Research Catalog A comprehensive manual of natural and cultural study opportunities within Mount Rainier, North Cascades, and Olympic National Parks

United States Department of the Interior
National Park Service

APPLICATION PROCEDURES AND REQUIREMENTS FOR
RESEARCH AND COLLECTING PERMITS

POLICY AND GENERAL REQUIREMENTS
The National Park Service (NPS) is responsible for protecting and regulating use of our National Park System areas (parks, monuments, battlefields, seashores, recreation areas, etc.). The superintendents of these areas recognize that timely and reliable scientific information is essential for sound management decisions and interpretive programming. We welcome proposals for scientific studies designed to increase understanding of the resources within these areas as well as the human and ecological processes that influence park resources.

When is a permit required?
A Scientific Research and Collecting Permit is required for most scientific activities pertaining to natural resources or social studies in NPS areas that involve fieldwork, specimen collection, and/or have the potential to disturb resources or visitors. This research and collecting permit applies when cultural resource activities involve natural resources fieldwork, specimen collection, and/or have the potential to disturb natural resources. When permits are required for scientific activities pertaining solely to cultural resources (archeology, ethnography, history, cultural museum objects, cultural landscapes, historic and prehistoric structures, etc.) or to special park uses, other permit procedures apply. Refer to 43 CFR Parts 3, 7, and 10 and 36 CFR Part 79 for regulations on conducting and managing research activities involving archeological resources. Refer to Special Park Uses Guideline (formerly NPS-53) for other approval processes. Other permits may also be required by the NPS or by other agencies depending on the specific activities described in the proposal. It is the responsibility of the principal investigator to secure all required permits prior to the initiation of the project. The park's Research and Collecting Permit Office or Headquarters can provide copies of most NPS research-related permit applications, and general information regarding some other permits. NPS superintendents may authorize their staff to carry out routine duties without requiring an NPS research and collecting permit. All other research and data collection in a park requires a Scientific Research and Collecting Permit and will be allowed only pursuant to the terms and conditions of the permit.

Separate agreements are usually required when proposed studies or collecting activities are intended to support development of commercial products.

Who may apply?
Any individual may apply if he/she has qualifications and experience to conduct scientific studies or represents a reputable scientific or educational institution or a state or federal agency.

When to apply?
We recommend that you apply at least 90 days in advance of your first planned field activities. Projects requiring access to restricted locations or proposing activities with sensitive resources, such as endangered species or cultural sites, usually require extensive review and can require 90 days or longer for a permitting decision. Simple applications can often be approved more quickly.

Where to apply?
Mail all application materials to Research and Collecting Permits, Resource Management Office, at the NPS area in which you plan to work. Addresses of NPS areas are listed on the NPS Internet web site (www.nps.gov) and may be contained in application materials provided by the park.

Study proposals
Applications for Research and Collecting Permits must include a research proposal. Proposals must include, as appropriate, all elements outlined in the attached Guidelines for Study Proposals.

Review of proposals
Each proposal will be reviewed for compliance with National Environmental Policy Act (NEPA) requirements and other laws, regulations, and policies. The superintendent may also require internal and external scientific review, depending on the complexity and sensitivity of the work being proposed and other factors. You can expedite review of your proposal by providing photocopies of existing peer reviews, or by providing names, mailing addresses, and email addresses of persons that you wish to recommend to review your proposal. Specific information about the review processes used by an individual park may be included with the application materials provided by that park.

Facilitating a favorable decision
The superintendent makes a decision to grant a research and collecting permit based on an evaluation of favorable and unfavorable factors, and on an assessment of perceived risks and benefits. While park managers will work with applicants to arrive at a mutually acceptable research design, there may be activities where no acceptable mitigating measures are possible and the application may be denied.

It is neither possible nor desirable to anticipate and list all acceptable research activities. However, the type and magnitude of the proposed research can provide indications. For example, a single visit for a non-manipulative research project will often require a relatively simple proposal and the permitting decision should be relatively fast. A highly manipulative or intrusive investigation, however, with the potential to affect non-renewable, rare, or delicate resources, would need to be planned in detail and would receive more extensive review. Some of the predisposing factors that influence permitting decisions are outlined below.

Favorable factors
The proposed research:

contributes information useful to an increased understanding of park resources, and thereby contributes to effective management and/or interpretation of park resources; provides for scheduled sharing of information with park staff, including all manuscripts, publications, maps, databases, etc., which might be of use to the park;

addresses problems or questions of importance to science or society and shows promise of making an important contribution to humankind's knowledge of the subject matter;

involves a principal investigator and support team with a record of accomplishments in the proposed field of investigation and with a demonstrated ability to work cooperatively and safely, and to accomplish the desired tasks within a reasonable time frame;

provides for the investigator(s) to prepare occasional summaries of findings for public use, such as seminars and brochures;

minimizes disruption to the parks natural and cultural resources, to park operations, and to visitors;

discusses plans for the cataloging and care of collected specimens;

clearly anticipates logistical needs and provides detail about provisions for meeting those needs; and

is supported academically and financially, making it highly likely that all fieldwork, analyses, and reporting will be completed within a reasonable time frame.

Unfavorable factors
The proposed research:

shows potential to involve activities of special sensitivity or controversy, or to adversely affect the experiences of other park visitors;

shows potential for substantial adverse impact on the park's natural, cultural, or scenic resources, and particularly to non-renewable resources such as archeological and fossil sites or special-status species (the entire range of adverse impacts that will be considered also includes construction and support activities, trash disposal, trail conditions, and mechanized equipment use in sensitive areas);

involves extensive collecting of natural materials; requires substantial logistical, administrative, curatorial, or project monitoring support by park staff; or provides insufficient lead time to allow necessary review and consultation;

is to be conducted by a principal investigator lacking reputable institutional affiliation and recognized experience conducting scientific research; and

appears to be motivated by objectives that are not appropriate for park-based research.

Permit stipulations
General conditions (requirements and restrictions) will be attached to all Research and Collecting Permits issued. These conditions must be adhered to by permit recipients. Further park specific conditions may also be included under certain circumstances due to unique activities or resource sensitivity. An NPS permit is valid only for the activities authorized in the permit. The principal investigator must notify the NPS in writing of any proposed changes. Requests for significant changes may necessitate re-evaluation of the permit conditions or development of a revised proposal.

Access permit requirements
Some NPS areas require access permits for off-road travel, camping, and other activities. Access to many areas is limited and popular destinations can be booked several months in advance. Please contact the park's Research and Collecting Permit Office to obtain information on any needed access permits.

Research products and deliverables
Researchers working in NPS areas are required to complete an NPS Investigator's Annual Report form for each year of the permit, including the final year. Park research coordinators will analyze individual study proposals to determine if copies of field notes, data, reports, publications and/or other materials resulting from studies conducted in NPS areas may also be required. Additional deliverables may be required of studies involving NPS funding or participation.

Require.doc 06/28/1999

OMB #: XYZ123
Expires: 99/99/1999
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United States Department of the Interior
National Park Service

APPLICATION FOR A SCIENTIFIC RESEARCH AND COLLECTING PERMIT

OMB #: XYZ123
Expires: 99/99/1999
Page 2 of 2

United States Department of the Interior
National Park Service

APPLICATION FOR A SCIENTIFIC RESEARCH AND COLLECTING PERMIT

PART B: COLLECTIONS
(Complete this section if you would like to collect specimens)

Proposed Repository for Collections
(Complete this section only if you checked 'Other institution' in the box above)

Study.doc
01/15/1999
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United States Department of the Interior
National Park Service
GUIDELINES FOR STUDY PROPOSALS

Your proposal should include each of the required information items listed below, in enough detail that an educated non-specialist can understand exactly what you plan to do. If you have already prepared a relevant proposal for a funding application, work plan, formal agreement, or similar document, then your original proposal may partially satisfy NPS proposal requirements. However, you should compare your original proposal to these guidelines to be certain that you have provided all the required information. If additional information is required, you can provide it in a cover letter or supplement to your proposal, as appropriate. If a required topic does not apply to your proposed study, simply list the topic and write 'not applicable.' The length of your proposal depends primarily on the complexity of the work planned. A two-page proposal may provide enough detail for a simple school project or reconnaissance trip. However, proposals for lengthy or complex research problems, for extensive collecting, and for work with special status species or sensitive cultural resources are typically longer, more detailed, and well-organized. Incomplete, disorganized, or illegible proposals may be returned for revision.

I. INTRODUCTION

A.	Title
B.	Date of proposal
C.	Investigators - Provide the name, title, address, telephone number, FAX number, email address, and institutional affiliation of the principal investigator and the name and affiliation of all additional investigators listed in the proposal.
D.	Table of contents - Recommended for long or complicated proposals.
E.	Abstract - Provide a brief summary description of the proposed project. Include up to five keywords that can be used by the National Park Service to quickly identify the proposal subject (for example, microbiology, geology, ecology).

II. BACKGROUND - Summarize the proposed project by describing in general the problem or issue being investigated as well as any previous pertinent research.

A.	Statement of issue - Describe the importance and relevance of the issue to be investigated to science and to the park. Provide relevant background information that clarifies the need for the project and why it is critical for the research and/or collecting to be conducted in the park as opposed to areas outside the park.
B.	Literature summary - Summarize the relevant literature regarding the issue, problem, or questions that will be investigated.
C.	Scope of study - Describe the overall geographic and scientific scope of the project.
D.	Intended use of results - Describe how the products will be used, including any anticipated commercial use.

III. OBJECTIVES/HYPOTHESES TO BE TESTED - Describe the specific objectives of the proposed project.
Where appropriate, the objectives should be stated as specific hypotheses to be tested.

IV. METHODS - Describe how the proposed methods and analytical techniques will achieve the study objectives or test the stated hypothesis/question. Provide pertinent literature citations.

A.	Description of study area - Clearly describe the study area in terms of park name(s), geographic location(s), and place names. You should provide maps, park names, or geographic coordinates as appropriate. Indicate whether your work will take place in an area designated or managed as 'wilderness' by the National Park Service.
B.	Procedures - Describe the proposed study design that addresses the stated objectives and hypotheses. Explain the methods and protocols to be employed in the field and laboratory.
C.	Collections - Describe the type, size, and quantity of specimens to be collected, sampled, or captured, and your plans to remove them from the collecting site. Describe existing collections of similar specimens and why additional collecting is necessary. Provide scientific nomenclature where possible.
D.	Analysis - Explain how the data from the study will be analyzed to meet the stated objectives or test the hypotheses. Include any statistical techniques, mathematical models, or graphical representations to be used.
E.	Schedule - Provide a project schedule that includes start, field work, analysis, reporting, and completion dates.
F.	Budget - Briefly outline the principle expenses associated with this project and identify your expected funding source(s). Include the anticipated costs pertaining to the cataloging of collected items.

V. PRODUCTS

A.	Publications and reports - Describe the expected publications or reports that will be generated as part of this study.
B.	Collections - Describe the proposed disposition of collected specimens. If you propose that the NPS lend the specimens to a non-NPS institution for long-term storage, identify that institution and give a brief justification for this proposal.
C.	Data and other materials - Describe any other products to be generated as part of the project, such as, photographs, maps, models, handouts, exhibits, software presentations, raw data, GIS coverages, or videos, and the proposed disposition of these materials.

VI. LITERATURE CITED - Include full bibliographic citations for all reports and publications referenced in the proposal.

VII. QUALIFICATIONS - Provide a background summary or curriculum vitae for the principal investigator and other investigators listed on the proposal. Identify their training and qualifications relevant to this project and their ability to conduct field activities in this environment. Describe previous research and collecting in NPS areas, including permit numbers if available.

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United States Department of the Interior
National Park Service
GUIDELINES FOR STUDY PROPOSALS

VIII. SUPPORTING DOCUMENTATION AND SPECIAL CONCERNS - Provide information on the following topics where applicable. Attach copies of any supporting documentation that will facilitate processing of your application, such as other required federal and state permits, copies of peer reviews, letters of support and funding commitments, and certifications.

A.	Safety - Describe any known potentially hazardous activities, such as electrofishing, rock climbing, scuba diving, whitewater boating, aircraft use, wilderness travel, wildlife capture, handling or immobilization, use of explosives, etc.
B.	Access to study sites - Describe the proposed method and frequency of travel to and within the study site(s). Explain any need to enter restricted areas. Describe duration, location, and number of participants for planned backcountry camping.
C.	Use of mechanized and other equipment - Describe any field equipment, markers, or supply caches by type, number, and location. You should explain how long they are to be left in the field. Explain the need to use these materials in restricted areas and the alternatives that were considered.
D.	Chemical use - Identify chemicals and hazardous material that you propose using within the park. Indicate the purpose, method of application, and amount to be used. Describe plans for storage, transfer, and disposal of these materials and describe steps to remediate accidental releases into the environment. Attach copies of Material Safety Data Sheets.
E.	Ground disturbance - Describe the type, location, area, depth, number, and distribution of expected ground-disturbing activities, such as soil pits, cores, stakes, or latrines. Describe plans for site restoration of significantly affected areas. Proposals that entail ground disturbance may require an archeological survey and special clearance prior to approval of the study. You can help reduce the extra time that may be required to process such a proposal by including identification of each ground disturbance area on a USGS 7.5-minute topographic map.
F.	Animal welfare - If the study involves vertebrate animals, describe your protocol for any capture, holding, marking, tagging, tissue sampling, or other handling of these animals (including the training and qualifications of personnel relevant to animal handling and care). If your institutional animal welfare committee has reviewed your proposal, please include a photocopy of their recommendations. Describe alternatives considered, and outline procedures to be used to alleviate pain or distress. Include contingency plans to be implemented in the event of accidental injury to or death of the animal.
G.	NPS assistance - Describe any NPS assistance needed to complete the proposed study, such as use of equipment or facilities or assistance from staff.
H.	Wilderness 'minimum requirement' protocols - If some or all of your activities will be conducted within a location administered by the NPS as a designated, proposed, or potential wilderness area, your proposal should describe how the project adheres to wilderness 'minimum requirement' and 'minimum tool' concepts. Refer to the park's wilderness management plan for further information.

NATIONAL PARK SERVICE
SCIENTIFIC RESEARCH AND COLLECTING PERMIT
GENERAL CONDITIONS

1. Authority - The permittee is granted privileges covered under this permit subject to the supervision of the superintendent or a designee, and shall comply with all applicable laws and regulations of the National Park System area. A National Park Service (NPS) representative may accompany the permittee in the field to ensure compliance with regulations.

2. Responsibility - The permittee is responsible for ensuring that all persons working on the project while in the park adhere to permit conditions and applicable NPS regulations.

3. False information - The permittee is prohibited from giving false information that is used to issue this permit. To do so will be considered a breach of conditions and be grounds for revocation of this permit (36 CFR 2.32 (4)).

4. Assignment - This permit may not be transferred or assigned. While they are working in the park, additional investigators and field assistants are to be coordinated by the person(s) named in the permit and should carry a copy of the permit. The principal investigator shall notify the park's Research and Collecting Permit Office when there are desired changes in the approved study protocols or methods, changes in the affiliation or status of the principal investigator, or modification of the name of any field crew member.

5. Revocation - This permit may be terminated for breach of any condition. The permittee may consult with the appropriate NPS Regional Science Advisor to clarify issues resulting in a revoked permit and the potential for reinstatement by the park superintendent or a designee.

6. Collection of specimens - No specimens may be collected unless authorized on the Scientific Research and Collecting permit.

The general conditions for specimen collections are:

Collection of archeological materials without a valid Federal Archeology Permit is prohibited.

Collection of federally listed threatened or endangered species without a valid U.S. Fish and Wildlife Service endangered species permit is prohibited.

Collection methods shall not attract undue attention or cause unapproved damage, depletion, or disturbance to the environment and other park resources, such as historic sites.

New specimens must be reported to the NPS annually or more frequently if required by the park issuing the permit. Minimum information for annual reporting includes specimen classification, number of specimens collected, location collected, specimen status (e.g., herbarium sheet, preserved in alcohol/formalin, tanned and mounted, dried and boxed, etc.), and current location.

Collected specimens that are not consumed in analysis or discarded after analysis will remain federal property. The NPS reserves the right to designate the repositories of all specimens removed from the park and to approve or restrict reassignment of specimens from one repository to another. Specimens shall not be destroyed or discarded without prior NPS authorization.

Each specimen (or groups of specimens labeled as a group) that is retained permanently must bear NPS labels and must be accessioned and cataloged in the National NPS Catalog. Unless exempted by additional park-specific stipulations, the permittee will complete the labels and catalog records and will provide accession information. It is the permittee's responsibility to contact the park for cataloging instructions and specimen labels as well as instructions on repository designation for the specimens. All copies of field notes, data, reports, and other records associated with the study that are submitted to NPS pursuant to this permit must be accessioned and cataloged.

Collected specimens may be used for scientific or educational purposes only, and shall be dedicated to public benefit and be accessible to the public according to the policies of the depository institution.
Any specimens collected under this permit, any components of any specimens (including natural organisms, enzymes, genetic materials, or seeds), and research results derived from collected specimens are to be used for scientific or educational purposes only, and may not be used for commercial purposes unless the permittee has entered into a cooperative research and development agreement (CRADA) with the NPS. The sale of collected research specimens or other transfers to third parties is prohibited. Breach of any of the terms of this permit will be grounds for revocation of this permit and denial of future permits. Furthermore, if the permittee sells or otherwise transfers collected specimens, any components thereof, or any products or research results developed from such specimens or their components without a CRADA, permittee will pay the NPS a royalty rate of twenty percent (20%) of gross revenue from such sales. In addition to such royalty, the NPS may seek other damages to which the NPS may be entitled, and injunctive relief against the permittee.

7. Reports - The permittee is required to submit an Investigator's Annual Report and copies of final reports and article materials resulting from the study. Instructions explaining how and when to submit an annual report will be provided by NPS staff. Park research coordinators will analyze individual study proposals to determine if copies of field notes, databases, and/or other materials may also be required.

8. Methods of travel - Travel within the park is restricted to only those methods that are available to the general public unless otherwise specified in additional stipulations associated with this permit.

9. Other permits - The permittee must obtain all other required permit(s) to conduct the specified project.

10. Insurance - If liability insurance is required by the NPS for this project, then documentation must be provided that it has been obtained and is current in all respects before this permit is considered valid.

11. Mechanized equipment - No use of mechanized equipment in designated, proposed, or potential wilderness areas is allowed unless authorized by the superintendent or a designee in additional specific conditions associated with this permit.

NPS participation - The permittee should not anticipate assistance from the NPS unless specific arrangements are made and documented in either an additional stipulation attached to this permit or in other separate written agreements.

13. Permanent markers and field equipment - The permittee is required to remove all markers or equipment from the field after the completion of the study or prior to the expiration date of this permit. The superintendent or a designee may modify this requirement through additional park specific conditions that may be attached to this permit. Additional conditions regarding the positioning and identification of markers and field equipment may be issued by staff at individual parks.

14. Access to park and restricted areas - Approval for any activity is contingent on the park being open and staffed for required operations. No entry into restricted areas is allowed unless authorized in additional park specific stipulations attached to this permit.

15. Notification - The permittee is required to contact the park's Research and Collecting Permit Office (or other offices if indicated in the stipulations associated with this permit) prior to initiating any fieldwork authorized by this permit.

16. Expiration date - Permits expire on the date listed. Nothing in this permit shall be construed as granting any exclusive research privileges or automatic right to continue, extend, or renew this or any other line of research under new permit(s).

17. Other stipulations - This permit includes by reference all stipulations listed in the application materials or in additional attachments to this permit provided by the superintendent or a designee.

National Park Service
Investigator's Annual Report

If you are not using the automated system supporting this reporting process, please fill out this form and return it to the appropriate park.