Scientific Research and Enhancement Permits for Endangered Corals

Pillar Coral
(Dendrogyra cylindrus)
Photo: NOAA

Overview

NOAA Fisheries is proposing to list 66 coral species under the Endangered Species Act (ESA)--54 as "threatened" and 12 as "endangered". In addition, two Caribbean species (elkhorn (Acropora palmata) and staghorn (A. cervicornis) corals) are being proposed for reclassification from threatened to endangered.

Section 9 of the ESA prohibits "take" of endangered species, including commerce, import, and export. However, Section 10(a)(1)(A) authorizes the Secretary of Commerce to permit activities to conduct scientific research or to enhance the propagation and survival of endangered species.

What does the listing mean?

Scientific research and enhancement activities involving take, import, or export of coral species that are listed as endangered in the final listing determination would require an ESA Section 10(a)(1)(A) permit. Species that are determined to be threatened would not require a permit at this time.

After the public comment period closes, a final listing determination is expected after November 30, 2013. Because it may take at least 12 months to process an application for a Section 10(a)(1)(A) permit, we encourage you to apply for a permit before the listing determination is final if you want to conduct research or restoration activities on proposed endangered coral species.

FAQs

• Will I need an ESA 10(a)(1)(A) permit?
• What about nurseries, grow-out facilities, aquariums, zoos, and corals in captivity?
• What if I'm not sure if I need a permit?
• When should I apply?
• How long does the permit process take?
• How do I apply?
• How long can my ESA scientific research/enhancement permit be valid?
• What can I do if I am collaborating with other researchers?
• What if I'm applying for a grant and they ask about my ESA permit?
• What reports are required?
• Will I be able to make changes to my permit once it is issued?
• What about coral species listed as threatened?

Will I need an ESA 10(a)(1)(A) permit?

Note: The following information applies only to coral species proposed for listing as ENDANGERED. (What about coral species listed as threatened?)

Yes, if you will be:

• Conducting research or enhancement activities in the U.S., including U.S. waters and the high seas.
• Transferring or receiving parts or samples within the U.S.
• Importing parts or samples into the U.S.
• Exporting parts or samples out of the U.S.

(Please note that import or export of parts and samples will also require a CITES permit. For more information about CITES, please contact the U.S. Fish and Wildlife Service's Division of Management Authority.)

Examples of research and enhancement activities that may require a section 10(a)(1)(A) permit include:

• Collection, including sampling and swabbing
• Experiments in the wild or captivity
• Restoration, including outplanting, reattachment and stabilization activities
• Coral surveys/counts and monitoring that involve physical contact.

Permits will be required for activities on all life stages of an endangered coral species, including gametes and live and dead parts.

What about nurseries, grow-out facilities, aquariums, zoos, and corals in captivity?

Maintenance and asexual propagation of endangered corals in a nursery would not require a permit. Additional activities such as experiments, transfer, or outplanting of captive animals will require a permit. Import or export may be authorized under a permit only for research or enhancement purposes.

ESA permits cannot be issued to import, export, or take listed species for the purpose of public display. Public display may occur if it is incidental to a permitted scientific research or enhancement activity or if the specimens were legally held in captivity at the time of listing. Selling, receiving, transporting, or shipping listed species in interstate or foreign commerce is prohibited, even if the specimens were legally held in captivity at the time of listing.

For corals currently being maintained, demonstrating that the animals were in captivity before the final listing decision is your responsibility. Please contact us at 301-427-8401 for information on this process.

What if I'm not sure if I need a permit?

You can contact the Office of Protected Resources at 301-427-8401 if you have questions.

When should I apply?

When we are ready to accept applications for coral research and restoration, we will make an announcement on this website and in other venues. Currently, we are adapting our online application system and application instructions so that they are relevant to coral research and restoration activities. Since the coral research community will be new to ESA permits, our office is developing guidance to help applicants navigate the permit process. Check back here for updates over the next few months.

Note that we may decide to process multiple applications in a batch. Batching makes the process faster and more efficient because we can conduct one ESA Section 7 consultation and National Environmental Policy Act (NEPA) analysis for multiple permits. If we choose to batch applications, we will develop a series of deadlines (e.g., submission of application) for applicants. If you do not meet the deadlines, your application will still be processed, but it may take longer. Any application deadlines will be posted here and on other relevant websites.

How long does the permit process take?

Typically, ESA 10(a)(1)(A) permits take about a year to process. Therefore, NOAA Fisheries is encouraging researchers to submit permit applications in advance of a listing determination to minimize gaps in ongoing research and restoration activities. To issue a permit, we need to verify that the research and/or enhancement activity is in compliance with the ESA and other applicable laws [e.g., NEPA].

The following table shows the main steps and key time frames of the permit process. This timeline is an approximation only and the time of issuance for a given permit may vary.

Staghorn Coral
(Acropora cervicornis)
Photo: NOAA's Florida Keys National Marine Sanctuary

*If NOAA Fisheries requires information during the review or processing of an application, the information must be provided within 60 days or the application may be considered abandoned or withdrawn. Responding to information requests in a timely manner will help the process go faster.

How do I apply?

If corals are listed as endangered, you will need to submit an application following the Scientific Research and Enhancement Permit Application Instructions.

We are currently adapting our application instructions and our online application system, Authorizations and Permits for Protected Species (APPS), for coral permits. We will make an announcement once both have been updated and are available for use.

You will be able to submit your application:

• online using APPS (preferred method)
• as an email attachment (call our office at 301-427-8401 for an email contact)
• on a CD
• in hard-copy via postal mail

Our mailing address is:

Permits and Conservation Division
Office of Protected Resources, NOAA Fisheries
1315 East-West Highway, Suite 13705
Silver Spring, MD 20910

How long can my ESA scientific research/enhancement permit be valid?

A permit can be issued for a maximum of 5 years.

What can I do if I am collaborating with other researchers?

There may be advantages for researchers conducting related work to apply for a single permit, rather than individually proceeding through the permit process. However, please note that a single person must be designated on the permit as the Responsible Party, an official who has the legal authority to bind the collaborating parties, organization, institution, or agency that is ultimately responsible for all activities and individuals operating under the permit. One researcher may then be listed as the Principal Investigator (PI), and additional researchers may be listed as Co-investigators (CIs) on the permit. The PI and CIs must be individuals who are qualified to supervise and conduct the activities. A Section 10(a)(1)(A) permit does not cover issues such as data ownership, publication rights, etc. Separate agreements between the PI and CIs are encouraged to cover these questions.

What if I'm applying for a grant and they ask about my ESA permit?

Within your grant application we recommend that you inform the granting agency of your intent to apply or the status of your application for a scientific research or enhancement permit. Conversely, if you are applying for a scientific research or enhancement permit but do not have current funding, in the application section “Resources Needed to Accomplish Objectives,” please identify any grants in process and when you expect to receive a decision.

What reports are required?

Once your permit is issued, you will be responsible for submitting the following types of reports:

• Annual reports of your activities for each year the permit is valid;
• A final report summarizing your work at the end of the life of the permit; and
• Incident reports within 2 weeks of any event that resulted in exceeding your annual take limits.

Will I be able to make changes to my permit once it is issued?

Yes, the Permit Holder or Principal Investigator may request changes to the permit. Permit changes are classified as either major or minor modifications.

Major modifications include changes to:

• Increase the number and/or species authorized to be taken or imported/exported;
• The manner in which animals may be taken or imported/exported, if the proposed change may result in an increased level of take or risk of adverse impact;
• The location(s) in which animals may be taken, from which they may be imported, and to which they may be exported; or
• Extend the permit duration more than 12 months beyond the expiration date.

Note: Major modifications require the same processing steps as the original permit, including a 30-day public comment period, NEPA analysis, and Section 7 consultation. Therefore, major modifications may take up to the same amount of time to process as a new permit.

Minor modifications are requests that do not constitute major modifications and include:

• Changes to the study objectives or hypotheses;
• Changes in personnel; or
• Extending the permit duration for 12 months or less.

We suggest contacting your permit analyst to discuss your permitting options. Situations may exist in which a minor modification or authorization may be available in lieu of a major modification depending on the nature of the request.

What about coral species listed as threatened?

At this time, a Section 10(a)(1)(A) permit would not be required for research or enhancement activities on threatened species upon listing. After the final listing, NOAA Fisheries will determine whether any ESA take prohibitions would be extended to threatened coral species through a separate rulemaking process. Please be aware that you may need other permits from federal, state, or local agencies for these species.

Updated: April 29, 2013