Permit and Authorization Applications

National Marine Fisheries Service
Marine Mammals
Marine Mammal Public Display Permits
OMB No. 0648-0084
Expires: MM/DD/YYYY

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Marine Mammal Public Display Permit Application
TABLE OF CONTENTS
Introduction .................................................................................................................... 3
Application Instructions ................................................................................................. 5
Project Information...................................................................................................... 5
Project Description ...................................................................................................... 6
Project Supplemental Information ............................................................................ 10
Project Locations ...................................................................................................... 13
National Environmental Policy Act (NEPA) Considerations...................................... 15
Project Contacts ........................................................................................................ 16
Submit Application .................................................................................................... 19
Additional Information .................................................................................................. 19
Paperwork Reduction Act Statement ....................................................................... 19

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Introduction
What is this application for?
 This application is for requesting a Marine Mammal Protection Act (MMPA) public
display permit to take1 or import National Marine Fisheries Service (NMFS) protected
marine mammals, including:
 Cetaceans (dolphins, porpoises, and whales)
 Pinnipeds (seals and sea lions)


Public display permits (http://www.nmfs.noaa.gov/pr/permits/publicdisplay_permit.htm)
are required for:
 capture of marine mammals from the wild in the United States
 import of marine mammals into the United States

What is this application not for?
 Maintaining or receiving marine mammals within the United States for the purpose of
public display (see http://www.nmfs.noaa.gov/pr/permits/public_display.htm)


Exporting marine mammals for public display (see
http://www.nmfs.noaa.gov/pr/permits/public_display.htm)



Obtaining a non-releasable stranded marine mammal (see
http://www.nmfs.noaa.gov/pr/permits/nonreleasable.htm)



Taking or importing marine mammals listed as depleted under the MMPA or threatened
or endangered under the ESA (species pages can be found at
http://www.nmfs.noaa.gov/pr/species/mammals/)



Obtaining CITES (Convention on International Trade in Endangered Species of Wild
Fauna and Flora) permits (see www.fws.cites.org)

For information on applying for permits to conduct other types of activities (e.g., commercial or
educational photography, scientific research, enhancement) involving the taking of marine
mammals or endangered or threatened species under the MMPA or ESA, please see
http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.html.

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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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When should I 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 permit?
1. Follow these instructions and contact the Permits and Conservation Division at 301-4278401 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 U.S. Marine Mammal
Commission, the U.S. Department of Agriculture Animal and Plant Health
Inspection Service, and subject matter experts in partner institutions and agencies
for review.
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 issuance
criteria), which will be reviewed by various NMFS offices including a legal
review by General Counsel.
b. 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 standalone 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.



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

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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, location, and purpose. For
example:
 Import of four harbor seals from ABC Aquarium in Canada to XYZ Zoological
Park for the purpose of public display
*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.
*Permits Requested
 MMPA Public Display permit will be listed based on your answers in the PAG. If the
option listed is incorrect, please call us at 301-427-8401 for assistance.


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*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.
*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 (imports) or 1 year (captures) 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)
 For imports: when will the import occur?
 For wild captures: describe the field season(s) including the months and frequency of
collections (i.e., when and how many times per year/how frequently will you conduct
your activities?).
*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
 Target and non-target species (common and scientific names)
 Proposed take activities (e.g., capture) or import
 Numbers of animals to be taken or imported, by species, annually
 Specific geographic locations of take or location from which animals will be
imported
 Requested duration of the permit (the maximum is five years)
Project Description
*Project Purpose: Hypothesis/Objectives and Justification (up to 64,000 characters)
 Provide the following information required for maintaining marine mammals for public
display purposes.
 Description of the facility(ies) where the marine mammals to be imported or
captured will be maintained. Indicate hours of operation and cost of admission.
Attach copies of facility brochures or public notices advertising this information
(on the Supplemental Information page).


Animal Welfare Act license or registration number issued by the U.S. Department
of Agriculture's Animal Plant and Health Inspection Service (APHIS). Attach a
copy on the Supplemental Information page.

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



Specify the professionally recognized standards2 of the public display community
upon which the education or conservation program offered by the applicant is
based.
Describe the educational program and include educational materials as
attachments (on the Supplemental Information page).

*Project Description (up to 64,000 characters)
 Your permit may only authorize what you describe in your application.


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
Method4, and Procedure5 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.



Figures and photographs are useful to illustrate your methods. 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.



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

2
Standards for education and conservation programs developed and endorsed by 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,
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
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 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.
4

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.
5 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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

Importing Marine Mammals into the United States
1.
Location including country of origin, ports of entry
(https://www.fws.gov/le/designated-ports.html), and final destination.
2.

Identify the exporting facility and a point of contact at that institution with contact
information.

3.

Describe the estimated time for transport including a breakdown of transport
segments (e.g. ground transport, air transport, potential layovers).

4.

Identify the animal(s) 6 to be imported including animal identification, estimated
or known age (estimated or known), size, sex, and reproductive condition. You
must provide the animal’s complete transport history (e.g. ISIS specimen report,
statement from the shipping facility) including dates, the manner and
circumstances of transport.
a. For wild-caught animal(s):
i. Describe how the animal was taken in the country of origin.
ii. Provide documentation that the take was legal in accordance with the
country’s laws.
b. For captive-born animals:
i. Provide documentation of the animal’s birth.
ii. Identify the parents of the animal and provide documentation of their
origin.

5.

Submit a statement 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.

6.

Provide a statement from the exporting facility whether marine mammals will be
acquired to replace the marine mammals to be imported, or whether the proposed
import will result in an increased demand for marine mammals.

7.

Complete the transport information in the Take Table section (see below).

8.

Describe any special care during transport, contingency plans, and quarantine
protocols for the animals. Describe the acclimation plan for the animal(s) and
how the animal(s) will be incorporated into your public display program.
Describe the exhibit and the social group for this animal(s).

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 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. 

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9.

Submit a written certification from the attending veterinarian responsible for the
animals during import that the methods of import and post-import care will be
adequate to ensure the well-being of the animal(s).

10.

Describe any other transport alternatives, and explain why the proposed transport
is considered humane.

11.

If the import is necessary for the protection or welfare of the marine mammals,
discuss the circumstances involved and any alternatives considered.

Capturing Marine Mammals from the Wild
1.
Give the dates (time frame) and locations of the proposed capture activity(ies);
please be as specific as possible.
2.

Describe the animal(s) to be captured including the number, estimated or known
age, size, sex, and reproductive condition of the marine mammals7.

3.

List any non-target species (NMFS and USFWS species) that may occur in the
capture area, and therefore, may be taken (e.g., disturbed, harassed, or injured)
incidentally during the course of your proposed activities. This includes marine
mammals, reptiles, sea birds, sharks, etc., and any ESA-listed species (plant or
animal).

4.

List the names and qualifications (CV or resume) of the personnel who will
capture the animals.

3.

Provide a written certification from the attending veterinarian responsible for the
animals during and immediately after capture that the methods of capture and
post-capture care will be adequate to ensure the well-being of the animal(s).

5.

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 or other substances to be used, including the name,
dosage, and method of administration.

6.

Provide any alternatives to the proposed manner of capture, and explain why the
proposed method is considered humane.

5.

Describe the method of transportation to temporary holding including the pen,
tank, container, cage, cradle, or other device used post-capture. Describe any

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 Permit holders may not capture 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 capture 
is necessary for the protection and welfare of the animal. 

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special care during transport, and the length of time required for the transfer from
the capture site to temporary holding. Indicate how long the animals will be
maintained at the temporary holding location.
6.

Describe the method of transportation to the receiving facility (your institution)
including the pen, tank, container, cage, cradle, or other device used post-capture.
Describe any special care during transport, and the length of time required for the
transfer and quarantine protocols for the animals. Describe the acclimation plan
for the animal(s) and how the animal(s) will be incorporated into your public
display program. Describe the exhibit and the social group for this animal(s).
7.

If the subject species is currently maintained in captivity, explain why animals
cannot be obtained from captive collections.

8.

If any 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.

9. Non-target species and conspecifics: Indicate the estimated number and type of
non-target species that may be encountered during wild captures 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.
a. 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).
b. For ESA species designated by DPS, specify the DPSs that are likely to be
encountered.
c. If takes to non-target conspecifics may occur, include these on separate rows
in the Take Table to include incidental take (e.g., harassment or capture).
Project Supplemental Information
Attach a Supplemental Information File
 You may attach supplemental files here.
*Status of the Affected Species (up to 2,000 characters)
 MMPA-depleted and ESA-listed species cannot be captured or imported for public
display purposes.

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

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:
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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 If authorization for serious injury or mortality (euthanasia/intentional or
accidental/unintentional) is proposed:
 What activities could result in mortality?


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, worst-case
responses, % of animals that normally respond, how long it takes for animals to recover,
and the time it takes animals to recover from stress of import or capture.



Also include an assessment of such things as:
 condition of animals after import or capture and arrival to destination facility
 recovery from sedation and handling
 post-release behavior (immediate and long-term)
 repopulating rookeries/haul outs after flushing



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

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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.

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This includes unintentional euthanasia for humane reasons (e.g., due to serious injury during research).

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

Briefly summarize any mortalities that have occurred during any previously permitted
import or capture conducted by you 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 achieve your objectives.


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-take or import monitoring protocols.



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



Coordination: Describe how you collaborate or coordinate with other public display
facilities or 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 or
timing captures to minimize disturbance, etc.?

Attach a References File
 If applicable, 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 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.


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

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

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

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

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.

Take Table

The take table represents the estimated number of animals you may take or import 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 stock.

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4) Production/Origin: Select from the drop-down list. Categories include Wild, Captive,
Rehabilitation Facility, 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 or import, annually. For wild captures, contact the Permits
Division at 301-427-8401 for guidance.
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
or imported. If more than one action is proposed, you must enter the takes on separate
rows.
10) Observe/Collect Method: Select the method (e.g., import or 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 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.
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? Break down by each leg of the trip.
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.
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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.
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, and specific activities.
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 under NEPA. If you believe any of the criteria are “not applicable” you must explain
why.
1) If your activities will involve equipment 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
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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 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
Description of
application, request changes to qualifications
the permit, and submit reports; required
will receive automatic emails
from APPS.

Applicant/
Permit
Holder
Applicant or
Responsible
Party*
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Project
Contact

Must be
named in the
permit
application

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

Principal
Investigator
Primary
Contact
CoInvestigator
* The Applicant or Responsible Party may also be the PI or a CI if participating in the activities;
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.
The Primary Contact is the person who we should 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.
The Principal Investigator (PI) is the individual primarily responsible for the take or import,
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 Co-Investigator 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.
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.

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Example Table Attachment: Personnel Roles
Name/Affiliation
Researcher name,
Affiliation, City,
State
John Smith, Ph.D.,
Institution A, City,
State
Jane Smith,
Institution A, City,
State
Jane Doe, Ph.D.,
Institution A, City,
State

Role
Principal Investigator, Coinvestigator
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

Animal handler

Co-investigator

Oversee transport

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
• 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
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• Whether and to what extent they have performed the activities without
supervision or supervised the proposed activities
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, persons may be authorized to take or import marine
mammals for public display purposes. Interested persons are required to submit an application in
accordance with the Acts and the implementing regulations at 50 CFR part 216, subpart D.
These instructions for applying for a research or enhancement permit are drawn from, but do not
substitute for, the MMPA 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. Under NEPA, Federal agencies must
assess the effects of federal actions on the environment.
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 30 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

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