name them by project number or
title and include project names in the Details column of the take table.



Indicate the number of times known individuals will be intentionally taken in
a year (e.g., recapture for instrument retrieval or multiple biopsy samples per
year). If recapturing animals, indicate whether they will be immediately released
without processing or fully or partially processed (i.e., what will be done to them
on recapture).



Indicate if some animals may be unintentionally recaptured in a year, and if so,
how many and whether they will be immediately released without processing or
fully or partially processed.



If some animals will only get a subset of procedures, list them on separate rows
in the take table and make sure it is clear in the narrative. Explain how you
decide which animals receive which procedures.

4

Define how age classes (e.g., neonate, calf/pup, juvenile, subadult, adult) are differentiated, by taxa or
species.
5 The Take Action is a generalized overview of how animals will be taken. You may only have one Take
Action for each Take Row. Examples: Capture/handle release; Harass.
6

The Observe/Collect Method is the method of observation (e.g., survey, vessel) or capture (e.g., net).
Select only one observe/collect method per take table row.
7 Procedures are the individual activities you conduct on animals that have been captured/taken by a certain
Take Action and Observe/Collect Method. Examples: sample, blood; external tagging.
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

If working with lactating females and dependent calves or pups, indicate their
minimum age (e.g., pups greater than five days of age without an umbilicus
attached, calves greater than six months of age, females with calves less than six
months of age). Indicate if working with pregnant females, and if so, estimated
trimester. These life stages should be on separate rows in the take table.



Figures and photographs are useful to illustrate your methods (e.g., tags and
instrument attachments, nets and net deployment), especially for ESA
consultations. You can attach them on the Supplemental Information page.



Cite references for the methods where applicable, but do not substitute a
literature citation for a complete description of the methods.



Include a brief statement of the purpose of each procedure/how it relates to
meeting your objectives.



Mitigation measures that are standard protocols may be included in this section
or in the Humane Take and Measures to Minimize Impacts section below.



See table below for examples of information to include when describing your
procedures/methods.

Take action/
procedures
Active acoustics

Administer
drugs or other
substances (e.g.,
stable isotopes)

Details to include in methods
-Sound source (e.g., sidescan sonar, underwater speaker, acoustic deterrent
device)
-Source depth in water column
-Frequency (bandwidth)
-Maximum source level
-Maximum received level
-Distance to target and non-target animals
-Signal duration and duty cycle
-Duration of exposure
-Ambient sound level, when known
-Propagation loss model results, when available
-Post playback monitoring
-Name of each drug/chemical and its purpose
-Name of any drug reversal
-Emergency response drugs and protocols
-Dosage of each drug/chemical
-Delivery method and route (e.g., dart gun, inhalation, intramuscular,
intravenous, subcutaneous, topical); if dart gun, distance of animal to water
-Location of administration on body
-Duration of drug
-Personnel that would administer drug (e.g., veterinarian or veterinary
technician; state license requirements)
-Post drug administration monitoring

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Take action/
procedures
Aerial and vessel
surveys
(manned)

Aerial surveys
using unmanned
aircraft systems
(UAS)

Auditory
brainstem
response or
evoked potential

Capture and
restraint

Details to include in methods
-Type of survey craft and vessel
-Type of survey (e.g., line transect, photogrammetry)
-Number of surveys per year
-Minimum and maximum altitude/approach distance
-Air/vessel speed
-Protocols for breaking track to ID species
-Duration spent with group or individual/day
Same general questions above for aerial surveys and also the following:
-Type of UAS – fixed wing or vertical takeoff and landing (VTOL)
-Payload components – what is the UAS carrying and for what purpose?
-Size and mass of UAS
-Will the UAS ever be beyond the line of sight?
-Does the device have an auto-return feature should the device fail?
-Ground control station description (what it is, where it will be located - on
shore or on vessel, number of stations, and how close the station will be to
animals)
-Spotter roles (e.g., one spotter monitoring the UAS, another for monitoring
the ground control station)
-Battery life
-Do you have the appropriate FAA permits/authorizations (including pilot
licenses)?
-Type of measurement equipment (suction cup or needle electrodes)
-Emitted sounds
-Handling/restraint methods (including anesthesia/sedation, see above)
-Handling duration
-Data collection and analysis method
-Whether animal will be transported to a facility (complete the Transport
Section in Take Table)
-Type of capture (e.g., hand, hoop net, trap) and gear description (e.g., net
dimensions and mesh size)
-Deployment methods (e.g., on foot or boat approach and net deployment)
-Configuration, duration, and monitoring of net sets (how often net set is
checked)
-Number of animals captured at a time
-Number of animals processed at a time
-Anesthesia/sedation (see Administer Drugs above)
-Dimensions and type of holding container
-Number and roles of personnel (must be adequate to perform all activities
without harming excess captured animals; else they must be released
immediately)
-Additional equipment or personnel necessary for capturing and handling
excess numbers
-Duration of restraint/holding from capture to release
-If capturing females with calves/pups, describe how calves/pups would be
held, whether procedures would be conducted on them, duration separated,
and how they would be reunited
-Release

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Take action/
procedures
Export/import
samples

External
instruments (a
table is helpful
for multiple tag
types)

Internal
instruments

Details to include in methods
-Type of sample (e.g., blood, muscle)
-Country sending samples to, country of origin, or high seas
-Designated port of entry/import or export
-How sample/animal is taken in country of origin or high seas and legal
take authority
-Type of storage/shipping, including preservatives, etc.
-Sample preservation and analysis
-Re-import/export if samples remain after analysis
-Type of instrument
-Location on body
-Dimensions
-Mass in air or water
-Percentage of body mass
-Size/age class of animals to receive each tag type
-Maximum footprint/maximum number of tags/animal
-Method of attachment (e.g., remote suction cup or dart barb fired from
cross bow; restraint and epoxy or harness)
-For remote deployment:
 minimum approach distance and angle
 number of attempts per animal/day (include total number of attempts
needed for all work if requesting multiple procedures [e.g., tag and
biopsy] on same animal during same encounter)
-Dart or tag penetration depth
-Will it be coated with antifouling paint?
-Duration of attachment procedure
-Duration of instrument retention on animal
-Release mechanism or recapture to remove
-Type of data collection (e.g., archival requiring retrieval)
-How will you determine which animals receive which tags or more than
one tag?
-Post-tag monitoring
-Type of instrument
-Dimensions
-Mass in air or water
-Percentage of body mass
-Size/age class of animals to receive an internal instrument
-Location within body
-Cleaning/sterile preparation
-Insertion method (e.g., surgical implant, injection, stomach tube)
-Local anesthetic or anesthesia/sedation (see Administer drugs) if
applicable
-Personnel that would implant tag (e.g., veterinarian or vet tech – see
Personnel section below)
-Prophylactic antibiotic use (see Administer drugs above)
-Duration of insertion procedure
-Duration of instrument retention
-How stomach pills are voided
-Type of data collection

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Take action/
procedures
Intrusive
sampling (e.g.,
blood, blubber,
muscle, skin);
remote or under
restraint

Marking (e.g.,
bleach, flipper
tag, freeze brand,
hot brand, paint,
PIT tag)

Non-intrusive
sampling (e.g.,
behavioral
observations via
focal follows and
ground surveys,
breath sampling,
collecting
scat/spew,
passive acoustic
monitoring,
photo-ID,
photogrammetry,
remote video
monitoring,
underwater
photography)


Details to include in methods
-Type of tissues
-Size or volume of sample (diameter and depth or total volume)
-Location on body
-Number of samples per animal per capture event and per year
-Sampling intervals (e.g., for serial blood or biopsy samples)
-Equipment (e.g., dart and stopper depth, needle, punch, scalpel)
-Equipment disinfection
-If restrained: cleansing site; left open or wound closure
-If remote:
 collection method (e.g., dart fired from rifle)
 minimum approach distance
 number of attempts per animal/day (include total number of attempts
needed for all work if requesting multiple procedures [e.g., tag and
biopsy] on same animal during same encounter)
-Sample preservation and analysis
-Type of mark
-Location on body
-Method of application
-Disinfection procedures
-Duration of mark (e.g., until molt)
-Dimensions of tag or mark
-Total number and combination of tags or marks on each animal
-Approach method
-Sampling method
-Minimum and maximum approach distance
-Within sight of animals or not (e.g., from a blind)?
-Frequency of observations/sampling
-Number of approaches/attempts per animal/day
-Duration of observations/sampling/day
-Data or sample collection and analysis
-If conducting underwater photography/videography, specify the method
(e.g., snorkeling, underwater pole cam, or divers that could use typical gear
or rebreathers) and number of individuals in the water at a given time

Non-target species and conspecifics: Indicate the estimated number and type of
non-target species that may be encountered in your study area annually, and
whether and how they may be incidentally harassed, captured, or otherwise
affected. This includes but is not limited to conspecifics as well as other marine
mammals and ESA-listed species such as sea birds and sea turtles.
 Explain how you will avoid them or minimize impacts to them (e.g., not in
area during time of study; would not approach closer than 100 meters;
would halt operations until non-target species moved out of study area).
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


For ESA species designated by DPS, specify the DPSs that are likely to be
encountered.
If takes to non-target animals may occur, include these on separate rows in
the Take Table to include incidental take (e.g., harassment or capture) of
non-target conspecifics or other species.

Project Supplemental Information
Attach a Supplemental Information File
 You may attach supplemental files here.
*Status of the Affected Species (up to 2,000 characters)
 As applicable, indicate the status of the species or stock as follows:
 ESA - threatened or endangered;
 MMPA - depleted or strategic; and
 Convention on International Trade in Endangered Species of Wild Fauna
and Flora (CITES) - Appendix I, I, or III
Species information is available at the following web sites:
http://www.nmfs.noaa.gov/pr/species/
http://www.fws.gov/
http://www.cites.org/
*Lethal Take (up to 2,000 characters)
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9
10
 If authorization for serious injury or mortality (euthanasia/intentional or
accidental/unintentional) is proposed:
 What activities could result in mortality?

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

Explain why it’s not feasible to use other methods that won’t result in
mortality.



If authorization for mortalities of ESA-listed or MMPA-depleted species is
proposed, explain how the research will directly benefit the species or fulfill a
critically important research need.



What is the maximum number of animals of each species/DPS and age class
that could be seriously injured, unintentionally die, or be euthanized annually?
Over the life of the permit?

A serious injury is an injury that will more likely than not result in mortality.

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Caused by the presence or actions of researchers including but not limited to deaths or serious injuries
sustained during capture and handling, while attempting to avoid researchers or escape capture, or resulting
from infections related to intrusive procedures such as sampling or tagging. This does not include a fetus if
a pregnant female dies.
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This includes unintentional euthanasia for humane reasons (e.g., due to serious injury during research).
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

Justify the number of mortalities.



How is euthanasia decided, conducted, and who conducts it?



What are the protocols for necropsy and carcass disposal?



What are the protocols for disposition of dependent pups or calves if lactating
females may die as a result of your actions?

*Anticipated Effects on Animals (up to 64,000 characters)
 Using the best available science (i.e., literature citations or other cited data
sources) and your experience (e.g., personal communication), discuss how each
take action and procedure listed in the take table (e.g., tissue sampling, marking,
and instrumentation) will affect target and non-target animals (short-term and
long-term).


Include such things as typical behavioral and physiological responses, worstcase responses, % of animals that normally respond, how long it takes for animals
to recover, and the time it takes wounds to heal.



Also include an assessment of such things as:
 condition of animals on recapture/resight
 recovery from sedation and handling
 post-release behavior (immediate and long-term)
 repopulating rookeries/haul outs after flushing
 healing from intrusive sampling
 healing from intrusive tag deployments
 tag retention
 effects to lactating females and their dependent young



For novel procedures, discuss the most likely anticipated responses based on
literature from studies on other species, if available.



Briefly summarize any mortalities that have occurred during the previous ten
years of your permitted research using the same or similar techniques; include
circumstances and cause of death.



Discuss the anticipated effects on the species or stock, especially if mortalities or
reproductive effects are possible. On what is your determination based?

*Humane11 Take and Measures to Minimize Negative Effects (up to 64,000 characters)
 Humane determination: Explain how you determined your methods involve the
least possible degree of pain and suffering possible and why there are no feasible
alternative methods to obtain the desired data or results.
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Humane means using the method that involves the least possible degree of pain and suffering possible.
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

Where an IACUC (Institutional Animal Care and Use Committee) review is
required12, to support a humane determination under the MMPA and
compliance with the Animal Welfare Act, attach
 the IACUC protocols submitted
 any IACUC comments or recommendations
 the signed IACUC approval (or status of approval)



Mitigation and monitoring: You may include mitigation and monitoring
protocols here, or in the Project Description section or Anticipated Effects section
above. If included in another section, simply reference the section where the
following information is found:



For each Take Action, Observe/Collect Method, and Procedure, describe your
standard mitigation to avoid or minimize the potential for adverse impacts
identified above.



Describe your short- and long-term post-procedure monitoring protocols.



If monitoring or mitigation is not feasible for specific procedures, species,
situations, etc., explain why.



Research Coordination: Describe how you collaborate or coordinate with other
researchers in your action area. Who are they? Explain how this will occur and
how it will minimize impacts. For example, will it involve sharing resources,
samples or data; timing surveys to minimize disturbance, etc.?

Attach a References File
 Attach a bibliography of references cited in this application. Referenced
materials must be made available upon request, as needed for evaluation of the
application, or preparation of any necessary ESA or NEPA analyses.
*Resources Needed to Accomplish Objectives (up to 2,000 characters and attach files if
necessary)
 Explain how your expertise, facilities, and resources are adequate to accomplish
your proposed objectives and activities.

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

Attach copies of any relevant formal research proposals, contracts, grant awards,
or letters of agreement that would demonstrate financial or logistical resources.



Indicate the status of any other international, federal, state, or local authorizations
you have applied for, secured, or will apply for.

Any marine mammal research that involves an invasive procedure, and which can harm or materially
alter the behavior of the animals under study requires an IACUC review and approval. If an applicant
does not have an IACUC, an alternate IACUC (e.g., of a Co-investigator or a local university/research
institution) may be used.

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*Disposition of Tissue Samples (up to 2,000 characters)
 Indicate the disposition of any remaining samples after your project is complete.
 State whether samples will be consumed in analysis, destroyed, or
exported back to facility/researcher
 If applicable, list the name and location of the person or institution that
will store/curate samples. Indicate if you will retain legal custody of the
archived samples or if you wish to permanently transfer the samples once
your project is complete.
*Public Availability of Product/Publications (up to 800 characters)
 Describe the end products of your proposed project and how they will be made
available to the public.
Captive Information
If you will be working with animals in captivity (permanent or temporary), including
removing animals from the wild into captivity and research or enhancement on captive or
rehabilitating animals, address the following as applicable (explain if not applicable):
a)

If removing animals from the wild, explain why removal is necessary and why
you cannot obtain suitable animals from captive or rehabilitated stock.

b)

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

c)

If the source stock is from animals already in captivity (other than animals in
rehabilitation) indicate the name and location of the facility and, where possible,
identify the specific animals (by NOAA ID number if applicable) to be involved
in the proposed activity.

d)

Attach 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.

e)

Attach the protocol forms submitted to the appropriate Institutional Animal Care
and Use Committee (IACUC) established under the Animal Welfare Act (AWA),
the IACUC approval, and any comments and recommendations of the IACUC.

f)

Attach 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 will comply with all care
and transport standards established under the AWA.

g)

Describe the care and maintenance of the animals, including a complete
description of the facilities where they will be maintained. This includes but is
not limited to:
 dimensions of the pools or other holding facilities

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




number, sex, and age of animals by species to be held in each
water supply, amount, and quality
diet, amount and type
sanitation practices.

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

Project Locations
 You will first describe where you plan to work. Then, for each location, you will
use the Take Table to list the species you expect to encounter and the take
procedures you will conduct.


Add New Location: provide information about one (or more) study areas
 General area (ocean basin)
 State(s), as applicable.



Enter Location Details, as applicable:
 Waterbody: enter names of rivers, estuaries, bays, etc.
 Latitude and longitude of your study area
 River miles (Begin Mile and End Mile)
 Limits of your study area (e.g., to the U.S. EEZ, to the edge of the
continental shelf, to 50m depth)
 Names of land masses where research will occur (e.g., islands, rookeries).



Attach File: Attach a high quality map(s) with the correct scale that clearly shows
the location of your proposed activity and any environmental aspects of interest.
If possible, include a shapefile, Google Earth kmz/kml, or ASCII text file with
lat/long data and the associated basic metadata with your electronic application
submission.

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Take Table
The take table represents the estimated number of animals you may take annually
during your research.
The options that appear in the dropdown menus in the take table are based on the species
group you indicated in the Pre-application Guide and the location that you have selected.
If you are having difficulties, please first check that the previous fields were entered
correctly.
Columns you will fill out in the take table:
1) Select: Leave this box blank unless you need to copy, move, or delete the line
following the instructions above.
2) Species: Use the drop down list to select. Species are listed alphabetically by
common name and/or category (e.g., dolphin, bottlenose). If the species you are
looking for is not on the drop-down menu, double check your location (species
are populated based on location). If you are still having problems, contact us at
301-427-8401.
3) Listing Unit/Stock: Select the applicable ESA listing unit/stock. Choose Rangewide if, for example, your location has multiple stocks of the same species and
you cannot distinguish between them while in the field.
4) Production/Origin: Select from the drop-down list. Categories include Wild,
Captive, Rehabilitation Facility (for marine mammals only), or All.
5) Life Stage: Select from the drop-down list. You may enter take information for
more than one life stage (e.g., adult versus juvenile) on separate rows or select a
combination of life stages for one take category. Include specified ages
(including minimum mass/age of pups and calves) if they differ for each
procedure in the Details column.
6) Sex: Select from the drop-down list. If your activity targets only one sex,
indicate which. If it targets both and they can be targeted separately, enter
separate rows for male and female; otherwise select Male and Female.
7) Expected Take: This represents a reasonable estimate of the maximum number
of individuals you will take, import, or export, annually.
For cetaceans, you will count every animal you approach13 within a certain
distance, regardless of whether a behavioral reaction has occurred.

13

An "approach" is defined as a continuous sequence of maneuvers involving a vessel, including drifting,
directed toward a cetacean or group of cetaceans closer than 100 yards for baleen and sperm whales and 50
yards for all other cetaceans.
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






Only count 1 take per cetacean per day including all approaches in water
and attempts to remotely sample (e.g., biopsy, breath sample, photograph,
tag, or ultrasound).
Count 1 take per cetacean per day for animals observed during sound
playback trials.
During manned aerial surveys flown at an altitude lower than 1,000 ft,
count 1 take per cetacean observed per day, regardless of the number of
passes over the same animal.
During Unmanned Aircraft System (UAS) surveys, count 1 take per
cetacean approached per day, regardless of the number of passes.

For pinnipeds, you will only count and report 1 take per pinniped per day for
those that show movement14 or flushing15 (excluding alert16) to an approach or
other permitted activity, regardless of the number of approaches and behavioral
responses of the same individual in a day.
8) Takes Per Animal: Estimate the number of times the same individual will be
taken annually, if known.
9) Take Action: The “take action” is a generalized overview of how animals will be
taken. If more than one action is proposed, you must enter the takes on separate
rows.
10) Observe/Collect Method: Select the method of observation (e.g., survey, vessel)
or collection/capture. Select only one observe/collect method per row. If various
methods will be used, you must provide take information in separate rows for
each observe method.
11) Procedures: Provide specific information on the research activities that will be
conducted. A separate pop-up window will appear with a species-specific list of
activities. Hold down the Control key to select all activities to be performed
concurrently. Choose Other if your proposed activity is not listed. In the Details
box (see below), briefly describe what the Other means.
12) Transport: If you chose transport as a Procedure, enter information about the
transport.

14

Movements in response to the source of disturbance, ranging from short withdrawals at least twice the
animal’s body length to longer retreats over the beach, or if already moving a change of direction of greater
than 90 degrees.
15

All retreats (flushes) to the water.

16

Seal head orientation or brief movement in response to disturbance, which may include turning head
towards the disturbance, craning head and neck while holding the body rigid in a u-shaped position,
changing from a lying to a sitting position, or brief movement of less than twice the animal’s body length.
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a) Mode(s) of transportation: Describe the mode of transportation. Include a
description of the vehicle or other platform used to transport animals.
b) The name of the transportation company, if applicable, and the
qualifications of the common carrier to transport live animals: If a contractor
or other entity will do the transportation, enter information in the box. Otherwise,
click on N/A.
c) Maximum length of time from capture to arrival at destination: How long
will the animals be in transport?
d) Description of the container (e.g., cage, tank) used to hold the animal
during transit: Include the material of the container and its dimensions.
e) Any special care procedures (e.g., moisture, medicines) to be administered
during transport: How will the animals be cared for during transport?
f) A statement as to whether the animals will be accompanied by a
veterinarian or some similarly qualified person: If so, give the name,
affiliation, contact information for each person.
g) Destination: Use the drop down list to select the destination. If your
destination is not on the list, click on the “New Facility” button to add it. If the
animals will be taken to a laboratory or aquarium, provide details of the location.
If the animals will be released in another waterbody, provide details of the
location.
h) How will the animals be contained at the destination facility?: Describe the
containment system for the animals, quarantine procedures, and effluent
treatment.
i) The final disposition of the animals: Describe, for example, whether the
animal will be released or retained in permanent captivity.
13) Begin Date: Populated with the Begin Date you entered on the Project
Information page. You may change the date to coincide with a specific project
time shorter than the overall duration of the project. You cannot enter a date that
is earlier than your original Begin Date.
14) End Date: Populated with the End Date you entered on the Project Information
page. You may change the date to coincide with a specific project time shorter
than the overall duration of the project. You cannot enter a date that is later than
the End Date you previously entered.

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15) Details: Enter up to 255 characters in this text box to provide details on each take
table row. This is especially useful for clarifying age class, takes, specific
activities, or projects.
National Environmental Policy Act (NEPA) Considerations
In addition to providing information on effects to the target and non-target species in
other sections of the application, provide information as requested below on potential
environmental effects to determine if your activity may be categorically excluded from
the requirement to prepare an environmental assessment or environmental impact
statement under NEPA. If you believe any of the criteria are “not applicable” you must
explain why.
1) If your activities will involve equipment (e.g., scientific instruments) or
techniques that are new, untested, or otherwise have unknown or uncertain
impacts on the biological or physical environment, please describe the equipment
and techniques and provide any information about the use of these in the natural
environment. In addition, please discuss the degree to which they are likely to be
adopted by others for similar activities or applied more broadly.
2) Describe the physical characteristics of your project location, including:
a. Whether you will be working in or near unique geographic areas including but
not limited to Critical Habitat for endangered or threatened species, Essential
Fish Habitat, National Marine Sanctuaries, Marine Protected Areas, State or
National Parks, Wilderness Areas, Wildlife Refuges, Wild and Scenic Rivers,
etc.
b. Next, discuss how your activities could impact the physical environment in
those locations, such as by direct alteration of substrate during use of
anchoring vessels or buoys, erecting blinds or other structures, or ingress and
egress of researchers, and measures you will take to minimize these impacts.
c. Is there potential to cause direct or indirect physical, chemical or biological
alterations of the waters or substrate, including loss of, or injury to, benthic
organisms (e.g., sea grass, corals), prey species and their habitat, and other
ecosystem components? Could your actions reduce the quality and/or quantity
of Essential Fish Habitat? If so, please provide additional details below:



What is the degree of alteration (low, medium, high)?
Approximately how much area (square footage) of habitat/substrate (e.g.,
seafloor, estuary or river bed) will be disturbed?

3) Briefly describe important scientific, cultural, or historic resources (e.g.,
archeological resources, animals used for subsistence, sites listed in or eligible for
listing in the National Register of Historic Places) in your project area and discuss
measures you will take to ensure your work does not cause loss or destruction of
such resources. If your activity will target animals in Alaska or Washington,
discuss measures you will take to ensure your project does not adversely affect

21

the availability (e.g., distribution, abundance) or suitability (e.g., food safety) of
these animals for subsistence uses.
4) Discuss whether your project involves activities known or suspected of
introducing or spreading invasive species, intentionally or not, (e.g., transporting
animals or tissues, discharging ballast water, use of boats/equipment at multiple
sites). Describe measures you would take to prevent the possible introduction or
spread of non-indigenous or invasive species, including plants, animals, microbes,
or other biological agents.
Project Contacts
As the person entering the application, you will automatically be assigned the following
roles: Applicant/Permit Holder, Principal Investigator, and Primary Contact. See
Chapter 2 for directions on how to change who is assigned to these roles, and the table
below.
Project
Contact

Must be named in
the permit
application

Able to make changes to application, Description of
request changes to the permit, and
qualifications required
submit reports; will receive automatic
emails from APPS.

Applicant/
Permit
Holder
Applicant or
Responsible
Party*
Principal
Investigator
Primary
Contact
CoInvestigator
Authorized
Recipients
Research
Assistants
* The Applicant or Responsible Party may also be the PI or a CI if participating in the research; therefore, the description of
qualifications is required if they are listed as the PI or a CI.

To prevent duplicate entries, you MUST ALWAYS SEARCH the database for the
person before entering a new contact. To facilitate the search, start with only putting
the last name in APPS search box.
A project must have a Responsible Party if the Applicant/Permit Holder is an
organization, institution, or agency. The Responsible Party or Applicant/Permit Holder is
an official who has the legal authority to bind the organization, institution, or agency and
is ultimately responsible for the activities of any individual operating under the authority
of the permit.

22

The Principal Investigator (PI) is the individual primarily responsible for the take,
import, export, and any related activities conducted under the permit. There can only be
one PI on a permit. The PI:
 must have qualifications, knowledge and experience relevant to the activities
authorized by the permit
 must be on site during activities conducted under the permit unless a CoInvestigator is present to act in place of the PI
 may also be the Applicant/Permit Holder and Primary Contact.
Co-investigators (CIs) are individuals who are qualified and authorized to conduct or
directly supervise activities conducted under a permit without the on-site supervision of
the PI.
 You may add CIs to the application if the PI will not always be present during the
permitted activities.
 CIs can also be added or removed once a permit has been issued.
Authorized Recipients (ARs) are persons or institutions authorized to receive samples
for the purposes of analysis or curation related to the objectives of your permit. The PI
and CIs may also be ARs. ARs should not be CIs if they are only performing the analysis
and are not overseeing the study or publishing the results (i.e., they are only providing an
analytical service).
Include a table listing the names of the PI and CIs, and the specific procedures they will
oversee or conduct. Attach the following table on the Supplemental Information
page.
Example Table Attachment: Personnel Roles
Name/Affiliation
Researcher name,
Affiliation, City,
State
John Smith, Ph.D.,
University A, City,
State
Jane Smith,
Institution B, City,
State
Jane Doe, Ph.D.,
Institution C, City,
State
John Doe, Ph.D.,
University D, City,
State
Laboratory E, City,
State

Role
Principal Investigator, Coinvestigator, or Authorized
Recipient
Principal Investigator and
Authorized Recipient

Activities
Specific activities they will conduct
under the permit and whether they are
supervising
Supervise and perform all activities
under the permit

Co-investigator

All activities excluding anesthesia
during captures and UAS

Co-investigator

Conduct photo-ID

Co-investigator and
Authorized Recipient

Collect remote skin/blubber biopsy
samples and create cell lines

Authorized Recipient

Receive subset of skin/blubber
samples for DNA sequencing

23

Qualifications and Experience
Federal Regulations require that persons authorized as the PI or CIs have qualifications
commensurate with their duties. In addition, the names of the PI and CIs are sent to the
NOAA Office of Law Enforcement to determine if any violations of the MMPA or ESA
and other environmental laws have occurred.
The permit applicant is therefore required to submit the following information about the
qualifications and experience of the PI and all CIs to demonstrate they have qualifications
commensurate with their duties as stipulated in the Personnel Table. A CV or resume
must be up to date and contain all relevant information below. If sufficient
experience is not provided, additional information will be required and the personnel will
not be authorized to conduct the proposed activities unless sufficient experience is
demonstrated.
1) Contact information - All documentation submitted will be publicly available.
DO NOT include personal information (e.g., social security number, date of
birth, nationality, or home phone/ address-unless it is also the business
phone/address).
 Name (first middle last)
 Business phone, e-mail, and mailing address
2) Relevant education and training
 Degree, major, name of institution, year received
 Applicable certificates or licenses, year received
 Other relevant training or certification, year received
3) Relevant experience
 Job title, affiliation/location, and dates of relevant experience
 Detailed description of when and how the individual obtained training and
experience in the methods they will be conducting and/or supervising as
outlined in the Personnel Table. This should include objective metrics
such as:
• The specific level of training received and who trained them
• The number of hours/months/years they have been performing the
activities
• Which and how many procedures they have performed successfully and
on what species/age class (this is especially important for intrusive
procedures such as blood and biopsy sampling, intrusive tagging, etc.)
• Whether and to what extent they have performed the activities without
supervision or supervised the proposed activities
• What permits they have been PI or CI under and for what species and
activities
4) List of grants awarded demonstrating available resources relevant to the
proposed activities or history of securing resources for similar work

24

5) Annotated publication history relevant to the activities being conducted
under the permit
Submit Application
See Chapter 2 for how to submit your application and check on its status.

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
instructions for applying for a research or enhancement permit are drawn from, but do not
substitute for, ESA regulations and MMPA regulations. 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. Under NEPA,
Federal agencies must assess the effects of federal actions on the environment. Under
section 7 of the ESA, Federal agencies must ensure that the permitted activities will not
jeopardize the continued existence of the species or result in adverse modification of
critical habitat.
Paperwork Reduction Act Statement
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 50
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 and Conservation 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.
OMB No. 0648-0084; Expires: MM/DD/YYYY
25