Chapter IV. Permitting

A. General Provisions.

A paleontological resource use permit is a land-use authorization issued to a qualified applicant to carry out various paleontological activities, such as identification, survey, collection or excavation, where BLM manages the surface estate. On split estate lands, where the surface is privately owned, fossils are the property of the surface owner and no BLM permit is necessary. Collectors, however, should be made aware of the need to contact the private landowner.

Paleontological resource use permits are nonexclusive, noncompetitive, minimum impact permits, and are not subject to Notice of Realty Action, filing fees or cost reimbursement. Fossils collected under the provisions of such permits remain the property of the United States Government. Management of such collections is the joint responsibility of the BLM and the repository that agrees to house the collection on behalf of the Government.

The objectives of the paleontological resource use permit process are to:

1. Provide for the pro-active management of paleontological resources.

2. Facilitate research by qualified paleontologists on the public lands.

3. Serve as a bridge for communication between BLM managers and paleontological researchers.

4. Provide appropriate protection to other resources that may be impacted by permitted collecting activities.

5. Provide an administrative structure that minimizes BLM's management effort within the constraints of other obligations.

6. Be consistent with BLM's customer-oriented focus.

B. Permits

1. Vertebrate Fossils. Collecting vertebrate fossils requires a permit. BLM issues two types of permits for collecting vertebrate fossils:

a. A Survey and Limited Surface Collection Permit is issued to (1) authorize broad ranging survey/reconnaissance work, and limited surface collecting; (2) to locate vertebrate fossil localities for inventory or planning purposes; or (3) in advance of projects which may threaten such localities. Collecting of fossil material under this type of a permit is allowed, providing that such activities result in less than 1-square meter of surface disturbance and can be done with hand tools.

b. An Excavation Permit is issued when surface disturbance exceeds the limits permissible for the Survey and Limited Surface Collection permits.

2. Invertebrate Fossils. Subject to the provisions of 43 CFR 8365, invertebrate and plant fossils may be collected in reasonable amounts for noncommercial purposes without a permit. However, in order to protect significant localities, areas may be closed to the collection of invertebrate and plant fossils except under permit. Such closures shall be established through the land-use planning process and in consultation with the Regional Paleontologist.

3. Petrified Wood. Subject to the provisions of 43 CFR 3622, a person may collect up to 25 pounds plus one piece per person per day, up to a maximum of 250 pounds in one calendar year, of petrified wood for personal, noncommercial purposes without a permit. Quotas may not be pooled to collect single pieces larger than 250 pounds. Collection in excess of these amounts will be handled in accordance with 43 CFR 3621.

4. Consulting Activities. Survey, identification, evaluation, and mitigation may be required for compliance with the National Environmental Policy Act or for land-use planning and paleontological resource management needs. Since these activities require a broad based approach to investigation and management, an individual or organization engaged in such consulting activities shall conduct them under the authority of a survey or excavation paleontological resource use permit as appropriate, and shall meet all the qualifications and other requirements for holding such a permit. (See section C below for qualifications.)

5. Fossils and Cultural Resources. Paleontological resources are primarily found on bare, unvegetated outcrops which are created as the result of active erosion processes. These erosion processes are of such a nature that it is unlikely that the minimal level of surface disturbance allowed under a Survey and Limited Surface Collection permit will impact cultural resources.

Paleontological resource use permits do not authorize collecting or disturbing cultural resources, even when those resources are associated with fossils. Such occurrences fall under provisions of the Archaeological Resources Protection Act (ARPA) and the National Historic Preservation Act (NHPA). When archaeological and paleontological materials are discovered in association, all work must stop until the appropriate BLM manager, under the provisions of ARPA and the NHPA, authorizes the work to proceed. The BLM manager, in consultation with their office archaeologist and paleontology program coordinator, and the designated Regional Paleontologist, will evaluate the situation and determine an appropriate course of action to safeguard both the paleontological and archaeological materials.

C. Permitting Procedures.

1. Applying for a Permit. A completed paleontological resource use permit application, form 8270-1 (temporary) should be submitted to the State Director responsible for the public lands on which the proposed work would occur. The form and instructions for completing it are contained in Appendix 1.

2. Qualifications. In order to receive a paleontological resource use permit, applicants must be able to demonstrate the following:

a. Professional instruction in a field of paleontology relevant to the work proposed (vertebrate, invertebrate, trace, paleobotany, etc.), obtained through:

(1) Formal education resulting in a graduate degree from an accredited institution in paleontology, or in geology, biology, botany, zoology or anthropology if the major emphasis is in paleontology; OR

(2) Equivalent paleontological training and experience including at least 24 months under the guidance of a professional paleontologist who meets qualification 2.a(1), that provided increased responsibility leading to professional duties similar to those in qualification (1) above; and

b. Demonstrated experience in collecting, analyzing, and reporting paleontological data, similar to the type and scope of work proposed in the application;

c. Demonstrated experience in planning, equipping, staffing, organizing, and supervising crews performing the work proposed in the application;

d. Demonstrated experience in carrying paleontological projects to completion as evidenced by timely completion and/or publication of theses, research reports, scientific papers and similar documents.

Students and others who do not meet the qualifications for obtaining a permit may conduct paleontological work under the supervision of an applicant who (a) meets the qualifications and (b) is willing to obtain a permit and be legally responsible for all activities under it. The permit holder must agree to supervise project planning, associated fieldwork, scientific evaluations and recommendations regarding paleontological materials under study, and the writing and submission of reports.

3. Permit Processing. The State Director, through or with the assistance of their delegate, is responsible for receiving, processing, issuing and administering paleontological resource use permits. Completed applications for Survey Permits should be received in the appropriate State Office at least 30 calendar days prior to the anticipated beginning date of fieldwork in order to allow for review and response. Applications for excavation permits may require extra review time for an environmental assessment or other necessary actions and should be received by the appropriate State Office at least 60 days prior to the anticipated beginning of fieldwork. In keeping with the Bureau's commitment to customer service, State and Field Offices should make every effort to have permits issued as quickly as possible, or at least within 30 to 60 days if more intense review is needed. However, applications for permits on specially designated lands, for work under other special circumstances, or that require public participation in the decision process, may take significantly longer (6 months or more) to process. If a permit cannot be processed within 30 or 60 days as appropriate, the applicant should be informed as soon as possible as to the reason for the delay and when the permit might be issued.

The State Director will evaluate applications for (1) completeness, (2) to determine whether the applicant is qualified and (3) to assess the adequacy of the applicant's performance under other paleontological resource use permits. Consultation with the effected Field Office(s) and the Regional Paleontologist is a necessary part of this evaluation process.

During this review period, Field Office Managers shall attach, as needed, any terms and conditions to address their concerns relative to other resources, such as protecting special areas, management constraints, camping, road use, etc. Additional terms, conditions, and limitations may be added by the Field Office Manager at any time.

4. Terms and Conditions. Permits are generally issued for 1-year or less but may be extended for up to a 3-year total per permit. Individuals may instead apply for a permit with a more limited term. If the permittee wishes to continue work beyond the expiration date of the permit, the permit may be extended by the BLM State Director following consultation with the appropriate Field Office, or renewed by re-application.

The permittee may request, in writing, that permits be extended or modified. No changes may be made to a permit without approval of the State Director.

Appendix 3 is an example of standard terms and conditions for a Paleontological Resource Use Permit. There may be different or additional terms and conditions applied in each State or Field Office in order to accommodate local needs or requirements.

In accepting the permit, the permittee agrees to all terms and conditions contained in the permit. A copy of the permit must be carried by the individual(s) named in the permit whenever fieldwork under the permit is in progress.

5. Permit Issuance. Following all reviews, the State Director will either issue the permit or provide the applicant with written notification of denial and appeal procedures. Stipulations to the permittee regarding Field Office contacts, for writing and submitting required reports, and for any other purpose will be attached to the permit. The State Director will send copies of all permits to the appropriate Field Office(s) and to the Director, WO 240. (See Appendix 5 for a sample Permit transmittal letter.)

The State Director may elect to stipulate that no permit will be valid unless co-signed by the appropriate Field Office Manager(s) or their designee at the beginning of each field season. However, the State Director may choose to meet this requirement by determining that a phone contact between the permittee and the effected Field Office(s) is sufficient. The Field Office Manager or their designee will notify the State Office when such contact has taken place so that it may be noted in the permit file.

6. Repositories. Applications for paleontological resource use permits must include written certification from a repository willing to accept the collections and other materials resulting from work done on public lands. Pending development of Federal standards specifically for paleontological repositories, the State Director may identify reputable and recognized public institutions proposed to house collections, records, data, photographs, and other documents derived from permitted work, as generally meeting the DOI requirements of DM 411 or the considerations set out below. All fossils collected under a paleontological resource use permit remain the property of the United States Government. They may not be sold, traded, bartered, or disposed of in any way without the prior consent of the United States Government.

In general, the repository receiving materials collected from public lands must provide evidence of its capability of providing adequate long-term curatorial services, such as a physically secure environment and a professional staff qualified to catalog, care for, preserve, retrieve, and loan, where appropriate, these materials and associated records. By agreeing to accept the collections, the repository agrees to bear the costs of these curatorial requirements, and to make the materials and records available to qualified researchers. The repository also agrees to make the locality data and associated records available to the BLM upon request. Appropriate repositories for Federal specimens include public museums, universities, colleges, State geological surveys, and other Federal agencies engaged in geological or paleontological studies.

7. Suspension/Revocation of Permits. The State Director may suspend or revoke a permit at any time that any term or condition of the permit has not been met. Instances of non-compliance shall be documented in the permit file. The permittee shall be notified in writing of instances of non-compliance and of any action taken, i.e., warning, suspension, revocation. Each notice or adverse action will include dispute and appeal options.

8. Disputes and Appeals. Applicants and permittees have the right to dispute and appeal any adverse decision.

a. Disputes. Any applicant or permittee may question the decision of the Authorized Officer (i.e., State Director or Field Office Manager, as applicable) with respect to the denial of a permit application, the inclusion of specific terms and conditions in a permit, or the modification, suspension, revocation or non-renewal of a permit.

(1) Request for Review. The disputant may file a written request to the State Director for review of his or her decision, setting out reasons for believing that the decision should be reconsidered. The State Director may modify the original decision in light of information presented, or may sustain the original decision, in either case providing the disputant with written explanation.

(2) Request for Conference. Either the disputant or the State Director may request a conference to discuss the original decision and its basis. The State Director may modify the original decision in light of information presented, or may sustain the original decision, in either case providing the disputant with written explanation.

(3) Review at Higher Organizational Level.

(a) The disputant, if unsatisfied with the outcome of a review or conference addressing the State Director's decision, may request in writing, that the decision be reviewed at the next higher organizational level. The disputant's written request should set out the procedural or substantive basis for thinking that the State Director's decision is in error. The State Director's decision shall stand during the course of any higher level review.

b) Decisions of a Field Office Manager may be reviewed by the State Director, and those of a State Director may be reviewed by the Director.

(c) Upon receiving a request for higher level review, the Authorized Officer shall transmit the request and the pertinent file(s) to the reviewing official, i.e., the State Director or Director, as appropriate.

(d) The reviewing official should begin review within five working days. If it appears that the review will take more than 10 working days, the disputant should be informed of the estimated time required by mail (copy to the Authorized Officer).

(e) If the reviewing official determines that the Authorized Officer's decision is procedurally and substantively correct and should stand unchanged, the reviewing official shall notify the disputant by mail (return receipt requested).

(f) If the reviewing official determines that the Authorized Officer's decision is procedurally or substantively incorrect, the reviewing official shall consult with the Authorized Officer, establish a course for correcting the decision, and notify the disputant by mail (return receipt requested).

(g) Upon concluding the review, the reviewing official shall return the pertinent file(s) to the Authorized Officer (i.e., the State Director will return a temporary file to the Field Office Manager; the Director will return any file(s) reviewed to the State Director).

(h) The Authorized Officer shall immediately take any corrective actions determined under the above.

(4) Record of Review. Record of any reexamination of an Authorized Officer's decision shall be included in the permanent file at the State Office.

b. Appeals.

(1) Initiated by Disputant. After the dispute opportunities above have been exhausted, the disputant may file a formal appeal with the Interior Board of Land Appeals by following the procedures in 43 CFR Part 4, Subpart E. When the Authorized Officer finds that suspension of the decision in accordance with 43 CFR 4.21(a) would cause harmful effects to paleontological resources, the Authorized Officer shall apply to the Board for a determination that the decision being appealed, or pertinent parts of the decision, shall stand in full force and effect during the appeal period in the public interest.

(2) Initiated by Other Affected Person. Other affected persons wishing to appeal a decision connected with a permit may file a formal appeal with the Interior Board of Land Appeals by following the procedures in 43 CFR Part 4, Subpart E. As necessary, the Authorized Officer shall apply to the Board for a determination that the decision being appealed shall stand during the appeal period.

9. Reports.

a. Annual Reports. The annual report provides a summary of any work carried out during the year. Permittees shall be required to submit two copies of the report describing all work done under the authority of a permit to the appropriate State Director at the end of each calendar year. The State Office shall provide copies to the appropriate Field Office(s) as necessary. If no work is done under the authority of a permit, the permittee shall be required to send a letter to that effect in lieu of an annual report.

The annual report shall include, but not be limited to:

(1) Permit Number;

(2) Name of the permittee and repository;

(3) The names of all field personnel;

(4) Dates of all fieldwork;

(5) A brief description of the work completed, and any new information gained during the year;

(6) Legal description of any area studied, or where collections were made.

(7) A 7.5' topographic map, or other map of appropriate scale acceptable to the BLM, delineating boundaries of the area(s) actually studied or collected.

(8) A completed locality form 8270-3 (temporary) (Appendix 4) for each locality where fossils were collected or recorded. The BLM Paleontology Locality form OR the repository's locality form (if it includes ALL the data fields required on the BLM form) must be submitted. Each locality form should correspond to a locality identified on a copy of a 7.5' topographic map or other map of appropriate scale.

(9) Areas where paleontological resources appear to be especially noteworthy, or where these resources appear to be threatened, should also be identified in this report.

b. Final Report. The final report provides a more detailed analysis and assessment of the work done and collections made during the term of the permit. Permittees shall be required to submit two copies of a final report to the appropriate State Director by the end of the calendar year in which the permit expires. The State Office should provide copies to the appropriate Field Office as necessary.

The final report shall include, at a minimum, all data required for the annual report, plus:

(1) Discussion of the research or interpretive design.

(2) Description of field methods, such as intensity of survey, sampling efforts, screen washing, etc.

(3) A general statement of what work was accomplished, including the results of research and public display/interpretation. In this context, new information gained from the permitted activity should be compared to the previous level of knowledge about the area or taxa involved.

(4) Two copies of any publications resulting from the permitted work. In any published or unpublished documents, the author should identify the work as having been done under a BLM Paleontological Resource Use Permit.

(5) A catalog list of specimens and samples collected under the permit and curated at the repository named in the application. Specimens from a single locality may be batch cataloged under a single specimen number, with the understanding that they will be individually cataloged as soon as practicable.

In cases involving a permit of one year or less, a final report (2 copies) may be submitted in lieu of an annual report. For multi-year permits, the final report constitutes the annual report for the year in which the permit expires.

c. Approval of Reports. Annual and final reports will be reviewed by the appropriate BLM Field Office(s) in consultation with the BLM State Office Paleontologist or Regional Paleontologist. If the report satisfies the above requirements, it may be approved and the permittee considered to be in compliance with the terms and conditions of the permit. The State Director shall notify the permittee as to whether the report has been approved or not, and such notification will be documented in the permit file.

State Directors are responsible for ensuring that all collections, as well as field notes, photographs, and other documents related to work done under a permit are deposited with the repository named in the permit before approval of the final report by the BLM State Office Paleontologist or designated Regional Paleontologist. Such deposition shall be acknowledged and documented by the repository in writing, and included with the final report.

d. Extension of Deadlines. In cases where curation of specimens and/or submission of reports or other documents within the time limits specified in the permit proves impractical, the State Director may extend the deadline in response to a written request from the permittee. Any extensions granted must be documented in the permit file.