Permit & Authorization Applications: Scientific Research & Enhancement (SR/EN), SR/EN Parts Only, Public Display (PD)

OMB No. 0648-0084; Expires xx/xx/xxxx

National Marine Fisheries Service

Marine Mammal Public Display Permit
Application
TABLE OF CONTENTS

INTRODUCTION ............................................................................................................................... 1
NEED HELP OR HAVE QUESTIONS?........................................................................................................................... 2

WHEN FILLING OUT YOUR APPLICATION ................................................................................................................. 2

APPLICATION INSTRUCTIONS .................................................................................................. 3
I.

II.

PROJECT INFORMATION .................................................................................................................................. 3
PROJECT PURPOSE: OBJECTIVES AND JUSTIFICATION ................................................................................ 4

III. PROJECT DESCRIPTION ................................................................................................................................... 5
IV. PROJECT SUPPLEMENTAL INFORMATION ..................................................................................................... 9
V.

TAKE TABLE ...................................................................................................................................................14

VI. ANTICIPATED EFFECTS ON THE ENVIRONMENT ........................................................................................19

VII. PROJECT CONTACTS ......................................................................................................................................21
VIII. CERTIFICATION, SIGNATURE, AND SUBMISSION OF APPLICATION ...........................................................23

ADDITIONAL INFORMATION.................................................................................................. 24
WHAT ACTIVITIES ARE NOT COVERED BY THESE INSTRUCTIONS? ..................................................................24
WHEN SHOULD YOU APPLY? ...................................................................................................................................25
WHAT IS THE PROCESS FOR GETTING A PUBLIC DISPLAY PERMIT? ....................................................................25

APPLICABLE LAWS AND REGULATIONS ......................................................................... 26
PAPERWORK REDUCTION ACT STATEMENT................................................................ 26
APPENDIX A: ASSESSMENT PROCEDURES FOR CAPTURE FROM THE WILD..27
APPENDIX B: GUIDANCE ON DESCRIBING COMMONLY USED METHODS........ 28
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Introduction

These instructions are for requesting a Marine Mammal Protection Act (MMPA) public
display permit to import or take 1 National Marine Fisheries Service (NMFS) marine
mammals:
•
•

Cetaceans (dolphins, porpoises, and whales)
Pinnipeds (seals and sea lions)

Public display permits are required for:
•
•

Import of marine mammals into the United States
Capture of marine mammals from the wild in the United States or on the high seas

Need help or have questions?

We recommend you visit our public display permit web page, see the Additional
Information on page 24, or contact us at [email protected]. A list of activities that
are not covered by this permit application can be found in Additional Information.

When filling out your application
•

•

•
•

Your application must be a stand-alone document, readable to a layperson.

If you do not follow these instructions, your application will be returned.

We will not consider your application if you have overdue reports.

If you believe any of the questions are not applicable; indicate this with N/A and
explain why the question is not applicable.

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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.

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Application Instructions
I. Project Information

A. Project Title (up to 255 characters): Provide a concise title that includes activities,
species, location, and purpose. For example: Import of four harbor seals from ABC
Aquarium in Country D to XYZ Zoological Park for the purpose of public display.
B. Previous Federal Permit #: If applicable, state your most recent and closely
related NMFS permit number. Otherwise leave blank.

C. Where Will the Activities Occur? List the locations of your activities.

1. For imports: List the country of export and the receiving facility’s address.

2. For wild captures in the United States or on the high seas: List the geographic
area of collection, the location of temporary staging, and the final destination of
the animals. You must include a map of the collection site.
•

For captures, attach a high quality map(s) with the correct scale that clearly
shows the capture location and any environmental areas 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.

D. Timeframe: Enter the desired start and end dates of the proposed activities in the
following format: MM/DD/YYYY. The start date cannot be before the date you
submit the application and should be at least 6 months (for imports) or 1 year (for
captures) after the date you submit. The end date must be within 5 years of the
start date because public display permits may be valid for a maximum of 5 years.

E. Sampling Season/Project Duration (up to 1,000 characters)

1. For imports: When do you anticipate the import will occur?

2. For wild captures: Describe the field season(s) including the months and
frequency of collections. When and how many times per year will you conduct
your activities?
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F. Abstract (up to 2,000 characters): Provide a short summary that must include:
1. Purpose.

2. Target species and any non-target species that may be affected (common
names).

3. Proposed activities (i.e., import or capture).

4. Numbers of animals to be imported or taken, by species, annually.

5. Location from which animals will be imported or specific geographic locations
of captures.
6. Requested duration of the permit. The maximum is 5 years.

II. Project Purpose: Objectives and Justification (up to 64,000 characters)

A. Discuss the purpose of your activity including your objectives and justification for
the import or capture.
B. Explain:

1. For imports, why animals cannot be obtained from captive collections in the
United States.
2. For captures from the wild, why animals cannot be obtained from captive
collections in the United States or abroad.

C. Provide the information required for maintaining marine mammals for public
display purposes:
1. Describe the educational program and include educational materials as
attachments or provide a webpage where this information is available.
Specify the professionally recognized standards 2 of the public display

Standards for education and conservation programs developed and endorsed by the Association of Zoos
and Aquariums, formally the American Association of Zoos and Aquariums (AZA) and the Alliance of Marine
Mammal Parks and Aquariums (Alliance), representing approximately 60% of the U.S. marine mammal public
display community at the time, were published in the Federal Register on October 6, 1994 (59 FR 50900). If
applicable, these AZA/Alliance standards may be referenced as the standards on which your education or
conservation program is based. However, please note that while these professionally recognized standards
have been provided by the AZA and Alliance, they represent only one example of such standards. Other
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community upon which the education or conservation program offered by
the applicant is based.

2. Include a copy of your current Animal Welfare Act license issued by APHIS 3.
If you are a new facility in the process of applying for your APHIS license,
please contact us for guidance.

3. Provide your hours of operation and cost of admission. This may include
copies of facility brochures or public notices (e.g., webpage) advertising this
information.

III. Project Description (up to 64,000 characters)

A. Importing Marine Mammals into the United States (If applicable)

For importing marine mammals into the United States, please include the
following information:
1. Identify the animal(s) to be imported including:
a.
b.
c.
d.
e.

Animal identification
Estimated or known age
Size (length and/or weight)
Sex
Reproductive condition 4

2. Locations:

a. Country of origin
b. Exporting facility
c. Ports of entry (https://www.fws.gov/le/designated-ports.html)

professionally recognized standards of the public display community may differ from this example. If your
education or conservation program is based upon different professionally recognized standards of the public
display community, please provide a copy of these standards.
3 As issued under 7 U.S.C. 2131 et seq.
4 Permit holders may not import a marine mammal that is pregnant, lactating, or either unweaned or less
than 8 months old, whichever comes later, unless the Office Director determines that such importation is
necessary for the protection and welfare of the animal. Contact [email protected] for questions on
such importations, which are not covered by this application.

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d. Whether you will be requesting a port of entry exemption
e. Final destination/facility

3. The animal’s previous transport history (e.g., attach a NOAA Marine Mammal
Data Sheet, Species 360 specimen report, or statement from the shipping facility)
including dates.

4. For importing wild-caught animals:

a. Describe how the animal was captured and maintained in the country of
origin, including how the captures and captive holding were conducted in a
humane 5 manner.

b. Indicate the wild stock and the geographic location the animal was collected
from. Include latitude/longitude coordinates and/or waterbody location.

c. Provide documentation that the take was legal in accordance with the
capture country’s laws.

5. For importing captive-born animals:

a. Provide documentation of the animal’s birth.

b. Identify the parents of the animal and, to the extent practicable, provide
documentation of their origin (e.g., lineage), including the wild stock and
geographic location the animals were collected from.
c. Use NOAA ID numbers, if applicable.

6. Attach a statement from the exporting facility and, to the extent practicable,
documentation concerning whether the marine mammal to be imported is
presently being held in compliance with the laws of the country of exportation.

7. Attach a statement from the exporting facility explaining if the requested import
will likely result in the taking of marine mammals beyond those proposed.
a. Will marine mammals be acquired to replace the marine mammals to be
imported?

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Humane means using the method that involves the least possible degree of pain and suffering possible.

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b. Will the proposed import result in an increased demand for marine
mammals?
c. Provide justification for these statements.

B. Capturing Marine Mammals from the Wild (If not applicable, skip to Section III.C
Transport)
If proposing captures in the United States or on the high seas, provide the
following information:
1. Describe the animals to be captured including:

a. Number and species of animals to be captured annually.

b. Estimated or known age (including an explanation how age classes [e.g.,
neonate, calf/pup, juvenile, subadult, adult] are distinguished by taxa or
species).

c. Minimum and maximum sizes/masses of animals.

d. Sex or sex ratio, if multiple animals.

e. Reproductive condition of the marine mammals. 6
f. The stock the animals will be taken from.

2. Give a detailed description of the manner of capture, including gear to be used.
Describe the techniques and equipment to be used to approach, capture, and
restrain; including any drugs to be used. You may use figures and photographs
that illustrate your methods, included as attachments to your application. In
addition, provide citations for methods where applicable, but do not substitute a
literature citation in lieu of a complete description of the methods.
See Appendix A for a list of procedures associated with captures to insert
in your take table and Appendix B for the types of information you must
include when describing your capture methods.

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Permit holders may not capture a marine mammal from the wild that is unweaned or less than 8 months
old, or is part of a mother-calf/pup pair, unless such take is specifically authorized by the Office Director.

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3. If, after capture, an animal is determined to be unsuitable for captivity, give
details regarding the specific protocol for return to the wild, including:
a. The maximum length of time the animals could be held;
b. Description of post-release monitoring protocols;

c. Prevention of disease transmission between released animals and the
wild population;

d. Assessment of the animals to forage and protect themselves from predators;
and

e. Desensitization of animal to eliminate behaviors that could prove
detrimental to the released animals or the social structure of local
populations.

4. Non-target marine mammals: Discuss whether and how non-target marine
mammals may be unintentionally harassed, captured, or otherwise affected.
These are species that co-occur with your target species and that could be
harassed or taken during your activities but that you will not opportunistically
incorporate into your activity.
a. Explain how you will avoid them or minimize impacts to them (e.g., not in
area during captures; would not approach closer than 100 yards; would
halt operations until non-target species moved out of study area).
b. Include these non-target marine mammals on separate rows in the Take
Table if you expect take (e.g., unintentional harassment or capture).

c. Other non-target taxa (e.g., corals, sea turtles, seabirds) should be addressed
in the Effects and Mitigation section.

C. Transport:

Thoroughly describe your transport procedures:

1. Describe the method of transportation to the receiving facility (your institution):
a. Mode of transportation.

b. Name of transportation company, if known.
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c. Description of the pen, tank, container, cage, cradle, or other device used
(e.g., material of container, dimensions, photos or illustrations).

d. Description of climate-control or other environmental parameters.

2. Describe any special care during transport.

3. Include the total transport time and time per each transport leg if stop-overs
are included.

4. Describe quarantine procedures for the animal(s).

5. Describe the acclimation plan for the animal(s) and how the animal(s) will be
incorporated into your public display program. Include contingency plans in
the event adverse responses are observed.
6. Describe the exhibit and the social group for this animal(s) at the
destination facility, including the number, sex, and age of the resident
animals.

IV. Project Supplemental Information

A. Status of the Affected Species (up to 2,000 characters)
MMPA-depleted and ESA-listed species cannot be imported or captured for public
display purposes. This also includes progeny from individuals with this status.

Indicate the status of the species or stock under the 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:
https://www.fisheries.noaa.gov/species-directory
http://www.fws.gov/
http://www.cites.org/

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B. Mortalities (up to 2,000 characters)

If authorization for serious injury 7 or mortality 8 (accidental/unintentional or
humane euthanasia/intentional 9) is proposed:
1. What activities could result in mortality?
2. Justify the number of mortalities.

3. How is euthanasia decided, conducted, and who conducts it?
4. What are the protocols for necropsy and carcass disposal?

5. What are the protocols for disposition of dependent young if lactating females
may die as a result of capture activities?

C. Effects and Mitigation (up to 64,000 characters)

You may include mitigation and monitoring protocols here, or above in your
methods. Do not restate them here if they are included above; simply reference the
section where the following information is found

1. Discuss how your proposed activities (import or capture) as outlined in the take
table will affect target and non-target animals (See Observe/Collect Methods and
Procedures).

2. Cite the best available science (i.e., peer-reviewed literature or other published
data sources) and your experience (e.g., personal communication, annual permit
reports). References must be made available upon request.

A serious injury is an injury that will more likely than not result in mortality.
Caused by the presence or actions of personnel including but not limited to deaths or serious injuries
sustained during capture and handling, while attempting to avoid or escape capture, or from injuries
sustained during transport.
9 This includes unintentional euthanasia for humane reasons (e.g., due to serious injury caused during
permitted activity).
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3. Group together actions with similar responses and describe, as applicable:
a. For imports, describe the anticipated responses:
•

•
•
•

During and after import and acclimation into the destination facility’s
enclosure/pool. Include the time it takes to resume normal behavior
after transport or handling.
During introductions to the existing collection animals.

Worst-case responses to import, acclimation, and introduction.
% of animals that may exhibit each response type.

b. For captures, describe the anticipated responses:
•

•
•
•

•
•
•
•
•

During and after captures.

Post-release behavior of animals not selected for retention.

For pinnipeds, time it takes for animals to repopulate rookeries/haul
outs after flushing.
During and after transport and acclimation into the destination
facility’s enclosure/pool. Include the time it takes to resume normal
behavior after transport or handling.
During introductions to the existing collection animals.
Worst-case responses.

% of animals that may exhibit each response type.

Average/estimated recovery time associated with health assessments,
sedation, capture, and transport, including wound healing.
Effects on lactating females and their dependent young or other
sensitive life stages.

4. For novel procedures for import or capture, discuss the most likely anticipated
responses based on literature from studies on other species, if available, and any
results from testing, if applicable.
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5. Briefly summarize any mortalities or serious injuries that have occurred during
any previously permitted import or wild capture conducted by your facility and
staff identified in the application using the same or similar techniques; include
circumstances and cause of death.

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

7. For capture-related health assessments, describe your steps to prevent infection.
For example, describe how you will:
a. Prepare the sampling site by cleaning and disinfecting the fur or skin.
b. Utilize single-use, sterile instruments (e.g., needles).

c. Sterilize other devices prior to use and in the field if contaminated including
but not limited to use of cold sterilization.

d. Administer prophylactic antibiotics to animals (include the drug, dosage, and
route of administration).

8. Describe what mitigation measures you will employ to minimize adverse
reactions to import or capture. If you will use the same mitigation measures for
a suite of activities, you may provide one discussion for each suite of activities
(e.g., transport/import; close approach; capture; health assessments).

9. For captures, if working in proximity to or with lactating females and dependent
young, or known pregnant females, give specific protocols for working around
them. For example, how will you minimize disturbance and avoid separating
mothers from young?

10. Describe your short- and long-term import or post-capture monitoring protocols.
11. Explain if and why monitoring or mitigation is not feasible for specific
procedures, species, situations, etc.

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12. Humane 10 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.
a. Provide alternatives to the proposed manner of capture and/or transport,
and explain why the proposed methods are considered humane.

b. Attach a written statement from the responsible veterinarian certifying that
the methods of capture and/or transport, facilities, and methods of care and
maintenance will be adequate to ensure the well-being of the animals and
will comply with all care and transport standards established under the AWA.

13. For captures, describe any mitigation you will take to avoid 11 or minimize
impacts to non-target protected species (e.g., sea turtles, corals, USFWS species).
Discuss whether and how they may be unintentionally harassed, captured, or
otherwise affected.

14. Coordination for captures: Describe how you will coordinate and collaborate
with other Permit Holders in your action area.
a. List their names and affiliations.

b. Explain how you will work together. For example, will you share vessels or
coordinate the timing of activities to avoid repeated takes of the same
animals?

D. 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,
and preparation of MMPA or NEPA analyses.
E. Resources Needed to Accomplish Objectives (up to 2,000 characters and attach
files if necessary)
1. Explain how your expertise, facilities, and resources 12 are adequate to
accomplish your proposed objectives and activities.

10 Humane

means using the method that involves the least possible degree of pain and suffering possible.
Public display permits cannot authorize take for ESA listed species.
12 Expertise includes a summary of the cumulative experience of you and your personnel. Facilities include
such things as your existing infrastructure or laboratories. Resources include financial (e.g., current funding
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2. List relevant proposals, contracts, grant awards, or letters of agreement that
would demonstrate your resources. Copies must be made available upon
request.

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

V. Take Table

The take table summarizes the estimated number of animals you expect to import or
capture annually. Create a new take table for each location and list the species you expect
to encounter and the procedures you will conduct.
Columns you will fill out in the take table:

A. Species: Provide the common and scientific name for each species you wish to
import or collect from the wild.

B. Listing Unit/Stock: Provide the MMPA stock for your species. You may refer to our
website (https://www.fisheries.noaa.gov/species-directory) for species listed under
the MMPA.
C. Production/Origin: Enter the original source of the animal – Wild (captured or
stranded) or Captive (captive born) as applicable.
D. Life Stage: Identify from below as appropriate.
Cetacean
Adult
Adult/Juvenile
All
Calf
Juvenile
Non-neonate

Pinnipeds
Adult
All
Juvenile
Juvenile/Subadult
Non-Adult
Non-Pup
Pup/Juvenile
Subadult
Pup

and/or history of securing funding); material (e.g., transport equipment); and other resources (e.g.,
collaborative partnerships) that can be drawn on to support your work.

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E. Sex: For imports, create separate rows for each individual animal. For captures,
create separate rows for males and females.

F. Expected Take: This represents the maximum number of individuals you will
import or take, annually. For wild captures, you will additionally need to add take
rows to account for unintentional harassment of non-target species or animals,
capture/release of animals that are captured but not selected, or unintentional
mortality.

H. Take Action: The “take action” is a generalized overview of how animals will be
imported or taken. If more than one action is proposed, you must enter the takes
on separate rows.
1. For imports, enter “Captive animals (public display)”.
2. For capture from the wild, your options are:

a. Removal from wild (permanent) – for animals that will be captured

b. Capture/Handle/Release – for target animals that are captured but not
selected for public display

c. Harass – for non-target species or conspecifics that may be harassed by the
capture operations, and
d. Unintentional mortality – for cases of accidental deaths associated with
capture activities.

I. Observe/Collect Method: Identify the method (e.g., import or capture). Use 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.
1. For imports, enter “Captive.”

2. For capture from the wild, choose the appropriate option from below:
•
•

Net, hoop
Net, seine

•
•

Net, other
Trap, floating

•
•

If using “net, other” or “Other,” please explain what you mean.

Underwater lasso
Other

J. Procedures: Provide specific information on the activities that will be conducted.
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1. For imports, enter “captive maintain” and “transport.”

2. For capture from the wild, enter “captive maintain” and “transport” for the row
associated with removal.
3. If you choose to include other take actions:

a. For harassment rows, the associated procedure would be “Unintentional
harassment.” Animals captured but not retained, would experience
“Unintentional harassment” as well. Please note that if you wish to collect
data on animals captured but not selected for permanent captivity, you must
select the procedures associated with your activities and clearly describe in
the narrative.
b. For Unintentional mortalities (including euthanasia as necessary and
necropsy), the procedure would “Unintentional mortality.”
Example take tables are provided below.

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Example Take Table 1 (Import activities): Import of one bottlenose dolphin from Foreign Facility Name in Foreign Country to Facility Name, City,
State, United States.
Species
(common
name/
scientific
name)
Harbor seal
(Phoca
vitulina)

Stock/
Listing Unit

Production/
Origin

Western
Captive
North Atlantic
Stock

Life Stage
Adult

Sex
Female

Expected
Take
1

Observe/
Collect
Method

Take
Action
Captive
animals
(public
display)

Captive

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Procedures
Import;
Transport

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Details
ID No. X12, "Rosey" (captive born, 9/8/2012).
Offspring of dam, ID No. X10, “Honey” (wild
capture, Western North Atlantic Stock, est DOB,
6/7/2010) and sire, ID No. Y11, “Fred” (nonreleasable, Western North Atlantic Stock, est.
DOB 3/17/2011).

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Example Take Table 2 (Capture activities): Proposed captures of up to three bottlenose dolphins in Florida over 2 years.
Species (common
name/ scientific
name)

Expected
Take

Life
Stage

Sex

Wild

Juvenile

Female

2

Removal from
wild
(permanent)

Bottlenose Dolphin Indian River Lagoon Wild
(Tursiops truncatus) Estuarine System
Stock

Juvenile

Male

1

Removal from
wild
(permanent)

Bottlenose Dolphin Indian River Lagoon Wild
(Tursiops truncatus) Estuarine System
Stock

All

Male and
Female

10

Capture/
Handle/
Release

Bottlenose Dolphin Indian River Lagoon Wild
(Tursiops truncatus) Estuarine System
Stock

All

Male and
Female

40

Unintentional
Harassment

Stock/ Listing
Unit

Bottlenose Dolphin Indian River
(Tursiops truncatus) Lagoon Estuarine
System Stock

Origin

Bottlenose Dolphin Indian River Lagoon Wild
Tursiops truncatus) Estuarine System

Juvenile

Male and
Female

1

Take Action

Unintentional
Mortality

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Observe/
Collect
Method

Procedures

Details

Net, seine Captive, maintain; Assessment Two females over duration of
procedures (see potential
permit
procedures in Appendix);
Transport
Net, seine Captive, maintain; Assessment One male over duration of
procedures (see potential
permit
procedures in Appendix);
Transport
Net, seine Assessment procedures (see
potential procedures in
Appendix)
Net, seine Unintentional
Harassment

Net, seine Unintentional
Mortality

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Animals that may be caught
with target animals, no sets
will be made on groups larger
than 4 animals.
Animals that may be with the
target animals, but not caught
in the set.

One mortality over the life of
the permit. Includes euthanasia
for humane purposes and
necropsy.

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VI. Anticipated Effects on the Environment

1. Will you be working in or near areas with unique environmental characteristics or
important scientific, cultural or historical resources? Yes or no.
•
•
•
•

•

•

Examples include:

•

Animals used for subsistence
Archaeological resources
Critical Habitat of ESA-listed
species
Essential Fish Habitat including
wetlands, coral reefs, sea
grasses, and rivers
Federally recognized Tribal and
Native Alaskan lands, cultural
or natural resources, or
religious or cultural sites
Marine Protected Areas

•
•
•
•

•
•
•

Minority or low-income
communities
National or State Parks
National Marine Sanctuaries and
National Monuments
National Historic Landmarks
Sites listed in or eligible for
listing in the National Register
of Historic Places
Wild and Scenic Rivers
Wilderness Areas
Wildlife Refuges

a. If yes, please list those areas. As applicable, mention if you will need to or have
already obtained permission (licenses, permits, authorizations) to work in these
areas.

b. How would your activities affect such resources? What measures will you take
to ensure your work does not cause loss or destruction of such resources? (up
to 1,200 characters)

c. For marine mammal activities in Alaska or Washington, how will you ensure
your project does not adversely affect the availability (e.g., distribution,
abundance) or suitability (e.g., food safety) of marine mammals for subsistence
uses? (up to 800 characters)

2. Discuss if your activities have the potential to impact the physical or
biological environment, in particular coastal and marine environments.
Impacts can be positive or negative. (up to 2,000 characters)
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Examples of potential impacts include:
•
•
•
•
•
•
•

Altering substrate while anchoring vessels and buoys.
Using bottom trawls or other types of nets.
Erecting blinds or other structures.
Ingress and egress of researchers.
Injuring or killing benthic organisms (e.g., sea grass, corals).
Altering the physical or chemical characteristics of water (e.g., oil spills)
Affecting a species’ abundance or distribution.

3. a. Does your project involve activities known or suspected of introducing or
spreading invasive species, intentionally or not? Examples include transporting
animals or other biological specimens, discharging ballast water, and using
boats/equipment at multiple sites. Yes or no.
b. 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. (up to 1,200 characters)

4. a. Will your activities involve collecting, handling, or transporting potentially
infectious agents or pathogens, such as biological specimens (animals, blood,
tissues)? Yes or no.

b. Will your activities involve using or transporting hazardous substances, such as
toxic chemicals? Yes or no.

c. If yes to either question, describe the protocols you will use to ensure that public
health and human safety are not adversely affected, such as by spread of zoonotic
diseases, chemical injuries, or contamination of food or water supplies. (up to
1,200 characters)

5. Do your activities involve equipment (e.g., scientific instruments) or techniques that
are new, untested, or have unknown or uncertain impacts on the biological or
physical environment? Yes or no.
If yes:

a. Briefly describe the equipment or techniques and provide any information about
the use of these in your study area and/or with other taxa and what is known
about their impacts. (up to 1,200 characters)
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VII.

b. Discuss the degree to which they are likely to be adopted by others for
similar activities or applied more broadly. (up to 800 characters)

Project Contacts

Please provide information about the personnel who will be working under the permit.

•
•
•

Identify the personnel under Project Contacts who will accompany the animals.

Include a table (see example Table 4) listing the names of the PI and CIs, and the
specific procedures they will oversee or conduct.
Attach a Qualifications Form for the PI and each CI. See Qualifications and
Experience below.

A. Descriptions of Personnel Roles
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.
1. The Principal Investigator (PI) is the individual primarily responsible for the
take and any related activities conducted under the permit, such as the curator.
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.

2. The Primary Contact is the person who we contact with questions or updates
about the application. This may be the registrar or other person responsible for
maintaining the marine mammal inventory records at the facility. Please include
full name, title, and contact info for this person.
3. Co-Investigators (CIs) are individuals who are qualified and authorized to
conduct or directly supervise activities conducted under a permit without the
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on-site supervision of the PI, such as the team lead or veterinarian overseeing
the transport.
•

•

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.

4. The Veterinarian is responsible for: 1) overseeing the medical care of the
animal(s) being imported or collected from the wild, and 2) providing the
written statement (required in the Project Description) certifying that the
methods of import/capture and post-import/capture care will be adequate to
ensure the well- being of the animal(s).

Table 3. Personnel Roles and Requirements
Able to make changes to the
Must be
application, request changes
named in
Project
to the permit, and submit
the
Contact
reports.
permit
Applicant/
Permit Holder
Responsible
Party
Principal
Investigator
Primary
Contact

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

Co-Investigator
Veterinarian

Yes

Yes

Yes

Description of
qualifications
required
Yes

Required only if
also serving as the
PI or a CI
Yes

Required only if
also serving as the
PI or a CI

No

Yes
Yes

B. Qualifications and Experience
The PI and each CI must have a Qualifications Form (QF). Previously we accepted
CVs, resumes, and biosketches, but often these did not include sufficient information
about the person’s experience. The QF is designed to give us the information we
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need. You can download a QF form and view an example QF on our public display
permit webpage.

Persons authorized as the PI or CIs must have qualifications corresponding to their
duties. Each person’s QF must specify the number and species of animals they have
transported and by what methods (e.g., air, land).
If you do not provide sufficient information, we will not authorize the person(s) to
conduct the relevant activities.

In addition, you must submit a table (see Table 4) defining the roles and activities to
be performed for the PI and each CI listed in the application.

Table 4. Example table showing personnel and their roles.
Name/Affiliation
John Doe, Institution
A, City,
State
John Smith, Ph.D.,
Institution A, City,
State
Jane Smith,
D.V.M., Institution
A, City, State
Jane Doe, Ph.D.,
Institution A, City,
State

Role
Responsible Party

Activities
Director of Institution A

Principal Investigator

Supervise and perform all
activities under the permit

Veterinarian

Attending veterinarian

Co-Investigator

Team lead overseeing the
transport

VIII. Certification, Signature, and Submission of Application

A. 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.
"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 the
following statute and the regulations promulgated thereunder, as
indicated in section I. of this application:
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The Marine Mammal Protection Act of 1972 (16 U.S.C. 1361 et seq.) and
regulations (50 CFR Part 216).
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 Marine
Mammal Protection Act of 1972."
Signature of Applicant and Date of Signature
Typed or Printed Name of Applicant
Title of Applicant

B. Submit an electronic copy of the application by email: [email protected].

Additional Information

What activities are NOT covered by these instructions?

1. Importing or taking marine mammals listed as depleted under the MMPA or
threatened or endangered under the ESA.
2. Importing a marine mammal for necessary medical treatment not
otherwise available.

3. Maintaining or receiving marine mammals within the United States for the purpose
of public display.
4. Importing a marine mammal for the purpose of scientific research or
enhancement.

5. Conducting scientific research or enhancement activities on captive marine
mammals.
6. Exporting marine mammals for public display.

7. Obtaining a non-releasable stranded marine mammal.

8. Obtaining CITES (Convention on International Trade in Endangered Species of Wild
Fauna and Flora) permits.
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When should you apply?
•

•

Imports: at least 6 months before the import will begin (longer if animals to be
imported were captured from the wild).
Captures: at least 1 year before the captures will begin.

What is the process for getting a public display permit?

1. Follow these instructions and contact the Permits and Conservation Division at
[email protected] with any questions.
2. Submit your application:

a. By email: [email protected] (preferred), or

b. By mail: Office or Protected Resources, Permits and Conservation Division, 1315
East-West Highway, Room 13805 Silver Spring, MD 20910.

3. A permit analyst will review your application and assign a File Number. To facilitate
processing, reference the application File Number in all correspondence.

4. Your permit analyst will contact you regarding the status of your application. If
deficiencies are identified, you must address them within 60 days or your
application will be returned to you without action.
5. Once we consider your application complete:

a. We will publish a notice in the Federal Register, which starts a mandatory 30day public comment period.
b. Concurrently, we will send your application to the U.S. Marine Mammal
Commission, the U.S. Department of Agriculture Animal and Plant Health
Inspection Service (APHIS), and subject matter experts for review.

6. We may receive substantive comments during the public comment period. We will
forward these comments to you, as appropriate, for your response.
7. We will draft documentation (including NEPA analyses and documentation of
MMPA issuance criteria).

8. The documents will be reviewed by various NMFS offices including a legal review.

9. The Office Director will decide whether to issue or deny your permit.
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Applicable Laws and Regulations

Under section 104(c) of the MMPA, persons may be authorized to import or take marine
mammals for public display purposes. Interested persons are required to submit an
application in accordance with the MMPA and the implementing regulations at 50 CFR part
216, subpart D. These instructions for applying for a public display permit are drawn from,
but do not substitute for, the MMPA and its regulations. Under NEPA, Federal agencies
must assess the effects of federal actions on the environment.

NMFS regulations implementing the permit provisions of the MMPA are in 50 CFR sections
216.33 – 216.35, and 216.12. Section 216.33 contains requirements for application
submission, the process for application review, and issuance or denial procedures. Section
216.34 specifies issuance criteria, specifically indicating that the applicant must
demonstrate how their proposed activity meets the criteria. Section 216.35 specifies permit
restrictions, including limitations on importation. Section 216.12 specifies conditions under
which importation of marine mammals is prohibited, including by permit.

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

Paperwork Reduction Act Statement

A Federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall
a person be subject to a penalty for failure to comply with an information collection subject to the
requirements of the Paperwork Reduction Act of 1995 unless the information collection has a
currently valid OMB Control Number. The approved OMB Control Number for this information
collection is 0648-0084. Without this approval, we could not conduct this information collection.
Public reporting for this information collection is estimated to be approximately 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 information collection. All
responses to this information collection are required to obtain a permit pursuant to the MMPA,
NEPA, and their implementing regulations. Send comments regarding this burden estimate or any
other aspect of this information collection, 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; email
[email protected].
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Appendix A: Assessment procedures for capture from
the wild

In the take table, insert the procedures from the list below that correspond to the activities
you will conduct to assess the suitability of an individual animal for permanent captivity.

For Cetaceans:
• Auditory brainstem response test
• Measure
• Other
• Sample, anal swab
• Sample, blood
• Sample, blowhole swab
• Sample, exhaled air
• Sample, fecal
• Sample, milk (lactating females)
• Sample, muscle biopsy
• Sample, skin and blubber biopsy
• Sample, skin biopsy
• Sample, sperm
• Sample, tooth extraction
• Sample, urine
• Ultrasound
• Weigh

For Pinnipeds:
• Administer drug, IM
• Administer drug, intraperitoneal
• Administer drug, IV
• Administer drug, subcutaneous
• Administer drug, topical
• Anesthesia, gas w/cone or mask
• Anesthesia, gas w/intubation
• Anesthesia, injectable sedative
• Measure (standard morphometrics)
• Sample, blood
• Sample, blubber biopsy
• Sample, clip hair
• Sample, clip nail
• Sample, fecal loop
• Sample, fecal swab
• Sample, nasal swab
• Sample, ocular swab
• Sample, oral swab
• Sample, other
• Sample, skin biopsy
• Sample, swab all mucus membranes
• Sample, tooth extraction
• Sample, urine catheter
• Sample, vibrissae (clip)
• Sample, vibrissae (pull)
• Ultrasound
• Weigh

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Appendix B: Guidance on Describing Commonly Used
Methods
If administering drugs or other substances (e.g., sedatives), provide:
• Name of each drug/chemical and its purpose, including for reversal/recovery
• Emergency response and euthanasia drugs and protocols
• Dosage of each drug/chemical
• Delivery method and route (e.g., dart gun, inhalation, intramuscular, intravenous,
subcutaneous, optical); if dart gun, distance of animal to water
• Location of administration on body
• Duration of anesthesia or sedatives
• Post drug administration monitoring
For aerial and vessel surveys (e.g., to locate animals in the wild), provide:
•
•
•
•
•
•
•
•

Number of surveys per year
Type of survey craft and vessel
Number of platforms (aircraft and vessel) to be operated at the same time
Type of survey (e.g., line transect, photogrammetry)
Minimum altitude/approach distance
Air/vessel speed
Protocols for breaking track to ID species
Duration spent with group or individual per day

If using unmanned aircraft systems (UAS), answer the aerial questions above
and provide:
•
•
•
•
•
•

Type of UAS – fixed wing or vertical takeoff and landing (VTOL)
Number of UAS to be operated at the same time
Payload components – what is the UAS carrying and for what purpose?
Ground control station description (what it is, where is it located - on shore or on
vessel, number of stations, and how close the station will be to animals)
Encounter duration – maximum amount of time over same animals
Do you have the appropriate FAA permits/authorizations (including pilot licenses)?
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For capture and restraint, provide:
• 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)
• Additional equipment or personnel necessary for capturing and handling excess
numbers
• Number and types of animals captured at a time; including age class, sex,
reproductive status, and lactating females and their dependent young as applicable.
• Number of animals processed at a time
• Criteria for selecting individuals for permanent captivity, including a description of
the assessments/sampling to be conducted on all captured individuals
• Dimensions and type of holding container/manner of restraint
• Anesthesia/sedation (see Administer Drugs above)
• Manner of release, if applicable
• Number and roles of personnel (must be adequate to perform all activities without
harming excess captured animals; else they must be released immediately)
• Duration of restraint/holding from capture to transport

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