A. Overview

Through numerous and complex laws, regulations, and policies (for convenience, here called "rules") among administrative units at various levels (national, state, county, and even campus), wild birds are among the most rigidly protected taxa. Only threatened or endangered species are afforded greater protection. Although the principal statutory authority at the national level is the Migratory Bird Treaty Act (MBTA), the term "migratory" should not be taken literally. In legal terms, "migratory" birds are any species named in the regulations (50 CFR 10). For practical purposes, the MBTA list includes all native species except galliform birds, [see below]. Statutes such as the MBTA give agencies the authority to make regulations that proscribe the specific requirements for obtaining permits and limitations on working with wild birds. Rules at the federal and state levels are occasionally reviewed and revised for greater clarity and simplicity to applicants. USFWS and some state agencies are working with the Ornithological Council to assure that changes in regulations or procedures are rapidly disseminated to wild-bird researchers through the Ornithological Newsletter as well as the Federal Register (FR). Note that the Code of Federal Regulations is published only once a year. Any changes that are proposed to the regulations appear in the FR, which is published every weekday. When those proposed changes are made final, another notice, giving the effective date, which is usually 30 days after the rule is made final, appears in the FR. It is therefore important to determine if any changes have been made to the rule. As searching the FR can be time-consuming  and it is possible that you may still miss pertinent notices, it may be best to ask the permitting official for a copy of the most recent version of the rules that apply to the permits you are requesting.

Wildlife managers and conservationists take the task of natural resource preservation seriously. Therefore, many rules designed to protect wild bird populations have been promulgated. All researchers must be aware of the regulations that protect wild birds and obtain the necessary permits for their work. To do so requires a knowledge of the rules. As the results of research may have a direct bearing on conservation efforts, and thereby on the rules, researchers and law enforcement officials should consider themselves as a team. Regulatory agencies should ensure that information concerning permit requirements is readily available and easily interpretable by those not accustomed to regulatory language. Requested assistance to researchers should be provided in a friendly and prompt manner by the enforcing agencies.

As not every research project will have direct application to conservation and management, enforcement agencies must recognize the value and need for both basic and applied research. Agencies should seek the advice of recognized field researchers and their professional experiences in making decisions regarding the granting of unusual requests. Agency personnel should help to expedite scientific research on wild birds, although the conservation of biological resources must always be given first priority in the issuance of permits and in the conduct of scientific field and laboratory research on wild birds.

Any possession, capture, handling, collecting (totally or of parts), marking, or disturbing of native wild birds, their nests, or their eggs requires some kind of special licenses or permits. Nearly all bird species in North America are protected by a large variety of laws (see Lund 1980 for a review of the philosophy of this legal protection system). Working on public lands or lands managed by private organizations also may require permits. Some examples of agencies and organizations that need to be consulted include: U.S. National Park Service (National Parks and Monuments), U.S. Fish and Wildlife Service ( National Wildlife Refuges), U.S. Department of Defense (military bases and lands), U.S. Forest Service (National Forests), U.S. Bureau of Land Management (public lands), state agencies and organizations, and private land managers (The Nature Conservancy and National Audubon Society (nature reserves), all the way to the individual land-owner.

Work on public lands may require permission of several administrative levels (such as regional and local offices). Often the best policy is to start "low" in the bureaucracy and work up. Assuming that the researcher has all necessary permits, the local manager or landowner may be the only person whom a researcher needs to contact to acquire approval for using various lands for a study area. Researchers should keep in close contact with the local officials and keep them informed of the progress of the research on a regular basis.

Current guidelines, as well as advice, concerning permits are available in Little (1993) and directly through various state offices and USFWS regional offices, or their equivalents in other countries. Researchers who intend to handle or collect wild birds or parts thereof, eggs, or nests should contact appropriate agencies (Table 11-1) at least six months prior to proposed field activities. For research within the U.S., researchers should contact the appropriate state agency, appropriate USFWS Regional Office, the specific managing agency if the research is to be conducted on federal or state lands, and the local landowner if the research is proposed for private lands.

For foreign research permits, we suggest that North American researchers contact the USFWS, CWS, or Institute Nacional de Ecologia, MEXICO for guidance on permit applications in those countries or countries outside their own (see Appendix A for addresses). The embassies of any country where permits for research activities are desired often can provide additional contact sources and give advice on rules and permit application procedures in their countries. The "home" embassy of the researcher should also be contacted. For example, the INE in Mexico requires that U.S. researchers go through the Scientific Affairs Office in the U.S. embassy in Mexico City for permit applications. This office can facilitate the proper and expedient acquisition of permits (see Appendix A for addresses).

State and province permit rules vary extensively, and researchers must be aware of these differences. Collecting of some bird species (usually those considered as "pests") is exempt from rules in some states, but may not be in others. All species included in the

Migratory Bird Treaty Act of 1918, as amended through 1972 (16 US Code 703-711; see Code of Federal Regulations [50 CFR 10] for up-to-date lists of migratory birds) require both federal and state/provincial permits for collection and handling. All species included in the Endangered Species Act (Endangered and Threatened Wildlife and Plants, 50 CFR 17.11 and 17.12) require additional permits or cooperative agreement (a form of contract or work agreement between the researcher and USFWS) that outline the activities to be conducted. Some states, however, also require special permits for banding or other forms of potential disturbance. The possession of whole specimens and "parts thereof" is interpreted differently in different states and provinces. Hence, it is critical that the personnel of state and province wildlife management agencies, managers of local management units, and even lACUCs on campuses and other small administrative units be consulted prior to beginning a project.

Publication: Many biomedical publications require that IACUC protocol numbers be included in the Acknowledgments section of any paper reporting research on laboratory animals. To date, no such regulations apply to research on wild animals, nor is acknowledgment of permits required by agencies granting those permits. Yet, such acknowledgments help assure the public at large that the research was performed legally and that the investigators maintain and support high ethical standards in the use of natural resources and care of animals. Further, many agencies require reprints of any publications of research performed under the auspices of their permit. As with agencies offering financial support, acknowledgment of the cooperation of permit granting agencies is often greatly appreciated. Therefore, we encourage authors of scientific publications on wild birds to acknowledge an IACUC-accepted protocol and any applicable permits in the acknowledgment sections of their manuscripts, and we encourage reviewers of submitted papers to look for such acknowledgments and comment critically when they are absent. Editors may then, at their discretion, hold the failure of an investigator to produce evidence that the research in question was legally performed to be a factor in the decision whether or not to publish. Likewise, program officers for ornithological societies may justifiably request that similar evidence accompany requests for a place on the program. However, ultimate responsibility remains with each investigator.

Back to top

B. Collecting Permits

A Scientific Collecting Permit allows the permittee to collect (kill), salvage (possess specimens that died either from causes other than the permittee's action, e.g., road, tower and window kills, or accidentally from the permittee's own actions), and to possess specimens of wild birds. A collecting permit is required if any wild bird specimens (or parts of specimens such as blood samples and other fluids, biopsies, feathers and other hard parts, swabs, etc.) are to be collected, trapped, transported, or otherwise manipulated (some tissues may be collected under the auspices of a Banding and Salvage Permit [see below]). The permit usually defines the numbers of specimens that may be collected, the geographic area covered, the means that may be used to obtain the specimens, and the individual (s) who is (are) authorized to collect.

A critical issue is that of "possession", a term that is best interpreted broadly. An investigator may possess specimens for research or educational purposes, but may not establish a private collection. All specimens not destroyed in the process of the research must eventually be donated to a designated depository. Possession may also determine the legality of the activity. For instance, the state of Ohio permits anyone, with or without a permit, to kill any number of some species, e.g., Passer domesticus, but possession of a specimen of such a species requires a permit.

An exception to the "possession requires a permit" rule is the case of loaned specimens. Many museums and collections make sets of specimens available for loan to those engaged in educational activities. A teacher, park ranger, or other individual wishing to use such a demonstration set need not have either a collection or salvage permit. Rather, the loaning institution should provide a document (usually a form letter) to accompany the loan indicating the details of the loan. Similarly, individuals seeking a loan of research specimens from a recognized collection need not themselves possess a permit. Research

loans are always accompanied by abundant documentation, which should be kept readily available if questions arise.

Federal permit: U.S. federal collecting permits (Migratory Bird Permit) are issued to individuals (including individuals representing organizations) by the Regional Offices of the USFWS: Canadian permits by Regional Offices of the CWS (Appendix A). These permits allow the capture, handling, collection and possession of migratory birds or parts thereof, nests and eggs. Some non-migratory birds, e.g., many gamebirds, require only a state permit for collection and study, unless the study is to be done on federally administered lands. In a few states, both the federal and state collecting permits are combined into one, but the combined permit still requires the approval of both agencies.

State or province permits: Mexico does not currently require state permits, but the U.S. and Canada do. Individual researchers or units should apply to the appropriate division within the state or province departments of Fish and Game or their equivalents. Usually the law enforcement division or the equivalent provides forms and instructions. The local law enforcement official (warden, etc.) from the area where research is proposed will often assist. In all states and provinces, a regular hunting license with appropriate stamps is required if the researcher collects any game species during a regular hunting season.

Foreign permits: Most foreign countries require special permits to conduct research and collect specimens or parts of specimens, and to export them. In addition, many countries require special permits for equipment (airplanes, autos, firearms, etc.) from appropriate offices. If the researcher does not have any contacts in the country of proposed research, then the best place to start is that country's foreign office or embassy. Those who work on birds in Latin American countries should consult Rosenberg and Wiedenfeld (1993). Many countries require a foreign counterpart for research in their countries. In some cases, the researcher can collect and do research under their counterpart's permit, provided the name and proposed activities are listed in that permit. The research counterpart can often significantly assist in obtaining any other permits that may be required in her/his country. Foreign research permits often have associated fees. It is a courtesy (and often a requirement) that the authorizing agencies be kept well informed with reports and reprints.

If the researcher intends to collect specimens, firearm and trap permits are also often required. A firearm permit is usually issued by the military and requires special application as well as often a fee. Usually the best starting place is that country's embassy in the United States or Canada. In addition, just being in many foreign countries requires a passport and perhaps a visa or tourist card, and vehicle and boat permits. Proof of citizenship is required to return to the United States, even from Canada or Mexico.

The process of obtaining proper documentation is always time-consuming and sometimes frustrating. However, researchers who remember that they are guests when in a foreign country and who govern their behavior accordingly usually find the system less daunting and the agencies and personnel involved more accommodating.

Back to top

C. Banding and Salvage Permits

A banding and salvage permit (often called simply Banding Permit) allows the permittee to band birds and salvage, but not collect (kill), specimens. The permit also allows for short-term possession of birds. For the U.S. federal permit, the terms are 24 hours for live birds and six months for salvaged specimens, but it may be considerably shorter for a state permit. These permits are also geographically restricted.

Federal permit: There are three kinds of banding permits, master (personal in Canada), station,and subpermittee. Many U.S. students and most banders in Canada will be subpermittees, working under the direction of the Master Permittee (research director or, often, graduate adviser) or a station permit. Canada provides two kinds of individual permits. One authorizes the use of common cage traps and banding of flightless young; the other authorizes the use of mist nets, auxiliary markers, etc. Such conditions of use are included directly on U.S. permits.

U.S. permits are issued by the BBL, Canadian permits by CWS (Table 11-1 ; Appendix A), A bird-bander must be at least 18 years of age, qualify as an established biologist, and have a good reason to band birds. The purpose of the banding program is to provide various

kinds of scientific data on birds. Data on all birds banded in the U.S. and Canada and their recovery information are processed by the combined system of the USGS (BRD) and the CWS. If birds are to be color-marked, radio-tagged, or otherwise manipulated in addition to banding, additional authorization is required. Some states also coordinate radio-telemetry frequencies used on wild birds, so appropriate officials must be notified of activities and frequencies. Some states require additional permission to clear radio-frequencies.

Many researchers wish to obtain blood or feather samples while banding. Such samples can be collected with a modified federal bird-banding and salvage permit, as BBL now has an internal agreement with USFWS Law Enforcement Division to allow authorization of such activities under specific guidelines. The permission requires a special rider attached to the banding permit. Requests for such riders should be directed to BBL.

Field researchers who do not need to collect may wish to use the salvage portion of their permit. Salvaged specimens can provide valuable scientific information and can reduce the need for collecting. Any researcher encountering a source of potentially valuable specimens, but who does not have a collecting or salvage permit authorizing acquisition of such specimens, should attempt to ensure that the specimens are not lost to science by requesting assistance from state and federal enforcement agencies. Such actions may be especially important when endangered species or mass mortalities (as from weather, disease, or tower-kills) are involved. Ornithology departments in many public museums are legitimate depositories for specimens and may also be able to provide assistance.

State or provincial permits: State and provincial requirements for banding and salvage permission vary. A state may require a banding permit, or require one only if the investigator does not possess a state collecting per mit, and may or may not separate permission to salvage into a separate permit.

Back to top

D. Endangered Species Permits

Any activity with an federally-listed endangered species requires a permit issued by the USFWS regional office (which holds a master Endangered Species Permit itself), [see F] Many states and provinces have their own endangered species lists which may includes species not listed on the federal list. Researchers should determine the status of the species at the federal and state or provincial level to determine which permits are needed.

Back to top

E. Import/export permits

Moving biological specimens, especially living specimens, across an international border is a complex procedure, in part because the laws of more than one nation will be involved, and in part because some pertinent laws may have little to do with research or conservation. Other considerations include whether or not the specimen was originally wild or was captive bred, whether the species is covered by the MBTA, whether the species is endangered, threatened, and/or CITES listed, or whether the species is subject to special health or agricultural concerns. Because most museums and zoos routinely move specimens across borders, they are usually familiar with the procedures. Individual researchers are encouraged to work through such institutions whenever possible. Even so, it is best to begin by consulting with USFWS or CWS at their national headquarters (Appendix A).

We assume that most individual researchers collecting specimens in foreign countries will be doing so in connection with some established, institutional collection. Many institutions hold APHIS permits and Certificates of Scientific Exchange under CITES, and/or multiple endangered/threatened species permits that can cover the activities of individual researchers. Although an institutional connection will probably ease the acquisition of appropriate documentation, it nevertheless remains the individual researcher's responsibility to be sure he/she is familiar with the requirements and has all the appropriate permits. Much of what follows is directed toward the individual researcher who may wish to import either individual specimens or parts thereof (including tissue samples), and whose activities are not covered by institutional permits.

Any imports of birds, their parts (including blood and tissue samples), eggs, or nests require specific statements to the effect that the specimens were collected under valid permits in the place from which they are being imported. If the specimen is an endangered species, it will likely require a CITES permit. In addition, in the U.S. an APHIS import permit is required (Appendix A). If the species imported is listed in the Migratory Bird Treaty Act, a collection permit to cover importation and possession will be required.

CITES permits are required for the export or import of specimens, tissues, or products made by species listed in the Convention, which are not necessarily the same as those listed in the ESA. If one of the countries is not signatory to the Convention, an "in lieu of" document, which contains the same information as a CITES permit, must be attached to the shipment. As the U.S., Canada, and Mexico are all signatories, permits would be required by any researcher in those countries, regardless of whether the other country is signatory. It should be noted that the Convention contains certain exemptions for educational and scientific institutions that routinely engage in the exchange of specimens across borders.

Back to top

F. Refuge Permits

Any research involving wild birds on a National Wildlife Refuge or other public lands requires a permit that outlines the proposed activities and the areas where the research is to be conducted. These permits are issued by the manager of the particular refuge.

Back to top

G. Miscellaneous permits and agreements

Some states require an additional permit issued to an individual or unit for other activities such as trapping, handling, sampling, marking, dying, injecting radioactive tracers, etc. The use of radioactive tracers also requires special permits. Some states combine all these permits (including collecting) into one permit (a practice we endorse).

Written permission is usually required to conduct special activities such as those listed above, as is research on Endangered Species or wild birds otherwise protected in some other way (such as eagles protected under the Bald Eagle Protection Act, 16 USC 668). Most states have their own lists of restricted species. The federal endangered species list (Endangered and Threatened Wildlife and Plants, 50 CFR 17.11 and 17.12) is usually used as a basic guideline. Local regulations protecting migratory or endangered bird may be more, but not less, restrictive. In many states, work on endangered or specially -protected species is usually additionally permitted by a "memorandum of understanding" between the state agency and the individual or research unit.

Back to top

H. IACUC Protocols

Research involving birds may require institutional approval in the form of an IACUC protocol. Exceptions to this rule include some research on poultry and such nonmanipulative activities as simple observation, [see I.D.] We recommend that such approval be sought for any experiment that requires manipulation of individuals or populations, even if the investigator's institution does not formally require such. Most granting agencies require an IACUC approved protocol as part of the application for funds, and the practice speaks for the investigator's concern for ethical behavior.

Back to top

I. Records

One of the earliest lessons learned, often the hard way, by every investigator is that you cannot take too many notes or make too detailed records. This maxim is especially true for research requiring permits. Permitted field research always requires regular reports of activities. These reports often require special forms or formats. Further, records involving the permitted activity must be available for inspection at any time. Hence, it is well worth the effort to maintain absolutely current records in the appropriate format.

Back to top