Authorization to Use Archaeological and Paleontological Resources for Research and Study

TABLE OF CONTENTS

OVERVIEW

4.1 What is the purpose of this chapter? This chapter establishes the U.S. Fish and Wildlife Service’s (Service) policy and procedures for:

A. Authorizing people to research and study archaeological and paleontological resources from Service lands, and

B. Administering research permits according to Federal regulations and Department of the Interior (Department) guidance.

4.2 What are the objectives of this chapter? The Service’s objectives are to:

A. Facilitate appropriate scientific use of archaeological and paleontological resources on Service lands, and 

B. Ensure that collections of archaeological or paleontological materials removed from the Service’s lands and the records relating to them are stored and used appropriately and in accordance with law.

4.3 What is the scope of this chapter? This chapter applies to all Service lands.

4.4 What are the authorities for this chapter? See 614 FW 1 for a list of authorities related to all of our policies on cultural resources management. For specific information about regulations for this type of permitting, see 43 CFR Part 7, Protection of Archaeological Resources, and 43 CFR Part 49, Paleontological Resources Preservation.

4.5 What are the definitions of terms and responsibilities for this chapter? See 614 FW 1 for information about the terms used and responsibilities for all the chapters in Part 614.

PERMITS

4.6 What are the types of permits the Service issues for people researching and performing studies on archaeological and paleontological resources, and what other information do you need to know about issuing those permits?

A. Types of permits: There are three types of permits the Service issues that are associated with archaeological and paleontological research—permits under the Archaeological Resources Protection Act (ARPA), permits under the Paleontological Resources Preservation Act (PRPA), and Special Use Permits (SUP).

(1) The Regional Historic Preservation Officer (RHPO) administers ARPA and PRPA permits that are issued by the Regional Director (see section 4.6B).  

(2) The Project Leader/Field Station Manager administers SUPs and makes compatibility determinations for this type of research. 

B. Who issues the permits: 

(1) Only the Regional Director or a designee may issue, suspend, or terminate permits for work authorized under the ARPA or PRPA. 

(2) The RHPO reviews all ARPA and PRPA applications and advises the Regional Director and Project Leader/Field Station Manager about whether or not to issue these permits.

(3) Only Project Leaders/Field Station Managers may issue an SUP when an applicant acquires a permit under ARPA or PRPA for work on Service lands, or suspend or terminate SUPs, as appropriate, to protect resources.

(4) The Project Leaders/Field Station Managers may, among other things, also:

     (a) Restrict activities by attaching special provisions to the SUP, such as refusing access to specific sites or areas and specifying the time period during which work may be performed (they should work with the RHPO on any such restrictions);

     (b) Use the SUP to require the applicant to submit reports about the research and studies they are performing; and

     (c) Recommend suspension or termination of ARPA or PRPA permits to the Regional Director.

(5) When combined with an ARPA or PRPA permit, the Project Leader/Field Station Manager cannot use an SUP to authorize work not specified in the other permit.

C. What the permits ensure:

(1) A permit ensures that research projects, excavations, and studies of Service resources are performed only by qualified personnel and institutions, are consistent with the management plans for Service resources, and comply with statutory and regulatory requirements.

(2) Those seeking a permit must have education or experience as required by applicable regulations at 43 CFR 7.8 (ARPA) and 43 CFR 49.110 (PRPA). The Service requires that researchers meet applicable professional standards:

     (a) For archaeology, researchers must meet the applicable Secretary of the Interior’s “Standards for Archaeology and Historic Preservation.”

     (b) Paleontology researchers must meet appropriate professional standards for paleontological research, such as those noted by the Society of Vertebrate Paleontology.

(3) The Service must review and approve any proposed work before issuing a permit to ensure consistency with resource management plans and compliance with legal requirements. A permit will only be issued when the proposed work:

     (a) Furthers knowledge of the resources and benefits the public interest;

     (b) Is consistent with Federal land management plans and the evaluation and planning requirements for work conducted under other applicable authorities (e.g., the National Historic Preservation Act (NHPA));

     (c) Includes plans for the preservation of the resources and associated records in an appropriate repository; and

     (d) Complies with specific regulatory requirements in 43 CFR 7.5 – 7.9 (ARPA) or 43 CFR 49.120 (PRPA).

D. What to look for when issuing a permit: 

(1) The applicant must define the work by providing a detailed research design that:

     (a) Describes their credentials and expertise as required in section 4.6C;

     (b) Accounts for all aspects of the investigation, including the curation and funding for proper storage of any collections resulting from work conducted under the permit;

     (c) Identifies when the work will be conducted (scheduling of the work should take into account other ongoing work on the site, status of the land being examined (i.e., is it opened or closed to the public?), and other management needs for preserving wildlife and habitat); and

     (d) Meets applicable regulatory requirements in 43 CFR 7.5 – 7.9 (ARPA) or 43 CFR 49.120 (PRPA).

(2) When determining compliance with applicable regulatory requirements, the RHPO and the Project Leader/Field Station Manager must review:

     (a) Applicant qualifications as required in section 4.6C(2);

     (b) Purposes and methodologies of the research project, excavation, or study;

     (c) Any proposed deliverables, such as a project report; and

     (d) The methods of preservation and care for any materials that will be collected or generated as a result of the proposed work, as described in section 4.6C(3).

4.7 Are there instances where these permits are not required? 

A. The Service is generally not required to issue permits under ARPA or PRPA for related studies and research when: 

(1) The study or research is conducted by an institution under a contract issued in accordance with Federal procurement regulations (e.g., for work the Service contracts for and manages as part of its NHPA Section 106 compliance); or

(2) A Service archaeologist, paleontologist, historian, or other subject matter expert will conduct the work at the request of a Project Leader/Field Station Manager.

B. An SUP is still required for the situations in section 4.7A, and the Regional Director may still choose to require an ARPA or PRPA permit. 

C. Though a permit may not be required for circumstances described in section 4.7A, a researcher must still submit a research design to the Service with the following information:

(1) Professional standards and practices,

(2) Strategies for research and recovery, and 

(3) An appropriate plan for curation, and curation funding, of any materials recovered.

D. The RHPO must review all contracted archaeological and paleontological work, regardless of whether or not a permit is required.

4.8 What happens if an activity proposed in a permit might have a harmful effect on a site that has religious or cultural importance to Tribes, the Native Hawaiian Community, or Alaska natives? If the Service determines that a proposed activity may have a harmful effect on a site or locality that has religious or cultural importance to Tribes, the Native Hawaiian Community, or Alaska natives, the Project Leader/Field Station Manager must consult with the federally recognized Tribe/native organization before authorizing the work (see 614 FW 6 for details). In addition, Service ARPA and PRPA permits must include a Plan of Action (POA) in case human remains are identified during work.

4.9 What happens after the Service issues a permit under the ARPA or PRPA? The Project Leader/Field Station Manager and the RHPO should review work and deliverables associated with the permit to ensure the applicant is in compliance with the terms of the permit. Reviews should occur during the work schedule identified in the permit application. Any changes resulting from the review must follow applicable regulatory requirements in 43 CFR 7.8 – 7.11 (ARPA) or 43 CFR 49.130 (PRPA). For instance, the Regional Director may suspend a permit if a permittee fails to meet the stipulations in it (e.g., if the permittee does not produce the deliverables identified in the permit application).

MORE INFORMATION

4.10 Where can employees find more information about permitting related to archaeological and paleontological resources?

A. You can find guidance on archaeological and paleontological permits and pertinent Departmental permit applications and other forms on the Service Cultural Resources SharePoint.

B. Project Leaders/Field Station Managers should contact their RHPO for professional guidance and to review permit applications, to help with development of permitting standards for the Region (which may include additional requirements for applicants (e.g., insurance bonds)), and to help monitor performance under the permit.

[OMB Information Clearance #1018-0102 and 1093-0008]