1. NOAA Fisheries (National Marine Fisheries Service) Office of Protected Resources

2. Presentation Outline NMFS Organization Scientific Research Legal Mandates ESA, MMPA Scientific Research Permits- Why? Process Renewal vs. Extension Incidental Take (Marine Mammals) Questions

3. NMFS Regions Northwest Region Regional Office: Seattle, WA Science Center: Seattle, WA Laboratories Seattle, WA Newport, OR Alaska Region Regional Office: Juneau, AK Science Center: Seattle, WA (Sand Point) Laboratories Seattle, WA Auke Bay, AK Kodiak, AK Southwest Region Regional Office: Long Beach, CA Science Center: La Jolla, CA Laboratories La Jolla, CA Santa Cruz, CA Pacific Grove, CA Northeast Region Regional Office: Gloucester, MA Science Center: Woods Hole, MA Laboratories Woods Hole, MA Narragansett, RI Milford, CT Highlands, NJ Washington, DC NMFS Field Structure Southeast Region Regional Office: St. Petersburg, FL Science Center Miami, FL Laboratories Miami, FL Panama City, FL Pascagoula, MS Galveston, TX Headquarters Silver Spring, MD Pacific Islands Region Regional Office: Honolulu, HI Science Center: Honolulu, HI Laboratory : Honolulu, HI

4. Scientific Research

5. What species do we work with? Cetaceans (e.g., whales) Pinnipeds (e.g., sea lions) Sturgeon Smalltooth Sawfish White Abalone Sea Turtles Coral

6. DOC (PR1) vs. DOI Jurisdiction NMFS jurisdiction - cetaceans, pinnipeds (except walrus), shortnose sturgeon, smalltooth sawfish, white abalone USFWS - walrus, sea otter, polar bear, manatee, Atlantic salmon Joint NMFS and USFWS - sea turtles (NMFS, inwater; USFWS, beach), gulf sturgeon

7. Examples of Permitted Research in the Northeastern United States Leatherback Sea Turtles in the Northwest Atlantic Sturgeon in Connecticut Marine Mammals in Massachusetts

8. Relevant Statutes Relevant Statutes NEPAMMPAFSA ESA CITES AWA NMSA Ocean’s Act CZMAEFH (Magnuson-Stevens) (Magnuson-Stevens) Wilderness Act YOUR NMFS PERMIT YOUR NMFS PERMIT

9. Key Legal Mandates Endangered Species Act (ESA) Marine Mammal Protection Act (MMPA) National Environmental Policy Act (NEPA)

10. The Endangered Species Act (ESA) and Marine Mammal Protection Act (MMPA) prohibit the “take” of protected species. Why do you need a permit?

11. Legal Definitions of “take” MMPA: “to harass, hunt, capture, or kill, or attempt to harass, hunt, capture, or kill any marine mammal” ESA: “to harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect, or attempt to engage in any such conduct”

12. Exceptions to Take Prohibitions Permits are the primary exceptions to the take moratoriums and authorize qualified persons to conduct activities otherwise prohibited Permits are issued under section 104 of MMPA and section 10 of the ESA

13. Scientific Research Permits issued under §104 of MMPA are for: Bona fide scientific research or to enhance survival or recovery of a species Where bona fide is defined as scientific research conducted by qualified personnel, the results of which: 1)likely would be accepted for publication in refereed scientific journal, 2)are likely to contribute to basic knowledge of marine mammal biology or ecology; or 3)are likely to identify, evaluate, or resolve conservation problems

14. ESA Section 10(a)(1)(A) Scientific Research Permits are for: Conservation and recovery activities that: –enhance the propagation or survival of the species, or –further a bona fide and necessary or desirable scientific purpose to support conservation and recovery (e.g., needs outlined in recovery or conservation plans)

15. Section 10(a)(1)(A) permits do not provide coverage for the incidental capture of ESA species (e.g., endangered sea turtles)

16. Applying for a Scientific Research Permit Application instructions can be found at- http://www.nmfs.noaa.gov/pr/permits/

17. Application Submitted Application complete Initial NEPA determination and Notice of Receipt published in the Federal Register 30-day public comment period, internal and external review ESA Section 7 Consultation and NEPA analysis Issuance or denial of permit Notice published in Federal Register Clearance of permit, decision memos, biological opinion, and NEPA analysis What’s the Process?

18. ESA Section 7 Consultations All federal agencies must insure that any action authorized, funded, or carried out by the agency is not likely to jeopardize the continued existence of an endangered or threatened species or result in destruction or adverse modification of designated critical habitat Issuance of a permit = agency action Consultation = 135 days

19. National Environmental Policy Act (NEPA) Federal agencies must consider, analyze, and publicly disclose the potential environmental impacts of federal actions

20. NEPA and Permits Issuance of a permit is a “major federal action” - the impacts of which often must be assessed in either: u Environmental Assessment (EA) & Finding of No Significant Impact (FONSI), or u Environmental Impact Statement (EIS) What does this mean for the permit process? We need sufficient information on how the research affects all aspects of the environment, not just the target research species.

21. How Long to Process a Permit? Permit Category General Authorizations (GA) for non-ESA marine mammals only, Level B Harassment (e.g., photo-identification) Non-ESA marine mammals, Level A Harassment (e.g., capture and biopsy sampling of bottlenose dolphins) ESA species (e.g., humpback whales, sturgeon, sea turtles) * = assumes a complete application is received. To Process* 30 days 6 months 1 year

22. Permit Duration Permits can be issued up to 5 years. Researchers must submit an application for a new permit. Permit extension? Sometimes, and if so, up to 1 year.

23. Permit Review Process A review of the permit process is currently underway to consider ways of potentially improving it

24. Issuance of Incidental Take Authorizations for Marine Mammals Pursuant to the MMPA (Note- there is a process for authorizing incidental take through the ESA for species like sturgeon or sea turtles, but not discussed in this presentation.)

25. The MMPA allows the incidental take (but not intentional take) of small numbers of marine mammals pursuant to a specified activity (other than commercial fishing) within a specific geographic area if: -The total taking will have a negligible impact on the affected species or population stock; -The total taking will not have an unmitigable adverse impact on the availability of the affected species or stock for taking for subsistence uses - Means of effecting the least practicable adverse impact on the affected species, their habitat, and their availability for subsistence uses are set forth (mitigation measures), paying particular attention to rookeries, mating grounds, and areas of similar significance - Requirements pertaining to the monitoring and reporting of the taking are set forth

26. Letter of Authorization (LOA) Incidental Harassment Authorization (IHA) MMPA Section101(a)(5)(A)101(a)(5)(D) Authorized ActivitiesHarassment and mortality Only harassment Structure of Authorization Promulgate 5-yr rule, Issue 1-yr LOA’s with no need for additional public comment Issue 1-yr IHA, Renewals require 30 day public comment for each year TimeframeNot prescribed by statute, typically 6-18 months, but some take years 120 days by statute

27. What Types of Activities Require Incidental Take Authorizations? - Seismic surveys conducted either for scientific research or oil & gas exploration - Construction or deconstruction of bridges, piers, or other underwater structures, especially if pile-driving or blasting is involved - Military operations or training that employ acoustic sources, such as high or mid-frequency sonar - Construction and operation of energy-extraction equipment, such as oil and gas platforms - Rocket or missile launches that create very loud airborne noise - Oceanographic or marine biology research in areas where marine mammals are present

28. And Something New...

29. Authorizations and Permits for Protected Species (APPS) An online system that when fully operational will allow constituents to apply for a variety of MMPA and ESA permits and authorizations. APPS will increase efficiency and transparency of the permit process and improve constituent service. http://apps.nmfs.noaa.gov

30. Contact Information Call us at 301-713-2289 Visit our website at: http://www.nmfs.noaa.gov/pr Or email: Sturgeon- Malcolm.Mohead@noaa.gov Cetaceans- Carrie.W.Hubard@noaa.gov Pinnipeds- Tammy.Adams@noaa.gov Public Display, Parts- Jennifer.Skidmore@noaa.gov Captive Research, Parts- Amy.Sloan@noaa.gov Sea Turtles, Sawfish, Coral- Patrick.Opay@noaa.gov Incidental Take Authorizations (Marine Mammals) Ken.Hollingshead@noaa.gov or Jolie.Harrison@noaa.gov

31. Take Home Message Research should benefit the species Allow plenty of lead-time for application process and submit complete applications Contact NMFS (list of staff provided in this presentation) if you have questions when drafting your application

32. Thank you! Questions?