1024-0037 Supporting Statement A

Supporting Statement A for

Paperwork Reduction Act Submission

OMB Control Number 1024-0037

Archeology Permit Applications and Reports

43 CFR Parts 3 & 7

Terms of Clearance: None.

1. Explain the circumstances that make the collection of information necessary.

Section 4 of the Archaeological Resources Protection Act (ARPA) of 1979 (16 U.S.C. 470cc) and section 3 of the Antiquities Act (AA) of 1906 (16 U.S.C. 432) authorize any individual or institution to apply to Federal land managing agencies to scientifically excavate or remove archeological resources from public or Indian lands. Permits for archeological investigations ordinarily are requested: (1) for conducting scientific research; (2) in conjunction with statutorily required environmental clearance activities prior to commencing a Federal undertaking; or (3) issuing a Federal license or permit for third party activities such as energy development on public or Indian lands.

The ARPA and AA require that Federal land managers issue permits to qualified applicants and place terms and conditions on the permits, including reporting requirements, as set forth in the implementing regulations for the two statutes (43 CFR Part 7 for ARPA; 43 CFR Part 3 for the AA) to ensure that the resources are scientifically excavated or removed and deposited, along with associated records, in a suitable repository for preservation. If the permit is for work on Indian lands, the ARPA requires that the Federal land manager place terms and conditions on the permit as requested by the Indian landowner and the Indian tribe having jurisdiction over the lands. If the permit may have an effect on a resource on public lands that has Indian tribal religious or cultural importance, the ARPA requires that the Federal land manager notify the pertinent Indian tribe for the purpose of developing terms and conditions to be placed on the permit.

Section 13 of ARPA (16 U.S.C. 470ll) requires that the Secretary of the Interior report to the Congress on archeological activities conducted pursuant to the Act. To fulfill this requirement, the Secretary must collect information about permitted activities from the various land managing agencies and the Department's land managing bureaus.

2. Indicate how, by whom, and for what purpose the information is to be used.

43 CFR 5.6 and 43 CFR 7.6 specify the requirements for applications for an archeology permit. We use DI Form 1926 (Application for Permit for Archeological Investigations) to collect:

• Name and contact information for applicant, principal investigator, field investigator, and permit administrator.

• Nature, location, and time of proposed archeological work.

• Statement of Work: A description of the purpose, nature, and extent of the work proposed, including research design, methods, curation, collection strategy, and reporting plan.

• Statement of Applicant’s Capabilities: Evidence of the ability to carry out the proposed scope of work, including detailed information about logistical support and laboratory facilities, with information about location(s) and description of facilities and equipment; organizational structure and staffing; and equipment and staff to be involved in the proposed work.

• Statement of Applicant’s Past Performance: Organizational history in completing the kind of work proposed, including similar past projects; government contracts; Federal permits previously held, currently in force with effective dates, and currently pending or planned; reports and/or publications resulting from similar work; and any other pertinent organizational experience.

• Curriculum vitae for principal investigator(s) and project director(s): A curriculum vitae or similar resume or summary of education, training, and experience in the kind of work proposed and in the role proposed.

• Other Authorization: Written consent by State or tribal authorities to undertake the activity on State or tribal lands that are managed by the Federal agency, if required by the State or tribe.

• Curation Authorization: Written certification, signed by a properly authorized official of the proposed curatorial facility, attesting to the facility’s capability and willingness to accept any material remains and associated records generated under the permit, and capacity and willingness to assume permanent curatorial responsibility for such materials on behalf of the Federal Government pursuant to regulations for the curation of federally-owned and administered archeological collections (36 CFR 79).

• Detailed schedule of all project activities, including completion of reports.

• Additional information: Land managers may require applicants to participate in consultations with tribal authorities.

Federal land managers use the information collected in the application to ensure that:

• Applicant is appropriately qualified.

• Proposed work is for the purpose of furthering archeological knowledge in the public interest.

• Proposed work is not inconsistent with any management plan or established policy, objectives or requirements applicable to the management of the public lands concerned.

• Where the work proposed is on Indian lands, written consent has been obtained from the Indian landowner and the Indian tribe having jurisdiction over such lands.

• Where the work proposed is on public lands, it is determined whether it may have an effect on resources of Indian tribal religious or cultural importance.

• The museum or other institution proposed as the repository is appropriately qualified to preserve the excavated or recovered resources and the associated records.

• Where the work proposed is on public lands, the applicant has certified that within 90 days after submitting the report to the Federal land manager, the resources and associated records will be delivered to the approved repository.

• Where the work proposed is on Indian lands and the Indian owner declines custody of the resources removed, the applicant has certified that within 90 days after submitting the report to the Federal land manager, the resources and associated records will be delivered to the approved repository.

Each permittee must complete a report at the end of the project. The report must be consistent with information in field notes, photographs, and other materials (see the Secretary of the Interior’s Standards for Archeological Documentation and 36 CFR 79 for additional guidance) and include:

• Description of the study area.

• Relevant historical documentation/background research.

• Research design.

• Field studies as actually implemented, including any deviation from the research design and the reason for the changes.

• Field observations, including the number of new sites that are discovered and identified sites that are revisited.

• Analyses and results, illustrated as appropriate with tables, charts, photographs, and graphs.

• Evaluation of the investigation in terms of the goals and objectives of the investigation.

• Recommendations for updating interpretive and management materials.

• Recommendations for ongoing or proposed treatment activities, such as structural documentation, stabilization, etc.

• Name and location of facility curating material remains and associated records.

• Accession numbers.

Federal land managers review reports to ensure that the archeological work was conducted in accordance with the permit's terms and conditions. They use information in the report for cultural resource management purposes (that is, it is incorporated into existing Federal and State archeological inventories and historic preservation plans for the lands concerned). The results are reported to the Secretary of the Interior for inclusion in reports to Congress on archeological activities that were conducted on public or Indian lands. Reports, or the information in them, generally are available to the public through agency interpretation and programs or through the reports themselves.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology; e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden [and specifically how this collection meets GPEA requirements.].

No centralized national administration of the permitting process exists, and no single office determines whether or how electronic submission will be implemented. This is because the authority to issue permits is delegated to the respective land managing bureaus and other Federal agencies. Many of these Federal agencies do not have their permit files automated because of the need to maintain very tight control over permits due to the sensitive location information that permits may contain and the high risk of illicit looting of archeological properties. In addition, the relatively low number of permits issued by most agencies in any given year for archeological investigations makes the development of a high security, highly controlled electronic system less cost effective than a paper system.

DI Form 1926 and guidance for developing and submitting an application are available on the National Park Service (NPS) website at www.nps.gov/archeology/npsGuide/permits/index.htm.

Applications may be submitted via e-mail.

4. Describe efforts to identify duplication.

Information requested in permit applications and reports is unique to the applicant and project and no other source is available. There is no duplication of information collected by other land managing Federal agencies.

5. If the collection of information impacts small businesses or other small entities, describe the methods used to minimize burden.

We do not believe this information significantly impacts small businesses or other small entities. We collect only the minimum information necessary to ensure that applicants are qualified to conduct the proposed archeological investigation and that the proposed work is consistent with regulations and policy guidance. The burden for permit renewals may be reduced if agencies have electronically stored original permit applications.

6. Describe the consequence to Federal program or policy activities if the collection were not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

An application for a permit is completed prior to the commencement of an archeological project taking place on Federal land. It is not possible to collect the data in the application less frequently due to the nature of the statutory requirements under ARPA.

Failure to collect information from applicants requesting permission to conduct scientific research on archeological resources located on public or Indian lands would result in the prohibition of such research. If individuals and institutions conduct research without a valid permit, they are in violation of the ARPA (sections 6, 7, and 8 (16 U.S.C. 470ee, ff, gg))the , AA (section 1 (16 U.S.C. 431)), and other statutes concerning Federal property. Furthermore, they would be subject to criminal and civil penalties as well as forfeiture of personal property and of the resources removed.

Failure to collect information from applicants that are requesting permission to conduct archeological clearances in conjunction with federally-licensed or permitted third party activities (e.g., drill pads, mining, or pipeline right-of-ways), and subsequent failure to issue permits, would result in the prohibition of the third party activities. If a Federal land manager authorizes a third party activity without considering the effects of that activity on the cultural environment, the Federal land manager is in violation of the amended National Environmental Policy Act of 1969 (42 U.S.C. 4321-4327) and Section 106 of the amended National Historic Preservation Act of 1966 (16 U.S.C. 470 et seq.). If the authorized activity might destroy or damage important archeological or historic resources pursuant to the Archeological and Historic Preservation Act of 1974 (16 U.S.C. 469a), the Secretary of the Interior is required to recover, or direct the Federal land manager to recover the important information about these resources. Ordinarily, the third party activity is temporarily delayed or halted, if it already has begun, until the archeological work is completed. If the Federal land manager authorizes archeological investigations without reviewing an application and issuing a permit, the Federal land manager is in violation of the ARPA and the AA, as well.

Failure to collect information in a report prevents (1) the Federal land manager from reviewing the adequacy of the work conducted, and (2) the Federal land manager and the State Historic Preservation Officer from incorporating information about the resources into existing archeological inventories and historic preservation plans for the lands concerned, affecting stewardship capabilities. It also means that, when the Federal land manager needs information about the resources for program planning and management purposes, the manager must conduct duplicative archeological survey and excavation work. Finally, failure to collect information in a report prevents the Secretary of the Interior from fulfilling his statutory requirement to report to Congress on permitted archeological activities conducted on public or Indian lands.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

* requiring respondents to report information to the agency more often than quarterly;

* requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

* requiring respondents to submit more than an original and two copies of any document;

* requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;

* in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

* requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

* that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

* requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

There are no special circumstances that require us to collect the information in a manner inconsistent with OMB guidelines.

8. If applicable, provide the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice (or in response to a PRA statement) and describe actions taken by the agency in response to these comments.

Describe 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.

The NPS published a 60-Day notice in the Federal Register (75 FR 72835) on November 26, 2010, soliciting public comments. The comment period ended on January 25, 2011. No public comments were received in response to this notice.

In addition to the Federal Register notice, we contacted three non-Federal archeologists to obtain feedback about the availability of the application form, clarity of instructions, time required to submit an application, and reporting format. Their names and contact information are:

Laura Leach-Palm Far Western Anthropological Research Group, Inc. 2727 Del Rio Place, Suite A Davis, CA 95618 530-756-3941	Ruth Van Dyke Department of Anthropology Binghamton University P.O. Box 6000 Binghamton, NY 13902-6000 607-777-2487
Michael Polk Sagebrush Consultants 3670 Quincy Ave., Suite 703 Ogden, UT 84403 801-394-0013

The comments received from this group are: (1) The form is sensible and the researcher can see how all the information is needed; (2) The form might be streamlined, as not all permits need a formal research design, for example; (3) The amount of time to complete the application process is reasonable, and the online forms are great!

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

We do not provide payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

We do not provide any assurance of confidentiality.

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.

We do not ask questions of a sensitive nature.

12. Provide estimates of the hour burden of the collection of information.

We estimate a total of 2,208 annual burden hours for this information collection. According to the most recent statistics available, Federal land managing agencies report that they receive and process applications for permits for archeological investigations from about 736 respondents annually. Applications are completed whenever a researcher or third party contractor wishes to conduct archeological work on public or Indian lands. As a condition to the permit, each permittee must prepare a report at the conclusion of the project.

We estimate the total value of the burden hours to be $85,399. In accordance with the Secretary of the Interior’s Guideline for Archeological Documentation, the principal investigator is an archeologist who customarily has attained a Master’s Degree or higher. In accordance with the Bureau of Labor Occupational Employment and Wages, May 2009, 19-3091 Anthropologists and Archeologists, the national mean hourly wage for archeologists is $27.52. We multiplied this rate by 1.4 to calculate benefits for individuals and private sector respondents and by 1.5 for State, local, and tribal respondents, in accordance with the Bureau of Labor Statistics Bulletin USDL 11-0304, “Employer Costs for Employee Compensation—December 2010“ (http://www.bls.gov/news.release/pdf/ecec.pdf) released on March 9, 2010.

Requirement	Total Annual Responses	Completion Time per Response	Total Annual Burden Hours*	Hourly Labor Costs including benefits*	Total Dollar Value of Annual Burden Hours*
Applications
Individuals	12	2.5 hours	30	$38.53	$ 1,156
Private Sector	690	2.5 hours	1,725	38.53	66,464
Government	34	2.5 hours	85	41.28	3,553
Reports
Individuals	12	.5 hour	6	38.53	231
Private Sector	690	.5 hour	345	38.53	13,293
Government	34	.5 hours	17	41.28	702
Total	1,472		2,208		$85,399

*rounded

13. Provide an estimate of the total annual [nonhour] cost burden to respondents or recordkeepers resulting from the collection of information.

There are no nonhour burden costs associated with this information collection.

14. Provide estimates of annualized costs to the Federal Government.

The total annual cost to Federal agencies issuing permits for archeological investigations is estimated to be $273,350 (rounded). This cost is for salaries to review and process permit applications and reports. Our estimates of time are based on data from three National Park Service employees who customarily review and administer permits applications and reports.

• Applications - We estimate that it will take 5.5 hours to review and process each application. This includes:

• Providing information about the application process,

• Reviewing applications for feasibility, compliance, and compatibility with the purpose of the Federal land unit, and

• Preparing and issuing the permit.

  • Reports - We estimate that it will take approximately 2 hours to review each report.

Reports are reviewed at both the local and regional levels.

We estimate that grades of archeologists involved in this information collection range from GS-11 to GS-14, with most at the GS-11 and GS-12 level. In estimating salary costs, we have used the hourly wage of a GS-11, step 7 to represent the average Federal employee involved with this information collection. We used the Office of Personnel Management’s Salary Table 2011-RUS (http://www.opm.gov/oca/11tables/html/RUS_h.asp) to determine an hourly rate for employees nationwide. The hourly wage of a GS-11/7 is $33.01. To calculate benefits, we multiplied the hourly rate by 1.5 in accordance with the Bureau of Labor Statistics Bulletin USDL 11-0304 entitled “Employer Costs for Employee Compensation—December 2010“ (http://www.bls.gov/news.release/pdf/ecec.pdf) released on March 9, 2010. With benefits, the hourly wage is $49.52.

REQUIREMENT	TOTAL ANNUAL RESPONSES	AVERAGE TIME PER RESPONSE	TOTAL FEDERALHOURS	TOTAL DOLLAR COST TO FEDERAL GOVT.
Applications	736	5.5 hours	4,048	$200,456.96
Reports	736	2 hours	1,472	72,893.44
Total	1,472		5,520	$273,350.40

15. Explain the reasons for any program changes or adjustments in hour or cost burden.

We are estimating 1,472 annual responses totaling 2,208 burden hours for this information collection. This is an adjustment decrease of 1,728 responses and 2,592 burden hours from our previous submission. Based on our experience over the past 3 years and increased accuracy in compiling data, we reduced the estimated number of respondents from 1,600 to 736. The estimated time for completing each application and report remains the same.

16. For collections of information whose results will be published, outline plans for tabulation and publication.

There are no regular venues for publication of data resulting from investigations carried out under permits for archeological investigations. The Secretary of the Interior includes data in reports to Congress on archeological activities that were conducted on public or Indian lands. Individual project reports, or the information in them, may be available to the public through agency interpretation and programs or through the reports themselves.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

We will display the OMB control number and expiration date on DI Form 1926 and other documents, as appropriate.

18. Explain each exception to the certification statement.

There are no exceptions to the certification statement.

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