Federal agencies that manage land are responsible for the care and protection of archeological resources on these lands. All archeological investigations undertaken on Federal lands must be conducted under a Permit for Archeological Investigations (Permit). The Federal land manager’s authority for issuing a Permit is contained in statutes and regulations. Permits for Archeological Investigation may be issued under the Archaeological Resources Protection Act (ARPA), the Antiquities Act, or both. Some agencies also cite their own authorizing law(s) as an authority to issue archeological investigation permits.
The Permit is a legal document that spells out the nature and location of the archeological research that is permitted, the manner in which the research is to be conducted, where any material that is recovered and the investigation records will be curated, and under what conditions the project can be suspended.
Message to Federal Agencies: Changes to the Permit Application
Until 2018, the Interior Departmental Consulting Archeologist obtained clearance from the Office of Management and Budget (OMB) for use of the application form for Permit for Archeological Investigations. In 2018, the Permit application was converted to a Common Form.
These means that Federal agencies that elect to use the Common Permit application form will be individually responsible to report the total annual number of respondents and associated burden hour costs directly to OMB. Agency archeological staff should work with their Information Collection Clearance Officer (ICCO) to track and compile summary data about Permit applications and associated costs. The ICCO will report the data about the use of the Common Form under OMB Control number 1024-0037 to the OMB Office of Information and Regulatory Affairs through the ROCIS system. A separate Supporting Statement A (SSA) and associated publication notices in the Federal Register, however, are not required.
Agencies that use the Common application form will be collecting personally identifiable information (PII). Agency archeological staff should work with their agency Privacy Officer to provide an agency Statement of Records Notice (SORN) and Privacy Impact Assessment (PIA). Both may be required by OMB as supplementary documents in ROCIS. The NPS examples are available as templates for other agency use.
Federal agencies that elect to use an agency-specific form will need to work with their ICCO to develop a new application for and a new information request for OMB clearance. The agency cannot cite OMB control number 1024-0037 as proof of compliance with the Paperwork Reduction Act. Agency archeological staff should consult with the ICCO and Privacy Officer to develop appropriate Notices for the new application form. Necessary documents will include:
Federal agencies that elect to use an agency-specific application form will be responsible to report the annual number of respondents and associated burden hour costs to OMB Office of Information and Regulatory Affairs. Data entered into the ROCIS system will be associated with an OMB control number assigned to the new agency-specific application form.
Why is a Permit for Archeological Investigations Necessary?
When individuals conduct archeological activities or otherwise disturb archeological resources on Federal lands without a valid Permit, they are in violation of ARPA (16 U.S.C. 470ee, ff, gg), the Antiquities Act (16 USC 433), and other statutes. They are subject to criminal and civil penalties, including forfeiture of personal property. ARPA and its regulations detail the requirements for obtaining a Permit.
Who May Apply
Qualified individuals, academic institutions, museums, or businesses that propose to conduct archeological fieldwork on Federal lands must first apply for a Permit for Archeological Investigations. Permit applications are reviewed by Federal managers and archeologists. The general requirements are described in Federal regulations that are uniform for the major land managing agencies. For archeological investigations on Department of the Interior lands, the general requirements can be found in Chapter 43 Code of Federal Regulations 7.5 and 7.6 (43 CFR 7.5 and 7.6). The issuance of a permit is dependent upon the scope of the proposed work; consistency of the proposed work with resource management plans and policy; adequacy of curatorial arrangements for any collections and records; and the qualifications of the applicant(s) (43 CFR 7.8).
How to Apply
If the initial discussions are fruitful, an application for a Permit for Archeological Investigations is prepared and submitted by the applicant. Applicants interested in conducting archeological investigations on Department of Interior land should submit the information using the Application for Permit for Archeological Investigations, (DI Form OMB No. 1024-0037), or a form supplied by the Federal land manager. Please note that the same application form is used to apply for a Permit for Archeological Investigations under ARPA, the Antiquities Act, or both. Applicants interested in conducting archeological investigations on other Federal lands must contact the specific Federal land manager for application procedures.
In addition to the completed application form, supplemental information is required. Information about these additional documents is provided on page 2 of the application for Permit for Archeological Investigations.
Depending on the nature of the investigations, additional permits from the Federal land manager may be required.
Permits for Archeological Investigations on NPS Lands
The National Park Service has prepared a detailed instruction guideline regarding the issuance of Permits for Archeological Investigations in units of the National Park system. This guide includes information that will be useful to applicants, NPS managers, and archeologists who review applications and monitor the conduct of archeological investigations done under permits.
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