0141 Supporting Statement 050608 rev

SUPPORTING STATEMENT
NATIONAL MARINE SANCTUARY PERMITS
OMB CONTROL NO. 0648-0141

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The National Marine Sanctuaries Act (NMSA; 16 U.S.C. 1431 et seq.), provides for the
designation, protection, and management of national marine sanctuaries (NMSs) which possess
conservation, ecological, recreational, research, educational, historical, cultural or aesthetic
qualities giving them national, and in some cases, international, significance. The National
Oceanic and Atmospheric Administration (NOAA), Office of National Marine Sanctuaries
(ONMS) has promulgated regulations to implement the NMSA and each sanctuary designation at
15 CFR Part 922. In subparts specific to each sanctuary, these regulations define the boundaries
of the sites as well as prohibit the conduct of certain activities as are necessary to protect the
resources of each sanctuary.
Both the NMSA and ONMS regulations prescribe procedures by which certain activities that
would otherwise be prohibited may be conducted through the issuance of a permit. Any person
proposing to conduct an activity prohibited by ONMS regulations must apply for and receive a
permit prior to conducting that activity. There are nine types of permits, including those for
research, education, and special use activities. In this document, the term “permit” refers
generally to any form of approval granted by the ONMS to allow an activity that would
otherwise not be allowed to take place due to ONMS regulatory prohibitions. 1
Because the issuance of a permit by the office is discretionary, the ONMS regulations also
establish criteria against which permit applications are reviewed and decisions ultimately made.
ONMS regulations also provide permit applicants with guidance in submitting the appropriate
level of information in a permit application. This collection of information is to ensure the
ONMS has enough information from the permit applicant to process the request in accordance
with program regulations, make a decision consistent with the established criteria, and, if issued,
monitor compliance with the permit and its effect on NOAA trust resources.
This renewal request includes the merger of OMB Control No. 0648-0418, Tortugas Access
Permits, into this collection.

1

In this document, the term “permit” includes “national marine sanctuary permits” processed pursuant to 15 CFR
§922.48 and site-specific regulations; “authorizations” of other agency permits processed pursuant to 15 CFR
§922.49; “special use permits” processed pursuant to section 310 of the NMSA (16 U.S.C. §1441); and
“certifications” processed pursuant to 15 CFR §922.47. The term also includes requests for amendments to any of
these.

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2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
The information submitted by permit applicants will be used by the ONMS staff to determine
whether to approve or deny a permit application. In making this decision, ONMS regulations
requires NOAA to consider such factors as:
•
•
•
•
•
•

The professional qualifications and financial ability of the applicant as related to the
proposed activity;
The duration of the activity and its effects;
The appropriateness of the methods and procedures proposed by the applicant for the
conduct of the activity;
The extent to which the conduct of the activity may diminish or enhance the qualities for
which the sanctuary was designated;
The end value of the applicant’s activity; and
Other such matters as ONMS staff deem appropriate.

In addition to inform the ONMS’s decisions on permit applications, information submitted in
permit applications and reports submitted pursuant to permit conditions may also be used by the
ONMS to, in some circumstances, inform:
•
•
•

Administrative appeals of permit decisions;
Decisions on a permit amendment request or another permit application; or
Other management actions (e.g., emergency response and enforcement).

The ONMS has a 3-tiered permit application review system, which determines the specific staff
within the program that must review any particular application. “Class A” permits are for
relatively routine activities with negligible impacts on sanctuary resources and are reviewed
entirely by sanctuary superintendents and their staff located at ONMS field offices. “Class B”
permits are activities with unknown or moderate impacts on NMS resources and are reviewed
primarily by site superintendents and staff as assisted by additional subject experts located at
ONMS headquarters. “Class C” permits are for activities which may have significant impacts on
sanctuary resources or are in some way precedent-setting or controversial. These permits require
concurrent review by field and headquarters personnel as well as clearance by NOAA legal
counsel. Depending on the class of the permit, any of these individuals will potentially use
information submitted by permit applicants.
In terms of frequency of use, the information submitted in permit applications will, in general,
only be used at the time the application is submitted to make a final decision on the application.
Some of the information may also be used subsequent to the initial decisionmaking to inform
ONMS management actions or decisionmaking. For example, a survey of a project location by
one permit applicant may be used by the ONMS in the future to respond to a vessel grounding in
the same area in addition to facilitating the ONMS’s decision on that application. Information
submitted in a report will be used to assess the permittee’s compliance with permit terms and

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conditions, assist in evaluating the appropriateness of the permitted activity, and determine its
actual impacts on sanctuary resources.
The ONMS has developed an internal database which tracks applicant information, details on
permit conditions and issuance, permit compliance, and any reporting products submitted for
each permit. The permit applications are the primary source of information entered into the
database. This data is used to evaluate the ONMS permit system by tracking such things as the
permit process (number of days to issue a permit, etc.), the compliance of the permittee, and the
location and effects of the activity as reported. This data and tracking ability are necessary for
ONMS to evaluate the effectiveness of sanctuary protection and the role of permitted activities in
that protection. In addition, the database assists in the evaluation of the cumulative impacts of
permitted activities on sanctuary resources as required by the National Environmental Policy Act
(NEPA) and informs future management planning.
As explained in the previous paragraphs, the information gathered has utility. ONMS will retain
control over the information and safeguard it from improper access, modification, and
destruction, consistent with NOAA standards for confidentiality, privacy, and electronic
information. See response #10 of this supporting statement for more information on
confidentiality and privacy. The information collected is designed to yield data that meet all
applicable information quality guidelines. Although the information collected is not expected to
be disseminated directly to the public, results may be used in scientific, management, technical,
or general informational publications. Should ONMS decide to disseminate the information, it
will be subject to the quality control measures and pre-dissemination review pursuant to Section
515 of Public Law 106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
ONMS accepts and encourages the submission of permit applications, logs, and reports via
email. Permit application forms and instructions are available on the Internet at
http://www.sanctuaries.noaa.gov/management/permits/welcome.html and starting with this
renewal will include a “fillable and printable” Adobe pdf option to facilitate more efficient and
accurate data entry by applicants. In addition, the ONMS is developing an Internet-based permit
application system which would allow permit applicants to submit their permit applications, logs,
and final reports directly via a NOAA Internet website.
4. Describe efforts to identify duplication.
When designating each sanctuary, NOAA consulted with the relevant states and Federal agencies
regarding their permitting requirements and procedures. Where appropriate, agreements were
put in place to use a coordinated permit process. Post-designation, the ONMS continuously
works with other state and Federal agencies to identify and eliminate duplication of permit
requirements or conditions and, when appropriate, coordinate reviews of applications. In
addition, the ONMS routinely accepts information developed for other purposes (e.g., a report on

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an activity developed for another agency) as part of an ONMS permit application or to meet
requirements of an ONMS permit condition.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This collection of information has minimal economic impact on small entities such as small
businesses, organizations, or government bodies. Most general permit applications are for
activities conducted by either large institutions (such as academic institutions, salvage
companies, and state and Federal agencies) or individuals. The majority of small businesses
affected by ONMS permits are those applying for baitfish collection permits in the Florida Keys
NMS; a special, streamlined application process (see response #12(b) of this statement) has been
developed for these baitfish permits, thereby minimizing any burden on small business
applicants.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
If the information collection is not conducted, or is conducted less frequently, the management
objectives of the ONMS and individual sanctuaries could not be met. The ONMS must be able
to allow the conduct of otherwise prohibited activities to facilitate important research, education
and management activities. The issuance of permits also allows fulfillment of the ONMS’s
statutory mandate to facilitate public and private uses that are compatible with sanctuary
resource protection. Furthermore, the permit process allows these activities to take place under
controlled conditions to ensure that the primary mandate of resource protection is fulfilled.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
No special circumstances exist, are foreseen, or anticipated requiring the collection of
information to be conducted in a manner inconsistent with the OMB guidelines.
8. Provide information on the PRA Federal Register Notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
A Federal Register notice published on February 13, 2008 (73 FR 8292) solicited public
comment on this renewal. No comments were received.
The ONMS receives constant, informal feedback on its permitting process during staff
interaction with applicants and permittees. This has resulted in several changes in ONMS permit
processes with benefits to the public. For example, the ONMS now routinely issues permits to

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academic or government institutions that cover a wide range of planned activities over a fiveyear period; doing so eliminates the need for these institutions to apply for a permit for each
individual action. The new, more logically arranged permit application also resulted, in part,
from this informal permittee feedback.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payments or gifts will be provided to any respondents.
10. Describe any assurance or confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
Permit applicants are requested to indicate any information that is considered proprietary
business information. Such information is generally found in special use permit applications (for
commercial activities) and is typically exempt from disclosure to anyone requesting information
pursuant to the Freedom of Information Act (FOIA). NOAA will make all possible attempts to
protect such proprietary information, consistent with all applicable FOIA exemptions in 5 U.S.C.
552(b). Typically exempt information includes trade secrets, commercial and financial
information (5 U.S.C. 552(b)(4)). For all permit types, personal information affecting an
individual’s privacy will be kept confidential consistent with 5 U.S.C. 552(b)(6).
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
No sensitive questions are asked.
12. Provide an estimate in hours of the burden of the collection of information.
The ONMS estimates a total of 1,436 hours to collect this information. This is based on an
estimate of 424 permits requiring approximately 992 total responses. Because the number of
responses per permit and the time per response varies amongst the various types of permits, each
of the nine types is explained in subsections (a) through (i) below and summarized in the table at
the end of this document. The types of permits are grouped into these categories based on
similar collection of information requirements and burden estimates. Additionally, the permit
types described in (a) through (d) below are further detailed in the permit application
instructions.
(a) General Permits
Scope of this category. This category includes all permits not specifically addressed in
subsections (b) through (h) below; typically, permit applications for scientific research,
education, management, and salvage (excluding activities aimed at historical resources) activities
permits fall into this category. This category also includes requests for authorizations of other
agency permits processed pursuant to 15 CFR §922.49.

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Burden estimate. Each respondent will generally submit an application for a permit, a cruise or
flight log (or some other form of activity report) and a final summary report after the activity is
complete, for an average of three responses per permit. On average, each response is expected to
take the respondent 1 hour and 30 minutes to complete. The ONMS estimates that it will process
approximately 140 permit applications in this category for a total of 420 responses and 630
burden hours annually.
Applicant guidelines. Details regarding collection of this information are explained in the
attached “Instructions for Submitting Applications for National Marine Sanctuary Permits and
Authorizations.” Special, streamlined application procedures for certain general permit activities
involving over-flights of sanctuaries, fireworks in Monterey Bay National Marine Sanctuary
(MBNMS), and construction in MBNMS are described in appendices A, B, and C of the
instructions, respectively.
(b) Baitfish Permits
Scope of this category. This category includes applications for permits to collect baitfish in
certain Sanctuary Preservation Areas (SPAs) of the Florida Keys National Marine Sanctuary that
are otherwise closed to fishing. There are two types of baitfish permits that may be issued
depending on the gear used (castnet or hairhook).
Burden Estimate. To apply for a castnet baitfish permit, an applicant must simply submit (via
phone, fax, or email) his/her name and address. To apply for a hairhook baitfish permit, an
applicant must also include a brief statement explaining experience and qualifications. For both
permit types, a log of number of fish caught is required at the end of the permit term. The
ONMS expects completion of the application to average 15 minutes and the log, 45 minutes, for
an average response time of 30 minutes. The ONMS expects to process an average of 195
permits in this category each year, for a total of 390 responses and 195 burden hours annually.
Applicant guidelines. Details regarding collection of this information are explained in the
attached “Instructions for Submitting Applications for National Marine Sanctuary Permits and
Authorizations.” The special application procedures for baitfish permits are described in
Appendix D of the instructions.
(c) Special Use Permits
Scope of this category. This category includes all permit applications processed under section
310 of the NMSA (16 U.S.C. §1441). Activities must be noticed in the Federal Register before
NOAA can issue special use permits for those activities. Presently, these activities are as
follows:
•
•

The disposal of cremated human remains by a commercial operator in any national
marine sanctuary
The operation of aircraft below the minimum altitude in restricted zones of national
marine sanctuaries for commercial purposes

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•
•
•

The placement and subsequent recovery of objects associated with public events on nonliving substrate of the seabed
The discharge and immediate recovery of objects related to special effects of motion
pictures; and
The continued presence of submarine cables beneath or on the seabed.

Burden Estimate. For special use permits, an application, a final report, and a financial report are
required for each permit (total of 3 responses per permit). An average response time of eight
hours is estimated for each of these activities. Financial reports (annual report required by
section 310 of the NMSA; due on December 31 of each year) may take less than eight hours but
the application will take more time, particularly if additional NEPA documentation is required
and prepared by the respondent. A total of six permit applications is expected under this
category each year, for a total of 18 responses and 144 burden hours annually.
Applicant guidelines. Details regarding collection of this information are explained in the
attached “Instructions for Submitting Applications for National Marine Sanctuary Permits and
Authorizations.” Special requirements for Special Use Permit applications are described in
Appendix E of the instructions.
(d) Historical Resource Permits
Scope of this category. This category includes all permit applications for activities aimed at
historical, cultural, and/or maritime heritage resources of sanctuaries.
Burden Estimate. Due to the sensitive and complex nature of any work involving such
resources, for these permits an average response time of 13 hours is estimated for each response
(application, cruise log, and report). The ONMS estimates it will process approximately 10
permit applications in this category each year, for a total of 30 responses and 390 burden hours
annually.
Applicant guidelines. Details regarding collection of this information are explained in the
attached “Instructions for Submitting Applications for National Marine Sanctuary Permits and
Authorizations.” Special requirements for Historical Resource Permits are described in
Appendix F of the instructions.
(e) Permit Amendments
Scope of this category. This category includes all requests by permittees to amend permits.
Typically, this is a request to extend the expiration date (i.e., renewal request), but can also be
requests to modify the nature or geographic scope of the permitted activity.
Burden Estimate. For minor changes (such as a name change or extension request), permittees
may apply for an amendment via a brief email, letter, or even a phone call. For significant
changes to the permitted activity, more information or even a new application may be required.
On average, the response is estimated to average 30 minutes. The ONMS expects approximately

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40 requests under this category each year, for a total of 40 responses and 20 burden hours
annually.
Applicant guidelines. Details regarding collection of this information are explained in the
attached “Instructions for Submitting Applications for National Marine Sanctuary Permits and
Authorizations.”
(f) Certification
Scope of this category. This category includes all requests for the ONMS to certify activities that
are being conducted pursuant to a valid government authorization prior to a sanctuary being
designated (commonly known as “grandfathered” activities).
Burden Estimate. Because this process is typically only valid within the first 90 days of a
sanctuary designation, there are currently no applications being processed under this category;
however, a placeholder burden of 30 minutes is included in the total burden estimate for this
collection. For any sanctuary that may be designated before the expiration of the approval
sought under this document, an average response time of 30 minutes is estimated for providing
an application.
Applicant guidelines. Because the process for obtaining permits under this category may be
different each time a sanctuary is designated, guidance on obtaining this permit would be
included in public notices (e.g., final rule, notice of designation) at the time a sanctuary is
designated. Therefore, no additional guidelines are necessary.
(g) Voluntary Registry
Scope of this category. This category is for researchers who are conducting activities that are not
otherwise prohibited. The registry allows them to register their activity, which adds to the
database of research activities within a sanctuary.
Burden Estimate. An average response time of 15 minutes is estimated for submission of
registry information. The ONMS estimates one total response under this category for a total
burden of 15 minutes annually.
Applicant guidelines. There are no specific guidelines for voluntary submissions.
(h) Appeal
Scope of this category. Applicants or permittees have the right to appeal a permit action (e.g.,
denied application, unacceptable conditions, revoked permit) pursuant to 15 CFR §922.50. This
category includes information requirements for all such appeals.
Burden Estimate. The applicant/permittee must submit the reason for appealing the permit
action. The Assistant Administrator of NOAA’s National Ocean Service (NOS) may request
additional information upon receipt of the appeal. These two submissions (original appeal and

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reply to a request for additional information) have an average burden estimate of 24 hours. The
ONMS estimates processing 1 appeal for a total of 2 responses and 48 burden hours annually.
Applicant guidelines. Guidelines for filing appeals are contained in ONMS regulations at 15
CFR §922.50. No additional guidelines are deemed necessary.
(i) Tortugas Access Permits
Scope of this category. In 2001, NOAA established the Tortugas Ecological Reserve in the
Florida Keys National Marine Sanctuary. Regulations implementing the reserve include
controlling access to the reserve through the granting of “access permits” (15 CFR §922.167).
Applicants give their information and receive their permit orally, via phone or VHF radio, prior
to entering the reserve. The applicant must provide the following information: (1) the names,
addresses, and telephone numbers of owner, captain, and applicant; (2) vessel name and home
port; (3) USCG documentation number, state license, or boat registration number; (4) Length of
vessel and primary propulsion type (i.e., motor or sail); (5) Number of divers aboard; and
(6) requested effective date and duration of permit.
Burden Estimate. Applicants will average 3 responses per application (call to apply for a permit,
call reporting entering the reserve, and call reporting exiting the reserve). These calls are
estimated to average 5 minutes each. The ONMS estimates processing 30 applications for a total
of 90 responses and 7.5 (8) burden hours annually.
Applicant guidelines. Guidelines for applying for Tortugas Access Permits are contained in
ONMS regulations at 15 CFR §922.167. Information is also located online at
http://www.fknms.nos.noaa.gov/tortugas/. No additional guidelines are deemed necessary.
13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in #12
above).
The estimated annual cost for copying and mailing permit applications and reports is $949. Most
permit applications and reports are now submitted electronically via email, which is encouraged.
14. Provide estimates of annualized cost to the Federal government.
The cost to the Federal government for each of the permit types is listed in the attached table.
All costs are for the staff time required to process permit applications and any associated reports.
15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
The overall burden has been adjusted to 1,436 hours from 1,138 hours based on: (1) current
trends in the number and types of permits issued as determined by recurring program audits;

9

(2) adjusted estimates of the hours required to respond to general permits, permit appeals and
special use permits; and (3) incorporating the Tortugas Access Permits burden (OMB Control
No. 0648-0418) into this renewal.
The overall number of permits issued by the program (not including Tortugas Access Permits)
has increased from 336 permits in 2001 to an estimated 400 in 2008, largely due to increased
public awareness of ONMS permit requirements. In recent years, the ONMS has been
processing fewer general permits but more special use permits, historical resource permits, and
permit amendments. This change in distribution is reflected in the estimate provided.
This estimate also increases the hours required per response for general permits from 1.0 to 1.5
hours to account for several additional questions in the permit application form deemed
necessary to more completely meet ONMS regulatory review requirements. This affects an
estimated 130 permits (390 responses) annually.
In addition, although the ONMS averages less than one permit appeal annually, the estimate has
been revised from 1.5 hours to 24 hours per response in acknowledgement that this activity will
generally require several individuals to be involved (often to include at least one attorney) over
several days to effectively develop and respond to appeal actions. This change is estimated to
affect, at most, one applicant annually.
Finally, the time to respond to special use permits requests has been decreased from 24 hours per
response to eight. This affects an estimated 6 permits (18 responses) annually.
In addition to the above changes, incorporating Tortugas Access Permits into this approval adds
eight hours to the total burden estimate. The previous burden under OMB Control No. 06480418 was 13, based on: 1) 49 responses instead of 30, and 2) burden for an appeal being
included, which is now covered by the general appeals category for the total burden estimate for
OMB Control No. 0648-0141.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information collected will not be published.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
The OMB approval number and expiration date for this information collection will be displayed
on the general permit application form and in the permit instructions for any activities not
required to use the general application form. For Tortugas Access Permits, which are handled
orally and therefore do not involve an application form, the OMB Control Number and
expiration date will be provided over the phone.

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18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
N/A.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

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BURDEN ESTIMATE
0648-0141

Applicant
Permit type

Permits/Yr

Responses/
Permit

Total Responses

Hr/Response

Total
Hours

Cost/Reponse
($)

(a) General

140

3

420

1.5

630

1.00

Total
Cost
($)
420

(b) Baitfish

195

2

390

0.5

195

1.00

390

(c) Special Use

6

3

18

8

144

1.00

18

(d) Historical
Resource
(e) Permit
Amendment
(f) Certification

10

3

30

13

390

1.00

30

40

1

40

0.5

20

1.00

40

1

1

1

0.5

0.5

1.00

1

1

1

1

0.25

0.25

1.00

1
40

(g) Voluntary
Registration
(h) Appeal

1

2

2

24

48

20.00

(i) Tortugas Access

30

3

90

0.083

8

0.10

TOTAL

424

992

1,436

Federal Government
Permit type

(a) General

140

8

1120

13

Total
Cost
($)
14560

(b) Baitfish

195

0.5

97.5

13

1267.5

(c) Special Use

6

16

96

13

1248

(d) Historical
Resource
(e) Permit
Amendment
(f) Certification

10

16

160

13

2080

40

4

160

13

2080

1

1

1

13

13

1

0.5

0.5

13

6.5

1

120

120

13

1560

(i) Tortugas Access

30

0.5

15

13

TOTAL

424

(g) Voluntary
Registration
(h) Appeal

Permits/Yr

Hr/Permit

Total Hours

1,770

12

$/Hour

195
$23,010

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$949